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Spindle Cell Carcinoma of the Tongue: Case report and immunohistochemical study
Yuk-Kwan Chen, Cheng-Chung Lin, Chung-Ho Chen *, Yat-Han Yan and Li-Min Lin
Department of Oral Pathology and Department of *Oral & Maxillofacial Surgery, School of Dentistry,
Kaohsiung Medical College, Kaohsiung, Taiwan
Chen YK, Lin CC, Chen CH, Yan YH and Lin LM: Spindle cell carcinoma of the tongue: Case report and immunohistochemical study. Oral Med Pathol 1998; 3: 51–54 ISSN 1342-0984.
Spindle cell carcinoma is a rare malignant tumor which is generally considered to be a variant of squamous cell carcinoma. A case of spindle cell carcinoma of the tongue occurring in a 50-year-old Chinese male is reported. Immunohistochemical technique was used as an adjunct to the diagnosis of this unusual type of carcinoma. The immunohistochemical expression of keratin was recognized in the spindle cells, as well as in the carcinomatous cells. Moreover, the spindle cell component expressed vimentin. These findings suggest an epithelial origin with squamous differentiation and mesenchymal participation in the genesis of spindle cell carcinoma. Additionally, the differential expression of low and high molecular weight keratin was demonstrated. The possible causes of coexpression of keratin and vimentin are also briefly reviewed, which may be because some epithelial tumor cells were transformed into mesenchymal (vimentin-positive) spindle cells; or due to dedifferentiation, with regression to vimentin, an embryonal type of intermediate filament; or attributed to the cellular adaptation to environmental influences; or be related to reduced cell-to-cell contact.
Key words: spindle cell carcinoma, keratin, vimentin, immunohistochemistry
Correspondence: Cheng-Chung Lin, Oral Pathology Department, School of Dentistry, Kaohsiung Medical College, 100 Shih-Chuan 1st Road, Kaohsiung, Taiwan
Introduction
Spindle cell carcinoma is a rare malignant tumor which is generally considered to be a variant of squamous cell carcinoma. It is most commonly observed in the upper aerodigestive tract, in the esophagus, and on the skin (1). In the literature, a variety of terms are used to designate these tumors, including carcinosarcoma, pseudosarcoma, sarcomatoid squamous cell carcinoma, pleomorphic carcinoma, and polypoid carcinoma (1). These diverse nomenclatures reflect the uncertain histogenesis of the spindle cell components. This paper reports a case of this unusual type of carcinoma, studied by light microscopy and immunohistochemistry.
Case Report
A 50-year-old Chinese male patient presented to the Oral Pathology Department of Kaohsiung Medical College in December 1988, complaining of an exophytic, irregular shaped, yellowish-brown, painful mass located on the left lateral border of his tongue. The mass was growing rapidly, according to the description of the patient, who was a heavy betel-nut chewer (30-40 grains/day for more than 30 years) and cigarette smoker (2 packages/day for more than 30 years). Trismus, with a maximum interincisal distance of 1 cm, was noted for about 10 years. The patient's medical history was unremarkable. The clinical impression was a lingual squamous cell carcinoma. An incisional biopsy was performed. The pre-operative diagnosis was compatible with spindle cell carcinoma. The patient, referred to an oral maxillofacial surgeon, was then admitted for a full diagnostic examination. Two courses of intra-arterial chemotherapy via the left superficial temporal artery with cisplatin, bleomycin and 5-fluouracil were done in January 1989. No radiotherapy was performed. Definite surgical treatment was carried out in March 1989, including left radical neck dissection and left hemiglossectomy. Resected margin and neck nodes were histologically free of tumor. The postoperative course was uneventful and the patient was then discharged from the hospital. He was followed closely on an outpatient basis. Unfortunately in September 1989, a recurrent tumor containing only the spindle cell components was observed in the submental region. The patient refused any further surgical intervention. The later situation of the patient could not be assessed due to his failure to keep subsequent follow-up appointments.
The surgical specimen was fixed in 10% neutral buffered formalin solution and embedded in paraffin. Sections 5 μm thick were cut and stained with
Table 1: Primary antibodies used for incubation with specimen sections and immunohistochemical results
| Applied antibodies | Dilution | Source | Carcinomatous area | Spindle cell area |
|--------------------|----------|-------------------------|--------------------|-------------------|
| Monoclonal mouse antibodies | | | | |
| Keratin EAB-902(35/βH11)a | 1:400 | Enzo Biochem (NY, USA) | ++++ | +++ |
| Keratin EAB-903(35/βE12)b | 1:2000 | Enzo Biochem | ++++ | + |
| Vimentin | 1:50 | Dakopatts (Glostrup, Denmark) | - | + |
| Leukocyte common antigen | 1:50 | Dakopatts | - | - |
| HHF35 c | 1:50 | Enzo Biochem | - | - |
| Polyclonal rabbit antibodies | | | | |
| Desmin | 1:1000 | Dakopatts | - | - |
| Lysozyme | 1:200 | Dakopatts | - | - |
| S-100 | 1:1000 | Dakopatts | - | - |
| Factor VIII | 1:300 | Dakopatts | - | - |
(-): negative reaction; (+): 20-40%, (++) 40-60%, (+++) 60-80%, (++++) >80% of positive-stained cells;
a35/βH11: specific for low molecular weight keratin 8(52.5kd) characteristically found in simple epithelium; b35/βE12: specific for high molecular weight keratin 5,10,11(58, 56.5, 56kd) reacting with all squamous epithelia; c HHF35 : a muscle actin specific monoclonal antibody
Fig. 1: (A) Grossly, the overall configuration of the tumor was that of a polypoid growth. (B) The H-E staining of the resected tumor was comprised of predominantly bizzare, basophilic, hyperchromatic, pleomorphic spindle cells with frequent prominent mitotic figures (×100).
Fig. 2A & B: ABC immunostaining of the spindle cell component of the lesion with vimentin (×100).
Fig. 3A & B: ABC immunostaining of the spindle cell component of the lesion with 35/βH11 (A×100) & 35/βE12 (B×100).
Fig. 4: ABC immunostaining of the carcinomatous component of the lesion with 35/βH11 (×100); a similar result is observed with 35/βE12 staining.
hematoxylin and eosin (H-E). Additional sections were incubated with various antibodies, according to the avidin-biotin-peroxidase complex (ABC) method of Hsu and coworkers (2) (Table 1). Appropriate positive control tests were done, and internal controls for the staining of the various antibodies were evaluated in the non-neoplastic component present on each slide. Negative control tests were carried out by substituting non-immune mouse serum for monoclonal mouse antibodies and non-immune rabbit serum for polyclonal rabbit antibodies.
Grossly, the overall configuration of the lesion was that of a polypoid growth, measuring about 4.5 cm in diameter (Fig. 1A). The H-E staining of the resected tumor was comprised of predominantly bizzare, basophilic, hyperchromatic, pleomorphic spindle cells
with frequent prominent mitotic figures (Fig. 1B). The immunohistochemical findings are summarized in Table 1. For the spindle cell component, 20 to 40% of the cells demonstrated positive vimentin (Figs. 2A & B) and $35\beta$E12 (high molecular weight, HMW, keratin) stainings (Fig. 3B); 60% to 80% of the cells showed positive staining for $35\beta$H11 (low molecular weight, LMW, keratin) (Fig. 3A). Nearly all of the carcinomatous component showed positive immunoreactivities to both $35\beta$H11 and $35\beta$E12 antibodies (Fig. 4), while a totally negative result to vimentin was observed. Therefore, the pathological diagnosis of this lesion was spindle cell carcinoma arising in the tongue.
**Discussion**
Spindle cell carcinoma may involve any squamous epithelium lined body surface but inside the oral cavity it is located predominantly on the lips, tongue, and the mandibular alveolus; only a small number of lesions have been reported in the maxilla (3). To the best of our knowledge, not many cases of lingual spindle cell carcinoma were reported in the English language literature (3-7). In this report, a case of histologically biphasic spindle cell carcinoma arising from the tongue with immunohistochemical study was presented.
Due to the relatively superficial infiltrative growth pattern of this often exophytic polypoid tumor, the prognosis for this tumor type had once been assumed better than the classic squamous cell carcinoma (8). However, the tumor in the current case demonstrated an aggressive behavior with metastasis to the submental region within a short period after surgical intervention.
Our clinical data suggests that the spindle cell component of this lesion is not radiation-induced. Radiotherapy, therefore, does not seem to be a major pathogenetic factor, at least in this case. The spindle cell nature of this lesion is most likely to be attributable to chemotherapy, which selected a chemotherapy-resistant clone of spindle cells.
In the oral cavity, differential diagnoses include malignant fibrous histiocytoma, amelanotic spindle cell malignant melanoma, minor salivary gland neoplasm, neural malignant tumor, rhabdomyosarcoma, and malignancy of lymphocytic or endothelial cell origin. The negative stainings of lysozyme, S-100 protein, desmin, actin, leukocyte common antigen and factor VIII-related antibodies precluded the spindle cell component being histiocytic, melanocytic, myoepithelial, muscular, lymphocytic or endothelial in origin. These immunohistochemical findings suggest an epithelial origin with squamous differentiation and mesenchymal participation in the genesis of spindle cell carcinoma.
Two types of keratin antibodies ($35\beta$H11 & $35\beta$E12) were employed in the present study. The staining patterns of the spindle cell component differed between these two keratin antibodies. The percentage of the positive spindle cells demonstrated by $35\beta$H11 monoclonal body was significantly higher than that shown by $35\beta$E12. A loss of high molecular weight keratin in tumor tissues has been confirmed in both animal and human carcinoma studies (9,10). Therefore, a significantly greater number of spindle cells showing positive $35\beta$H11 staining are probably due to the disappearance of high molecular weight keratin corresponding to the carcinomatous changes. To our knowledge, this may be the first report to show the differential expression of low and high molecular weight keratin in oral spindle cell carcinoma.
The squamous cells component usually comprises carcinoma in situ of the overlying epithelium but may seen as islands of dysplastic squamous epithelium within the spindle cell components. Direct transition between the two cell types may also be observed (3). However, no transition zone can be observed in this lesion.
Not all the spindle cells showed a positive result for the two keratin antibodies. The possible explanation for the negative staining of the keratin antibodies may be due to the fact that some spindle cells were non-epithelial origin. On the other hand, it may also be possible that some of the original epithelial spindle cells had experienced a disappearance of keratin (especially HMW) expression upon neoplastic changes. Therefore, a positive result to keratin staining may help to establish the diagnosis of spindle cell carcinoma. However, a negative result does not absolutely exclude a malignant epithelial neoplasm.
Both keratin (an intermediate filament, IF, of epithelial origin) and vimentin (an IF of mesenchymal origin) were demonstrated in the spindle cells component; this suggests that certain spindle cells show coexpression of keratin and vimentin. Such coexpression has been reported in some epithelial tumors of the thyroid (11) and the salivary gland (12). Although the exact causes of the coexpression of keratin and vimentin in tumor cells remain enigmatic, several hypotheses have been proposed. It is possible that, under certain not yet identified epigenetic or genetic factors, some epithelial tumor cells are transformed into mesenchymal (vimentin-positive) spindle cells (13). On the other hand, the coexpression may be due to dedifferentiation, with regression to vimentin, an embryonal type of intermediate filament (14). Furthermore, experiments with cultured cells (15) and cells shed into body cavities (16) indicate that the coexpression may be a consequence of cellular adaptation to environmental influences or related to reduced cell-to-cell contact. Therefore, histologic examination of all spindle cell carcinomas regarding coexpression of keratin and vimentin in the spindle cell component should be performed to find further evidence for the proposed hypotheses on their pathogenesis.
References
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5. Zarbo RJ, Crissman JD, Venkat H, *et al.* Spindle cell carcinoma of the upper aerodigestive tract mucosa. An immunohistologic and ultrastructural study of 18 biphasic tumors and comparison with seven monophasic spindle cell tumors. *Am J Surg Pathol* 1986;**10**: 741-53.
6. Meijer JWR, Ramaekers FCS, Manni JJ, *et al.* Intermediate filament proteins in spindle cell carcinoma of the larynx and tongue. *Acta Otolaryngol* 1988;**106**: 306-13.
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9. Lin LM, Chen YK, Huang YL, *et al.* Cytokeratins in hamster cheek pouch epithelium during DMBA induced carcinogenesis. *J Oral Pathol Med* 1989;**18**: 287-90.
10. Terry RM and Gray C. Expression of low molecular weight cytokeratins in the neoplastic vocal cord. *J Laryngol Otol* 1986;**100**: 1279-82.
11. Hensen-Logmans SC, Mullink H, Ramaekers FCS, *et al.* Expression of cytokeratins and vimentin in epithelial cells of normal and pathological thyroid tissue. *Virchows Archiv (A)* 1987;**410**: 347-54.
12. Krepler R, Denk H, Artlieb U, *et al.* Immunocytochemistry of intermediate filaments proteins present in pleomorphic adenomas of the human parotid gland; characterization of different cell types in the same tumor. *Differentiation* 1982;**21**: 191-9.
13. Hall PA and Levison DA. Biphasic tumors: clues to possible histogenesis in developmental processes. *J Pathol* 1989;**159**: 1-2.
14. Ramaekers FCS, Haag D, Kant A, *et al.* Coexpression of keratin-and vimentin-type intermediate filaments in human metastatic carcinoma cells (metastasis/cytoskeleton/immunofluorescence). *Proc Natl Acad Sci (USA)* 1983;**80**: 2618-22.
15. Lane EB, Hogan BLM, Kurkinen M, *et al.* Coexpression of vimentin and cytokeratins in parietal endoderm cells of early mouse embryo. *Nature* 1983;**303**: 701-4.
16. Franke WW, Schmid E, Winter S, *et al.* Widespread occurrence of intermediate-sized filaments of vimentin type in cultured cells from diverse vertebrates. *Exp Cell Res* 1979;**132**: 25-46.
(Accepted for publication March 10, 1998) |
Dynamical regimes of finite temperature discrete nonlinear Schrödinger chain
Amit Kumar Chatterjee,∗ Manas Kulkarni,† and Anupam Kundu‡
International Centre for Theoretical Sciences, Tata Institute of Fundamental Research, Bengaluru – 560089, India
We show that the one dimensional discrete nonlinear Schrödinger chain (DNLS) at finite temperature has three different dynamical regimes (ultra-low, low and high temperature regimes). This has been established via (i) one point macroscopic thermodynamic observables (temperature $T$, energy density $\epsilon$ and the relationship between them), (ii) emergence and disappearance of an additional almost conserved quantity (total phase difference) and (iii) classical out-of-time-ordered correlators (OTOC) and related quantities (butterfly speed and Lyapunov exponents). The crossover temperatures $T_{\text{UL}} - T_{\text{L}}$ (between ultra-low and low temperature regimes) and $T_{\text{L}} - T_{\text{H}}$ (between high and low temperature regimes) extracted from these three different approaches are consistent with each other. The analysis presented here is an important step forward towards the understanding of DNLS which is ubiquitous in many fields and has a non-separable Hamiltonian form. Our work also shows that the different methods used here can serve as important tools to identify dynamical regimes in other interacting many body systems.
I. INTRODUCTION
The discrete nonlinear Schrödinger chain (DNLS) exhibits a plethora of interesting mathematical and physical features, and has a wide range of applicability in real systems [1–3]. A key feature of this model is its experimental realizability. For example, the solitary waves found mathematically from the DNLS equations [4] have been observed experimentally in nonlinear optical waveguide arrays [5–7]. The importance of DNLS has also been revealed in various fields, ranging from transport in biological systems [8, 9] to condensed matter systems like localized modes in anharmonic crystals [10], soliton formation in semiconducting polymers [11], Bose-Einstein condensates [12] to name a few.
From the perspective of statistical mechanics, the non-separable structure of the DNLS Hamiltonian (i.e. the Hamiltonian is not in the form of a sum of kinetic energy and potential energy) being non-trivial, naturally demands for extensive studies regarding the thermalization of the system. In this connection, it has been elaborately discussed in Ref. 13 that a Gibbs measure is applicable for the one-dimensional DNLS chain at positive temperatures. However, it is possible to prepare the DNLS at negative temperatures [14], where one can observe localized breather-like modes [13–15] which cannot be described by Gibbs measure.
The non-equilibrium steady states of the DNLS model has been investigated by adapting suitable Monte Carlo [16] and Langevin thermostats [17]. This non-integrable model has two conserved quantities (norm and energy) and it exhibits rich coupled transport phenomena along with interesting non-monotonous energy and density profiles [16].
Recently, there has been an interesting observation concerning the DNLS in equilibrium. It has been revealed that the one-dimensional DNLS exhibits three different dynamical regimes [18], namely the high temperature, low temperature and ultra-low temperature regimes. Notably, the observables used to differentiate the three dynamical regimes in Ref. 18, are the two point equilibrium spatio-temporal correlations of the two conserved fields, namely, norm and energy. In particular, the high temperature regime is characterized by diffusive spreading of the correlations with zero sound velocity. On the contrary, the low temperature regime shows super-diffusive spreading of the correlations which travel ballistically with the speed of sound. This is rooted in the existence of an additional almost conserved field (total phase difference). Consequently, in this temperature regime, the density-density correlations have symmetrically located sound peaks travelling ballistically in opposite directions and broadening as $t^z$ with $z = 2/3$ [18, 19, 21]. Therefore, the dynamical critical phenomena falls under the Kardar-Parisi-Zhang (KPZ) universality class. Not only the exponent but the functional form of the correlations also matches the Prähofer-Spohn scaling function [20]. This mapping of the DNLS system to the KPZ universality class has been thoroughly discussed in Ref. 18, 19, and 21. In addition to these two sound modes, one has a central (non-moving) heat peak that broadens as $t^{3/5}$ with a Lévy $\frac{2}{5}$ shape function [18]. Interestingly, an almost integrable structure emerges in the ultra-low temperature regime manifesting as ballistic broadening of all correlations [16, 18].
While the two point correlations have proven to be remarkable diagnostics of the three regimes [18], it would be interesting to ask if this information about the existence of different dynamical regimes, can be extracted through the study of even simpler one point macroscopic thermodynamic observables, like temperature, average energy density, average norm density etc. We successfully address this question in this paper by looking at the relationship between energy density and temperature. We also probe the three dynamical regimes by analyzing the emergence and disappearance of an additional conserved quantity through phase slip events [41]. We show that the
different regimes can be investigated through the lens of higher order correlations such as the classical analogue of out-of-time-ordered correlators [26–32].
In this paper, we consider the one-dimensional DNLS in equilibrium. To probe the different dynamical regimes using one point thermodynamic observables, we investigate the system in grand canonical ensemble. Notably, the grand canonical ensemble is implemented by connecting the DNLS to two Langevin thermostats at same temperature and chemical potential at the chain ends [17]. Below, we briefly summarize our main observations.
(i) We put forward a fascinating yet simple diagnostic for the three distinct dynamical regimes of DNLS in equilibrium. We numerically find the power-law relationship $T = c\epsilon^\alpha$, where $T$ is the temperature, $\epsilon$ is the average energy density and $c$ is a constant. The exponent $\alpha$ serves as a demarcator of the three regimes. More precisely, we observe that $\alpha > 1$ for high temperature regime, $\alpha < 1$ for low temperature regime and $\alpha = 1$ for ultra-low temperature regime (Table. II). We note that the temperature at which the minimum of the ratio $r(\epsilon) = \frac{T}{\epsilon}$ occurs defines the crossover temperature $T_{h-l}$ between the high temperature and low temperature regimes. The crossover temperature ($T_{h-l}$) obtained by this method compares extremely well with the criterion for crossover temperature proposed in Ref. 18. As we decrease temperature further, $r(\epsilon)$ starts increasing and saturates to a constant below an ultra-low temperature $T_{l-ul}$ as expected for harmonic chains.
(ii) The DNLS has two conserved quantities, namely the total energy and the total mass (norm). Interestingly, we observe the emergence of an additional almost conserved quantity (total phase difference) in the low temperature regime. This distinguishes the low temperature regime from the high temperature regime where this third conservation law does not hold. To understand this, we probe the system using the concept of dynamically activated processes that lead to discontinuous jumps in the phase differences, known as phase slips. We find that the frequency of these phase slip events increase exponentially as one enters the high temperature regime, thereby resulting in the violation of the additional conservation law. Remarkably, the significant difference in the activation energies required for the phase slip events, demarcates the low temperature regime from the high temperature regime. In the ultra-low temperature regime, we observe no phase slip events even for extremely long times.
(iii) The DNLS is known to be generically non-integrable [1] and chaotic in nature. However, it shows almost integrable features at very low temperatures [17]. To investigate this in detail, we study chaos in the different dynamical regimes of the DNLS. As tools, we have used the classical out-of-time-ordered correlator (OTOC) and related observables, namely the butterfly speed and Lyapunov exponents [26–32]. In particular, the butterfly speed (measuring the speed of spatial propagation of chaos) exhibits intriguing non-monotonic behavior with temperature. Furthermore, the crossover temperature $T_{l-ul}$ (between low and ultra-low temperature regimes) is interestingly given by the temperature at which minimum of the butterfly speed occurs. The Lyapunov exponent, on the other hand, follows a monotonically increasing power-law behavior with an exponent $\gamma$. Remarkably, the value of $\gamma$ changes considerably along the crossovers between different dynamical regimes. The space-time heat-maps of the OTOC displays visibly striking differences between the ultra-low temperature regime (oscillatory structures in space-time inside the light-cone) and the low/high temperature regimes (exponential growth inside the light-cone with oscillatory structures absent).
The paper is organized as follows. In section II, we describe the model and discuss in detail how to set up the system in grand canonical ensemble. The numerical results concerning the temperature-energy relationship distinguishing the three dynamical regimes, are presented in section III. In section IV, we analyze the different dynamical regimes through the emergence and disappearance of an additional almost conserved quantity. In section V, we probe the chaotic nature of DNLS in the three dynamical regimes using OTOC, butterfly speed and Lyapunov exponent. We conclude with a brief summary of our observations and future directions in section VI. The details of the numerical procedures used here and the relevant error analysis are presented in Appendix A and Appendix B respectively.
II. MODEL AND OBSERVABLES
The Hamiltonian of a discrete nonlinear Schrödinger chain (DNLS) defined on a one dimensional lattice with $N$ sites is given by
$$H = \sum_{j=1}^{N} \left( |\psi_{j+1} - \psi_j|^2 + \frac{g}{2}|\psi_j|^4 \right). \tag{1}$$
Here $\psi_j$ $(j = 1, 2 \ldots N)$ is a complex valued field and $g > 0$ is the defocusing nonlinearity parameter [1, 33]. This system has two conserved quantities, total energy $E$ and the total ‘mass’ $A$ [16]. The mass conservation is equivalent to the normalization condition of the complex field $\psi_j$ which is given by
$$A = \sum_{j=1}^{N} |\psi_j|^2. \tag{2}$$
Here $|\psi_j|^2$ can be interpreted as the local mass density associated with the site $j$. In case of periodic boundary conditions ($\psi_{N+1} = \psi_1$), it is easy to see that the Hamiltonian in Eq. (1) can be re-written as
$$H = 2A + \sum_{j=1}^{N} \left[ - (\psi_{j+1}\psi_j^* + \psi_{j+1}^*\psi_j) + \frac{g}{2}|\psi_j|^4 \right]. \tag{3}$$
One should note that the minus sign in front of the hopping term is irrelevant due to the symmetry associated with a suitable gauge transformation of the form $\psi_j \rightarrow e^{i\pi j} \psi_j$. Using this gauge transformation, the Hamiltonian in Eq. (3) becomes
$$H = 2A + \sum_{j=1}^{N} \left[ (\psi_{j+1}\psi_j^* + \psi_{j+1}^*\psi_j) + \frac{g}{2} |\psi_j|^4 \right]. \quad (4)$$
In order to bring out the interesting non-separable structure of the DNLS Hamiltonian, a pair of canonically conjugate variables $(q_j, p_j)$ can be introduced as
$$\psi_j = \frac{1}{\sqrt{2}}(q_j + i p_j), \quad \psi_j^* = \frac{1}{\sqrt{2}}(q_j - i p_j), \quad (5)$$
where both $q_j$ and $p_j$ are real valued variables $\forall j$. Accordingly, the two conserved quantities, the energy given by the Hamiltonian in Eq. (4) and mass given in Eq. (2) take the following forms
$$H = 2A + H_{\text{DNLS}},$$
$$H_{\text{DNLS}} = \sum_{j=1}^{N} \left[ (q_{j+1}q_j + p_{j+1}p_j) + \frac{g}{8} (q_j^2 + p_j^2)^2 \right], \quad (6)$$
$$A = \frac{1}{2} \sum_{j=1}^{N} (q_j^2 + p_j^2).$$
It is evident from Eq. (6) that the quartic on-site nonlinear term represents the interaction between $q$ and $p$ degrees of freedom, whereas the hopping terms imitate the coupling between the degrees of freedom at nearest-neighbor sites. Importantly, we should note how the introduction of the canonical co-ordinates $(q_j, p_j)$ clearly exhibits the non-separable structure of the DNLS Hamiltonian. More precisely, from the expression of the Hamiltonian in Eq. (6), we observe that $q_i$-s and $p_i$-s are not the usual positions and momenta. Consequently, $H$ is not in the usual separable sum form of kinetic energy and potential energy. Rather, the Hamiltonian has a non-trivial non-separable form (symmetric under the exchange $q_i \leftrightarrow p_i$) giving rise to intriguing dynamical features.
In this paper, we consider the 1D DNLS in a grand canonical ensemble. For this purpose, we connect the chain with two Langevin thermostats of same temperature $T$ and same chemical potential $\mu$ at its two ends ($j = 1$ and $j = N$) [17]. To model DNLS in equilibrium, both the thermostats are kept at same temperature $T$ and same chemical potential $\mu$. The Langevin dynamics should be chosen in such a way that the system finally relaxes to the grand canonical equilibrium distribution
$$P(\{p_i, q_i\}) = \frac{e^{-\beta(H_{\text{DNLS}} - \mu A)}}{Z} = \frac{e^{-\beta H_\mu}}{Z}, \quad (7)$$
where $H_{\text{DNLS}}$ and $A$ are given in Eq. (6) and $Z$ is the partition function. In Ref. 17, it has been demonstrated that the following Langevin equations take the system to the above equilibrium state (Eq. 7).
$$\dot{q}_1 = \frac{\partial H_{\text{DNLS}}}{\partial p_1} - \gamma \frac{\partial H_\mu}{\partial q_1} + \sqrt{2\gamma T} \xi_1'(t)$$
$$\dot{p}_1 = -\frac{\partial H_{\text{DNLS}}}{\partial q_1} - \gamma \frac{\partial H_\mu}{\partial p_1} + \sqrt{2\gamma T} \xi_1''(t)$$
$$\dot{q}_j = \frac{\partial H_{\text{DNLS}}}{\partial p_j} \quad \text{for } j = 2 \ldots N - 1$$
$$\dot{p}_j = -\frac{\partial H_{\text{DNLS}}}{\partial q_j} \quad \text{for } j = 2 \ldots N - 1$$
$$\dot{q}_N = \frac{\partial H_{\text{DNLS}}}{\partial p_N} - \gamma \frac{\partial H_\mu}{\partial q_N} + \sqrt{2\gamma T} \xi_N'(t)$$
$$\dot{p}_N = -\frac{\partial H_{\text{DNLS}}}{\partial q_N} - \gamma \frac{\partial H_\mu}{\partial p_N} + \sqrt{2\gamma T} \xi_N''(t)$$
where $\gamma > 0$ is the coupling strength between the system and reservoirs. $\xi_1', \xi_1'', \xi_N', \xi_N''$ are Gaussian white noises each of which is delta correlated i.e. $\langle \xi(t)\xi(s) \rangle = \delta(t-s)$ and has zero mean. The explicit expressions for the equations of motion in Eq. (8) and the numerical methods used for the corresponding numerical integration are discussed in detail in Appendix A.
The main goal of this work is to show that even relationships between simple one point thermodynamic observables, average energy density ($\epsilon$) and temperature ($T$), clearly exhibits the existence of three different dynamical regimes of DNLS in equilibrium, investigated earlier in Ref. 18 using higher order two point equilibrium spatio-temporal correlations. Also, we analyze the distinction between the different regimes through the emergence and disappearance of an additional almost conserved quantity (total phase difference) using the concept of phase slip events [41]. In addition, we would like to see the signatures of the different dynamical regimes in higher point correlations of the microscopic degrees of freedom, through OTOC, butterfly speed and Lyapunov exponent [26–32]. In this connection, we numerically compute the following quantities - temperature $T$ using a generalized virial theorem, average energy density ($\epsilon$) and average mass density ($\rho$) [see section III], OTOC $D_\rho(i,t)$ [see section V]. This is done using Eq. (8) [see Appendix A for details]. The various observables analyzed in this work are explicitly given in Table. I.
In the subsequent sections, using the grand canonical set up described here, we compute these quantities numerically and discuss how their behaviour distinguishes the three temperature regimes mentioned above.
III. DYNAMICAL REGIMES
In this section, we would like to present and analyze the numerical results on temperature ($T$), average energy density ($\epsilon$) and the relation between them. We show how this relation between one point thermodynamic functions
FIG. 1. Figures (a), (b) and (c) in the upper panel show that the long time averages of the virial observable (Eq. 9) converge very well to the temperatures of the Langevin thermostats, in ultra-low temperature, low temperature and high temperature regime respectively. The equilibration is also ensured by the flat spatial profiles of the average energy density $\langle \epsilon_j \rangle$ (Table I) presented in the lower panel figures (d), (e) and (f).
| Observable | Expression |
|------------|------------|
| Temperature ($T$) | $T = \left\langle x_j \frac{\partial H_{\text{vir}}}{\partial x_j} \right\rangle$, $x = q, p$ |
| Average energy density ($\epsilon$) | $\epsilon = \langle \epsilon_j \rangle$ |
| | $\epsilon_j = \frac{1}{2m} \left[ (q_{j-1} - q_{j+1}) q_j + (p_{j-1} + p_{j+1}) p_j \right] + \frac{k}{2} \left( q_j^2 + p_j^2 \right)^2$ |
| Average mass density ($\rho$) | $\rho = \langle \rho_j \rangle$, $\rho_j = \frac{1}{2} \left( q_j^2 + p_j^2 \right)$ |
| OTOC [$D_x(j,t)$] | $D_x(j,t) = \left\langle \left\langle \frac{\delta x_j(t)}{\delta x_k(0)} \right\rangle \right\rangle_{ic}$, $x = q, p$ |
| Lyapunov exponent [$\lambda_x(j)$] | $\lambda_x(j) = \lim_{t \to \infty} \left\langle \frac{1}{t} \ln D_x(j,t) \right\rangle_{ic}$ |
| Butterfly speed ($v_b$) | $\frac{1}{N} \left\langle \sum_{j=1}^{N} \Theta \left( \frac{x_j(t)}{x_{j+1}(0)} - 1 \right) \right\rangle_{ic}$, $x = q, p$ |
TABLE I. The table contains the list of observables and their corresponding mathematical expressions, that we compute numerically for the DNLS. The first three rows are concerning one point correlators and the last three rows are concerning higher point correlators. Here $\langle . \rangle$ denotes time average whereas $\langle . \rangle_{ic}$ denotes average over initial conditions in equilibrium.
demarcates the different dynamical regimes - the ultra-low temperature, low temperature and high temperature regimes. As mentioned earlier, the existence of these three regimes has been reported recently in Ref. 18, but by means of higher order two point equilibrium spatio-temporal correlations of the conserved quantities $\epsilon$ and $\rho$. It is pertinent to mention that the grand canonical (Eq. 8) set up with Langevin thermostats thermalize the DNLS system [17]. While it is relatively easy and conventional to thermalize a Hamiltonian with separable structure [34] in numerical simulations, thermalizing a non-separable Hamiltonian such as DNLS is far from obvious [17] (see Appendix A for details). Therefore, naturally, this demands for a rigorous and careful check for thermalization in the wide range of temperatures starting from ultra-low temperature regime up to the high temperature regime. To study thermalization, we take aid of the generalized virial theorem stated below.
FIG. 2. In this figure, we present the numerical data for $T$ versus $\epsilon$ in log-log scale. Interestingly, we observe the existence of three different temperature regimes of the DNLS, clearly demarcated by the value of the exponent $\alpha$ (Eq. 11). The sub-figures (a), (b) and (c) represent ultra-low temperature, low temperature and high temperature regime characterized by $\alpha = 1$, $\alpha < 1$ and $\alpha > 1$ respectively. Parameters used are $g = 2.0$, $\mu = 2.0$ and the chain length is $N = 128$.
A. Generalized virial theorem
The generalized virial theorem [35] states how the macroscopic temperature $T$ of the system is related to the microscopic degrees of freedom $q_j$-s (or equivalently $p_j$-s). It is given by
$$\left\langle q_j \frac{\partial H_\mu(\{q_j, p_j\})}{\partial q_j} \right\rangle = k_B T,$$
(9)
where $H_\mu(\{q_j, p_j\})$ is the Hamiltonian of the system. For DNLS, the Hamiltonian $H_\mu$ is given in Eq. (7) and $\langle . \rangle$ denotes time average over equilibrium state. We set Boltzmann constant $k_B = 1$ throughout the manuscript. Through involved numerical integration of the equations of motion (Eq. 8), we compute the virial observable $\left\langle q_j \frac{\partial H_\mu}{\partial q_j} \right\rangle$ and observe that, indeed, the time average of this quantity converges very well to the temperature $T$ of the Langevin thermostats. In the upper panel of Fig. 1, we verify Eq. (9) for three different temperature regimes of the thermostats - (a) ultra-low temperature, (b) low temperature and (c) high temperature. The equilibration in the DNLS is further ensured by investigating spatial profiles of the energy density $\langle \epsilon_j \rangle$ (Table I), which is plotted in the lower panel of Fig. 1 for the respective temperature regimes. At sufficiently high temperatures, we notice some spatial fluctuations of the virial observables around the mean [Fig. 1(c) and Fig. 1(f)]. It is pertinent to mention that the extents of these spatial fluctuations are small as supported by the error analysis in Appendix B (see Fig. 18).
B. $T-\epsilon$ relation
Having computed $T$ and $\epsilon$ in the previous section, one naturally wonders about the intricate relationship between them. In simple linear systems (for e.g., Harmonic chain), these two are proportional to each other. However in nonlinear systems, this relationship is far from obvious which is what we investigate here. We demonstrate below that this relation becomes instrumental to identify the three temperature regimes mentioned earlier.
For usual separable Hamiltonian with potential energy being a homogeneous function of degree $\eta$, the generalized virial theorem in Eq. (9) results in the following $T-\epsilon$ relationship [36]
$$T = \frac{2\eta}{\eta + 2}\epsilon = r\epsilon.$$
(10)
For example, for a coupled Harmonic chain with Hamiltonian $H = \sum_{j=1}^{N} \left[ \frac{q_j^2}{2m} + \frac{q_j^2}{2m} + (q_{j+1} - q_j)^2 \right]$ ($q_j, p_j$ being usual position and momentum respectively), the potential energy is a homogeneous function of degree $\eta = 2$. Consequently, Eq. (10) implies that $r = 1$ and $T = \epsilon$ for the coupled Harmonic chain. Whereas if one considers a different interaction with $\eta = 4$ i.e., a coupled quartic chain with Hamiltonian $H = \sum_{j=1}^{N} \left[ \frac{q_j^2}{2m} + \frac{q_j^2}{2m} + (q_{j+1} - q_j)^4 \right]$, Eq. (10) directly says that we have a different $T-\epsilon$ relation of the form $T = \frac{4}{3}\epsilon$ with $r = 4/3$. It is far from obvious how Eq. (10) gets generalized for the non-separable Hamiltonian such as DNLS [Eq. (6)] which is also inhomogeneous. To investigate this, we plot $T$ versus $\epsilon$ in Fig. 2 (in the three different temperature regimes) and try to fit the corresponding data points using a power law of the form
$$T = c\epsilon^\alpha.$$
(11)
We find that the DNLS indeed has three different temperature regimes clearly demarcated from each other by the value of the exponent $\alpha$. Interestingly, from the sub-figures (a), (b) and (c) in Fig. 2, we observe that $\alpha = 1$, $\alpha < 1$ and $\alpha > 1$ in these three different regimes, which we call as ultra-low temperature regime, low temperature
regime and high temperature regime respectively, following the nomenclature used in Ref. 18. The crossover temperatures between high and low temperature regimes and that of the low and ultra-low temperature regimes, would be referred to as $T_{h-l}$ and $T_{l-ul}$ respectively. More elaborately, for $0 < T < T_{l-ul}$, the DNLS is in ultra-low temperature regime characterized by $\alpha = 1$ [Fig. 2(a)]. Clearly, at ultra-low temperatures, $\alpha = 1$ infers an almost linear $T - \epsilon$ relation similar to separable Hamiltonian systems with homogeneous potentials as discussed in Eq. (10). In contrast, the non-trivial nature of the DNLS Hamiltonian becomes apparent from the strongly nonlinear relation between $T$ and $\epsilon$ in the high temperature regime $T > T_{h-l}$ where $\alpha > 1$. More intriguingly, in the intermediate low temperature regime where $T_{l-ul} < T < T_{h-l}$, the $T - \epsilon$ relation is still nonlinear but with $\alpha < 1$. For the particular example shown in Fig. 2 with specific parameter values, the differences between the values of $\alpha$ in different temperature regimes are small. Therefore, we calculate the corresponding error bars systematically in Appendix B and show that the error bars are indeed negligibly small compared to the differences in the $\alpha$ values (Fig. 19). So, we conclude that the exponent $\alpha$ (appearing in the relation Eq. (11) between one point macroscopic observables $T$ and $\epsilon$), acts as a remarkable identifier of the different dynamical regimes of the DNLS.
Based on Eq. (11) and the corresponding observations from Fig. 2, it seems reasonable to define an empirical specific heat, $C(T)$ as
$$C(T) = \frac{\partial \epsilon}{\partial T} = \frac{1}{\alpha c^\alpha} T^{\frac{1-\alpha}{\alpha}}.$$
(12)
Consequently, $C(T)$ exhibits intricate behavior as a function of temperature and distinguishes the three dynamical regimes. More precisely, in the ultra-low temperature regime where $\alpha = 1$, Eq. (12) implies that the specific heat is constant. However, as we enter the low temperature regime characterized by $\alpha < 1$, $C(T)$ starts increasing as we increase temperature. Contrary to this, in the high temperature regime with $\alpha > 1$, the specific heat intriguingly decreases with increasing temperature. Thus, this anomalous behavior of $C(T)$ clearly separates the different temperature regimes. Notably, this kind of anomalous behavior of specific heat has been observed in different context, from experimental measurements in certain liquid crystal films [37-39] and corresponding theoretical modeling using coupled hexatic-nematic XY model [40].
Another equivalent and more transparent demarcator between different dynamical regimes is the ratio between $T$ and $\epsilon$,
$$r(T) \equiv \frac{T}{\epsilon}.$$
(13)
This is a simpler demarcator as the three regimes can be identified by looking at the plot $r(T)$ versus $T$ as shown in Fig. 3. From Fig. 3, we observe that $r(T)$ increases monotonically with increasing temperature in the high temperature regime ($T > T_{h-l}$). In sharp contrast, in the low temperature regime ($T_{l-ul} < T < T_{h-l}$), $r(T)$ decreases monotonically with increasing temperature. Clearly, as a function of $T$, $r(T)$ shows a minimum at the crossover between low temperature and high temperature regime marked by $T_{h-l}$ (which is 1.50 for the parameter values used in Fig. 3). The distinction between low temperature and ultra-low temperature regime is shown in the inset of Fig. 3. There, we observe that $r(T)$ is almost a constant with fluctuations of very small amplitudes in the ultra-low temperature regime ($0 < T < T_{l-ul}$). However, once the temperature $T_{l-ul}$ (which is 0.10 for the parameter values used in Fig. 3) is reached, we start observing a monotonic decrease in $r(T)$ that marks the onset of low-temperature regime. It is thereby obvious that $r(T)$ is a much more transparent demarcator than $\alpha$ (Fig. 2). In other words, $r(T)$ is a more effective and transparent way to find out the location of crossover temperatures as discussed below.
It is remarkable that the crossover temperature $T_{h-l}$ can be obtained exactly from the minimum of $r(T)$ vs. $T$ plot i.e.
$$T_{h-l} = \arg \min_T r(T).$$
(14)
This finding based on our numerical results is consistent with the criterion for determining the crossover temperature in Ref. 18 obtained from a very different approach. This criterion [18] is based on the frequency of specific dynamical processes leading to an additional conserva| Dynamical regime | Temperature range | $\alpha$ | $r(T)$ |
|------------------|-------------------|----------|--------|
| Ultra-low temperature | $T < T_{l-\omega l}$ | = 1 | constant |
| Low-temperature | $T_{l-\omega l} < T < T_{h-l}$ | < 1 | decreasing with increasing $T$ |
| High-temperature | $T > T_{h-l}$ | $\alpha > 1$ | increasing with increasing $T$ |
TABLE II. The table summarizes the three different dynamical regimes of the one dimensional DNLS in equilibrium with corresponding temperature ranges. In this table, we state how the properties of $\alpha$ (Eq. (11), Fig. 2) and $r(T)$ (Eq. (13), Fig. 3) clearly demarcates these three dynamical regimes.
We conclude this section with a brief summary of the main findings which is presented in Table II. In Table II, we observe that the exponent $\alpha$ in the $T - \epsilon$ relation (Eq. (11), Fig. 2) acts as a clear demarcator of the three different dynamical regimes of the DNLS in equilibrium. More precisely, we find that $\alpha = 1$, $\alpha < 1$ and $\alpha > 1$ for ultra-low, low and high temperature regimes respectively. Another remarkable demarcator of the three regimes is the ratio $r(T)$ (Eq. (13), Fig. 3). As exhibited in Table II, $r(T)$ remains constant in the ultra-low temperature regime, whereas it decreases monotonically in the low temperature regime and increases monotonically in the high temperature regime. Also, the crossover temperature $T_{h-l}$ is interestingly given by the temperature at which minimum of $r(T)$ occurs [Eq. (14)]. The prediction from this criterion has excellent agreement with the criterion proposed in Ref. 18, as will be discussed in detail in the next section.
IV. EMERGENCE AND DISAPPEARANCE OF AN ALMOST CONSERVED QUANTITY: PHASE SLIPS
In this section, we would like to probe the different dynamical regimes of DNLS through the emergence and disappearance of an additional almost conserved quantity, namely the total phase difference, as temperature is varied. To define this observable in a systematic way, let us consider the ground state ($T = 0$) of the DNLS Hamiltonian in Eq. (7), in terms of the original complex valued field $\psi_j^0$–s (where 0 denotes the ground state), given by [17]
$$\psi_j^0(t) = \sqrt{\rho_0} e^{i(\pi j + \mu t)}, \quad j = 1, 2 \ldots N.$$
(15)
Here, $\rho_0$ is the average mass density calculated in ground state and $\mu$ is the chemical potential. At small non-zero temperature, the density field as well as the phase field will fluctuate over space and time. We denote them by $\rho_j(t)$ (background plus fluctuation) and $\theta_j(t) = \pi j + \mu t + \nu_j(t)$, respectively. Consequently, the $\psi$ fields also become non-trivially dependent on space and time as
$$\psi_j(t) = \sqrt{\rho_j} e^{i(\pi j + \mu t + \nu_j)}, \quad j = 1, 2 \ldots N.$$
(16)
The variables $(\rho_j, \nu_j)$ are connected to the canonically conjugate variables $(q_j, p_j)$ introduced in Eq. (5) as
$$q_j(t) = \sqrt{2\rho_j} \cos(\pi j + \mu t + \nu_j)$$
$$p_j(t) = \sqrt{2\rho_j} \sin(\pi j + \mu t + \nu_j).$$
(17)
Consequently, in terms of the radial ($\rho_j$) and angle variables ($\nu_j$), the Hamiltonian in Eq. (7) can be expressed as
$$H_\mu = \sum_{j=1}^{N} [-2\sqrt{\rho_j \rho_{j+1}} \cos(\nu_{j+1} - \nu_j) + \frac{g}{2}\rho_j^2 - \mu \rho_j].$$
(18)
The DNLS Hamiltonian in Eq. (18), as already mentioned, has two conserved quantities: total energy $E$ and total mass $A$. This leads to local conservation laws in terms of conserved fields $e_j$ and $\rho_j$ (Table I). Interestingly, it turns out that there is an additional emergent almost conserved quantity associated to the phase difference [18]
$$\delta \nu_j(t) = \text{mod}[\nu_{j+1}(t) - \nu_j(t), 2\pi].$$
(19)
From Eq. (19), we note that the domain of $\delta \nu_j(t)$ is $[-\pi, \pi]$. As long as $\delta \nu_j(t)$ remains within $(-\pi, \pi)$, the total phase difference $\sum_j \delta \nu_j$ is conserved by the dynamics. This happens at low temperatures where one observes super-diffusive scaling of the correlation function thereby putting it in the KPZ universality class [18, 19]. As temperature is increased, phase difference $\delta \nu_j$ starts reaching the boundaries of the box $[-\pi, \pi]$ (i.e. $\delta \nu_j(t) = \pm \pi$). This is exhibited in Fig. 4 where we observe that at very low temperatures, the phase difference $\delta \nu_j(t)$ always remain very close to zero [Figs. 4(a), 4(b)], thereby near the ground state value. However, as temperature is increased, $\delta \nu_j$ often takes bigger values [Fig. 4(c)] and at even higher temperatures [Fig. 4(d)], we notice that the phase difference starts touching the boundaries $\pm \pi$ at several times. At such an event, the winding number is increased ($\delta \nu_j(t) = -\pi$) or decreased ($\delta \nu_j(t) = +\pi$) by one unit. This results in discontinuous jumps of $\delta \nu_j(t)$ as a function of time. These jumps are called phase slips [18, 41]. To illustrate the mechanism of the phase slip events, we present $\delta \nu_j(t)$ versus $t$ in Fig. 5 at $T = 5.0$ which is sufficiently high to observe a good number of phase slips even within a small time interval. In Fig. 5, we observe total five discontinuous jumps or slip events (by an amount $2\pi$). Among them, three events (red arrow) correspond to increase of winding number by +1 (i.e.
FIG. 4. The behavior of phase difference $\delta \nu_j(t)$ with time $t$ at few representative temperatures. Here $N = 8$ and $j = 4$ (i.e. the 4-th bond). At very low temperatures (a) $T=0.01$ and (b) $T=0.10$, the phase difference fluctuates very near to its ground state value $\delta \nu_j(t) = 0$. At higher temperature (c) $T=1.0$, the phase difference increases considerably and at even higher temperature (d) $T=5.0$, $\delta \nu_j(t)$ touches the boundary values $\pm \pi$ at several times causing phase slips.
$\delta \nu_j(t) = -\pi$ and $\delta \nu_j(t + \Delta t) = \pi$, $\Delta t$ being the appropriate time gap between two successive measurements). The remaining two (blue arrow) indicate decrease of winding number by $-1$ (i.e. $\delta \nu_j(t) = \pi$ and $\delta \nu_j(t + \Delta t) = -\pi$). Hence, during the short time interval in Fig. 5, the net nonzero winding number $(3 - 2 = 1)$ contributes to the breakdown of this emergent conservation law of the total phase difference through the bond $j$. Thus, phase slip events break the conservation of total phase difference. To observe how frequently these phase slip events happen in space($j$)-time($t$) as we vary temperature, the spatio-temporal heat-maps for the winding numbers are presented in Fig. 6. The red dots and blue dots in Fig. 6 correspond to unit increase (i.e. $\delta \nu_j(t) = -\pi$) and unit decrease (i.e. $\delta \nu_j(t) = \pi$) of winding numbers respectively. Fig. 6 clearly demonstrates that the total number of phase slip events are considerably small at low temperatures. As the temperature is increased, we observe noticeable increase in the number of phase slip events. Also, in the ultra-low temperature regime, we do not observe any phase slip events even for extremely long times considered here.
Since these discontinuous jumps or phase slips occur randomly through dynamically activated processes, one can try to analyze them from the viewpoint of activation energy. If $\Delta V$ denotes the activation energy required on average to generate phase slips, the probability for such an event to occur is $\sim e^{-\beta \Delta V}$. This implies that the phase difference is conserved in the low temperature regime up to a time scale $\sim e^{\beta \Delta V}$. Then the frequency of phase slip events is expected to vary with inverse temperature as $\Omega(\beta) \propto e^{-\beta \Delta V}$. We numerically verify the exponentially decreasing nature of $\Omega(\beta)$ in Fig. 7 where the total number of phase slip events on average is plotted against inverse temperature $\beta$. Further analysis of this exponential behavior is presented in Fig. 8. Interestingly, as shown in Fig. 8, the activation energy obtained from the slope of the $\Omega(\beta)$ versus $\beta$ plot in log scale, differs considerably in high temperature and low temperature regimes. We observe that the average activation energy for phase slips in low temperature regime $\Delta V_l = 6.34$ is much higher than that of the high temperature regime $\Delta V_h = 4.22$. The crossover temperature here $T_{h-l} \sim 1.50$ between two different regimes with different activation energies, is in good agreement with the crossover temperature $T_{h-l} = 1.50$ observed from Fig. 3 and defined through Eq. (14).
The numerically obtained $\Delta V_h$ and $\Delta V_l$ are results of complex dynamical processes along with averages. We would now like to get some theoretical insight into the activation energy. To do so, let us consider a phase slip event caused by the dynamics at a single site ($j$). Considering $\rho_j = \rho$ and $\delta \nu_j = \delta \nu$, the local energy at a single site is
$$h(\rho, \delta \nu) = -2\rho \cos(\delta \nu) + \frac{g}{2}\rho^2 - \mu \rho.$$
It is straightforward to find that the minimum of $h(\rho, \delta\nu)$ in Eq. (20) happens to be at $\delta\nu^* = 0$ and $\rho^* = \left(\frac{\mu+2}{g}\right)$. Considering $\rho$ to be constant, the activation energy $\Delta V_1$ required for a phase slip event, i.e. $\delta\nu$ changing from 0 to $\pm\pi$, is
$$\Delta V_1 = h(\rho, \pm\pi) - h(\rho, 0) = 4\rho.$$
(21)
On the other hand, let us consider the case where $\delta\nu = \delta\nu^* = 0$ (i.e. its ground state value). The notion of a phase slip at a given site becomes ill-defined when the density at that site goes to zero. The energy required to do so is given by
$$\Delta V_2 = h(0, 0) - h(\rho^*, 0) = \frac{g}{2}\rho^2.$$
(22)
Hence, we have estimates for $\Delta V_1$ [Eq. (21)] and $\Delta V_2$ [Eq. (22)]. These processes occur with frequencies $e^{-\beta\Delta V_1}$ and $e^{-\beta\Delta V_2}$ respectively. This in turn implies that the conservation of the phase difference in low temperature regime has lifetimes proportional to $e^{\beta\Delta V_1}$ and $e^{\beta\Delta V_2}$.
To ensure that the total phase difference remains conserved for sufficiently long times, a safe estimate of $\beta\Delta V \gtrsim 2$ has been put forward in Ref. 42 and Ref. 18.
Here $\Delta V$ represents various mechanisms involved in phase slips. For example, in our case (DNLS), $\Delta V$ symbolizes $\Delta V_1$ [Eq. (21)] and $\Delta V_2$ [Eq. (22)]. In other words, the low temperature regime with three conservation laws are expected to prevail if both the following conditions are satisfied,
$$\beta\Delta V_1 \gtrsim 2 \quad \& \quad \beta\Delta V_2 \gtrsim 2.$$
(23)
Using $\Delta V_1$ from Eq. (21) and $\Delta V_1$ from Eq. (22) (along
with \( g = 2 \), Eq. (23) becomes
\[
\frac{2\rho}{T} > 1 \quad \& \quad \frac{\rho^2}{2T} > 1.
\] (24)
Clearly, the temperature at which the DNLS starts disobeying at least one of these inequalities, marks the crossover from low temperature to high temperature regime. To investigate Eq. (24) numerically, we demonstrate the behavior of \( \frac{2\rho}{T} \) and \( \frac{\rho^2}{2T} \) as a function of temperature in Fig. 9. We observe that both of the inequalities in Eq. (24) are satisfied until one reaches \( T_{h-l} \sim 1.50 \), implying \( T < T_{h-l} \) to be the low temperature regime. At the crossover temperature, one of the conditions in Eq. (24) begins to violate indicating the onset of high temperature regime (\( T > T_{h-l} \)). We note that the value of the crossover temperature \( T_{h-l} \) estimated here is in excellent agreement to the corresponding \( T_{h-l} \) value obtained from Eq. (14) which is presented in the inset of Fig. 9.
V. OTOC, LYAPUNOV EXPONENT AND BUTTERFLY SPEED IN DIFFERENT REGIMES
In section III we have discussed the distinction between different dynamical regimes of the DNLS based on one point macroscopic thermodynamic observables \( T \), \( \epsilon \) and their relation in Eq. (11) (see Table II). Whereas in section IV, these dynamical regimes are differentiated through the emergence and disappearance of an additional almost conserved quantity (total phase difference) caused by dynamically activated phase slip events. In this section, we would like to probe these regimes with a separate approach, based on observables related to many body chaos. It is worth recollecting that DNLS exhibits chaotic nature at high temperatures. At ultra low temperatures, DNLS is known to display almost integrable features [16]. Keeping in mind, the well-known connection between non-integrability and chaos [24, 25], it would be interesting to investigate chaos in DNLS in different temperature regimes. To proceed along this direction, we investigate the classical out-of-time-ordered correlator (OTOC), the butterfly speed and the Lyapunov exponent [26–32].
The OTOC is a spatio-temporal measure of chaos and in fact, both the butterfly speed (spatial indicator of chaos) and the Lyapunov exponent (temporal indicator of chaos) can be derived directly from the OTOC [29]. We define the OTOC for the microscopic degrees of freedom \( q_j \)-s (equivalently one can use \( p_j \)-s) as
\[
D_q(j,t;T) = \left\langle \left| \frac{q_j^I(t) - q_j^{II}(t)}{q_0^I(0) - q_0^{II}(0)} \right| \right\rangle_{ic,T} = \left\langle \left| \frac{\delta q_j(t)}{\delta q_0(0)} \right| \right\rangle_{ic,T}.
\] (25)
Here \( \langle \cdot \rangle_{ic,T} \) denotes average over initial conditions (\( ic \)) in equilibrium at temperature \( T \) (see Appendix A). For notational convenience, we use \( j = -N/2+1,\ldots,0,\ldots,N/2 \) in this section. In Eq. (25), we consider two copies (\( I \) and \( II \)) of the DNLS, which initially (\( t = 0 \)) differ from each other only by an infinitesimal deviation \( \delta q_0(0) \). We measure how this initially localized (at 0-th site) devia-
FIG. 11. Figure exhibiting distinctive behavior of the butterfly speed in the different temperature regimes. The main plot shows sharply increasing $v_b(T)$ with increasing temperature in the low temperature regime. This is separated from the very slowly varying speed in the high temperature regime, where the crossover temperature is around $T_{h-l} = 1.50$. In the inset, we show the non-monotonic behavior of $v_b(T)$ between ultra-low temperature regime (the butterfly speed has an overall decreasing trend) and low temperature regime (sharply increasing speed). The occurrence of the minimum of the butterfly speed defines the crossover temperature $T_{l-ul} = 0.10$ between these two regimes. This is consistent with the $T_{l-ul}$ value obtained previously in the inset of Fig. 3 ($r(T)$ versus $T$).
FIG. 12. Figure exhibiting the monotonically increasing characteristic of the Lyapunov exponent with increasing temperature. Interestingly, $\lambda_0(T)$ increases much faster with $T$ at low temperatures, compared to its slower growth rate at high temperatures. Further analysis of this behavior is presented in Fig. 13.
tion affects the system at other points in space at later time $t$. The explicit expressions for the equations of motion for $\delta q_j$-s and the details of numerical integration can be found in Appendix A. Clearly, the OTOC $D_q(t; t; T)$ in Eq. (25) is a function of space and time and we present the corresponding heat-map in Fig. 10 at $T = 5.0$ (high temperature regime). In Fig. 10, we observe a light-cone structure with sharp boundaries where the sites inside the light-cone have exponential growth of the deviation. This light-cone like OTOC-s are typically observed in other chaotic Hamiltonian systems [26, 27, 32].
The ballistic spread of the light-cone in Fig. 10 implies the existence of a constant speed of spatial propagation of the OTOC, known as the butterfly speed. As mentioned earlier, the butterfly speed can be defined directly using the OTOC, given below
$$v_b(T) = \frac{1}{t} \left\langle \sum_{j=1}^{N} \Theta \left( \frac{\delta q_j(t)}{\delta q_0(0)} - 1 \right) \right\rangle_{ic,T}. \quad (26)$$
The step function $\Theta(.)$ in Eq. (26) measures how many sites have gained deviation greater than or equal to the initial deviation (at site 0) after some time $t$. From Fig. 10 we observe that this number grows proportional to $t$. Therefore, Eq. (26) gives us the constant speed $v_b(T)$ which depends on the temperature $T$. The behavior of the butterfly speed as we vary the temperature, is shown in Fig. 11. Interestingly, we observe that the butterfly speed behaves very differently in the three distinct dynamical regimes. As shown in the inset of Fig. 11, $v_b(T)$ has an overall decreasing trend with increasing $T$ in the ultra-low temperature regime. In sharp contrast, the butterfly speed increases rapidly as $T$ increases in the low temperature regime as observed in Fig. 11 and its inset. This non-monotonic behavior of $v_b(T)$ with $T$, defines the crossover temperature $T_{l-ul}$ between ultra-low and low temperature regimes. More precisely, $T_{l-ul}$ can be measured as the temperature at which minimum of the butterfly speed occurs, given by
$$T_{l-ul} = \arg \min_T v_b(T). \quad (27)$$
Notably, the value of $T_{l-ul}$ obtained in the inset of Fig. 11 is in very good agreement with the same observed in the inset of Fig. 3 where a different observable $r(T)$ [Eq. (13)] has been investigated. A non-monotonic characteristic of $v_b(T)$, similar to the one observed here, has been reported recently [30] in the context of classical 2D XXZ model. There, the minimum of the butterfly speed occurs at the transition temperatures for both the Ising and the Kosterlitz-Thouless transitions. The steepness of the growth of the butterfly speed as a function of temperature, falls off considerably as soon as the system enters to the high temperature regime. This is observed from the very slowly varying trend of $v_b(T)$ in the high temperature regime in Fig. 11. The crossover temperature between the slowly varying butterfly speed in high temperature regime and the rapidly increasing speed in low temperature regime, happens to be around $T_{h-l} = 1.50$. This agrees very well with the crossover temperature $T_{h-l}$
in Fig. 3 ($r(T)$ versus $T$) and Fig. 8 ($\Omega(\beta)$ versus $\beta$), obtained previously using very different approaches.
**FIG. 13.** In this figure, the numerical data for Lyapunov exponent versus temperature is fitted to a power law of the form $\lambda_0(T) = \nu T^\gamma$. Figures (a), (b) and (c) show significant variation in the value of the exponent $\gamma$ along the crossovers between different dynamical regimes. Notably, the growth rate of $\lambda_0(T)$ as a function of $T$ is largest in the low temperature regime as seen in (b). The behavior $\lambda_0(T) \sim \sqrt{T}$ in the high temperature regime [as seen in (c)], has been observed previously in different contexts [27, 28, 30, 44].
**FIG. 14.** Figure demonstrating striking differences between the space($t$)-time($\tau$) heat-maps of OTOC [Eq. (25)] at (a) $T = 0.005$ (ultra-low temperature regime) and (b) $T = 1.0$ (low temperature regime). In the ultra-low temperature regime (a), we observe intriguing oscillatory structures both in time and space. This feature vanishes in the low temperature regime (b). Also, (b) shows exponential growth of OTOC inside the light-cone. The typical OTOC behavior in the high temperature regime, exhibiting exponential growth inside the light-cone has already been presented in Fig. 10 ($T = 5.0$).
To analyze the temporal growth of the OTOC (Fig. 10) at temperature $T$, we consider the Lyapunov exponent [$\lambda_j(T)$] at the site $j$ defined as
$$\lambda_j(T) = \left\langle \lim_{t \to \infty} \frac{1}{t} \ln \left| \frac{\delta g_j(t)}{\delta g_0(0)} \right| \right\rangle_{ic,T}. \tag{28}$$
At sufficiently large time, each $\lambda_j(T)$ (where $j = -N/2 + 1, \ldots, 0, \ldots, N/2$) converges to the same constant value [29]. Therefore, without any loss of generality, one can focus on the behavior of $\lambda_0(T)$ as temperature is varied. This is presented in Fig. 12. The figure shows that $\lambda_0(T)$ is a monotonically increasing function of $T$. However, a more careful observation reveals that the Lyapunov exponent grows much faster with $T$ at lower temperatures in comparison to a slower growth at sufficiently high temperatures. To investigate this behavior in a more systematic way, we fit the numerically obtained $\lambda_0(T)$ to the power law $\nu T^\gamma$ separately in the three dynamical regimes. The corresponding results are plotted on log scales in Fig. 13. We observe that the value of the exponent $\gamma$ deviate significantly in the different dynamical regimes. As expected from the observations in Fig. 12, we find that $\gamma$ is maximum in the low temperature regime [Fig. 13(b)] indicating the maximum growth rate of the Lyapunov exponent in this regime. Interestingly, as demonstrated in Fig. 13(c), $\gamma \sim 0.5$ in the high temperature regime. We should mention that this behavior $\lambda_0(T) \sim \sqrt{T}$ has also been observed recently in some other chaotic Hamiltonian systems with very different microscopic dynamics [27, 28, 30, 44].
Having discussed how the butterfly speed and the Lyapunov exponents display significantly different behaviors in different dynamical regimes, a natural question that arises is, how the heat-maps of OTOC in these regimes differ from each other. To answer this, we present in Fig. 14 the corresponding OTOC heat-maps in ultra-low and low temperature regimes (recall that Fig. 10 represents the typical OTOC behavior in high temperature regime). Indeed, from Fig. 14(a) we observe interesting oscillatory structures in both space and time, thereby manifesting the almost integrable nature of DNLS in the ultra-low temperature regime. This is in sharp contrast to the behaviors in low temperature [Fig. 14(b)] and high temperature regimes [Fig. 10].
VI. SUMMARY
In this paper, we have shown that the one dimensional discrete nonlinear Schrödinger chain, which has an interesting non-separable Hamiltonian structure, exhibits three different dynamical regimes at finite temperatures. These three regimes, namely the ultra-low, low and high temperature regimes, have been characterized here and differentiated from one another using several distinct approaches. These include (i) analyzing one point macroscopic thermodynamic observables (temperature $T$, energy density $\epsilon$) and their relationship ($T \propto \epsilon^\alpha$), (ii) investigating the emergence and disappearance of an additional (apart from total energy and total mass) almost conserved quantity (total phase difference) by studying phase slip events, and (iii) probing the chaotic dynamics of the DNLS with the classical out-of-time-ordered correlators and derived quantities (butterfly speed, Lyapunov exponent).
The nontrivial task of thermalizing the non-separable DNLS Hamiltonian [Eq. (6)] has been achieved here by connecting the system to Langevin thermostats at both ends following the procedure [Eq. (8)] in Ref. 17. Through rigorous numerical simulations we verify that this nontrivial process indeed leads to proper thermalization in the DNLS (Fig. 1). We find numerically that the one point thermodynamic observables, namely temperature ($T$) and energy density ($\epsilon$), defined in Table I, follow the relation $T = c \epsilon^\alpha$. Remarkably, $\alpha$ acts as a prominent identifier of the three different dynamical regimes. More precisely, we notice that $\alpha = 1$ in the ultra-low temperature regime, $\alpha < 1$ in the low temperature regime and $\alpha > 1$ in the high temperature regime (Fig. 2). The demarcation of these different regimes becomes even more visibly clear from the behavior of $r(T) = T/\epsilon$ as a function of temperature (Fig. 3). To elaborate, $r(T)$ remains almost constant in the ultra-low temperature regime, decreases monotonically in the low temperature regime and increases monotonically in the high temperature regime. This overall non-monotonic behavior of $r(T)$ helps us to identify the crossover temperature $T_{l-l}$ (between high and low temperature regimes) which remarkably turns out to be the temperature at which minimum of $r(T)$ occurs [Eq. (14)]. The characterization of the three different regimes using $\alpha$ and $r(T)$ has been summarized in Table II.
The DNLS has two conserved quantities, the total energy and the total mass [Eq. (6)]. Interestingly, an additional almost conserved quantity, namely the total phase difference emerges in the low temperature regime making it distinct from the high temperature regime (where this conservation does not hold). This emergence and disappearance of the third conservation law has been analyzed here through the concept of dynamical processes leading to discontinuous jumps or phase slip events (Fig. 5). In fact, the total number of phase slip events falls off exponentially as a function of the inverse temperature (Fig. 7). Importantly, we find that the activation energy required for the phase slip events are significantly different in the low and high temperature regimes, thereby demarcating these two regimes (Fig. 8). This in turn means that the frequency of phase slip events are very low in the low temperature regime, resulting in the conservation of the total phase difference for extremely long times. On the other hand, the phase slips occur very frequently in the high temperature regime (Fig. 6). We also find the in the ultra-low temperature regime, phase slips do not occur even at very long times that we have considered here. The theoretical estimates of the activation energies involved in the phase slip events predicts the crossover temperature $T_{l-l}$ which is found to be in excellent agreement (Fig. 9) to that obtained from the previous approach (Eq. (14), Fig. 3).
To probe the chaotic nature of the DNLS at high temperature and its most integrable behavior in the ultra-low temperature regime, we investigate the classical OTOC [Eq. (25)], butterfly speed [Eq. (26)] and Lyapunov exponent [Eq. (28)]. In particular, the butterfly speed exhibits an interesting non-monotonic behavior with varying temperature (Fig. 11). It has an overall decreasing behavior in the ultra-low temperature regime contrary to the rapidly increasing characteristic in the low temperature regime, followed by a much slower growth rate in the high temperature regime. Remarkably, the crossover temperature $T_{l-ul}$ can be measured as the temperature at which the minimum of the butterfly speed occurs (Eq. (27), Fig. 11). On the other hand, the Lyapunov exponent increases monotonically as a function of temperature (Fig. 12). However, it shows interesting crossovers in the values of the exponent $\gamma$ when fitted to a power law $\lambda_0(T) = \nu T^\gamma$ (Fig. 13). Particularly, the maximum growth rate of the Lyapunov exponent with temperature happens to be in the low temperature regime. This is followed by a behavior $\lambda_0(T) \sim \sqrt{T}$ in the high temperature regime that has been observed previously in other contexts [27, 28, 30, 4]. The space-time heat-maps of the OTOC presents visibly prominent differences between the ultra-low temperature regime (Fig. 14(a), oscillatory structures in space-time inside the light-cone), low [Fig. 14(b)] and high temperature regimes (Fig. 10).
Having established these various methods, it would be interesting to adapt them to explore other interacting many body systems including non-separable Hamiltonian systems (e.g. various generalizations of DNLS [45–48], spin chains [26, 41, 49–51] etc.). In future, we plan to understand the different dynamical regimes and the onset of chaos in such systems through the lens of a mode coupling theory [32].
ACKNOWLEDGEMENTS
We thank Avijit Das for useful discussions. MK would like to acknowledge support from the project 6004-1 of the Indo-French Centre for the Promotion of Advanced Research (IFCPAR), Ramanujan Fellowship
(SB/S2/RJN-114/2016), SERB Early Career Research Award (ECR/2018/002085) and SERB Matrics Grant (MTR/2019/001101) from the Science and Engineering Research Board (SERB), Department of Science and Technology, Government of India. AK would like to acknowledge the SERB Early Career Research Award ECR/2017/000634 from the Science and Engineering Research Board, Department of Science and Technology, Government of India. The numerical calculations were done on the clusters *Mario* and *Tetris* at the ICTS-TIFR. We acknowledge support of the Department of Atomic Energy, Government of India, under Project No.RTI4001.
**Appendix A: Details of numerical procedure**
Here we provide the numerical details for (i) initial conditions, (ii) equations of motion, (iii) methods of numerical integration, and (iv) averaging procedures used in this paper to compute the observables of interest. To start with, we recall that the effect of the Langevin thermostats (used for thermalization) has to be invoked carefully because of the non-separable nature of the DNLS Hamiltonian [Eq. 6]. Unlike the separable Hamiltonians where the interaction with Langevin thermostats modifies only the momentum equations, equations for both $q$ and $p$ get modified for DNLS [16]. In other words, $q$ and $p$ for DNLS are on equal footing. This makes the procedure for achieving equilibration using Langevin thermostats, significantly different from the traditional approach. The equations of motions take the following form,
\[
\dot{q}_1 = \frac{\partial H}{\partial p_1} - \gamma \frac{\partial H_\mu}{\partial q_1} + \sqrt{2\gamma T} \xi'_1(t)
\]
\[
= \tilde{f}(q_1, p_1, q_2, p_2) + \sqrt{2\gamma T} \xi'_1(t)
\]
\[
\dot{p}_1 = - \frac{\partial H}{\partial q_1} - \gamma \frac{\partial H_\mu}{\partial p_1} + \sqrt{2\gamma T} \xi''_1(t)
\]
\[
= \tilde{f}(p_1, q_1, p_2, q_2) + \sqrt{2\gamma T} \xi''_1(t)
\]
\[
\dot{q}_j = \frac{\partial H}{\partial p_j} = f(p_{j+1}, p_{j-1}, p_j, q_j), \quad j = 2 \ldots (N - 1)
\]
\[
\dot{p}_j = - \frac{\partial H}{\partial q_j} = -f(q_{j+1}, q_{j-1}, q_j, p_j), \quad j = 2 \ldots (N - 1)
\]
\[
\dot{q}_N = \frac{\partial H}{\partial p_N} - \gamma \frac{\partial H_\mu}{\partial q_N} + \sqrt{2\gamma T} \xi'_N(t)
\]
\[
= \tilde{f}(q_N, p_N, q_{N-1}, p_{N-1}) + \sqrt{2\gamma T} \xi'_N(t)
\]
\[
\dot{p}_N = - \frac{\partial H}{\partial q_N} - \gamma \frac{\partial H_\mu}{\partial p_N} + \sqrt{2\gamma T} \xi''_N(t)
\]
\[
= \tilde{f}(p_N, q_N, p_{N-1}, q_{N-1}) + \sqrt{2\gamma T} \xi''_N(t),
\] (A1)
where $\gamma$ is the coupling strength between the system and the bath. Since the Langevin thermostats are connected to both ends (i.e. 1\textsuperscript{st} and N\textsuperscript{th} sites), the equations of motions for $q_1, p_1; q_N, p_N$ are modified accordingly in Eq. (A1). $\xi_1, \xi'_1, \xi''_1, \xi'_N$ are Gaussian white noises each of which is delta correlated with unit variance i.e. $\langle \xi(t)\xi(s) \rangle = \delta(t-s)$. The explicit expressions for $\tilde{f}(.), \tilde{f}(.), f(.)$ are listed below,
\[
\tilde{f}(x_1, x_2, x_3, x_4) = x_4 + \frac{g}{2} x_2 \left( x_2^2 + x_1^2 \right) - \gamma \left[ x_3 + \frac{g}{2} x_1 \left( x_2^2 + x_1^2 \right) - \mu x_1 \right]
\]
\[
\tilde{f}(x_1, x_2, x_3, x_4) = -x_4 - \frac{g}{2} x_2 \left( x_2^2 + x_1^2 \right) - \gamma \left[ x_3 + \frac{g}{2} x_1 \left( x_2^2 + x_1^2 \right) - \mu x_1 \right]
\]
\[
f(x_1, x_2, x_3, x_4) = x_1 + x_2 + \frac{g}{2} x_3 \left( x_3^2 + x_4^2 \right).
\] (A2)
We have used random initial conditions such that $(q_j, p_j) \in [-1, 1]$ $\forall j$ at $t = 0$. For numerical integration of the stochastic differential equations in Eq. (A1), we have utilized an improved version of the stochastic integration method (described in Ref. 52) based on Taylor series expansion that keeps terms of order $h^2$ for the deterministic terms and order $h^\frac{3}{2}$ for the stochastic terms. The time step size $h$, used for numerical integration, has been fixed to 0.001.
For computing the OTOC [Eq. 25], butterfly speed [Eq. 26] and Lyapunov exponent [Eq. 28] with average over initial conditions, we first let the system to thermalize at desired temperature $T$ using the procedure in Eq. (A1). Once the system reaches equilibrium, we detach the Langevin thermostats. Thereafter, we use fourth order Runge-Kutta method for numerically integrating the following equations of motion of the equilibrated DNLS system,
\[
\dot{q}_j = f(p_{j+1}, p_{j-1}, p_j, q_j)
\]
\[
\dot{p}_j = -f(q_{j+1}, q_{j-1}, q_j, p_j)
\]
\[
\delta q_j = g(\delta p_{j+1}, \delta p_{j-1}, \delta q_j, \delta q_j, p_j, q_j)
\]
\[
\delta p_j = -g(\delta q_{j+1}, \delta q_{j-1}, \delta q_j, \delta p_j, q_j, p_j),
\] (A3)
where $j = 1, 2, \ldots, N$ and the explicit expressions for $f(.)$ and $g(.)$ are respectively,
\[
f(x_1, x_2, x_3, x_4) = x_1 + x_2 + \frac{g}{2} x_3 \left( x_3^2 + x_4^2 \right)
\]
\[
g(x_1, x_2, x_3, x_4, x_5, x_6) = x_1 + x_2 + \frac{g}{2} x_3 (x_5^2 + x_6^2) + g x_4 x_5 x_6.
\] (A4)
We choose $\delta q_j(0) = s \delta_{j,k}$ and $\delta p_j(0) = 0$, with $s = 10^{-6}$ used in all the simulations. The average over the initial conditions has been done over $10^5$ equilibrated initial conditions.
**Appendix B: Computation of error bars for $\alpha$**
In this section, we would like to discuss in detail the error bars corresponding to the values of $\alpha$ [Eq. (11)] in different dynamical regimes (Fig. 2). As shown in Fig. 2, $\alpha = 0.999(7)$ in ultra-low temperature regime, $\alpha = 0.957(7)$ in low temperature regime and $\alpha = 1.139(6)$ in high temperature regime ($\mu = 2.0, g = 2.0$). Since the differences between the values of $\alpha$ in different regimes are small, we would like to present here a careful and
FIG. 15. Spatial profiles of the standard deviation $\sigma_j$ [Eq. (B3)] for the time averaged data set at (a) $T = 0.005$ (ultra-low temperature regime) and (b) $T = 10.0$ (high temperature regime).
FIG. 16. The standard deviation $\sigma$ [Eq. (B4)] obtained after doing both temporal and spatial average over the sample, plotted as a function of temperature.
detailed analysis of the error bars associated with the corresponding $\alpha$ values. Below, we discuss this step by step.
1. The error bar $d\alpha$ for the exponent $\alpha$ can be obtained by differentiating the relation $T = c e^\epsilon$ [Eq. (11)] as
$$d\alpha = \left| \frac{\alpha}{\epsilon \ln(\epsilon)} \right|,$$
where the temperature $T$ is kept fixed and $c$ is a constant. Note, in Eq. (B1), we focus only on the absolute value of $d\alpha$ since ultimately we would consider $\alpha \pm d\alpha$. Clearly, to compute $d\alpha$, we have to compute the standard deviation of the energy density $d\epsilon$ from our simulations.
2. We start with a random initial condition for the microscopic variables $q_j$-s and $p_j$-s of the DNLS and let the system evolve. After the transient period is over, we start computing the observables of interest. In particular, here we consider the local energy density $\epsilon_j$ (Table I) where $j = 1, 2 \ldots N$. Adapting the ideas from Ref. 53, we do not compute the observable at each time step. Rather, we do that after every 100 time steps to minimize the correlation between the data points of the sample.
3. We collect a sample of total $n$ (here $n = 1.5 \times 10^7$) data points. The $m$-th data point in the sample would be denoted as $\epsilon_{j,m}$ where $m = 1, 2, \ldots n$. Then we calculate the sample average $\bar{\epsilon}_j$ of energy density and the corresponding sample standard deviation $\bar{s}_j$ as
$$\bar{\epsilon}_j = \frac{1}{n} \sum_{m=1}^{n} \epsilon_{j,m}$$
$$\bar{s}_j = \sqrt{\frac{1}{n} \sum_{m=1}^{n} (\epsilon_{j,m})^2 - \langle \epsilon_{j,m} \rangle^2}.$$
Note that $\langle . \rangle$ symbol denotes average over timesteps.
FIG. 17. Figure showing the relative error $\zeta = \sigma / \epsilon$ presented as a function of temperature in log-log scale. We observe $\zeta \ll 1$ in all the temperature regimes.
FIG. 18. Here we present $d\epsilon$ [Eq. (B10)] both as (a) function of $T$ and (b) function of $\epsilon$. Particularly, in (b), both main figure and inset show that the value of $d\epsilon \ll \epsilon$ for all $\epsilon$.
4. If we could repeat this numerical experiment for a large number of samples, we would get a sample average $\bar{\epsilon}_j$ for each of them. This way of doing enough repeats essentially implies averaging over the exact distribution of the observable. As explained in Ref. 53, it turns out that the sample mean $\bar{\epsilon}_j$ is the best estimate for the actual mean which is obtained in principle by using the exact probability distribution. However, this is expected to be accompanied with an error bar (standard deviation) $\bar{\sigma}_j$. The actual standard deviation $\sigma_j$ is connected to the sample standard deviation $\bar{s}_j$ as [53]
$$\bar{\sigma}_j = \frac{\bar{s}_j}{\sqrt{n-1}}.$$
(B3)
So, we numerically compute $\bar{\sigma}_j$ for several temperatures in the range of interest i.e. $0.005 \leq T \leq 10$. To get some estimates of the corresponding values, we present $\bar{\sigma}_j$ in Fig. 15 at the two extreme temperatures $T = 0.005$ (ultra-low temperature regime) and $T = 10.0$ (high temperature regime).
5. We have previously observed [Fig. 1(f), Fig. 15(b)] spatial fluctuations in the spatial profiles of the average and standard deviation of energy at several temperatures. Then, it would be natural to perform further spatial averages over $N$ sites as follows
$$\epsilon = \frac{1}{N} \sum_{j=1}^{N} \bar{\epsilon}_j$$
$$\sigma = \frac{1}{N} \sum_{j=1}^{N} \bar{\sigma}_j.$$
(B4)
Both $\epsilon$ and $\sigma$ are now independent of space (global) and they are functions of temperature. To get an estimate of $\sigma$ as a function of temperature, we present the corresponding plot in Fig. 16.
6. In this connection, we define $\zeta = \sigma/\epsilon$ to measure the relative error with respect to the average. In Fig. 17, we observe that for any temperature $\zeta < 10^{-2}$.
7. It is important to note that, after the time average with respect to the sample of $n$ data points [Eq. (B2), Eq. (B3)], the data set actually takes the form
$$\{y_1, \ldots, y_N\} = \{\epsilon_1 \pm \bar{\sigma}_1, \epsilon_2 \pm \bar{\sigma}_2 \ldots \epsilon_N \pm \bar{\sigma}_N\}.$$
(B5)
To be precise, we have data points along with some error bars in Eq. (B5). The average $\langle y \rangle$ is given by
$$\langle y \rangle = \frac{1}{N} \sum_{j=1}^{N} = \frac{1}{N} \sum_{j=1}^{N} (\epsilon_j \pm \sigma_j) = \epsilon \pm \sigma,$$
(B6)
where we have used Eq. (B4). Consequently, using $\zeta = \sigma/\epsilon$, we have the following bound,
$$\epsilon(1 - \zeta) \leq \langle y \rangle \leq \epsilon(1 + \zeta).$$
(B7)
Clearly, lesser the value of $\zeta$, better the convergence of $\epsilon$ to $\langle y \rangle$. This is indeed the case here since $\zeta < 10^{-2} \ll 1$ as shown in Fig. 17.
8. Now, we look at the standard deviation $\bar{s}_y$ of the sample data set $y_j$-s in Eq. (B5). One can show that
$$\bar{s}_y^2 = \bar{s}_\epsilon^2 + \bar{s}_\sigma^2 \pm \frac{2}{N} \left[ \sum_{j=1}^{N} \bar{\epsilon}_j \bar{\sigma}_j - \frac{1}{N} \sum_{j,k} \bar{\epsilon}_j \bar{\sigma}_k \right].$$
(B8)
9. As already explained in Eq. (B3), the actual standard deviation $\sigma_y$ here is connected to the sample standard deviation $\bar{s}_y$ as
$$\bar{\sigma}_y = \frac{\bar{s}_y}{\sqrt{N-1}}.$$
(B9)
Clearly, this $\bar{\sigma}_y$ is our required standard deviation $d\epsilon$ i.e.
$$d\epsilon = \bar{\sigma}_y.$$
(B10)
We present the estimates of $d\epsilon$ in Fig. 18 and observe that $d\epsilon$ is sufficiently smaller than $\epsilon$ (for all temperatures).
10. Finally, we replace $d\epsilon$ from Eq. (B10) in Eq. (B1) to get the required error bar $d\alpha$ in all the temperature regimes.
Having presented the detailed procedure above (points 1 to 10), we now plot the $\alpha$ values with the corresponding error bars do in different temperature regimes (Fig. 19). The figure shows that indeed the error bars are sufficiently small and therefore the exponent $\alpha$ undoubtedly can serve as a prominent demarcator of the three different dynamical regimes.
---
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NOW, THEREFORE, UNECE AND ICSD HAVE AGREED TO COOPERATE UNDER THIS MEMORANDUM OF UNDERSTANDING AS FOLLOWS:
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**Article 2**
**Duration**
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**Purpose**
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**Areas of Cooperation**
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**Authorized signatures**
1. Each Party to this Agreement hereby warrants and represents that the person signing below is duly authorized under applicable law and regulation to execute this Agreement on behalf of its respective Party and thereby to bind such Party to the terms hereof.
IN WITNESS WHEREOF, the duly authorized representatives of the Parties affix their signatures below.
**For United Nations Economic Commission for Europe**
Olga Algayerova
Executive Secretary
UNECE
Date: 18.10.2019
**For the Interstate Commission for Sustainable Development of Central Asia**
Bakhrom Kuchkarov
Chairman
State Committee for Ecology and Environmental Protection
Republic of Uzbekistan
Date: |
Measuring Planck’s Constant With Compton Scattering
David Humpherys\textsuperscript{1}
\textsuperscript{1} Adobe, Lehi, USA
Correspondence: David Humpherys, Adobe, Lehi, UT, USA. E-mail: firstname.lastname@example.org
Received: January 3, 2023 Accepted: February 10, 2023 Online Published: March 26, 2023
doi:10.5539/apr.v15n1p24 URL: https://doi.org/10.5539/apr.v15n1p24
Abstract
Measured values of the electron mass and Compton wavelength yield a value of Planck’s constant with a relative standard uncertainty of $3 \times 10^{-10}$. This is only slightly larger than the $1.3 \times 10^{-10}$ relative standard uncertainty in measurements performed using the Kibble balance. Compton scattering presents an alternative pathway for improving the value of Planck’s constant.
Natural units of length, mass, and time offer viable solutions for improving the values of physical constants. While extensive values of the Planck units lie beyond the reach of present-day instrumentation, certain product and quotient pairs of Planck units such as the speed of light can be measured with relatively high precision. Better measurements of certain unit pairs will improve the value of the gravitational constant.
Keywords: Compton scattering, Compton wavelength, electron mass, Kibble balance, metrology, natural units, Planck constant
1. Introduction
The System of International Units sets an exact value for Planck’s constant based on measurements undertaken by the National Institute of Standards and Technology between 2015 and 2017 using the Kibble balance (Haddad et al., 2017). These measurements reduced uncertainty by more than twofold over previous measurements, achieving a relative standard uncertainty of $1.3 \times 10^{-10}$.
Although the Kibble balance is the preferred method for measuring Planck’s constant, it is not the only experimental means for obtaining a high precision measurement. Planck’s constant can also be determined from measurements of the electron’s Compton wavelength and rest mass, each with a relative standard uncertainty of $3.0 \times 10^{-10}$ (NIS, 2018). The relationship between these measurements and the reduced Planck constant is
$$\hbar = \lambda_C m_0 c = 1.054 \, 571 \, 8176... \times 10^{-34} \, kgm^2/s$$ \hspace{1cm} (1)
2. Derivation of Results
Equation 1 is obtained by representing Planck’s constant with natural units in the constant’s unit dimensions—an implicit assumption of Planck’s derivation (Humpherys, 2022)
$$\hbar = \frac{l_p^2 m_P}{t_P} = l_p m_P c.$$ \hspace{1cm} (2)
Furthermore, it has been shown that an electron’s Compton wavelength and rest mass are inversely proportional (Haug, 2022; Humpherys, 2021; Keppner, 2018), making the product of wavelength and mass invariant and equal to the product of Planck length and Planck mass
$$\lambda_C m_0 = l_p m_P.$$ \hspace{1cm} (3)
Substituting 3 into 2 yields Equation 1.
Table 1 summarizes the CODATA values of the Compton wavelength and rest mass which produce Planck’s constant according to equation 1. Measurements of the muon and tau Compton wavelengths and rest masses also produce the constant, but with less certainty: $2.2 \times 10^{-8}$ and $6.8 \times 10^{-5}$ relative standard uncertainties respectively (NIS, 2018).
Table 1. Lepton properties which determine the value of Planck’s constant
| Particle | Compton wavelength \( \lambda_C \) | Rest mass \( m_0 \) | Reduced Planck constant \( \lambda_C m_0 c \) |
|----------|-----------------------------------|---------------------|-----------------------------------------------|
| Electron | \( 3.861\,592\,6796 \times 10^{-13} \) | \( 9.109\,383\,7015 \times 10^{-31} \) | \( 1.054\,571\,8176... \times 10^{-34} \) |
| Muon | \( 1.867\,594\,306 \times 10^{-15} \) | \( 1.883\,531\,627 \times 10^{-28} \) | \( 1.054\,571\,817... \times 10^{-34} \) |
| Tau | \( 1.110\,538 \times 10^{-16} \) | \( 3.167\,540 \times 10^{-27} \) | \( 1.054\,57... \times 10^{-34} \) |
3. Planck Scale Metrology
It may be reasonably argued that extensive quantities of Planck length, mass, and time lie beyond the reach of experimental measurements (Adler, 2010). However, certain product and quotient relationships between pairs of Planck units are demonstrably within the reach of modern instrumentation, such as the ratio of Planck length to Planck time. The speed of light has been measured with a relative standard uncertainty of \( 1.6 \times 10^{-10} \) \( m/s \) (Jennings et al., 1987), which is an important consideration in the decision to define \( c \) in the System of International Units
\[
\frac{l_P}{t_P} = c = 299,\,792,\,458 \text{ } m/s.
\]
(4)
An accurate measurement of the speed of light is possible because the intensive ratio between distance and time can be measured on scales that are much larger than the Planck scale.
The product of Planck length and Planck mass also has a defined value as the ratio of two defined constants: Planck’s constant and the speed of light
\[
l_P m_P = \frac{\hbar}{c} = \frac{l_P m_P c^2}{\hbar} = 3.517\,672\,9417... \times 10^{-43} \text{ } kgm.
\]
(5)
The inversely proportional relationship between wavelength and mass shown in Equation 3 is responsible for the invariance of \( l_P m_P \) and Planck’s constant.
The two universal constants give a third defined value in the product of Planck mass and Planck time
\[
m_P t_P = \frac{\hbar}{c^2} = \frac{m_P l_P^2}{\hbar} = 1.173\,369\,3920... \times 10^{-51} \text{ } kgs.
\]
(6)
Table 2 summarizes the three defined pairs of Planck units and three pairs of units with uncertainties that depend on the precision of the gravitational constant.
Table 2. Of the six product and quotient relationships between the Planck units, three have exact values based on the exact values of Planck’s constant and the speed of light. The other three relationships have uncertainties comparable to the uncertainty in the gravitational constant.
| Planck Unit Pair | Formula | Value | Rel. std. uncertainty |
|------------------|---------|-------|-----------------------|
| \( \frac{l_P}{t_P} \) | \( c \) | \( 299,\,792,\,458 \text{ } m/s \) | defined |
| \( l_P m_P \) | \( \frac{\hbar}{c} \) | \( 3.517\,672\,9417 \times 10^{-43} \text{ } kgm \) | defined |
| \( m_P t_P \) | \( \frac{\hbar}{c^2} \) | \( 1.173\,369\,3920 \times 10^{-51} \text{ } kgs \) | defined |
| \[ \frac{l_p}{m_p} \] | \[ \frac{G}{c^2} \] | 7.426 160 × 10\(^{-28}\) m/kg | \(2.2 \times 10^{-5}\) |
|------------------------|-----------------|---------------------------------|------------------|
| \[ \frac{m_p}{l_p} \] | \[ \frac{c^3}{G} \] | 4.036 978 × 10\(^{35}\) kg/s | \(2.2 \times 10^{-5}\) |
| \[ l_p t_p \] | \[ \frac{\hbar G}{c^2} \] | 8.713 629 × 10\(^{-79}\) ms | \(2.2 \times 10^{-5}\) |
The significance of these three defined values is much more than academic; the Planck units offer an overlooked pathway for obtaining more accurate values of the gravitational constant and other constants that depend on \(G\). Like Planck’s constant, the gravitational constant can be represented in natural units of length, mass, and time
\[ G = \frac{l_p}{m_p} c^2. \tag{7} \]
The formula indicates that the uncertainty in \(G\) lies in the ratio of Planck length to Planck mass, given an exact value of \(c\). Consequently, the gravitational constant has a relative standard uncertainty of \(2.2 \times 10^{-5}\) which is comparable to the \(1.1 \times 10^{-5}\) relative standard uncertainty in the CODATA values of Planck length and Planck mass.
Improving the value of \(G\) requires a more accurate measurement of at least one of the three undefined values listed in Table 2. This is because the three defined values only provide enough information to constrain the proportions among the Planck units and do not reveal the extensive values themselves.
To see why this is the case, consider the three pairs of Planck units with defined values in Table 2. Note that the set contains either a product relationship or a quotient relationship between a given pair of units, but not both. For example, the ratio \(l_p / t_p\) is defined but \(l_p t_p\) has a large uncertainty by comparison.
If we had precision measurements for both the product and quotient relationships between a pair of units, we could determine a value for the two units with the same level of precision. This is easy to observe in the following manner. Let \(a\) and \(b\) represent high-precision values of the product and quotient relationships between Planck length and Planck time
\[ \frac{l_p}{t_p} = a \tag{8} \]
and
\[ l_p t_p = b. \tag{9} \]
From this information we can solve for \(l_p\) and \(t_p\). Restating Eq. 8
\[ l_p = t_p a \tag{10} \]
and plugging into 9 yields the solution
\[ t_p^2 = \frac{b}{a}. \tag{11} \]
Our misfortune lies in having defined values for three Planck unit pairs without a single set of product and quotient relationships.
The result is that we have greater precision in the proportions among Planck units than in the unit values themselves. This is apparent in the CODATA values of Planck length and Planck time which give a ratio of 299,792,423 for the speed of light. Although we know this ratio is inaccurate, we can only improve it with better measurements.
Figure 1 illustrates the degree to which the CODATA values of Planck length, mass, and time are proportionally inaccurate. In the figure, each node of the triangle represents the current value of a Planck unit and the equilateral triangle formed by these points represents a proportionally accurate relationship between them. Three triangles overlaying the equilateral triangle indicate the degree to which two of the units are out of proportion given the value of a first unit. For example, the blue triangle with a node on the Planck length indicates that, given the current value of Planck length, the value of Planck mass is too small and the value of Planck time is too large.
Figure 1. The speed of light and Planck’s constant constrain the proportions of Planck length, mass, and time. The equilateral triangle represents a proportionally accurate relationship among the units.
Table 3 gives the formulas for calculating proportionally accurate values of the second and third Planck units when given the value of a first unit.
Table 3. Formulas for calculating the values of any two Planck units when given the value of a first unit. Defined values of Planck’s constant and the speed of light provide the required constraints.
| Given unit value | $l_P$ | $m_P$ | $t_P$ |
|------------------|-------|-------|-------|
| Planck length | - | $\frac{\hbar}{l_P c}$ | $\frac{l_P}{c}$ |
| Planck mass | $\frac{\hbar}{m_P c}$ | - | $\frac{l_P}{c}$ |
| Planck time | $t_P c$ | $\frac{\hbar}{l_P c}$ | - |
3.1 New Measurement Approaches
The natural units present an opportunity for devising new measurement solutions to improve the accuracy of physical constants while shedding new light on the structure of natural phenomena. Measurements of the universal constants are also measurements of the relationships between natural units, and an improvement in one elevates the other.
One approach to improving the accuracy of the gravitational constant is to continue refining the instruments and methods for measuring $l_P / m_P$. However, such measurements depend on accurate measurements of the mass and radius of two bodies.
and it remains challenging to obtain more precise measurements of the gravitational field between bodies of measurable mass.
An alternate pathway to improve the value of $G$ is to devise new measurement techniques aimed at determining more precise values of $m_P/l_P$ or $l_P t_P$. A more precise measurement of either quantity yields a commensurate increase in the precision of $G$. This is because a better measurement of any undefined pair in Table 2 improves the values of the Planck units using the formulas in Table 4. In particular, we need better values of $l_P$ and $m_P$ given the exact value of $c^2$. An improvement in these two values will improve the value of $G$ according to Equation 7.
Table 4. Formulas for calculating values of the three Planck units with the same precision as a measurement of the Planck unit pairs in the first column. Better values of the Planck units improve the values of universal constants.
| Planck unit pair | $l_P$ | $m_P$ | $t_P$ |
|------------------|-------|-------|-------|
| $\frac{l_P}{m_P}$ | $\sqrt{\frac{l_P \cdot \hbar}{m_P \cdot c}}$ | $\sqrt{\frac{m_P \cdot \hbar}{l_P \cdot c}}$ | $\sqrt{\frac{l_P \cdot \hbar}{m_P \cdot c^3}}$ |
| $\frac{m_P}{l_P}$ | $\sqrt{\frac{l_P}{m_P \cdot \hbar}}$ | $\sqrt{\frac{m_P \cdot \hbar}{l_P \cdot c^2}}$ | $\sqrt{\frac{l_P \cdot \hbar}{m_P \cdot c^2}}$ |
| $l_P t_P$ | $\sqrt{l_P t_P c}$ | $\sqrt{\frac{\hbar^2}{l_P t_P c^3}}$ | $\sqrt{\frac{l_P t_P}{c}}$ |
The ratio $m_P/l_P$ is found in the unit dimensions of force and opens up the possibility of applying more precise measurements of the electromagnetic interaction to these two units. This is perhaps the most promising way to improve the value of $G$. A greater challenge, however, is measuring $l_P t_P$ which does not appear in the unit dimensions of common natural phenomena.
4. Conclusion
The present study is an examination of the structural relationship between universal constants and natural units, while also demonstrating the application of theory by calculating Planck’s constant from the electron mass and Compton wavelength. New research may derive further insights by restating universal constants in natural units and examining the formulas in each unit dimension. This approach yields more granular information than setting the constants equal to 1. Such research might also produce a better understanding of physical constants and what they represent.
A better understanding of the natural units may also produce new measurement techniques for improving the values of Planck’s constant, the gravitational constant, and other constants which embody natural units. High precision measurements obtained through Compton scattering offer a viable alternative to the Kibble balance for determining Planck’s constant because the product of electron mass and Compton wavelength is conserved, and because the ratio of length to time in the speed of light is constant.
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Haug, E. G. (2022). Extraction of the Planck Length From Cosmological Redshift Without Knowledge of G or h. *International Journal of Quantum Foundations: Quantum Speculations, 4*(2). Retrieved from https://ijqf.org/archives/6599
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Humpherys, D. (2022). The Implicit Structure of Planck’s Constant. *European Journal of Applied Physics, 4*(6), 22-25. https://doi.org/10.24018/ejphysics.2022.4.6.227
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Redefinition of the Meter and the Speed of Visible Light. *Journal of Research of the National Bureau of Standards*, 92(1), 11.
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The catholicity of Methodism. Some challenges to and from Methodism.
Methodism believes profoundly in the catholicity of the Church. This belief has been constantly reiterated throughout its history, from Wesley’s original sermon ‘On the Catholic Spirit’, through the declaration in the ‘Liverpool Minutes’ of 1820, through the teaching of William James Shrewsbury, Hugh Price Hughes and John Scott Lidgett, down to the affirmation in *Called To Love and Praise* that the Church is catholic because ‘there is one Universal God, who has declared His love for all creation in Jesus Christ’.
British Methodism asserted its claim to catholicity in the Deed of Union. ‘Methodism claims and cherishes its place within the one Holy Catholic Church which is the Body of Christ’. Since then, the Roman Catholic ecumenist, Cardinal Willebrands has developed the notion of distinct typoi or styles of Christian life, each with its own characteristic style of liturgy, spirituality, theology and discipline. Methodism clearly is such a typos.
What is not always so clearly realised, either within Methodism or within other Christian communions is that such a claim imposes the strictest possible ecumenical obligations. Churches cannot claim to be ‘catholic’, unless, as the late Jean-Marie Tillard put it in his ‘L’Eglise Locale’, they are porous to each others’ concerns. They must be responsible and mutually accountable to each other, a point that, in nay case, lies at the heart of our connexional ecclesiology. They must be ever ready both to give and to receive from others in search of deeper koinonia and what George Tavard calls the ‘progressive imaging of the Kingdom’. They must display the characteristic that William James Shrewsbury denominated ‘disinterestedness’, that is to say a concern that gives priority to the total mission of the Church and its integrity over any denominational ‘amour propre’. They must be able to acknowledge the limitations imposed upon their grasp upon catholicity by the reactive nature of their development in situations of past conflict and rivalry.
With all of this in mind, I propose for discussion challenges both to and from Methodism within the contemporary Ecumenical Movement. I begin with the former as I believe it is incumbent upon every tradition, without exception, to begin by asking what it is that they should be prepared, humbly and penitently, to learn and receive from others.
I begin then, by looking at those challenges that come to us from what are sometimes termed the ‘catholic’ churches, using that term more narrowly, and understanding by it in this particular context those churches possessed of the historic episcopal succession and a strong sacramental emphasis. From these churches come three strong challenges, firstly, concerning the centrality of the eucharist, secondly concerning the episcopal succession and, finally, from the largest of them, the challenge to a discussion and reception of the Petrine ministry. In all three cases, we are challenged not just to receive things that we may currently lack, but also to recognise that, in each case, there is that in the fullest understanding of our own Tradition that points us towards them as a fulfilment of everything that Methodism stands for in the most positive sense.
In the case of the centrality of the eucharist, denominated by Wesley, ‘the grand channel of God’s grace’, there was a very wide variation in the nature of the Methodist responses to the ‘Lima’ document. The US response did indeed display much of the sense of ecumenical repentance and humility that I would argue is central to our Tradition. In asserted that the American Church had departed both from the tradition of the Universal Church and the authentically Wesleyan tradition in
its downgrading of the place of the eucharist in its life in the course of its nineteenth century development. By contrast, some of the from our European sister churches were much more negative\textsuperscript{7}. The quality of the responses is, however, not the beginning and end of the question. It then has to be asked, what has been done since to enable the reception of the Lima insights, what has been done to restore the centrality of the eucharist in our life? The answer, at least as far as British Methodism is concerned, is not enough. Recently, there has been a British Methodist Faith and Order working party on the eucharist in which I have participated. A good feature of its work has been the painstaking attempt to give an account of the very wide variety of eucharistic practice and emphases within our churches. What has disappointed me, and I do not say this lightly, is the reluctance of my colleagues to engage in more \textit{critical} evaluation of our practice in the light of the witness of the rest of the Church. We also need to address issues of presbyteral availability for eucharistic presidency, a problem that, ironically, the Roman Catholic Church is also failing to address over huge areas of Africa and Latin America. Can either church be said to be treating the eucharist as central if it fails to provide sufficient eucharistic presidents for every congregation?
There can be no doubt that Wesley wished the eucharist to be seen and used as the central means of grace. Many Methodists since, often in reaction to pre-Vatican II ‘catholic’ teaching (anglo - as well as Roman) have failed to preserve the balance between his equal emphases upon this, the \textit{greatest} means of all, and the need to use \textit{all} the means of grace, both sacramental and non-sacramental, both ‘covenanted’ and ‘prudential’, twin emphases that should count as a Methodist enriching insight for the whole Church.
Methodists should also now be seeking to ‘receive the sign of the episcopal succession’, particularly since recent developments, in the wake of Lima’s teaching on apostolicity, would allow us to receive it precisely as ‘sign and not guarantee’\textsuperscript{8}. We would not have to deny that, in the conditions of the Wesleyan revival, a separation from the Anglican church was, sadly, necessary for missionary reasons on both sides of the Atlantic. We can continue to assert Wesley’s teaching that our ministry takes its origins from a band of itinerant preachers, ‘extraordinary messengers, raised up to provoke the ordinary ones to jealousy’. We can, I think now receive the Anglican emphasis that, though non-episcopal ministries are real and authentic ministries of the word and sacrament, the sign of the episcopal succession is still central to overall universal unity in the sense that it reinforces the sense of continuity across the whole of Christian time from the apostolic age onwards and is a particularly valuable, quasi-sacramental sign of that continuity. As our own British Methodist working party on episcopacy said in 1982, ‘when we say why bishops?, the considerable majority of the Church responds why not bishops?’\textsuperscript{9} It is my personal observation that, in general, churches with the episcopal succession generally have a much broader appreciation of the riches of the Christian tradition as stemming from every age. The time has come to take urgent action to recover this sign\textsuperscript{10}. The British Connexion has already issued a valuable series of guidelines relevant to this issue.
Finally, we have to respond to the daring and prophetic invitation of the Pope to ‘engage in a fraternal and patient dialogue concerning the Petrine ministry, welcoming the chance to show how it might be compatible with connexionalism and particularly with that global connexionalism practised by the United Methodist Church.’\textsuperscript{11} We have the resources for this especially in the work of Benjamin Gregory
who emphasises the importance of Peter's ministry in Acts, in travelling throughout all the churches of Palestine, encouraging them (Acts 9. V. 32), in recognising and bringing into connexion churches established independently of apostolic initiative and in leading the Church into bold recognition of new and unexpected initiatives of the Spirit\textsuperscript{12}. We recognise many of these Scriptural Petrine characteristics in the globally itinerant ministry of the present Pontiff, in his emphasis upon dialogue as 'making surprising discoveries possible' and his desire to see all the charisms of all the people flourish\textsuperscript{13}. With their love of mission, the Methodist people should be only too glad to affirm the role played so often by the see of Rome in mission, including especially that mission of St Augustine that brought Christianity first to the Anglo-Saxon world. We will, however, reserve the right to say to him where we think the balance between the papal ministry and the universal communion of the Church has been distorted and needs to be corrected.
There are, however challenges that come from Methodism to the other churches. To churches of 'catholic' order there is the challenge to complete the work partly begun in the Lima reappraisal of 'apostolicity', and the subsequent Anglican affirmation of the authenticity of certain non-episcopal European churches\textsuperscript{14}. These churches are challenged to return, with the greatest ecclesiologist in the British Methodist tradition, Benjamin Gregory, to a contemplation of the apostolic function of \textit{recognition} of churches, as recounted in the early chapters of Acts, that may have been founded without apostolic activity, or that of their 'successors', but which are provenly apostolic in their teaching and style of life. 'Whenssoever, wheresoever, by whomsoever the Spirit prompted Church action, and gave it the imprimatur of spiritual success, they (ie the apostles) at once recognised, reverenced and rejoiced in His work... They lost no time in recognising and connecting it'\textsuperscript{15}.
If the concept of 'apostolic succession' of ministry is to be saved from legalism and narrowness, it must be complemented by the concept of apostolic recognition. As Gregory comments, 'No Christian community can, without the most egregious violation of the sanctity of language, call itself 'catholic' which shuts out...any company, bearing those Divinely impressed marks of the Church'\textsuperscript{16}. Bishop Kallistos Ware has drawn the attention of Orthodox to the fact that true trinitarian koinonia may be confessed and lived in communities that lack the episcopal succession as such.\textsuperscript{17} A pneumatological question is at stake. Are we to regard the ecclesiological creative activity of the Spirit as \textit{confined} to the 'apostolic age' or do we develop the insight referred to in the Roman Catholic-Methodist dialogue and accept that the instinct amongst the faithful that they are living through a new Pentecost (as at the time of the Wesleyan Revival) can, indeed, be true and received within the Universal Church?\textsuperscript{18}
A second key challenge comes from our ecclesiology of connexionalism. The understanding of this amongst the nineteenth century Wesleyans was carefully nuanced. They regarded connexionalism as the ecclesiology closest in spirit to the lived experience of New Testament church life.\textsuperscript{19} They resisted, in the spirit of the quotation just given from Gregory, any temptation to 'unchurch' others who lacked such a system. Connexionalism, however, challenges both churches of 'independent' ecclesiology and those which emphasise an hierarchical ministry. To the former, it poses the challenge of whether the distinction between 'local' and 'universal' is the only valid one ecclesiologically. Rather, perhaps, the Church should be seen as an interlocking web at every level and across every generation since church life, even at the most 'local' level always involves a degree of indebtedness to
and reliance upon others in resources both personal and spiritual. As Shrewsbury said, looking at the rich resources that fed the Methodist revival and enumerating all the influences upon it, Anglican and Puritan, English and continental, 'The Methodists are the debtors of all'. Over-emphasis upon the rigid autonomy of the local church obscures the mutual accountability fundamental to the Christian experience of koinonia. It also ignores the point made by Miroslav Volf, himself in an independent tradition, that no one 'local' church is complete in itself because all are involved in a convergent pilgrimage towards their common eschatological destiny. Churches must modify any concept of absolute local autonomy because they are 'theonomous', under God's law and gracious plan of universal communion and not disobedient to the (ecclesiological) heavenly vision.
For the hierarchical churches, there come also the challenge to ensure that the teaching office has regard not just to the previous Tradition but to the present 'sensus fidelium' within the Church, and that the structures developed permit the formal participation of lay people and of 'lower' clergy. The concepts of koinonia and of connexionalism transcend both hierarchicalism and independency without denying the need of special ministries of leadership, always, however, focused upon the enabling of fuller koinonia and a more perfect circulation of all the charisms, a point recently emphasised by the Pope. The very concepts of 'catholicity' and 'koinonia' involve a degree of mutual giving and receiving at every level of the Church's life if the Church really is, however imperfectly, to mirror that trinitarian life from which its koinonia derives.
This last point brings us the heart of the matter, that all ecumenical activity relates to the fuller reception of the gift of that precious life that is daily renewed in and amongst us by God's Spirit.
---
1 For the sermon on the Catholic Spirit, see J. Wesley, Works, (Abingdon edition) vol 2, sermon 39, pp. 81-95. For the Liverpool Minutes, see J.S. Simon, A Summary of Methodist Law and Discipline, London, 1923, pp 267-271 ( p. 269 for express elucidation of 'catholicity'). W.J. Shrewsbury, An Essay on the Scriptural Character of the Wesleyan Methodist Economy, London, 1840, D. Hughes, Life of Hugh Price Hughes, London, 1904, ch. 17. The Catholic Idea of the Church, pp. 435-480. J.S. Lidgett, God, Christ and the Church, London, 1927. Called To Love and Praise, Peterborough, 1999, para 2.4.4.
2 cited in Constitutional Practice and Discipline of the Methodist Church, Peterborough, 1999, vol 2, p. 212.
3 For Willebrands' sermon, see Tablet, 24 Jan. 1970.
4 J-M Tillard, L'Eglise Locale, Paris, 1995, p. 380.
5 G. Tavard, The Church, Community of Salvation, Collegeville, 1992.
6 Shrewsbury, p. 54, 296-304.
7 For these responses, see M. Thurian (ed), Churches respond to BEM, Geneva, 1986, vol 2, pp. 177-254. The United Methodist (US) response is pp. 177-200.
8 para 51.
9 Porvoo Common Declaration para M 34, Statements of the Methodist Church on Faith and Order, vol 1, London, 1984, p. 209.
10 I recognise that there will be particular problems for those Methodist churches already in an episcopal tradition, though I think they would be enriched by the merging of the grand Wesleyan succession, so like that of the apostoloi of the sub-apostolic era, with that of the churches claiming the 'historic' succession. For the guidelines of the British connexion, see the report on episcopate and episcopacy, as adopted by the Conference of 2000 and reprinted in Statements of the Methodist Church on Faith and Order, vol 2, Part 2, Peterborough, 2000, pp. 407-9
11 For the first possible modern Methodist 'reception' of the Petrine ministry, see Towards a Statement on the Church, report of the fourth quinquennium of the Roman Catholic-Methodist
dialogue, para 58. See also my article, *A Methodist response to Ut Unum Sint*, in *One in Christ*, 1997, pp. 125-37.
12 Gregory, pp. 41, 43, 49-50 for his analysis of ‘Petrine’ ministry.
13 *Ut Unum Sint*, para 38.
14 *Baptism, Eucharist, Ministry*, 1982, para M34. The agreements referred to are the Meissen Agreement between the Church of England and the Evangelical Church of Germany (1988) and the ‘Reuilly’ Agreement between the Church of England and the French reformed and Lutheran churches (2000)
15 Gregory, pp. 49-50.
16 Ibid, p. 7.
17 K. Ware in *Returning Pilgrims*, CTBI, 1994 (accounts of British representatives at the Santiago Faith and Order Conference, 1993), pp. 29-33.
18 *Apostolic Tradition*, 1991 (report of fifth quinquennium of Roman Catholic-Methodist dialogue), para. 31.
19 J. H. Rigg, *The Connexional Economy of Wesleyan Methodism*, London, 1879, ch 1, ‘Apostolic Christianity connexional in Principle’, pp 1-23, esp. pp. 2, 6.
20 Shrewsbury, p. 90.
21 M. Volf, *After Our Image. The Church as the Image of the Trinity*, Grand Rapids, 1998, pp 264-269.
22 Expression used by Bishop Rudiger Minor and cited by Bruce Robbins and myself in our joint article, Connexionalism and Koinonia, *One in Christ*, 1998, no 4, p. 331.
23 John Paul II, *Tertio Millennio Adveniente*, Rome, 1994, 36.
24 *Called To Love and Praise*, para 2.1.9. |
Stochastic Variance Reduced Ensemble Adversarial Attack for Boosting the Adversarial Transferability
Yifeng Xiong\textsuperscript{1}\textsuperscript{*}, Jiadong Lin\textsuperscript{1}, Min Zhang\textsuperscript{1}, John E. Hopcroft\textsuperscript{2}, Kun He\textsuperscript{1}\textsuperscript{†}
\textsuperscript{1}Department of Computer Science, Huazhong University of Science and Technology, Wuhan, China
\textsuperscript{2}Department of Computer Science, Cornell University, Ithaca, NY, USA
\{xiongyf,jdlin,m.zhang\}@hust.edu.cn, email@example.com, firstname.lastname@example.org
Abstract
The black-box adversarial attack has attracted impressive attention for its practical use in the field of deep learning security. Meanwhile, it is very challenging as there is no access to the network architecture or internal weights of the target model. Based on the hypothesis that if an example remains adversarial for multiple models, then it is more likely to transfer the attack capability to other models, the ensemble-based adversarial attack methods are efficient and widely used for black-box attacks. However, ways of ensemble attack are rather less investigated, and existing ensemble attacks simply fuse the outputs of all the models evenly. In this work, we treat the iterative ensemble attack as a stochastic gradient descent optimization process, in which the variance of the gradients on different models may lead to poor local optima. To this end, we propose a novel attack method called the stochastic variance reduced ensemble (SVRE) attack, which could reduce the gradient variance of the ensemble models and take full advantage of the ensemble attack. Empirical results on the standard ImageNet dataset demonstrate that the proposed method could boost the adversarial transferability and outperforms existing ensemble attacks significantly. Code is available at https://github.com/JHL-HUST/SVRE.
1. Introduction
Deep neural networks (DNNs) have shown impressive performance on various computer vision tasks. However, recent researches have shown that DNNs are strikingly vulnerable to adversarial examples crafted by adding human-imperceptible perturbations \cite{7, 23, 28}. Moreover, adversarial examples are known to be transferable that the examples crafted for one model can also mislead other black-box models \cite{17, 20, 22}. Generating adversarial examples, i.e., adversarial attack, has drawn enormous attention since it can help evaluate the robustness of different models \cite{2, 29} and improve their robustness by adversarial training \cite{7, 19}.
Various adversarial attack methods have been proposed, including the optimization-based methods such as box-constrained L-BFGS \cite{28} and Carlini & Wagner’s method \cite{2}, the gradient-based methods such as Fast Gradient Sign Method \cite{7} and its iterative variants \cite{13, 19}, etc. In general, these adversarial attack methods can achieve high attack success rates in the white-box setting \cite{2}, where the attacker can access the complete information of the target model, including the model architecture and gradient information. However, these methods often exhibit low attack success rates in the black-box setting \cite{3}, where the attacker can not access the information of the target model. In this case, the attacker either utilizes the transferability of adversarial examples to fool the black-box model, or attacks directly based on a small amount of queries on the output of the black-box model.
In recent years, a number of methods have been proposed to enhance the transferability of adversarial examples so as to improve the attack success rates in the black-box setting, including the gradient optimization attacks \cite{3, 16, 31}, input transformation attacks \cite{4, 16, 35}, and model ensemble attacks \cite{3, 17}. Among these methods, the model ensemble attacks are efficient and have been broadly adopted in boosting the black-box attack performance \cite{5, 16, 35}. However, as compared to the other two categories that have been explored in depth, the category of model ensemble attack is rather less investigated.
In this work, we observe that the existing model ensemble attack methods simply fuse the outputs of all models directly but ignore the variance of the gradients on different models, which may limit the potential capability of the model ensemble attacks. Due to the inherent difference of the model architectures, the optimization paths of the models may differ widely, indicating that there exists considerable difference on the variance of the gradient directions among the possible models. Such variance may cause the
optimization direction of the ensemble attack to be less accurate. As a result, the attack capability of the transferred adversarial examples is rather limited.
To address this issue, we propose a novel method called the stochastic variance reduced ensemble (SVRE) attack to enhance the adversarial transferability of ensemble attacks. Our method is inspired by the stochastic variance reduced gradient (SVRG) method [12] designed for stochastic optimization, which has an outer loop that maintains an average gradient on a batch of data and an inner loop that randomly draws an instance from the batch and calculates an unbiased estimate of gradient based on the variance reduction. In our method, we regard the ensemble models as the batch of data for the outer loop and randomly draw a model at each iteration of the inner loop. Taking the benign image as the initial adversarial example, the outer loop calculates the average gradient on the batch of models, and copies the current example to the inner loop, then the inner loop conducts multiple iterations of inner adversarial example updates. At each inner iteration, SVRE calculates the current gradient on a randomly picked model, tuned by the gradient bias of the outer adversarial example on this randomly picked model and on the ensemble model. At the end of the inner loop, the outer adversarial example is updated using the tuned gradient of the newest inner adversarial example.
In this way, SVRE can obtain a more accurate gradient update at the outer loop to escape from poor local optima such that the crafted adversarial example would not “overfit” the ensemble model. Hence, the crafted adversarial example is expected to have higher transferability to other unknown models. To our knowledge, this is the first work to investigate the limitation of existing ensemble attack through the lens of gradient variance on multiple models. Extensive experiments on the ImageNet dataset demonstrate that SVRE consistently outperforms the vanilla ensemble model attack in the black-box setting.
2. Related Works
Let $x$ and $y$ be a benign image and the corresponding true label, respectively. Let $J(x, y)$ be the loss function of the classifier and $\mathcal{B}_\epsilon(x) = \{ x' : \|x - x'\|_p \leq \epsilon \}$ be the $L_p$-norm ball centered at $x$ with radius $\epsilon$. The goal of non-targeted adversarial attacks is to search for an adversarial example $x^{adv} \in \mathcal{B}_\epsilon(x)$ that maximizes the loss $J(x^{adv}, y)$. To align with previous works, we focus on $L_\infty$-norm non-targeted adversarial attacks.
2.1. Adversarial Attacks
Existing adversarial attack methods can be categorized into three groups, namely gradient optimization attacks [3, 7, 13, 16, 31], input transformation attacks [3, 16, 32, 35], and model ensemble attacks [3, 17].
Gradient optimization attacks. The most typical adversarial attack based on gradient is the Fast Gradient Sign Method (FGSM) [7], which uses the gradient direction of the loss function with respect to the input image to generate a fixed amount of perturbation. Kurakin et al. [13] propose the Basic Iterative Method (BIM) to run multiple iterations of FGSM with a small perturbation. Madry et al. [19] propose a noisy version of BIM, named the Projected Gradient Descent (PGD). Although PGD exhibits good attack performance in the white-box setting [1], it overfits the target model easily and yields weak transferability in the black-box setting. In order to improve the transferability of adversarial attacks, Dong et al. [3] propose to boost the adversarial attack with momentum. More recently, Lin et al. [16] introduce Nesterov accelerated gradient method into the gradient-based attack to look ahead effectively to avoid overfitting. Wang et al. [31] reduce the variance of the gradient at each iteration to stabilize the update direction.
Input transformation attacks. Another line of attacks focuses on adopting various input transformations to further improve the transferability of adversarial examples. Xie et al. [35] propose the Diverse Input Method (DIM) [35], which utilizes random resizing and padding to create diverse input patterns to generate adversarial examples. Dong et al. [4] propose the Translation-Invariant Method (TIM), which optimizes the perturbation over a set of translated images. Lin et al. [16] discover the scale-invariant property of deep learning models and propose the Scale-Invariant Method (SIM), which optimizes the adversarial perturbations over the scale copies of the input images. Wang et al. [32] propose the Admix, that calculates the gradient on the input image admixed with a small portion of each add-in image to craft more transferable adversaries.
Model ensemble attacks. Liu et al. [17] find that attacking multiple models simultaneously can also improve the attack transferability. They fuse the predictions of multiple models to get the loss of ensemble predictions and adopt existing adversarial attacks (e.g. FGSM and PGD) to generate adversarial examples using the loss. Dong et al. [3] propose two variants of the model ensemble attack, namely fusing the logits and fusing the losses, respectively. Compared with various explorations on gradient optimization or input transformation, the model ensemble attacks are far less investigated, and existing methods only simply fuse the output predictions, logits, or losses.
2.2. Adversarial Defenses
As the counterpart of adversarial attacks, various defense methods have also been proposed, including adversarial training based defenses [6, 19, 24, 25, 28, 30, 34, 37] and input transformation based defenses [8, 10, 11, 15, 18, 21, 33, 36].
Adversarial training based defenses. Adversarial training is considered one of the most efficacious defense
approaches which augments the training data by generating adversarial examples during the training process. Tramer *et al.* [30] propose ensemble adversarial training, which augments the training data with perturbations transferred from other models. Madry *et al.* [19] propose PGD-Adversarial Training (PGD-AT), which augments the training data with adversarial examples crafted by PGD attack. Xie *et al.* [34] develop new network architectures that increase adversarial robustness by performing feature denoising. Adversarial training, while promising, is computationally expensive and hard to scale to large-scale datasets [14].
**Input transformation based defenses.** This line of defenses aims to diminish the adversarial perturbations from the input data. Guo *et al.* [8] and Xie *et al.* [33] conduct transformations on images to remove the adversarial perturbations. Liao *et al.* [15] use high-level representation guided denoiser (HGD) to purify the adversarial images. Xu *et al.* [36] propose two feature squeezing methods, *i.e.*, bit reduction (Bit-R) and spatial smoothing to detect adversarial examples. Liu *et al.* [18] propose the feature distillation (FD), which adopts a JPEG-based defensive compression framework to diminish the adversarial perturbations. Jia *et al.* [11] utilizes an end-to-end image compression model named ComDefend to defend against adversarial examples. Jia *et al.* [10] leverage the randomized smoothing (RS) to train a certifiably robust ImageNet classifier. Naseer *et al.* [21] develop a neural representation purifier (NRP) model, which learns to purify the adversarially perturbed images through automatically derived supervision.
### 3. Methodology
We focus on addressing the adversarial transferability through the lens of reducing the gradient variance of the ensemble models used for crafting the adversarial example. Since our method is based on the model ensemble attack, we first introduce the existing ensemble attack methods, then present our motivation and elaborate the proposed SVRE in detail.
#### 3.1. Ensemble Attack Methods
The ensemble attack [3, 17] is an effective strategy to enhance the adversarial transferability. Its basic idea is to generate the adversarial examples using multiple models.
**Ensemble on predictions.** Liu *et al.* [17] first propose to achieve an ensemble attack by averaging the predictions (predicted probability) of the models. For an ensemble of $K$ models, the loss function of the ensemble model is:
$$J(\mathbf{x}, y) = -\mathbf{1}_y \cdot \log(\sum_{k=1}^{K} w_k p_k(\mathbf{x})),$$
where $\mathbf{1}_y$ is the one-hot encoding of the ground-truth label $y$ of $\mathbf{x}$; $p_k$ is the prediction of the $k$-th model, and $w_k \geq 0$ is the ensemble weight constrained by $\sum_{k=1}^{K} w_k = 1$.
**Ensemble on logits.** Dong *et al.* [3] propose to fuse the logits (output before softmax) of models. For the ensemble of $K$ models, the loss function ensembled on logits is:
$$J(\mathbf{x}, y) = -\mathbf{1}_y \cdot \log(\text{softmax}(\sum_{k=1}^{K} w_k l_k(\mathbf{x}))),$$
where $l_k$ is the logits of the $k$-th model.
**Ensemble on losses.** Dong *et al.* [3] also introduce an alternative ensemble attack by averaging the loss of $K$ models as follows:
$$J(\mathbf{x}, y) = \sum_{k=1}^{K} w_k J_k(\mathbf{x}, y),$$
where $J_k$ is the loss of the $k$-th model.
For the weight parameters, the three methods simply choose the average weight in experiments, *i.e.*, $w_k = 1/K$.
#### 3.2. Rethinking the Ensemble Attack
The ensemble attack method has been broadly adopted in enhancing the performance of black-box attacks [3, 5, 16, 17, 31, 35]. However, to our knowledge, researchers only utilize the existing ensemble attack strategy as a plug-and-play module to enhance their own attack methods, but did not delve into the ensemble attack method itself.
Intuitively, existing ensemble attack methods [3, 17] are helpful in improving the adversarial transferability because attacking an ensemble model can help to find better local maxima and makes it easier to generalize to other black-box models. However, merely averaging the outputs (logits, predictions or loss) of the models to build an ensemble model for the adversarial attack may limit the attack performance, as the individual optimization path of different model may vary diversely, but the variance is not considered, leading to an overfit to the ensemble model.
As demonstrated in Figure 1, the cosine similarity between the update direction of a sampled image on different models is extremely low, indicating there exists a considerable gap in the optimization direction among these models (See model details in Section 4.1). We argue that simply
fusing the predictions/logits/losses of the models but ignoring the variance of the gradients on different models would lead to a suboptimal result, and limit the performance of ensemble attacks.
3.3. Stochastic Variance Reduced Ensemble Attack
In previous works, Lin et al. and Wang et al. [16, 31] analogize the process of the adversarial example generation to the process of neural network training, of which the white-box model is analogized to the training data and the black-box model is analogized to the test data. Hence, the iterative optimization on crafting the adversarial example using the input image can be regarded as the parameter update of neural networks, and the transferability of the adversarial example is analogized to the generalization of models.
In this work, we treat the iterative ensemble attack as a stochastic gradient descent optimization process, in which at each iteration, the attacker always chooses the batch of the ensemble models for update. During the course of the adversarial example generation, the gradient variance on different models may lead to poor local optima. Hence, we aim to reduce the gradient variance so as to stabilize the gradient update direction, making the induced gradient be generalized better to other possible models.
Inspired by the stochastic variance reduced gradient (SVRG) method [12] designed for stochastic optimization, we propose a stochastic variance reduced ensemble attack method to address the gradient variance of the models so as to take full advantage of the ensemble attack. The basic idea of SVRG is to reduce the inherent variance of Stochastic Gradient Descent (SGD) using predictive variance reduction, while we aim to reduce the inherent gradient variance of multiple models. The integration of SVRE with MI-FGSM [3], SVRE-MI-FGSM, is summarized in Algorithm 1.
Denote the traditional model ensemble attack method as Ens. The main difference of our method to Ens is that SVRE has an inner update loop, where SVRE obtains a variance reduced stochastic gradient by $M$ updates. Specifically, we first obtain the gradient of the multiple models, $g^{ens}$, by one pass over the models and maintain this value during $M$ inner iterations. Then, we randomly pick a model from the ensemble models, obtain the stochastic inner gradient after variance reduction $\tilde{g}_m$, and update the inner adversarial example using the accumulate gradients of $\tilde{g}_m$. In the end, we update the outer gradient using the accumulate gradient of the last inner loop. As $\tilde{g}_m$ is the unbiased estimate of the gradient of $g^{ens}_m = (\nabla_x J_k(x^{\text{adv}}_t; y) - g^{ens}_t)$ helps to reduce the gradient on different models.
In a nutshell, the existing Ens method directly uses the average gradient of the ensemble models $g^{ens}$ to update the adversarial example, while SVRE uses the stochastic variance reduced gradient $\tilde{g}$ to update the adversarial example.
Algorithm 1 The SVRE-MI-FGSM attack algorithm
**Input:** A benign example $x$ and its label $y$, a set of $K$ surrogate models and the corresponding losses $\{J_1, \ldots, J_K\}$, an ensemble loss $J$ chosen from $\{Eq.(1), Eq.(2), Eq.(3)\}$
**Input:** The perturbation bound $\epsilon$, number of iterations $T$, internal update frequency $M$, internal step size $\beta$, decay factor $\mu_1$, internal decay factor $\mu_2$
**Output:** An adversarial example $x^{\text{adv}}$ that fulfills $\|x^{\text{adv}} - x\|_\infty \leq \epsilon$
1: $\alpha = \epsilon / T$; $G_t = 0$;
2: Initialize $x^{\text{adv}}_0 = x$;
3: **for** $t = 0$ **to** $T - 1$ **do**
4: # Calculate the gradient of the ensemble model
5: Get the loss of the ensemble model $J(x^{\text{adv}}_t; y)$;
6: Calculate the gradient of the ensemble model $g^{ens}_t$:
$$g^{ens}_t = \frac{1}{K} \nabla_x J(x^{\text{adv}}_t; y);$$
7: # Stochastic variance reduction via $M$ updates
8: Initialize $\tilde{x}_0 = x^{\text{adv}}_t, \tilde{G}_0 = 0$
9: **for** $m = 0$ **to** $M - 1$ **do**
10: Randomly pick a model index $k \in \{1, \ldots, K\}$
11: Get the corresponding loss $J_k \in \{J_1, \ldots, J_K\}$
12: $\tilde{g}_m = \nabla_x J_k(\tilde{x}_m; y) - (\nabla_x J_k(x^{\text{adv}}_t; y) - g^{ens}_t)$
13: # Update the inner gradient by momentum
14: $G_{m+1} = \mu_2 \cdot G_m + \tilde{g}_m$
15: # Update the inner adversarial example
16: Update $\tilde{x}_{m+1} = \text{Clip}_x \{\tilde{x}_m + \beta \cdot \text{sign}(G_{m+1})\}$
17: **end for**
18: # Update the outer gradient by momentum
19: $G_{t+1} = \mu_1 \cdot G_t + \tilde{G}_M$
20: # Update the outer adversarial example
21: $x^{\text{adv}}_{t+1} = \text{Clip}_x \{x^{\text{adv}}_t + \alpha \cdot \text{sign}(G_{t+1})\}$
22: **end for**
23: **return** $x^{\text{adv}} = x^{\text{adv}}_T$
Theoretically, SVRE can be easily integrated with other iterative gradient-based attack methods. E.g. I-FGSM [7], MI [3], DI [4], TI [4], SI [16] can be integrated with SVRE using the same technique in inner loop and outer loop. But in SVRE-I-FGSM, we accumulate gradients in inner loop to have a better transferibility.
Compared with existing optimization-based methods of enhancing the attack transferability, our method is from a different perspective. Existing works mainly focus on the optimization along the iterative process. For instance, MI-FGSM [3] and NI-FGSM [16] aim to accelerate the convergence, while VT [31] aims to tune the current gradient using the variance of the gradient at the previous iteration for a single model. In contrast, our method seeks to reduce the variance of the gradient caused by various models in the ensemble attack.
4. Experiments
This section first introduces the experimental setup, then reports the attack success rate on normally trained models and defense models, showing that SVRE outperforms Ens significantly for black-box attacks. We further demonstrate that SVRE increases the average loss on black-box models by a large margin. In the end, we perform ablation studies to manifest the effectiveness of the key parameters in SVRE.
4.1. Experimental Setup
**Dataset.** We conduct experiments on an ImageNet-compatible dataset\(^1\) which is comprised of 1,000 images and is widely used in recent FGSM-based attacks [4, 5].
**Networks.** We consider four normally trained networks, i.e., Inception-v3 (Inc-v3) [27], Inception-v4 (Inc-v4), Resnet-v2-152 (Res-152) [26], and Inception-Resnet-v2 (IncRes-v2) [9]. For adversarially trained models, we consider Inc-v3\(_{ens3}\), Inc-v3\(_{ens4}\) and IncRes-v2\(_{ens}\) [30]. Besides, we consider nine defense models which are shown to be robust against black-box attacks, including the top-3 defense methods in the NIPS competition: HGD [15], R&P [33], NIPS-r3\(^2\) and six recently proposed defense methods: Bit-R [36], JPEG [8], FD [18], ComDefend [11], RS [10] and NRP [21].
**Baselines.** We compare the proposed SVRE with Ens based on the advanced gradient-based attacks, including I-FGSM [7], MI-FGSM [3], TIM [4], TI-DIM [4], and SI-TI-DIM [16]. For Ens, we adopt the ensemble method that fuses the logits of difference models [3], which is confirmed better than the ensemble on predictions or losses. In addition, we run the SVRE attack for 5 times with different random seeds and average the results to reduce the impact of randomness.
**Hyper-parameters.** To align with the previous works [3, 4, 16, 35], we set the maximum perturbation \( \epsilon = 16/255 \). For I-FGSM, the number of iterations is 10, and the step size is \( \alpha = 1.6 \). For MI-FGSM, we set the decay factor \( \mu_1 \) to 1.0. For TIM, we adopt the Gaussian kernel with size \( 7 \times 7 \). For TI-DIM, the transformation probability \( p \) is set to 0.5. For SI-TI-DIM, we set the number of copies \( m \) to 5. For SVRE, we set the internal update frequency \( M \) to four times the number of ensemble models and the internal step size \( \beta \) is set the same as \( \alpha \), the internal decay factor \( \mu_2 \) is set to 1.0.
4.2. Attack Normally Trained Models
We first compare the performance of our method on the normally trained models, including Inc-v3, Inc-v4, Res-152 and IncRes-v2. Specifically, we keep one model as the hold-out black-box model and generate adversarial examples on an ensemble of the other three models by Ens and SVRE integrated with various base methods.
Table 1 shows the attack performance on the hold out model. SVRE outperforms Ens across all the test models. The average improvement of SVRE over Ens on the base attack of I-FGSM is significant at 16.19%. Even on the advanced attack methods, MI-FGSM, TIM, DIM and SI-TI-DIM, the average improvements of SVRE over Ens are still considerable, which are 9.46%, 5.35%, 2.86% and 1.27%, respectively. The results demonstrate that SVRE can effectively improve the transferability of adversarial examples on normally trained models.
4.3. Attack Advanced Defense Models
To further validate the efficacy of our method in practice, we continue to evaluate SVRE on models with various advanced defenses. Specifically, we craft the adversarial examples on the ensemble of four normally trained models, i.e., Inc-v3, Inc-v4, Res-15 and IncRes-v2, and test the transferability of the crafted adversaries on defense models.
We first evaluate the transferability of the adversaries on three adversarially trained models, Inc-v3\(_{ens3}\), Inc-v3\(_{ens4}\) and IncRes-v2\(_{ens}\). The results are shown in Table 2. We see that SVRE outperforms Ens on the black-box attack of each adversarially trained models by a large margin. Among the base methods that the ensemble attacks integrate with, SVRE exhibits the highest improvement on TIM, as SVRE-TIM yields a 17.30% higher average attack success rate than Ens-TIM. Besides, SVRE also performs well in the white-box setting, and can slightly improve the white-box attack performance in most cases.
In addition to the adversarially trained models, we also evaluate the crafted examples on nine models with advanced defense mechanisms. The results are shown in Table 3. SVRE outperforms Ens by a clear margin across all the comparisons. The strongest version of our method, SVRE
\(^1\)https://github.com/cleverhans-lab/cleverhans/tree/master/cleverhans_v3.1.0/examples/nips17_adversarial_competition/dataset/
\(^2\)https://github.com/anlthms/nips-2017/tree/master/mmd
Table 2. The black-box attack success rates (%) against three adversarially trained models. The adversarial examples are generated on the ensemble models, i.e., Inc-v3, Inc-v4, IncRes-v2 and Res-101.
| Base | Attack | White-box setting | Black-box setting |
|----------|--------|-------------------|-------------------|
| | | Inc-v3 | Inc-v4 | IncRes-v2 | Res-101 | Inc-v3\textsubscript{ens3} | Inc-v3\textsubscript{ens4} | IncRes-v2\textsubscript{ens} | Average |
| I-FGSM | Ens | 100.00 | 100.00 | 99.60 | 99.80 | 27.10 | 24.50 | 15.70 | 22.43 |
| | SVRE | 99.80 | 99.60 | 99.38 | 99.58 | \textbf{40.08} | \textbf{37.30} | \textbf{24.76} | \textbf{34.05} |
| MI-FGSM | Ens | 99.90 | 99.90 | 99.70 | 99.50 | 50.50 | 49.30 | 32.30 | 44.03 |
| | SVRE | 99.96 | 99.96 | 99.86 | 99.82 | \textbf{64.54} | \textbf{59.02} | \textbf{39.08} | \textbf{54.21} |
| TIM | Ens | 99.80 | 99.70 | 99.40 | 99.20 | 73.50 | 68.10 | 59.70 | 67.10 |
| | SVRE | 99.84 | 99.90 | 99.80 | 99.70 | \textbf{87.88} | \textbf{85.62} | \textbf{79.70} | \textbf{84.40} |
| TI-DIM | Ens | 99.50 | 99.40 | 99.00 | 98.70 | 87.40 | 84.30 | 77.60 | 83.10 |
| | SVRE | 99.86 | 99.80 | 99.68 | 99.34 | \textbf{95.32} | \textbf{93.66} | \textbf{90.08} | \textbf{93.02} |
| SI-TI-DIM| Ens | 99.70 | 99.40 | 99.30 | 99.40 | 95.60 | 95.10 | 92.40 | 94.37 |
| | SVRE | 99.98 | 99.96 | 99.90 | 99.80 | \textbf{98.56} | \textbf{97.78} | \textbf{95.80} | \textbf{97.38} |
Table 3. The black-box attack success rates (%) against nine models with advanced defense mechanism.
| Base | Attack | HGD | R&P | NIPS-r3 | Bit-R | JPEG | FD | ComDefend | RS | NRP | Average |
|----------|--------|-----|-----|---------|-------|------|----|-----------|----|-----|---------|
| I-FGSM | Ens | 27.00 | 15.20 | 18.90 | 26.00 | 41.80 | 37.10 | 56.00 | 25.20 | 17.30 | 29.39 |
| | SVRE | \textbf{45.48} | \textbf{25.02} | \textbf{34.10} | \textbf{30.96} | \textbf{62.06} | \textbf{50.42} | \textbf{66.98} | | | \textbf{40.40} |
| MI-FGSM | Ens | 41.30 | 33.00 | 44.60 | 39.70 | 75.90 | 62.80 | 77.50 | 36.90 | 27.30 | 48.78 |
| | SVRE | \textbf{44.06} | \textbf{40.72} | \textbf{59.54} | \textbf{43.42} | \textbf{89.06} | \textbf{73.28} | \textbf{86.60} | \textbf{39.12} | \textbf{28.46} | \textbf{56.03} |
| TIM | Ens | 72.50 | 60.50 | 67.20 | 49.30 | 82.60 | 74.80 | 85.10 | 47.80 | 37.60 | 64.16 |
| | SVRE | \textbf{87.10} | \textbf{80.16} | \textbf{83.84} | \textbf{62.26} | \textbf{91.96} | \textbf{83.96} | \textbf{92.22} | \textbf{62.46} | \textbf{52.24} | \textbf{77.36} |
| TI-DIM | Ens | 87.40 | 81.20 | 85.70 | 63.00 | 91.70 | 84.30 | 91.90 | 57.90 | 49.80 | 76.99 |
| | SVRE | \textbf{94.86} | \textbf{91.92} | \textbf{93.22} | \textbf{72.88} | \textbf{96.48} | \textbf{90.76} | \textbf{95.98} | \textbf{73.60} | \textbf{65.38} | \textbf{86.12} |
| SI-TI-DIM| Ens | 95.70 | 93.20 | 94.10 | 82.70 | 96.70 | 93.30 | 97.90 | 78.00 | 76.80 | 89.82 |
| | SVRE | \textbf{97.70} | \textbf{96.12} | \textbf{97.48} | \textbf{86.64} | \textbf{98.54} | \textbf{95.60} | \textbf{99.06} | \textbf{85.72} | \textbf{85.44} | \textbf{93.59} |
integrated with SI-TI-DIM, can achieve an average attack success rate of 93.59% on these defense models in the black-box setting, which raises a new security issue for the robustness of deep learning models.
4.4. Comparison on Loss
The above experiments have demonstrated that SVRE significantly improves the attack success rate of adversarial attacks. To provide intuitive evidence that SVRE can effectively boost the transferability of adversarial examples, we average the loss over the adversarial images generated in Section 4.3 on four white-box models and three black-box models respectively, and depict the improvement curve for the average loss in Figure 2. The loss can indirectly reflect the adversarial efficacy. A higher loss indicates a stronger adversarial intensity, and a higher loss on the black-box model indicates a stronger transferability.
We can see in Figure 2 (b) that SVRE increases the average loss over Ens on black-box models remarkably. In terms of the white-box setting in Figure 2 (a), SVRE and Ens are comparative, indicating that the improvement of SVRE in transferability is not based on the premise of sacrificing the performance of white-box attacks.
4.5. Ablation Study on Hyper-parameters
In this subsection, we conduct a series of ablation experiments to study the impact of the parameters in SVRE. Here we attack the ensemble of Inc-v3, Inc-v4, Res-152 and IncRes-v2 and test the transferability of the adversaries on the adversarially trained models Inc-v3\textsubscript{ens3}, Inc-v3\textsubscript{ens4} and IncRes-v2\textsubscript{ens}, as the setting in Section 4.2.
On the internal update frequency $M$, We first analyze the effectiveness of the internal update frequency $M$ on the attack success rate of SVRE. We integrate I-FGSM, MI-FGSM and SI-MI-DIM attacks with SVRE, respectively, and range the internal update frequency $M$ from 0 to 32 with a granularity of 4. Note that if $M = 0$, SVRE trivially degenerates to the normal ensemble method of Ens. Since the attack success rate in the white-box setting is close to 100%, we only show the results for black-box attacks, as
Figure 2. The average loss on seven models against Ens and SVRE integrated with five attacks, respectively.
Figure 3. The attack success rate (%) of SVRE integrated with I-FGSM, MI-FGSM and SI-TI-DIM. It degenerates to the integration with Ens when $M = 0$.
Figure 4. The attack success rate (%) of I-FGSM, MI-FGSM and SI-TI-DIM after integrated with SVRE on different internal step size $\beta$.
shown in Figure 3. A first glance shows that our SVRE has achieved an impressive improvement over Ens ($M = 0$). As the number of iterations increases, the attack success rate increases and reaches the peak at about $M = 16$. We also observe from the convex curve that either too many iterations or too few iterations may cause the adversarial examples to overfit the current model and harm the attack transferability.
**On the internal step size $\beta$.** The internal step size $\beta$ plays a crucial role in improving the attack success rate, as it determines the extent of the data point update in each inner loop. Similarly, we perform SVRE integrated with I-FGSM, MI-FGSM and SI-MI-DIM respectively, fix $\alpha = 1.6$ and let $\beta$ ranges from 0.1 doubled to 25.6. As shown in Figure 4, the performance of SVRE varies with the step size, and the best step size varies for different methods. For a fair comparison, we did not deliberately set different best parameters for each method but choose $\beta = 1.6$. For practical applications, the best step size can be adopted for a specific attack to obtain a higher performance.
**On the number of iterations $T$.** For the same number of iterations, SVRE has more gradient calculations due to its inner loop. To show that the gains of SVRE is not simply from increasing the number of gradient calculations, we perform additional analysis on the total number of iterations. Taking the internal update frequency $M = 16$ and the number of ensemble models $K = 4$ as an example, each iteration requires 4 queries of the model in Ens, while for SVRE, the inner loop requires $16 \times 2 = 32$ additional queries. The overall number of queries for SVRE is 9 times that of Ens. Then, what if we increase the number of iterations for other methods? One can observe from Figure 5 that the attack success rate of Ens-MI-FGSM against black-box models gradually decays with the increment on the total number of gradient calculations, and there is a big gap even when the total number reaches 360. This experiment demonstrates that simply increasing the number of iterations on Ens could not gain the high attack performance of SVRE.
## 5. Conclusion
In this work, we propose a novel method called the stochastic variance reduced ensemble (SVRE) attack to enhance the transferability of the crafted adversarial examples. Different from the existing model ensemble attacks that simply fuse the outputs of multiple models evenly, the proposed SVRE takes the gradient variance of different models into account and reduces the variance to stabilize the gradient update on ensemble attacks. In this way, SVRE can craft adversarial examples with higher transferability for other possible models. Extensive experiments demonstrate that SVRE outperforms the vanilla model ensemble attack in the black-box setting significantly, at the same time SVRE keeps roughly the same performance in the white-box setting.
Compared with broad investigations on the gradient optimization or input transformation attacks, the ensemble attacks are less explored in previous studies. Our work could shed light on the great potential of boosting the adversarial transferability through a better design on the ensemble methods. In future work, we wish our work could inspire more in-depth works in this direction for ensemble attacks.
## Acknowledgements
This work is supported by National Natural Science Foundation of China (62076105) and Hubei International Cooperation Foundation of China (2021EHB011).
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A. Analysis on Training Time
In comparison to Ens, our SVRE introduces an extra loop, which brings additional costs for crafting adversarial examples. The complexity is proportional to the total number of queries, so SVRE is \((2M + n) / n\) times of Ens where \(M (M = 16)\) is the internal update frequency and \(n (n = 4)\) is the number of ensemble models. Note that other efforts for improving the adversarial transferability also introduce additional costs. *E.g.*, SIM [16] makes \(m_1 = 5\) copies of the input for querying, VT [31] samples \(N = 20\) neighborhoods for variance tuning, and Admix [32] randomly sample \(m_2 = 3\) images from other categories and copy each image for \(m_1 = 5\) times. In the light of the improved performance, the additional time cost is acceptable.
B. SVRE with other Advanced Method
To show how SVRE compares to the state-of-the-art black-box adversarial attacks, we further incorporate SVRE with Admix [32], the most recent black-box attack method, and show how SVRE help promote its performance. Specifically, we use SVRE-Admix-TI-DIM and Ens-Admix-TI-DIM to generate adversarial examples, respectively, on the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-152, and test on three adversarially trained models, while the Admix-TIM-DIM base method crafts adversarial examples on the Inc-v3 model.
The results are summarized in Table 4. We can see that the ensemble attack of Ens-Admix-TI-DIM has considerably higher transferability than Admix-TI-DIM, and our SVRE-Admix-TI-DIM further promotes the performance.
C. Visualization on Crafted Examples
In Figure 6, we visualize six randomly selected raw images and their corresponding adversarial examples crafted by Ens-MI-FGSM and SVRE-MI-FGSM, respectively. The adversarial examples are crafted on the ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-152 models. It shows that the adversarial examples crafted by our SVRE method are imperceptible to human eyes.
Table 4. The black-box attack success rates (%) against three adversarially trained models using Admix-TI-DIM as the base method.
| Attack method | Inc-v3\(_{m_{\text{test}}}\) | Inc-v3\(_{m_{\text{test}}}\) | IncRes-v2\(_{m_{\text{test}}}\) | Average |
|------------------------|-------------------------------|-------------------------------|----------------------------------|---------|
| Admix-TI-DIM | 80.8 | 78.7 | 63.2 | 74.3 |
| Ens-Admix-TI-DIM | 96.5 | 96.4 | 93.6 | 95.5 |
| SVRE-Admix-TI-DIM | **98.6** | **98.3** | **96.8** | **97.9**|
Figure 6. Adversarial examples generated by Ens-MI-FGSM and SVRE-MI-FGSM, respectively. The adversarial examples are crafted on an ensemble of Inc-v3, Inc-v4, IncRes-v2 and Res-152 models. |
THE BUFFALO COLLOQUIUM.*
On April 16, 1896, with the approval of the Council, the following circular was issued to the members of the American Mathematical Society:
To the Members of the American Mathematical Society:
At the instance of certain members of the Society, the Council has given its approval to a proposal for a meeting auxiliary to the Summer meeting, to continue for one week subsequent to the regular session, and to be designated as a Colloquium or Conference. The proposal and the reasons for it are briefly the following:
Grounds for the Proposal. The objects now attained by the Summer meeting are twofold; an opportunity is offered for presenting before discriminating and interested auditors the results of research in special fields, and personal acquaintance and mutual helpfulness are promoted among the members in attendance. These two are the prime objects of such a gathering. It is believed, however, that a third no less desirable result lies within reach. From the concise, unrelated papers presented at any meeting, only few derive substantial benefit. The mind of the hearer is too unprepared, the impression is of too short duration to produce accurate knowledge of either the content or the method. The half-hour paper, the twenty-minute paper, or the paper read by title, are forgotten almost before they are finished. The one-hour lectures are more effective, but they too are weakened by the fact of complete novelty. Positive and exact knowledge, scientific knowledge, is rarely increased in these short and stimulating sessions.
On the other hand, the courses of lectures in our best universities, even with topics changing at intervals of a few weeks, do give exact knowledge and furnish a substantial basis for reading and investigation. Lectures followed by reading yield much larger returns for the time expended than unaided reading.
The Plan for a Colloquium. To extend the time of a lecture to two hours, and to multiply this time by three or by six, would be practicable within the limits of one week. An expert lecturer could present, in six two-hour lectures, a moderately extensive chapter in some one branch of Mathematics. With some new matter, much that is old could be mingled, and digests of recent or too much neglected publi-
*Reported by Thomas S. Fiske.
cations. There would be time for some elementary details as well as for more profound discussions. In short, lectures could be made profitable to all who have a general knowledge of the higher Mathematics. The Council has appointed a committee to make the necessary arrangements, and if twenty or more members of this Society desire it, it is proposed to invite each year, beginning with the present summer, some one, two, or three of our eminent mathematical scholars and lecturers to prepare such a short course upon selected topics, usually those upon which they have been working during the year previous. One course of six lectures and possibly another of three would then be arranged on a program for the week following the regular summer meeting, and usually at the same place. This would leave space for discussions, collateral reading and study, for such subsidiary lectures as any members might offer, and for short excursions or other recreation.
Some honorarium should of course be offered the lecturers. It will be understood that each member who signifies his intention to participate in a colloquium agrees to be liable for an equal share, not to exceed five dollars, of the expenses.
This plan, in its general features, has already the endorsement of the members of the Society whose names appear below. You are requested to notify the Secretary before May 10th whether you will attend the proposed colloquium following our meeting on August 31st and September 1st, at Buffalo, N. Y. If so, will you specify some two or three lecturers and topics whose selection would gratify you personally. Such suggestions will be useful for subsequent summers, if not, for any reason, adopted this year.
If enough favorable replies are received to warrant it, the Committee of the Council will attempt to provide a program, announcing it in the May or June number of the Bulletin. Further plans and means will be a proper subject for discussion at the August meeting of this Society.
Henry S. White,
E. H. Moore,
W. F. Osgood,
Thomas S. Fiske,
F. N. Cole,
Alexander Ziwet,
F. Morley.
In a circular published July 14th, by the Committee in charge of the arrangements for the Summer Meeting, the following announcement appeared:
"The Committee in charge of the preliminary arrangements for the Summer Meeting is able to report that definite action has now been taken for holding a Colloquium auxiliary to the Summer Meeting and immediately following the regular session. The Committee takes pleasure in announcing that it has secured, as lecturers for the Colloquium, Professor Maxime Böcher, of Harvard, and Professor James Pierpont, of Yale, each of whom has consented to offer a course of six one to two-hour lectures. Professor Böcher's subject will be Linear Differential Equations and Their Applications; Professor Pierpont's the Galois Theory of Equations. Through the courtesy of the lecturers, the Committee is permitted to give below a preliminary outline, subject to modification, of the ground to be covered in each course.
"Members of the Society intending to take part in the Colloquium are requested to meet in the Lecture Hall of the Society of Natural Sciences, Buffalo, on Wednesday, September 2d, at 9:30 A.M. The management of the Colloquium rests entirely with the participants, subject to the arrangements already concluded by the Committee with the lecturers. The Committee suggests tentatively, as a basis for action, that the Colloquium be held on the four days, Wednesday to Saturday, September 2d to September 5th, three lectures to be given each day, the lectures to be given alternately by the two lecturers, Professor Böcher beginning on Wednesday at 10 A.M., Professor Pierpont following at 3 P.M., Professor Böcher lecturing again at 8 P.M., and so on."
On the morning of September 3d the following persons met to participate in the Colloquium: Professor M. Böcher, Professor J. E. Davies, Professor H. T. Eddy, Professor T. S. Fiske, Miss Ida Griffiths, Dr. J. E. Hill, Professor J. McMahon, Professor W. F. Osgood, Professor J. Pierpont, Professor Oscar Schmiedel, Professor H. S. White, Miss Ella C. Williams and Professor A. Ziwet.
Professor H. S. White was elected presiding officer. It was decided that three lectures should be given on each day, the first at 9 A.M., the second at 11 A.M., and the third at 3 P.M. On one day, however, the afternoon lecture was postponed until evening, in order that those attending the Colloquium might have an opportunity of visiting Niagara Falls. The assessment levied on each of the participants in the Colloquium was fixed at three dollars.
At the close of the last lecture those present expressed their thanks to the presiding officer for his efforts in behalf of the Colloquium, and a motion was adopted recommending
to the Council that arrangements be made for a Colloquium in connection with the next Summer Meeting of the Society. The lecturers have kindly prepared the following brief abstracts of their courses:
PROFESSOR BÖCHER'S COURSE.
The lecturer began by insisting on the necessity, in the study of differential equations, of proving everything and not allowing oneself to be misled into thinking that anything is proved in the ordinary text-books on the subject, such, for instance, as Forsyth; all that is there done being to explain a series of devices by which more or less general solutions of certain special differential equations can be obtained, while the general theorems (for instance, the theorem concerning the number of arbitrary constants in the general solution) are not proved and are frequently stated in a misleading manner.
The work of the course was restricted to equations of the form:
\[
\frac{d^n y}{dx^n} + p(x) \cdot \frac{d^{n-1} y}{dx^{n-1}} + q(x) \cdot \frac{d^{n-2} y}{dx^{n-2}} + \cdots + t(x) \cdot y = 0,
\]
and for the sake of simplicity it was assumed that the coefficients \(p(x), \cdots t(x)\) are single-valued functions. It was pointed out at the start that two different points of view may be taken: 1st, the variable \(x\) may be regarded as complex and the coefficients \(p(x), \cdots t(x)\) as analytic (monogenic) functions, and we may seek analytic functions \(y\) which satisfy the equation; or 2d, \(p(x), \cdots t(x)\) may be regarded as real functions, not necessarily analytic, of the real variable \(x\) and we seek any real function \(y\) which satisfies the equation. The distinction which is here pointed out forms the chief, though not the only, difference between what may be called the classical theory of linear differential equations as expounded in the treatises of Craig, Heffter and Schlesinger, and various sides of the subject which have not yet become classical. The classical theories being already easily accessible, the treatment of them was restricted in these lectures to as narrow compass as seemed compatible with the very great importance of some of the points involved. On the classical side of the theory the following matters were taken up.
The existence of solutions in the neighborhood of non-singular points of the differential equations (\textit{i.e.}, of points at which no one of the coefficients \(p(x), \cdots t(x)\) has a singular point) was established by substituting into the equation a power series with undetermined coefficients and showing that these coefficients can always be determined (the first \( n \) remaining arbitrary), so that the series will satisfy the equation and will converge within a circle reaching out to the nearest singular point of the equation. It was pointed out that even in this simple case Frobenius' proof* is preferable to the proof which is usually given† and which is nothing but the application to the special case of linear equations of Cauchy's general proof of the existence of solutions of differential equations. After pointing out, by the method of analytic extension, that the solutions thus found are the only analytic solutions which the equation can have, the question of fundamental systems of solutions and of linear dependence were taken up the treatment differing from that given by Schlesinger (p. 28–34) in various respects. The subject of regular singular points (Punkte der Bestimmtheit according to Fuchs) was briefly considered‡ as were also the subjects of the group of the equation and of irregular points.
On the non-classical side the existence of solutions was treated by the method of successive approximations used as a proof of this existence theorem for the first time apparently by Peano in 1887,§ but already used as a method of actually finding solutions by Liouville (for equations of the second order) in 1836|| and by Caquè in 1864.¶ It was pointed out that the method also applies to the case where the variable is complex, and there gives a means of representing all branches of the solution instead of merely a portion of one branch, as is the case for solutions in the form of power series.**
Returning to the case of real equations
---
* Cf. Schlesinger: Handbuch der Theorie der linearen Differentialgleichungen, Vol. I., p. 164, where, however, the proof is given for regular points which include the non-singular points as special cases.
† Cf. Schlesinger's Handbuch, Vol. I., p. 21; and Klein: Hypergeometric Functions, Lithograph, p. 49.
‡ For the method of presentation cf. the pamphlet by the lecturer entitled The Regular Points of Linear Differential Equations of the Second Order, and recently published by Harvard University.
§ Translated into French Math. Ann., Vol. XXXII. The method was subsequently generalized by Picard to cover the case of any (non-linear) differential equation, cf. Picard's Traité d'Analyse, Vol. II., p. 301, or a translation by Pringsheim in the first volume of the Bulletin.
|| Liouville's Journal, Vol. I., p. 255.
¶ Liouville's Journal, 2 Série Vol. IX. Caquè's method was simplified and generalized by Fuchs in 1870; cf. Schlesinger's Handbuch, p. 370.
** This seems to have been first noticed by Fuchs in the article just referred to.
the theorem which was established by this method of successive approximations was that if in the interval from $x=a$ to $x=b$ the coefficients of the linear equation of the $n$th order are real and continuous functions of $x$, a real solution $y$, will exist, which is continuous throughout the interval $a,b$, as are also its first $n-1$ derivatives, and which has, together with its first $n-1$ derivatives, arbitrarily assigned values at an arbitrarily chosen point $c$ of the interval $ab$. Quite as important as this theorem is the complementary one that there cannot exist two different solutions which together with their first $n-1$ derivatives have the same values at $c$, and which together with these derivatives are continuous throughout $ab$.*
The next question taken up was the dependence of the solutions of the differential equation upon parameters which enter into the coefficients of the equation. Under certain simple conditions the solutions will be continuous functions of the parameters or, if the variables are complex and the conditions are slightly modified, analytic functions. The theorems here referred to are of importance in many applications to physical questions as the coefficients of the equations which occur in such questions (Bessel’s or Legendre’s equation, for instance) actually involve parameters. Closely connected with the subject is a paper by Sturm in the first volume of Lionville’s Journal some of the chief results of which were treated and applied to a mechanical problem.
The last lecture was devoted to various questions which, although referring, in part at least, to the case of complex variables, have found no place in the classical text-books. The first was Stieltjes’ treatment of the generalized problem of Lamé’s polynomials. This treatment depends upon a mechanical problem in the equilibrium of particles and was introduced into the lectures to illustrate not so much the importance of differential equations to applications as the usefulness of applications in the study of differential equations. The subject was presented in an even somewhat more general form than the lecturer had used in his book: *Ueber die Reihenentwicklungen der Potentialtheorie*, p. 215.† Finally the subject of the resolvents of differential equations
* For two different proofs of this theorem cf. Picard’s *Traité d’Analyse*, Vol. II., p. 299, and Jordan’s *Cours d’Analyse* (revised edition), Vol. III., p. 93.
† Reproduced in Klein’s lithographed notes: *Ueber lineare Differentialgleichungen der zweiten Ordnung*, p. 202.
was briefly touched upon* while the very important questions connected with the conformal representation by means of Schwarz's $s$-functions were dismissed with a mere mention, this subject being now tolerably accessible chiefly through the writings of Klein and his pupils.†
In conclusion, it should, perhaps, be mentioned that in the lectures differential equations of the second order were used almost exclusively. This was necessary in some parts of the course where the results do not apply to equations of higher order, while in other cases (for instance, in the discussion of the logarithmic cases of regular or irregular points) the restriction to equations of the second order made it possible to avoid somewhat lengthy discussions, without, however, obscuring the main facts. In most cases, however, this restriction had as its only object to make the formulae used shorter, and, therefore, more easily grasped but not essentially simpler. Moreover it should not be forgotten that equations of the second order are the ones which actually occur in physical and astronomical problems.
PROFESSOR PIERPONT'S COURSE.
Professor Pierpont commenced by developing the few simple algebraical and substitution-theoretical notions and theorems underlying the Galoisian theory. This accomplished he discussed the Galoisian resolvent and group of an equation for a given domain of rationality, and determined the groups of certain equations which were to be employed later. It was next shown how the Galoisian theory enables us to make the solution of a given equation depend upon a system of resolvents whose roots were rational in the roots of the given equation while their coefficients were rationally known; and among the unlimited number of such systems those corresponding to a series of composition were particularly examined. The groups of such resolvents were shown to be simple, those equations corresponding to subgroups of prime indices were found to be cyclic and their algebraic solution was effected. From this followed that if the factors of composition were all primes the equation could be solved algebraically. As an illustration, the solu-
* For two examples of such resolvents cf. Klein's: Hypergeometrische Funktion, p. 250 and p. 269. Another equally important resolvent is the one (linear of the third order) satisfied by the product of any two particular solutions of a linear equation of the second order.
†Cf., for instance, Klein's Hypergeometrische Funktion from p. 250 to the end.
tion of the biquadratic by means of a series of composition was effected.
To penetrate more deeply into the Galoisian theory we must consider the effect produced on the Galoisian group of an equation on adjoining the roots of resolvents whose roots are not necessarily rational in the roots of the given equation. Here a theorem of Kronecker's is fundamental:
If $f=0$ and $g=0$ be two rational irreducible equations in a given domain of degrees resp. $m$ and $n$, and if the adjunction of a root $y_0$ of $g=0$ makes $f$ reducible, the adjunction of a root $x_0$ of $f=0$ makes $g$ reducible. If $\alpha$ be the degree of the irreducible factor $f(x, y_0)$ having $x_0$ for root, and if $\beta$ be the degree of the irreducible factor $g(y, x_0)$ having $y_0$ for root then
$$m \beta = n \alpha.$$
From this theorem a number of corollaries were easily deduced:
Cor. I. If the adjunction of a root of an irreducible equation $g=0$ of degree $n$ reduces the group of an equation $f=0$ to a subgroup of index $r$, then $n$ is a multiple of $r$ and hence never less than $r$.
Cor. II. If $n=r$ and this is the case when $n$ is prime the roots of $g=0$ are rational in those of $f=0$.
Cor. III. If the adjunction of the roots of $g=0$ reduce the group $F$ of $f=0$ to $F_1$, the adjunction of the roots of $f=0$ reduces the group $G$ of $g=0$ to $G_1$. The index of $F$ under $F$ and $G_1$ under $G$ is the same, the groups $F$ and $G_1$ are invariant subgroups and the quotient groups $F|F_1$, $G_1|G_1$, are holoedric isomorph, i.e., abstractly identical.
Cor. IV. When $G$ is simple the roots of $g=0$ are rational in those of $f=0$, and $G=F_1F_1$.
From Cor. I. follows that whenever a reduction of the group of an equation takes place on adjoining a root of a binomial equation of prime degree $p$, the $p$th roots of unity lying already in the domain, it must be reduced to an invariant subgroup of index $p$. From this follows that it is not only sufficient but also necessary that the factors of composition be all primes in order that an equation can be solved algebraically.
From this corollary follows also Abel's theorem that whenever an equation can be solved algebraically it is possible to give the expression of the root such a form that all radicals entering it are rational in the roots of the given equation and the roots of unity.
From this finally follows the theorem that the general equation of degree greater than four does not possess an algebraic solution. In regard to this, attention was called to Dirichlet's criticism that while no algebraic solution exists while the coefficients were independent variables, still every concrete equation, with integral coefficients might possess an algebraic solution. In reply to this, reference was made to a paper of Hilbert's in the 110th volume of *Crelle*, where it is shown that this is not possible.
The problem of the algebraic solution of general equations beyond the fourth degree is only one of a number of celebrated problems of the past which the Galoisian theory easily disposed of. Among these Professor Pierpont treated the following:
1. The Delian problem or the duplication of the cube.
2. The trisection of a given angle and the general case dividing by \( n \).
3. Gauss' theorem on the geometrical construction of regular polygons.
4. The casus irreducibilis.
To this end it was necessary to demonstrate the theorem that it is possible only then to lay off by rule and compass a line when its length can be expressed rationally in the roots of a sequence of equations of second degree, the original domain being \( R(1) \); and also to deduce two new corollaries from Kronecker's theorem, viz.:
Cor. V. Irreducible equations of degree \( 2^n \) only can be solved by square roots.
Cor. VI. Irreducible equations with real roots of degree \( 2^n \) only can be solved by real radicals alone.
In developing the Galoisian theory, Professor Pierpont had taken pains to show that all the steps required by the theory could in every concrete case be actually executed. Two problems, however, remained: the determination of the Galoisian resolvent, and the group of an equation for a given domain. No method had been indicated to obtain the resolvent, and the method given to find the group depended upon a knowledge of properties of the roots of the given equation which often might be altogether unknown, e.g., in case of an equation with integers for coefficients, the domain being generated by some algebraic number. Here the methods used to dispose of these fundamental problems were those indicated in Kronecker's Festschrift and developed by Molk, Stolz, Bolza and Weber. It was first shown how an integral rational function of several variables could be decomposed into its irreducible factors in a natural domain \( R \), and it was demonstrated that this decomposition
was unique. Such a method permits us to find the Galoisian resolvent of an equation for a natural domain; to find it for a derived domain $R'$, it was first shown that every such domain could be replaced by one generated by a single irrationality $y_0$ root of an irreducible equation $g(y) = 0$, whose coefficients lay in $R$. The irreducible factors of a polynom $F(t)$ for the domain $R' = (R, y_0)$ may now be found as Wirtinger observed, as follows: Replace $t$ by $t + uy_0$, where $u$ is an indeterminate; if now
$$F(t + uy_0) = G(t, y_0) H(t, y_0)$$
the norm
$$N = II F(t + uy_0) = II G(t, y_0) II H(t, y_0),$$
the products being extended over all the roots of $g = 0$, is the product of two rational factors in $R$. Should now $N$ be irreducible in $R$, $F(t)$ is certainly irreducible in $R'$. To break $F(t)$ into factors rational in $R'$, we have simply to find the greatest common divisor of a divisor of $N$ and $F(t + uy_0)$.
Having shown how the Galoisian resolvent for a given domain may be found, we obtain the Galoisian group as follows: Take
$$V = u_1 x_1 + \cdots + u_n x_n$$
to build the Galoisian resolvent, the $u$'s being indeterminate. Let
$$F(t; u_1, u_2 \cdots u_n)$$
be the Galoisian resolvent, considered as a function of the $u$'s; let
$$\gamma = \begin{pmatrix} u_1 & u_2 & \cdots & u_n \\ u_{i_1} & u_{i_2} & \cdots & u_{i_m} \end{pmatrix}$$
be a substitution, leaving $F$ unchanged, then
$$g = \begin{pmatrix} x_1 & x_2 & \cdots & x_n \\ x_{i_1} & x_{i_2} & \cdots & x_{i_m} \end{pmatrix}$$
is a substitution of the Galoisian group and this embraces only such substitutions.
At this point only one lecture was left and it was decided that this be devoted to the equations upon which the division of the argument of the elliptic function depends; a method essentially the same as that given by Weber was
employed. Attention, however, was called to a fundamental paper of Hölder's in the 34th volume of the *Annalen*. It is important from the Galoisian standpoint: 1, as showing the character of the essential elements of any system of resolvents in which the roots of the given equation can be rationally expressed; 2, as making it imperative to enlarge the notion of a group from a substitution-group whose elements are concrete substitutions on the roots of an equation to a group whose elements are not explicitly given, but merely the laws of their combination.
Professor Pierpont regretted that time did not permit him to develop the theory of finite groups from this abstract standpoint and to touch upon some of the beautiful results obtained by Frobenius, Hölder, Cole and others. The importance of these methods and theories not only for the Galoisian theory, but for many other branches of mathematics, makes it desirable that they be made the subject of a future colloquium.
A GEOMETRICAL METHOD FOR THE TREATMENT OF UNIFORM CONVERGENCE AND CERTAIN DOUBLE LIMITS.
Presented at the Third Summer Meeting of the American Mathematical Society.
BY PROFESSOR W. F. OSGOOD.
The geometrical representation of functions by curves and surfaces is of two-fold importance; for not only does it represent to the eye by means of a concrete picture relations which would otherwise appear only in abstract arithmetic form, but this picture in its turn makes evident new facts and points out at the same time the course that the arithmetic proof of the theorems thus suggested would naturally take. The value of this method for the purposes of instruction alike in elementary and advanced infinitesimal calculus, as well as in analysis generally, can hardly be overestimated. How can the conception of the function be better explained than by such an example as a temperature curve? What better means is there for making clear the idea of the implicit function — $y$ defined implicitly as a function of $x$ by the equation $f(x, y) = 0$ — than by cutting the surface $z = f(x, y)$ by the plane $z = 0$? And how valuable is the surface $u = \varphi(x, y)$ when the differential of a function of two independent variables is introduced! |
CLANDESTINE SERVICES HISTORY
(TITLE OF PAPER)
CIVIL AIR TRANSPORT (CAT)
A PROPRIETARY AIRLINE
(PERIOD)
1946 - 1955
DO NOT DESTROY
Date published: April 1969
Controlled by: SO Division
Copy #2 of 2 copies
Date prepared: April 1967
Written by: Alfred T. Cox
SECRET
NOTICE
1. This historical paper is a permanent part of the Clandestine Services History, and may not be destroyed.
2. It is included in the "Catalog of CS Histories" maintained by the Clandestine Services Group of the Historical Staff (HS/CSG), O/DCI.
3. If this document is moved from the office of control appearing on the front of this cover, the DD/P Representative, Historical Staff, O/DCI, should be immediately notified of the new office of control.
CLANDESTINE SERVICES HISTORY
CIVIL AIR TRANSPORT (CAT)
A PROPRIETARY AIRLINE
1946 - 1955
Copy No. 1 of 2: SOD
Controlled by: SO Division
Date written: April 1967
Copy No. 2 of 2: DDP
Date published: May 1969
Written by: Alfred T. Cox
CAT MANAGEMENT AND CONCLUSIONS
I. CAT MANAGEMENT ACTIVITIES ........................................ 1
Management, Legal, Fiscal and Accounting Aspects .................. 1
CIA/CAT Field Accounting ........................................... 70
Security ....................................................................... 81
Communications ................................................................ 95
Establishment of the in CAT - 1954 .................................. 102
II. CONCLUSIONS REACHED .................................................. 107
Value of CAT as an Operational Asset .............................. 107
CAT Support of Agency Requirements ................................. 107
Covert Transportation in Support of CIA Activities ............... 107
Logistical Support of CIA Stations in the Far East ............... 110
CAT as an Instrument of National Policy ............................ 110
Other Activities ................................................................ 112
III. REFERENCES ........................................ 157
Volume III
PRINCIPAL CAT/CIA PROJECTS AND ACTIVITIES
THE PICKUP OPERATION .................................. TAB J
INDOCHINA - LIMITED VICTORY IN 1953 -
DIEN BIEN PHU AND DISASTER IN 1954 ................ TAB K
THE CATHAY-PACIFIC (CPA) INCIDENT .................. TAB L
CAT INTERNATIONAL AND DOMESTIC OPERATIONS -
SCHEDULED AND NON-SCHEDULED ........................ TAB O
ENGINEERING AND MAINTENANCE .......................... TAB P
PERSONNEL AND TRAINING ............................... TAB Q
Note. Reference bibliographies, when used,
are at the end of each tab.
Volume IV
REPORTS OF INTERVIEWS
I. INTERVIEW WITH MR. [Redacted] ........................................ 1
II. INTERVIEW WITH MAJOR GENERAL W. RAY PEERS .................. 13
III. INTERVIEWS WITH MRS. LOUISE WILLAUER ....................... 25
IV. INTERVIEWS WITH MR. THOMAS G. CORCORAN .................... 35
V. INTERVIEW WITH MAJOR GENERAL WILLIAM E. DEPUY, USA ....... 70
VOLUME II
CAT MANAGEMENT AND CONCLUSIONS
I. CAT MANAGEMENT ACTIVITIES
Management, Legal, Fiscal and Accounting Aspects
The name CAT has been generally accepted as being indicative of the operating airline as such, regardless of the particular form of corporate structure it may have had at any given time. There was, of course the partnership of Chennault and Willauer, the Chinese company holding the franchise in the name of Chennault and Willauer, Civil Air Transport, and later, the Delaware corporation, CAT, Inc. In addition, there have been other corporate entities which have been concerned with the basic operation of the airline and have received the designation of CAT.
When CAT was forced to evacuate from Canton to Hong Kong on 13 October 1949, its fiscal records and accountings were in an almost unbelievably chaotic condition. Many of the records had been lost, and such records as were kept were incomplete. Various stations upcountry, holding out until the last minute and then having to flee precipitously, were not able to furnish to the home office adequate accountings for funds that had passed through their hands and of expenditures.
that had been made. The accounting situation was further complicated by the wild inflationary effects of the fall of the mainland and the problems of conversion of various foreign currencies into U.S. dollars. Many of the CAT expenditures had to be paid in U.S. dollars, such as salaries to Americans and payments for gasoline and other petroleum products. It was only on rare occasions that customers on the mainland were able to provide U.S. dollars in payment of their bills.
The value of currencies in the free money exchange market in Hong Kong varied greatly; although the Hong Kong currency, itself, was felt to be reasonably stable, the cost of conversion of Hong Kong dollars to U.S. dollars varied from day to day. During the fall and winter of 1949 and early 1950, the rate of exchange approached 6.70 Hong Kong dollars for 1 U.S. dollar. The Chinese currency was generally without value. The new Taiwan currency had a fixed legal rate, but this was unrealistic and there was a rather active black market. These and many other contributing factors made it almost impossible to furnish any accurate record of the true financial position of the airline in October 1949.
Also, it had been impossible to maintain an accurate inventory of the airline's assets. Every evacuation meant some loss of material, or investments in office furnishings, etc. Last minute evacuations forced material to be hurriedly crammed aboard the LST or the barge "The Buddha", or to be flown out, on a space available basis, on CAT aircraft.
The titles of the various senior officers in CAT varied from time to time, but each individual will be treated in respect to the actual functions with which he was charged, rather than by reference to the title he held as of any particular moment. Brennan was responsible for the functions of Legal Counsel, Secretary and Treasurer of the company, and later Executive Vice-President. He had been a confidential secretary and advisor to T.V. Soong, a most prominent Chinese financier and industrialist related by marriage to Generalissimo Chiang Kai-shek. Brennan had joined the CAT organization shortly after it came into being, and was generally considered to represent the Corcoran and Youngman interests in the airline. He had had legal training and was quite adept at dealing with the British and Chinese governments. His principal assistant in the office of the Treasurer was Mr. Earl Willoughby, whose
background lay in financial matters. The chief accountant was Mr. Sam Tweedie, a British citizen who, after serving in the RAF for over 20 years, had had considerable accounting experience in China.
The physical conditions at the time were extremely difficult. The population of the Colony had greatly expanded due to the influx of refugees from the mainland. Housing was extremely difficult to obtain and extremely expensive. Although ostensibly the Hong Kong Government had imposed rent controls of a certain nature, these were offset by the device known as "key money." One might find an apartment available at a monthly rental that, although high, was not entirely out of reach, but in order to obtain the key to the apartment, one might have to pay sums ranging up to $15,000 to $20,000 (U.S.) as "key money." There always was, of course, the possibility that if one desired to relinquish the apartment or house, one might be able to regain his "key money" by, in turn, holding up any prospective tenant.
CAT management offices in Hong Kong were initially located in what was termed the "Goldfish Bowl." A large completely glass-enclosed office on the mezzanine of the Gloucester Hotel, it afforded no privacy from
the casual onlooker. Various departments including the accounting department, were scattered throughout the Colony, mainly on Victoria Island, in a number of residential apartments, the only properties available at the time and quite expensive. The CAT employees, particularly the Chinese, had great difficulty in obtaining residences for themselves and their families, and then usually at an exorbitant price. Eventually CAT was able to obtain almost the entire ground floor of a residential apartment house located at some distance from the business center of Hong Kong, but the location proved to be quite worthwhile, and it was possible to concentrate most of the CAT offices at that location. The cellar was also renovated to provide additional office space.
Consideration had been given to moving the CAT headquarters and its central offices to Taipei, and Chennault, who felt uncomfortable in the British atmosphere of Hong Kong, was somewhat in favor of such a move. There were, however, many things that militated against this move at that time. The future of Taiwan was extremely uncertain; particularly in view of the fact that U.S. national policy was still rather strongly opposed to the Generalissimo and the KMT.
government, and there were no assurances that the U.S. Government would take any preventive action against a Communist invasion of the island. The controls that the Chinese Government might impose on CAT with regard to currencies, taxes, conversion of currencies into U.S. dollars, etc., were unknown factors, but there was every reason to believe that the Nationalist Government would continue to raise difficulties. Cox's cover assignment required that he be close to top management, and his OPC responsibilities were mainly concerned with action in Hong Kong (propaganda, Third Force, etc.).
About the time of Cox's departure from Headquarters on 3 October 1949, a series of discussions had been held with Chennault and Corcoran with regard to drawing up an agreement between OPC and CAT to set the terms under which OPC would contract for CAT services and provide financial assistance over a period of time to be determined later. Immediately after Cox's departure, further meetings and discussions were held on the subject between Corcoran and OPC representatives, which eventually culminated in the purchase of the airline by the Agency. The field was kept generally advised of the nature of these discussions, but was not really knowledgeable of the course of events. Even now it is
difficult to reconstruct these negotiations. The files located thus far are scattered and difficult to correlate. In many instances memoranda are available which make specific recommendations, but it has not been possible to determine to what extent some of these recommendations were approved and carried out.
The most detailed and illuminating documents on the subject is a report prepared by Mr. [redacted] (then a consultant of OPC) at the request of Mr. Wisner. [redacted] report covers the history of CAT and the CAT/Agency relationship from the formation of the airline in late 1946 through the period of January 1951. [redacted] has broken down this time period into five phases. He recounts the chronological history of each phase and then critiques it. It is the writer's judgment that this document is the fairest and most objective evaluation of the events of the period covered. Blame is shared equally by all concerned but without recrimination. The writer is indebted to Mr. [redacted] for this paper since it brings to light a number of events which occurred during the course of the negotiations, and it has added embellishment to others. This document is a basic reference for much of the following remarks, and where appropriate a page number in parenthesis will
During the month of October 1949, there were a series of meetings (pp 9-12) between Agency representatives (OPC General Counsel and the Office of Finance normally attending), which resulted in the execution of a contract between the United States Government and CAT on 1 November 1949. The contract contained a number of provisions, the major ones being:
a. The movement to and the establishment of an air base on Hainan Island adequate for governmental operation, with all construction and expense items to be approved by representatives of the government.
b. Agreement to reimburse CAT for the amount of its operations and losses to 31 January 1950, up to the amount of less the base establishment expenses.
c. CAT to give the government first priority on government hauls for the period 1 November 1949 to 1 November 1950 at rates prescribed by a formula to be devised.
d. Right of the government to inspect the books and approve expenditures. The handling
and control of supplies and equipment for the facilities paid for by funds provided by the government were protected by stipulation in the contract. Payment of the [ ] in accordance with a 1 November 1949 agreement executed between the U.S. Government and CAT, was made in four installments during the period 2 November 1949 to 8 February 1950.
On 7 November 1949, Mr. Emmet Echols wrote a memorandum on the financial aspects of this contract (p. 13) which, after approval by Lt. Col. Richard Stilwell, Chief FE/OPC, was sent to Mr. Wisner. Echols stated that in time it would be necessary to provide a financial technician for the project. The technician's responsibilities enumerated were: to ensure that adequate financial records were maintained so as to provide data that was essential to the administration of the contract; to segregate the items for which subsidy payments were applicable from those for which subsidy payments were not applicable; to determine transportation rates; to obtain concurrence of the OPC Chief of
Field Activities that the items directly chargeable to the government accounts were operationally necessary, and to act as OPC Finance Officer for confidential funds.
The Agency contracted with a certain financial analyst, to proceed to the Far East and undertake a study of the financial aspects of the CAT operation. Apparently just prior to his departure on 14 November 1949, he turned over several classified books, unwrapped, to a hotel clerk instructing him to call the Agency and have someone pick up the books. This was considered a serious breach of security (p. 13). On 18 November 1949, a cable was sent to Cox on this security breach, authorizing him, at his discretion, to return at any time. reports that this cable had apparently been confusing and that Cox had been uncertain as to whether he should even meet until the whole situation was clarified. (There was, however, no particular confusion in the mind of Cox, and was given every cooperation by CAT management and proceeded with his study.)
returned to Washington on 28 January 1950 (p. 15), and submitted a report of about 15 typewritten pages describing the CAT organization,
operations, financial position, and personnel in general terms, and recommending among other things tightening up in almost every phase of the business. [ ] recommended the appointment of a managerial vice-president, the installation of a sound accounting system and a set of financial records. He was debriefed and his services terminated.
It was [ ]'s observation that [ ] was held in low esteem in Headquarters, and that his opinion was not given much weight. Certainly it should not have required two months to make the rather general recommendations which were put forth [ ]. They could have been made without even the necessity for a trip to the field. These deficiencies had been well noted by the old CAT management (Chennault, Willauer, Corcoran and Youngman).
On 20 December 1949, Mr. [ ] arrived in Hong Kong as the financial technician representing CIA's financial interests as recommended by Echols (p. 14). (The files with regard to [ ] have not been very informative since the material goes back only as far as 1952 when [ ] returned from the field.)
At the request of the writer, [ ] has contacted various officers of the Office of
Finance who were in Headquarters at the time, and it is their best recollection that [redacted]'s background had been almost entirely in government accounting, with which he was thoroughly familiar, but that he had not had any experience in civilian corporation accounting.
[redacted] but because of the long delay in obtaining a financial technician for the CAT requirement, he had been requested to undertake the assignment. It was recalled that he was extremely reluctant to do so, stating that he did not feel that he was competent to effectively carry out his mission, and it was with this reluctance that he accepted the assignment.
Initially, Cox had been sent to the field on a TDY basis with a general understanding that he would be gone two or three months, depending on the situation at the time. He returned to Headquarters in January 1950, and at that time was asked by Mr. Wisner and Stilwell if he would be agreeable to returning to the field on a PCS basis. His reply was that this was entirely agreeable, providing his family could join him in Hong Kong, and providing that assistance be given in the form of additional expertise on the fiscal side of management and the establishment of a suitable person, a junior
officer, who could keep records and prepare the necessary monthly accountings for the expenditure of Agency funds. It was promised that this assistance would be forthcoming as rapidly as possible.
Although [redacted]'s basic responsibility lay with the control of Agency funds provided to the airline and he was not to function as either the CAT chief accountant or treasurer, it was expected that he would be in a position to furnish some kind of reports on the financial operations of the company. On 3 February 1950, he submitted a very short informal report covering the months of November and December (p. 16). The basic elements of this report were the income and expenditures during this period and the base construction costs incurred at Hainan in November and December.
During the months of February and March negotiations continued with regard to either the possible purchase of, or the further subsidization of, CAT for a six-month period [redacted]. This proposal was taken up before what was known as the "little NSC." (N.B.: Exactly what is meant by "little NSC" is not clear, but it probably consisted of very highly placed representatives of State, Defense, and
that, in [redacted]'s opinion, CAT should carry on as it was until 30 June with "additional controls now being effected." Willauer and Cox concurred that his return would better serve OPC interests, especially in terms of long-range security.
OPC reluctantly agreed, mainly on the representation [redacted]. His return was authorized on 22 April, and he departed from Hong Kong on 29 April. In point of fact, [redacted] was not the overriding reason for Willauer and Cox recommending his return. [redacted] had been simply overwhelmed by the enormity, complexity, and the chaos of the situation in which he found himself on coming to the Far East in December 1949. His health was definitely beginning to suffer, and it was questionable whether he could work effectively until 30 June.
In April OPC retained [redacted] to make a survey and an evaluation of CAT assets. He departed for Hong Kong on 26 April 1950 (p. 22). [redacted] had been in touch with the Agency earlier in 1949 when consideration was being given to having [redacted].
This would have given Rosholt communications upcountry while on his fact-finding mission to China in the summer of 1949. This proposed venture was never implemented.
Spent approximately a month in Hong Kong and, on his return to Headquarters, submitted a very comprehensive report which restated the excellent operational record of CAT in the past and outlined future CAT prospects. He also provided a general inventory of all the assets which, combining tangibles and intangibles, aggregated $8,400,000, although the basis for this evaluation is not clear (p. 23).
Negotiations were continued, all more or less directed toward the eventual purchase of the airline by the Agency. Under terms of purchase, the handling of certain optional rights were to revert to Chennault and Willauer; later this was changed to Willauer and Brennan. The actual sale was accomplished on 23 August 1950. The CAT assets were transferred to a new operating corporation, CAT, Inc.,
adjusted for advances previously given in order to keep the airline alive until the actual purchase was consummated. An executive management contract was made with Willauer to cover a period of two years (pp. 23-24).
At the same time a letter was directed to Willauer and Brennan granting to them an option under certain conditional terms. The option gave them the right to purchase all of the capital stock of CAT, effective 1 July 1952 and until 1 July 1955, for plus all working capital or loans advanced in behalf of the United States. The option, joint and non-assignable, terminated with the death of either party, or on the voluntary termination of their services. Should the airline be disposed of before 1 July 1952, Willauer or Brennan would be given an opportunity to buy the assets before they were offered to any other purchaser (pp. 24-25). At a later date this option agreement was revised to give Brennan and Willauer rights of first refusal without a time limitation.
was appointed to act as treasurer of CAT and left for his second assignment to Hong Kong on
10 September 1950 to assume fiscal control for OPC.
For reasons of their own, the Corcoran group did not reveal to the Agency for some time the true ownership interest in CAT. It was known that the Kin Cheng banking group had been given a substantial ownership interest in return for their provision of the initial working capital which permitted CAT to operate. The Willauer papers at Princeton University indicate that this ownership was 40 percent of the company. It was known that Americans other than the Corcoran group were involved, particularly one L.K. Taylor. Taylor did not actively participate in the airline operations but ran a trading and export and import company known as the Willauer Trading Company which did a substantial amount of business in the interior of China, having a preferred position for space on CAT aircraft going inland and returning to the various ports.
Corcoran was able to purchase the interest of the Kin Cheng banking group rather quickly because the group members were anxious to disassociate themselves from CAT and the Nationalist Government in order to try to make an accommodation with the ChiComs to safeguard their interests on the mainland. The interests of the Corcoran group, of course, were bought out with the purcha
of the airline by the Agency. Later it developed that the bulk of the remaining stock was owned by Rio Cathay S.A., a company wholly owned by the Corcoran brothers and Mr. William B. Youngman, and that the ownership actually held by Chennault and Willauer was minimal.
Taylor, who at best can be described as a cantankerous individual, balked at selling out his part of the ownership of CAT for the price that he was offered by Corcoran. Attempts were made to reach some kind of agreement but Taylor was adamant. In early November of 1951, he advised that he was bringing suit against Corcoran and others in Taiwan, claiming that he had not received his share of proceeds from the sale of CAT. Minister Karl Rankin was requested by the Department of State to call Taylor in and make strong representations to him that his proposed suit would be harmful, not only to CAT but to American interests in general. This was done by the Minister, but Taylor indicated that he intended to continue with his suit.
Fortunately, however, Willauer and Taylor finally were able to reach an agreement and the suit was never heard. It is the writer's belief that one part of the eventual agreement was that the Corcoran group would join with Taylor in attempting to set up an exportimport operation similar to the Willauer Trading Company in the interior areas of Pakistan.
Early in September of 1950, the BOOKLIFT contract (p. 26) was negotiated with FEAF to provide airlift in support of the UN efforts in Korea. As a result of this contract, CAT had built up to 1,665 flying hours in September, 3,480 hours in October, and about 4,000 hours for November. Unfortunately, this did not represent as much of a profit as might have been expected. The expenses involved in building up almost overnight from a 400- to 600-hours level to the 4,000-hour level per month were quite heavy. It involved transportation costs for bringing additional personnel to the field, activating aircraft that had been in storageable condition for several months, etc.
[ ] summarizes the position of CIA's interest in CAT as of January 1951 as follows (p. 28):
"CIA has spent [ ] to meet CAT's operating losses from November 1949 through September 1950 and spent an additional [ ] to purchase the CAT Airline. It now owns and operates the airline subject to a provisional option to buy effective 1 July 1952. OPC has a fiscal representative serving in CAT and one man serving as the Vice-President and also doing OPC operational work but required to devote a large part of his time to the business operations of CAT. OPC has no business
representative as such in CAT. It is understood that all CAT bank checks must be countersigned by [blacked out].
concludes his report with a long series of recommendations which were not sent to the field (p. 32). Fifteen years later a review of these recommendations was made by Cox to see how many were actually implemented, the time lag between the acceptance of the recommendations and their actual implementation, and whether or not, in the light of events, the recommendations still had validity.
In general terms the recommendations called for:
a. The dispatch to the field of a competent individual with a financial and business background. This individual would be sent to the CAT offices for the purpose of undertaking a detailed study of the accounting and fiscal procedures within the airline, and to determine when it might be expected that improvements in the financial reporting could be effected. Also to report on the efficiency and competence of the officers and supervisory personnel of the CAT organization, including [blacked out] to ascertain as accurately as possible its present financial position.
b. The execution of certain documents in order to bring the records into accordance with accepted business and legal procedures.
c. The initiation of action to recruit suitable personnel for responsible executive positions with CAT. Included in this was the recommendation that Cox be relieved of all management duties except those necessary to maintain cover.
After reviewing the above, Cox can only comment generally that those recommendations applicable to the field were painfully slow in implementation, mainly because of failure to promptly dispatch qualified personnel to the field and, with regard to fiscal and accounting problems particularly, the poor caliber of people who finally did arrive.
Ironically, on the same date that [ ] submitted his report to Mr. Wisner, Cox, who was in Headquarters, was being requested by Mr. Wisner and Stilwell to return immediately to the field in order to assist in the implementation of three major projects: [ ] For a number of months, Cox was kept in an almost continuous travel status and often logged as much as 250 hours of air
travel during a month. All three projects called for the provision of air support. It was necessary that Cox handle this CAT support for OPC operations, and in addition, he had a considerable amount of responsibility for CAT management. Willauer's health was not too good and he was spending considerable amounts of time in the States. Therefore, Cox did not notice any decrease of his management duties, which had been more or less forced on him.
There were frequent periods in which it was necessary for Cox to assume not only the title but the responsibility as acting president of the airline. Almost all operational problems could be handled by his immediate subordinates, C. Joseph Rosbert, Hugh Grundy and Robert E. Rousselot. Traffic and sales problems were being handled in an excellent manner by A. Lewis Burridge, Var Green, and other competent personnel. It was mainly on the fiscal and accounting side of airline operations that continued difficulties were encountered.
Both Cox and [redacted] urgently requested that Headquarters provide additional assistance in the Accounting Division. Some assistance was forthcoming in early 1951 when [redacted].
arrived in Hong Kong for assignment to the Accounting Division. After a short period of familiarization, [ ] was dispatched to Tokyo to take over supervision of the accounting functions for Japan and Korea. [ ] remained in Hong Kong to serve as a principal assistant to [ ]. Headquarters indicated that both had been cleared by Security, but that they had not been made witting of the Agency interest and ownership in the airline. There seemed to be no reason for the field not to accept them at face value, although it was noted that [ ] had a propensity to drop casually the names of Senators John J. Sparkman and Lister Hill of Alabama with the inference that he could be considered their protege. Later this was denied as neither senator knew [ ] or was aware of his employment by CAT.
On a routine visit to Tokyo in July of 1951, Cox noted that [ ] in addition to his responsibilities for CAT accounting, appeared to be involved in a number of extracurricular business activities some of which were of considerable magnitude. It appeared that other CAT personnel were involved to the extent of making investments in the activities with which [ ] was concerned. Cox therefore cabled Washington
requesting a summary background on [ ] with particular reference to his private financial status. A reply was received from Headquarters on 14 August 1951, indicating that the check on [ ] had revealed no derogatory information.
In mid-summer 1951 an audit team from the firm of [ ] arrived in Hong Kong to make the first audit of the CAT books. Mr. [ ] was the chief auditor. A member of the team was Mr. [ ] (now deceased), a CIA staff employee with the Office of Finance. Mr. [ ] responsibilities were, [ ] to review the operational handling of CIA funds and to assist in establishing better procedures and accounting reports than it had been possible to submit up to that time. He was also to observe actual conditions in the field in order to make recommendations as to expenditures which often had to be estimated rather than fully documented.
The audit team spent approximately three months in going over the CAT books, and, during the course of their audit, physically visited all of the major airline stations and bases. After concluding their field audit, they returned to the States to prepare their final report.
Despite the presence of the audit team during the late summer and early fall of 1951, there did not seem to be any diminishing of extracurricular activity. Cox began to receive reports, originating with that was engaged extensively in the black market, activities which later involved Burridge. Burridge was one of the most able and vigorous young CAT executives. Although it became necessary to terminate him because of what was considered evidence that he had used company funds for black market activity, there was no evidence that he had in any way embezzled funds. In February 1952 Willauer was requested to meet with to discuss with him his extracurricular activities and to pave the way for terminating employment. This meeting was held in Tokyo on 25 February 1952.
Willauer informed that numerous statements about outside activities had been called to his attention, and he wished to give a full opportunity to present his side of the case before further action was taken. indicated that this was agreeable to him also, stating that he was willing to resign, but did not desire to do so while under fire.
He described his outside activities as follows:
a. An apartment house, restaurant, etc., belonging to Allied Industries Corporation. This apartment house was financed indirectly from funds largely supplied by CAT pilots and operations executives stationed in Tokyo. [ ] stated that he owned one-seventh of this venture and was the treasurer of the company. He said that the company had extra capital and was currently moving into the moving picture business in a small way and considering other small investments in anything that looked profitable.
b. Gulf Coast Asiatic Company. [ ] owned 50 percent of the company, which had an office in Tokyo and in New York. It had a full-time staff of 22 people in Tokyo and a full-time manager, Mr. Arthur Buckley, who was part Japanese and part British. The major portion of the company business was in furnishing meats, vegetables, and fruits to U.S. military installations including the fleet at Yokosuka, and at various airbases. It
did business with the PX's in pearls, popcorn vending machines, and other items procured in Hong Kong, etc. It also had a stateside pearl business located in New York City. It operated as commission agent for a number of commodities.
c. The Orient Publishing Company and the Orient Printing Company. [ ] owned 50 percent of each of these companies. In the section on Propaganda of this paper (Volume I), it was noted that Ed Hunter had advanced $10,000 without authorization to Marshall Staynor for the establishment of these two companies, which were jointly owned by [ ] and Staynor.9/
d. Gulf Coast Trading Company, Inc. The company was not active at the time but expected to become active shortly. It would concentrate on the shipment of consumer goods from Japan to Korea.
e. Marco Polo, Inc. A joint venture with Marshall Staynor designed for a general import-export business into Hong Kong, but apparently doomed for lack of capital.
f. [ ] stated that he was negotiating many other deals but did not have money invested in them as yet. He was looking into one venture involving lacquer.
[ ] maintained that he had always fully discharged his duties with CAT and had never done any private business on CAT's time or using CAT's facility. He stated that he had been complimented on his work, and to his knowledge there was nothing derogatory on him in the files.
As a result of the [ ]-Willauer interview, Willauer advised [ ] that he felt that it would be better for all concerned if Gwin resigned. On 11 March [ ] sent a letter of resignation to [ ] with an effective date of 15 March 1952. A security agreement was executed by [ ] on 16 April 1952.
Although reasonably certain that [ ] had probably made off with company funds, Headquarters decided for reasons of security that there would not be any prosecution, although every effort would be made to recover whatever could be recovered from [ ] activities. Physical assets such as pearls were turned over to CAT. [ ] also assigned his interests in various ventures to CAT.
Since [redacted] returned to the United States, a security report has been provided to the Agency covering his activities during each year. His record is a melancholy one, involving an almost constant change of employment and almost always an accumulation of bad debts.
[redacted] was replaced by Mr. [redacted] and junior accountant. A particularly vexing problem facing CAT at that time was the recovery in U.S.
currency of substantial amounts which had been advanced to the Korean National Airways (KNA) in order to enable the airline to begin its operation. (The basic advantage to CAT in making these advances was to be able to obtain scheduled rights into Korea.) The general manager of KNA, Captain Shinn, continually pleaded that, although he had hundreds of millions of won on his hands, he had not been able to get the Korean Government currency control authorities to release U.S. dollars to him.
[ ] was charged with trying to find measures to reduce the outstanding balance.
As a result of his negotiations with Captain Shinn, [ ] was offered the post of general manager of KNA. He decided to accept, and so advised CAT and the Agency. His acceptance seemed to offer some slight
However, little of value developed. It was significant that acceptance indicated that Shinn must be obtaining some foreign exchange, since would hardly accept salary payments in won. resigned from the Agency on 30 April 1953. Once again CAT had a senior accounting post to fill.
It has been noted previously in this section that had found his assignment in late 1949 and early 1950 to be more than he could handle. The additional responsibilities as treasurer and the embezzlements by two hopefully valuable employees in the accounting division had caused mental condition and health to deteriorate. Headquarters was quietly advised that immediate preparations must be made to replace as treasurer and to provide additional support to the fiscal and accountings divisions of the company.
In early 1952 CAT was advised that a Mr. would be arriving in Hong Kong shortly to assume the duties of comptroller. left Hong Kong for the States in the late spring and was replaced
by Mr. [ ] as treasurer. Later in the summer Mr. [ ] arrived to become the financial advisor.
[ ] survived for approximately three months in the position of treasurer. He was completely unsuited for the job, and his departure was by mutual agreement on both sides. [ ] a rather elderly man, was not able to adjust himself to conditions in the Far East, and his health deteriorated to the extent that it was necessary to relieve him and send him back to the States after a period of only a few months with the company.
Although [ ] had departed for the States earlier in the year, he did not formally resign from CAT until 30 September 1952. The record indicates that he underwent a considerable period of unpleasantness at Headquarters.
A draft memorandum by [ ]
201 file gives much evidence that [redacted] was extremely agitated and upset, particularly because of the accusations leveled against him, and also because the Fiscal Branch had indicated that he was accountable to the Agency [redacted]. He spent many months in trying to justify various expenditures which he thought ought to be credited against the outstanding balance. On 13 March 1954, at Headquarters request, Cox wrote a memorandum attesting to the overload and the working conditions under which [redacted] had been placed and certified six specific claims.
A final settlement with [redacted] and his termination of employment with the Agency was made effective on 24 August 1954. There is no record in the file of [redacted] later activities.
In a memorandum dated 24 September 1952, Mr. Stuart Hedden, Inspector General, advised Colonel Sheffield Edwards, Chief of Security, that the transfer of [redacted] in the Finance Division was then under consideration. Hedden states that, though there had been no allegation of wrongdoing, [redacted] had been the supervisor of two men who had embezzled funds. In Hedden's opinion this did not reflect the kind of judgment required of a senior officer in a supervisory capacity; he stated that [redacted] should not remain with the Agency in any capacity.
Two days later, on 26 September, Hedden wrote another memo to Colonel Edwards advising that Mr. [redacted] who was Chief of the Finance Division when [redacted] was hired as CAT treasurer, had stated that [redacted] had protested strongly against being given that assignment. He had pointed out that he was not an accountant, did not know what a treasurer should do, and was not competent to take the job. [redacted] said that this was not a protestation of modesty, but a sincere desire to avoid a job which [redacted] had felt from the beginning was over his head.
Hedden felt that this information was very much in the man's favor in that his earlier paper was based on
lack of understanding of his own limitations. He had discussed this with Mr. Robert Bannerman, DC/OS, and would be satisfied with any conclusions reached as to future usefulness.
Claims and Counterclaims
Despite the conclusion of the purchase agreement in August 1950, a number of claims and counterclaims remained between the Agency and the old management. Several questions regarding the 1949 contract had not been settled. The apparent inability to resolve these differences threatened to affect adversely the relationship between the Agency and management. Inspector General Hedden was requested to attempt a settlement of these differences as soon as possible.
Hedden noted that, in addition to the frictions which had developed between the Agency and the Corcoran group, there was a conflict within the Agency. As a result, the operators felt that their capacities were impaired.
On 20 December 1951, Messrs. Hedden, Houston and Walter R. Wolf (DD/A) met with Corcoran to review all the open transactions and to resolve as many as possible. Agreement was reached on practically all items.
The Agency made several minor concessions in the interest of cutting short what might have developed into a long drawn-out acrimonious dispute.
In September 1953, Mr. Harold Newell arrived in Hong Kong to assume the position of treasurer of the company. Cox was of the opinion that Newell was the first truly competent and effective person to be provided by Headquarters to straighten out the chaotic fiscal condition of the company. (Mr. Newell was not a staff employee of the Agency. He was hired directly by CAT and cleared by the Agency.) An immediate and continuing improvement was noticed in the monthly reports furnished to Washington and in the overall caliber of control of funds, inventory, etc. One of the first things that Newell set about to accomplish was to redesign CAT's accounting and reporting procedures to conform with those which the CAB and CAA require of American airlines.
The following comment from the viewpoint of the field should be made. There is little question that each year Headquarters engaged in serious soul-searching as to the advisability of continuing the CAT project, or, alternatively, abandoning it because of fiscal deficiencies and the subsidy requirement. It was
known that the report of the [_____] team, which came to the field for the first audit in 1951, would be dismal. There was no question as to the need for an annual audit of the company, especially in view of hidden government ownership. These audits were expensive. Would it not have been highly desirable to give the audit team a second mission--to establish proper fiscal management and procedures in the airline, to include recruitment and placement of capable supervisory personnel, or, alternatively, to send out a management team for the same purpose? As it was, the audit team did what they were called on to do--locate and note the many deficiencies. The files at Headquarters that express concern are voluminous, but the record of providing adequate and timely assistance to the field is dismal. In the terms of the old saying, "Everyone talks about the weather, but no one does anything about it."
As indicated earlier, CAT's numerous legal affairs were in general handled by Brennan. Headquarters was not particularly happy about this arrangement, since there was a possible conflict of interest between Brennan's activities on behalf of both CAT and CATI. In the fall of 1950, Headquarters dispatched a young
lawyer, to act as legal assistant to Brennan, and with the long-range purpose that if a decision had to be made that Brennan could not act on behalf of both companies, would then be in a position to take over as legal counsel of CAT. was an extremely bright and able young lawyer who quickly mastered the problems and worked closely with Brennan.
Matters did not work out as anticipated, however. became more and more involved in the CATI aspects of Hong Kong activities; in the fall of 1953 he advised Cox that he was planning to resign from CAT and accept an offer from CATI. He requested that Cox should so advise Headquarters in order that arrangements could be made for his replacement. indicated that if not too much time were lost in locating a replacement, he would defer his resignation to permit a certain amount of overlap. A replacement was urgently needed since a number of complex problems faced the airline, including the renewal of the operating franchise and the probable adoption of a new Chinese foreign investment law that would undoubtedly require readjustments in the corporate structure of the CAT organization.
Just prior to his departure, Cox had written a sterile Letter of Instructions outlining various matters that he should take up back in Headquarters. Traveled via PAL across Asia and on into Europe. On the approach to the airport at Rome, the plane, a DC-6, crashed, killing all of the crew and passengers.
Cox was advised and proceeded to Manila, where he was joined by the director of engineering of the Philippine Airlines; both men went on to Rome. They were met at the airport and were escorted directly to the scene of the crash. The impact area was located in a section of Rome with heavy concentrations of limestone deposits directly beneath the soil. This type of limestone deposit produced the famous catacombs of early Christian history. The plane had apparently hit the ground almost vertically, as evidenced by the thin line stretching out on both sides of the point of impact where the forward edge of the wings had hit the ground. The heavy wheel assembly of the aircraft had plunged through layers of limestone intermixed with open spaces, and was deeply buried more than 30 feet under the surface of the ground. All of the wreckage visible on the surface consisted of fragments of rubble. The area
had been fenced off by the Italian Carabinieri in order to keep the curious, and perhaps scavengers, from the scene.
While idly walking through the area, Cox scuffed a small pile of rubble and noticed the charred edge of a white piece of paper protruding from the pile. Making certain that the guards were not watching, he picked up the piece of paper and found it almost intact, except for the charred edges. It was the Letter of Instructions signed by Cox, which had been given to [ ] just prior to his departure. Also found nearby was a portion of a yellow sheet which apparently had been used [ ] to record his trip expenses. The Letter of Instructions was the largest single part [ ] and his possessions that was identifiable. At a much later date a shipment of what was purported to be [ ] remains, as best reconstructed by competent authorities, was shipped to the States for burial.
From Rome, Cox proceeded directly to Washington and there met with the Agency officials concerned with CAT management and the operation of the airlines. He reviewed with them the intent of the instructions in the letter carried by [ ] and left the charred paper with them. In company with [ ]
a call was made on Mrs. [redacted] to express the condolences of the airline and of Cox, personally. Cox then returned to Hong Kong where many of the legal problems were entering a decisive stage.
It was clear to Headquarters that help in the form of a proper legal counselor had to be provided. [redacted] resignation, predicated on [redacted] acceptance of the assignment, became effective on 16 January 1954. At Headquarters, [redacted] who had been assigned to the [redacted] and who had some familiarity with CAT operations, was requested to undertake the assignment. He accepted and arrived in Hong Kong on 9 March 1954.
In his report on CAT of 16 January 1951, Mr. [redacted] had recommended that Headquarters:
"Initiate action to recruit a person qualified by airline or other business training for placement in the executive position in CAT to act exclusively as the managerial executive for CIA's proprietary interests in CAT, whether in addition to or in replacement of either Brennan, Willauer or both."
The services of a retired Naval Air Admiral, C.H. "Dutch" Schildhauer, were procured for this purpose. He arrived in Hong Kong in September 1951, and was designated as vice president of the airline. 16/
Admiral Schildhauer was conscientious and industrious, but had little background or experience in commercial aviation.
It soon became evident to all airline personnel that he and Willauer were incompatible. The writer believes that Willauer felt the introduction of Schildhauer into the airline as a vice president represented a lack of faith on the part of the Agency in Willauer's managerial abilities. He had been led earlier to believe that, having purchased the airline, the Agency did not want to get too deeply involved in its day-to-day operations, for which reason his services as manager were retained. The growing discord between Schildhauer and Willauer became painfully obvious. Most of the senior officers of the company were uncomfortable, since it was difficult for them to serve two men. The old line CAT employees had a tremendous sense of loyalty toward Chennault and Willauer and, although they gave Schildhauer complete cooperation, it was obvious that, should a choice have to be made between the two, their loyalty was strongly with Willauer.
Schildhauer, who recognized the conflict between himself and Willauer, decided to base himself in Taipei in order to keep the friction from becoming too obvious and open. There he concentrated on the operational and engineering aspects of the company's operation, which
unfortunately (or perhaps fortunately) were the company's strongest points and required least supervision. Grundy, Rosbert and Rousselot knew their jobs and were doing them well. The crying needs of the company were in the fiscal, legal, and traffic and sales phases of the operation.
Although it was known that Willauer held discussions with Headquarters officials in the late summer or early fall, just how or when the decision to release Schildhauer was made does not appear to have been recorded.
In the November monthly report for the Board of Directors, Cox (acting president of CAT at the time) wrote:
"With the concurrence of all interested parties, the decision was made that CAT would not at this time participate in the establishment of a Japanese overhaul project. However, recognizing that our expressed previous interest in such a venture had perhaps influenced and even overstimulated the Japanese and FEAF as to our intentions regarding such a project, the services of Mr. Schildhauer for the duration of his CAT contract were made available toward making an attempt to interest other sources in such a project. Indications are that, by doing this, we have maintained the good will of the Japanese and FEAF.
"Assurances have been obtained from Mr. Schildhauer that his future efforts will not in any way commit CAT, without due authorization, and that the future interests of all
parties concerned will be protected.
"The latest information indicates that Mr. Schildhauer, as a representative of Nakajima, may be attracting Pacific Air Motors in support of this project."
Schildhauer had been active in trying to develop the Japanese aircraft overhaul project, which seemed to have little to offer CAT, and which might have resulted in competition for engineering contracts with FEAF. His efforts in that direction provided the pretext for his release with reasonable good will on all sides.
Cox also stated:
"Top management is definitely not satisfied with the progress thus far in the reorganization of the fiscal side of the company.
"The board is reminded that this unfortunate situation, regarding the fiscal side of CAT, has existed since 30 June 1950, and, for good and sufficient reasons, management in the field is not empowered to arbitrarily select its own candidates for the top fiscal positions."
Despite the apparent inability to attract top-notch fiscal talent for employment with the airline, CAT did not suffer from lack of attention in the form of frequent inspection visits by top-level Agency officers. One of the first to come out and spend several weeks was
very senior, experienced, quiet and unassuming, responsible for the administrative aspects of CAT, was very cooperative with everyone in the airline, including the wives who enjoyed meeting with him in the evenings for dinner. He was respected greatly by Willauer, and in a quiet way was able to persuade Willauer to undertake corrective actions in various phases of the company's operations.
He was followed by a succession of other inspecting officers, including [ ], who had been a consultant when writing his report of January 1951. [ ] initial report as a consultant had been quite objective, effective, and fair. He had subsequently become a staff employee and was assigned as Special Assistant for Inspection in the Office of [ ]. visited the airline in 1952.
Relationships between Willauer and [ ] deteriorated on this visit. Sparks began to fly as soon as both men entered the same room. It was a very disturbing experience to see this growing rift between the old CAT management and the Agency. Willauer, who had a tendency toward flamboyance, appeared to accent this in discussions with [ ]. [ ] was a stickler for detail and conformance with the strict letter of the
regulations. Willauer tended to cut a wide swath, often leaving behind him a lot of loose ends which had to be cleaned up, whereas [ ] tended to keep things in order as he went along. This was not a feeling against the so-called "Ivy League" on the part of [ ], for Mr. Wisner, who had a background similar to that of Willauer, held the complete loyalty and devotion of [ ]. Be that as it may, the growing antipathy between the two was no good as far as the relationship between CAT management and the Agency was concerned.
The writer has not seen [ ] report on his inspection trip, but it is certainly reasonable to assume that, although the report in general would be critical but fair, in specifics it would be quite derogatory toward Willauer. The writer has seen a memorandum written by [ ] at a later date, in which he attacked the integrity of Willauer and questioned his fitness to be involved in any U.S. Government assignment of trust. 18/ This deterioration of relationships manifested itself in several ways, such as the friction between Willauer and Schildhauer previously noted, and in the annual Headquarters evaluation of CAT. [ ]'s adverse reporting appears to have exerted
an influence on the willingness of operating components to a positive attitude toward the retention of the airline.
Among the other visitors on inspection trips to CAT was [redacted], the Comptroller of the Agency, who spent two or three days in Hong Kong.*
The relationship between Corcoran and Willauer (the old management) and the Agency continued to deteriorate, and this began to have an effect on the
*
airline itself. A review of the files of the period (1950-1955) indicates a growing disenchantment among senior officials of the Agency at the interminable bickering and the inordinate amount of time they had to devote to CAT problems and to the CATI litigation. The files indicate that almost every year the retention of the airline hung by a thin thread; each year only a favorable decision on the part of the DCI kept the project going.
In late 1952 Cox was recalled to Washington to meet with the DD/P and other officers. He was advised that a decision had been made to relieve Willauer as president of the airline, that Willauer had agreed to this and was to be appointed vice-chairman of the Board of Directors. Mr. Wisner asked Cox if he would be willing to accept appointment as president of the airline. Mr. Wisner noted that Cox on many occasions, a few of extended duration, had occupied the position of acting president and had performed in a creditable manner. The Agency felt that Cox, with his knowledge of the airline and conditions in the Far East, was well qualified to accept the position.
After giving the proposal some thought, Cox replied generally as follows: He was not an aviator, an
experienced accountant, or qualified in the aviation business except by osmosis through his OPC assignment to CAT. Through this osmosis he had learned a great deal about the aviation business, particularly with regard to the Far East. He had the confidence of the key senior officers of CAT, whom he knew very well, and he felt that they would work well together under him as a team. He knew that Headquarters was very well aware of the deficiencies of the fiscal side of the company. He felt he must have the assurance of Headquarters that it fully understood this deficiency. To a considerable extent, the burden of correcting these deficiencies rested on Headquarters, in that it was their responsibility to locate and recruit adequate personnel who could correct the problems. If Headquarters understood this before he accepted the job, he was quite willing to undertake the assignment.
Cox queried Mr. Wisner concerning the handling of his responsibilities for Agency operations, as separate from management of the airlines. Cox stated that, although as airline president he would be involved in any CIA operation entailing air support, he felt that he could not efficiently discharge his duties as president of the airline and still be responsible for
all the CIA operations which were being conducted through CAT.
Mr. Wisner responded that, as soon as possible, a senior Agency officer would be placed under CAT cover in whatever position seemed advisable to serve as chief of the CIA Mission in CAT. It was hoped that his activities in his CAT cover position could be kept to a minimum. Cox recommended that,
be given the responsibility of acting chief. Mr. Wisner indicated that this was agreeable to him.
Discussion was then held as to what the status of Cox should be vis-a-vis government employment. It was the feeling of Mr. Wisner and others that Cox would find it almost impossible to comply with government regulations and reporting procedures, and at the same time properly do his job as president of the airlines. It was proposed to Cox that he resign from the Agency and accept true and honest CAT employment, with the salary, expenses, etc. to be handled entirely in accordance with the airline's administrative procedures.
Cox accepted this offer, and in January 1953 took over as president of CAT.
The major attention of CAT management during 1953 and 1954 was directed to the following problems:
a. Support of the French in Indochina by furnishing aircrews for the operation of C-119's provided by the U.S. Air Force.\(^{19/}\)
b. Closely following developments with regard to the new Chinese foreign investment law, and making preparations for a corporate reorganization in order to comply with the law.
c. Renewal of the operating franchise by the Chinese Government in a form other than that given to the Chennault-Willauer partnership.
d. Expansion of CAT activities throughout the Far East area, with particular attention to Southeast Asia. After the peace treaty in the Indochina War, efforts to establish a foothold in the three newly created states of South Vietnam, Cambodia and Laos.
f. Continued emphasis on improvement of the financial condition of the company.
In 1953 the DCI directed that a detailed study be made to determine whether the retention of CAT was justified. All the FE branches, the DDP staffs, the Commercial Division, and other components of the Agency participated in the study. In general, there seemed to be a reluctance on the part of most of the participants to take a firm stand one way or the other. Most of the memoranda on the subject outline the pro's and con's of such retention, but do not make any firm recommendations.
On 15 September 1953, FE officers gave a briefing on CAT to many of the major officers of the Agency, including General Charles P. Cabell, Mr. Wisner, Colonel White, Mr. Richard M. Helms, Mr. Lawrence Houston, and other interested Agency officials. At this meeting concluded that, in view of other Agency-owned assets in the Far East, CAT was not essential to continued successful operations in the Far East. His deputy, Mr. Desmond FitzGerald, apparently did not
entirely agree with [ ] remarks.
The Chief [ ] did recommend that CAT be retained, with suitable readjustments made in the interests of economy. He was supported in this by Mr. C. Tracy Barnes, [ ], who wrote:
a. That political conditions in the Far East do not indicate that this is an appropriate time to relinquish CAT, which has in the past and can in the future offer services including those other than air support.
b. That a reallocation of CIA/CAT assets in aircraft may well benefit both the Agency and the airline.
c. That a continuing effort be made to find and establish an economic working basis between the clandestine requirements, which are placed on CAT by CIA, and the overt business operations of CAT. It appears that CIA may be at financial cross purposes with itself, in that it complains of high costs while at the same time denying income producing business through uneconomic use of aircraft in clandestine operations.
The Barnes memorandum further suggested that any study of the possible disposal of a proven asset contain the detailed viewpoint and recommendations of the field stations concerned in order to allow Headquarters a more solid basis for study. This had not been done.
On 30 December 1953, the DD/P submitted to the Director, without recommendation, a compilation of
unfavorable and favorable aspects of CIA ownership and use of CAT.
On 17 December 1953, however, the DD/P had written a memorandum for his own use listing the points which he desired to make in any discussion he might have with the Director on a decision with regard to CAT. This memorandum indicates that the DD/P strongly favored the retention of CAT, although agreeing that certain readjustments to effect economy were desirable.
The DCI, responding to the DD/P on 8 January 1954, directed that no action be taken on recommendations for liquidation or disposal of CAT. Agency efforts should be to retain and maintain CAT as an Agency instrument, to be continually available for utilization in the national interest.
The Chinese Government initially granted an operating franchise to Civil Air Transport in the name of the partnership of Chennault and Willauer. This franchise had been renewed almost automatically on the 1st of January each year. On 1 December 1953, however, Chennault and Willauer were officially notified by the Chinese Government that this franchise would not be renewed in 1954.
The reason for this action appears to have resulted
from Chinese Nationalist indignation and dissatisfaction over the handling of CATI affairs, and especially because of the payment by CATI of [redacted] to the Bank of Taiwan from the funds acquired from San Francisco banks. The Nationalist Government felt strongly that the notes held by it in the CATI purchase should have had priority on any payments made by CATI. So much indignation was shown in the highest circles of the Nationalist Government, including a considerable strain on the normally warm relationship between the Generalissimo and Chennault, that various individuals who were not particularly sympathetic to CAT and to Chennault and Willauer saw an opportunity to step in and make trouble for the airline. Also, the wholly Chinese-owned airline, "Foshing," was actively lobbying against CAT in the hope that it would be granted some of the operating rights to other countries which CAT had arranged.
Headquarters and State reported these developments to Ambassador Rankin in Taipei. 26/ Rankin was instructed to give every assistance possible to insure that the franchise was renewed. Cox met with the Ambassador on or about 8 December 1953. The Ambassador promised that he would do everything possible; it was agreed that
he would withhold information as to the true ownership of the airline unless it became absolutely necessary to expose it in order to get a favorable decision.
At approximately the same time, CAT was advised that it must submit a plan for company reorganization by 31 March 1954, under the then existing foreign investment law. If CAT had had to comply with this request, it would probably have been forced out of business.
In late December 1953, Mr. Walter Robertson, Assistant Secretary of State for Far Eastern Affairs, accompanied by Admiral Arthur W. Radford, Chairman of the Joint Chiefs of Staff, visited Taiwan. Mr. Robertson informed Agency officials that:
a. He had been assured by the Generalissimo and the Foreign Secretary that they understood the complete separability of CAT and CATI.
b. The Generalissimo had stated that he had turned the whole problem over to the Premier.
c. The Premier had assured him that the CAT franchise would be extended for such a period and in such a manner as would enable CAT to comply with the proposed Chinese investment law when it passed.
Agency officers told Mr. Robertson that the 90-day extension required CAT to reorganize by 31 March 1954, under current Chinese law, and requested that a cable be sent to the Chinese Premier reminding him of his commitment to Mr. Robertson.
Robertson expressed concern over the contradictory statements regarding the [ ] payment made to the Bank of Taiwan that he had heard from Willauer and Corcoran, and from Chinese officials in Taipei. He then requested that a clarification be obtained from Willauer to indicate under what authority the [ ] had been unblocked from the San Francisco bank account and paid to the Bank of Taiwan against an old CAT debt to that bank, rather than to the National Bank of China.
Robertson was told of the DCI's decision to retain CAT as an Agency instrument, to be maintained in the national interest. He strongly recommended that Ambassador Rankin be authorized to advise the Generalissimo privately, with only the Madame present, of actual U.S. Government ownership in the airline. It was decided, however, not to take this step.
The DD/P's recommendation with regard to informing the Generalissimo was as follows:
"Allen -- concerning the recommendation from Walter Robertson which is set forth in Mr. [redacted] Memorandum on CAT, you will recall that we have gone pretty far in the direction of cutting in the Generalissimo but that, short of whatever cat General Merrill may have let out of the bag (no pun intended), we have never actually laid it on the line that CAT is a U.S. Government-owned enterprise. I believe that it was your view the last time we considered it that we should hang on to the proverbial fig leaf until forced to drop it."
F.G.W.
The DDCI, General Cabell, concurred with Mr. Wisner's recommendation.
On 1 February 1954, a memorandum to the DD/P outlined the various facts regarding the [redacted] payment as best known to the Agency. This memorandum was apparently in response to a cable from Ambassador Rankin stating that even after three and one-half years no agreement existed between CAT and CATI as to which owed money to the other. This memorandum typified the confusion and the conflicting stories that seem to have occurred at the time with regard to payment of various claims.
The efforts of Ambassador Rankin, ably assisted by Mr. [redacted] Deputy and later Chief of FOA, Taiwan [redacted] were effective,
and CAT was permitted to operate as usual pending the passage of a new foreign investment law. Major assistance was given to the Ambassador and by the Madame and by Foreign Minister George Yeh.
By midsummer of 1954, the new Chinese foreign investment proposal had passed its third reading in the executive Yuan and was virtually insured of enactment. The Chinese Government requested that CAT submit a reorganization plan by 15 August 1954, to comply with this law. The management committee in Washington, after consideration of various proposals, drew up a plan which was sent to the field for presentation to the Chinese. Roughly, it called for the formation of a wholly American-owned company called CAT of China, which would own practically all the physical assets of CAT, and the formation of another company to be called Civil Air Transport. This latter company would be substantially owned by Chinese stockholders, and it would be this company which would "operate" the airline and to whom the Chinese franchise would run. It would charter airplanes from, and have a management agreement with, CAT of China. Arrangements of this kind would satisfy several facets of the problem; that is,
effective U.S. control and compliance with Chinese laws and international aviation regulations.
On 20 October 1954, CAT suffered the loss of an aircraft. The C-47, which had been permanently assigned in Bangkok for support of the police unit crashed immediately after completion of a training exercise at the Police Camp which was located on the Bay of Thailand some 60 miles south of Bangkok. The pilot, Captain Kaffenburger, although badly bruised and cut, had survived; the other two crew members and several persons in the rear of the aircraft were presumed to have been killed in the crash, or to have drowned thereafter.
concerned over possible political repercussions from the crash, and urged that Cox come to as soon as possible. On arrival in Cox learned that among the men in the rear of the aircraft there had been a Thai police major who was very well known and much liked by the Americans. was a favorite protege of General Phao, the commander of the police forces of
Thailand. General Phao, who was in Switzerland at the time, had been advised of the crash and the death of the major. He, of course, regretted the accident very much and the loss of the major, but accepted that as part of the inherent risk of the job. Upon learning, however, that the body of the major had not been located, he made it abundantly clear that unless the body, or at least a portion if it, was located, in order that the major might be given a proper burial in accordance with the rites and practices of the Buddhist religion, there would be all kinds of hell to pay.
Search procedures were still in process when Cox arrived at the camp. American volunteers with scuba gear had dived in an effort to penetrate the airplane cabin to ascertain whether the major's body was still there, but their best efforts had proved unsuccessful.
Mr. Cox discussed the situation with other Americans who were knowledgeable of Thai culture and traditions. All agreed that it was of the greatest importance that at least a portion of the body be located. It was also decided that the expense of chartering a barge with a crane to lift the aircraft, in order to determine whether the body had been pinned under the fuselage,
was justified. This was being arranged when word was received from the police camp that the major's body had been washed ashore some 20 miles south of the camp. Arrangements were made for proper burial.
CAT quickly established a Board of Inquiry, chaired by Grundy, to attempt to determine the cause of the crash. Captain Kaffenburger, although hospitalized with severe bruises and cuts, was able to testify. He stated that an unshielded blue light in the cockpit of the aircraft had temporarily blinded him, and before he could recover full vision the left wing of his aircraft had struck the water. The board, however, concluded that Kaffenburger had suffered an attack of vertigo, a condition in which the individual loses all sense of the true horizon and is not aware of his position in relation to that horizon. It was believed that Kaffenburger, who thought he had the aircraft in a climb, was in fact descending and hit the water before he could regain his equilibrium. Every consideration was given to the captain, including benefits, hospitalization expenses, and the like, but it was decided that he could no longer be employed in a flight capacity. He declined an offer of a ground job and resigned from the company.
It might be pointed out here that when operating in various parts of the world, particularly in areas where the religious customs and traditions are different from our own, we must take care to insure that nothing is done to violate such customs. At the time there was criticism of Cox for having hurried to
After a number of years of experience in the Far East, however, Cox felt that the problem was of sufficient importance to require his personal attention.
By December 1954, Cox felt that he had pretty much "run out of gas." For more than five years, he had been constantly on the go in the Far East, and back and forth from the Far East to Headquarters. During most of this period, he had been responsible for the management of CAT and the conduct of Agency operations. He met with the management committee in Washington in mid-December. It was the general opinion that the time had arrived for Cox to resign and hand the presidency of the airline to someone else. The effective date of resignation was made 1 January 1955.
Two officers of the company, Rosbert and Grundy, merited consideration for appointment to the presidency.
of the airline. Both were excellent senior officers of the company and had been performing well. It is certain that there is no finer chief of engineering and maintenance than Hugh Grundy, but Cox felt that Rosbert, by reason of seniority and because of his position as director of operations and then as vice-president for operations, was more familiar with the overall aspects of the company's activities and had had much more to do with providing support for Agency activities. The management committee, however, decided on Grundy. This promotion was acceptable to Grundy, and he took over the office from Cox on 1 January 1955.
It is possible that one thing working against Rosbert was the fact that he was more closely identified with the old management (Chennault and Willauer) than was Grundy.
Cox agreed to make every effort to insure that a smooth transition of office would take place. There were some rumblings, as might be expected, but all in all the transition went rather smoothly. Rosbert was bitter enough to write a personal letter to the Director, but in time this blew over without further incident.
During the fall and winter of 1961, the Inspector General conducted an inspection of CAT. A team was dispatched to the Far East to observe operations and interview senior officers of the line. When the team returned to Headquarters, they told the Inspector General that everywhere within the CAT system they had heard references to Cox and his activities while an official of the airline. They felt that it would be helpful in preparing their report if they could debrief Cox on events of the period he had been with the airline. Such debriefing was approved.
The head of the IG team, called on Cox and held a lengthy conversation with him with regard to the events that transpired within the airline during the period of 1949 to 1 January 1955. It might be noted that this was the first time Cox had been debriefed on his CAT activities.
After discussions with the Inspector General requested that Cox prepare two papers from memory. The first discussed the early history of the Agency relationship with the Civil Air Transport, and the second was concerned with the CNAC/CATC airline litigation. These two papers were prepared in early February of 1962.
The main objective of the first paper was to make certain that Headquarters understood that, regardless of the long and acrimonious negotiations between the Agency and the old management of CAT, Cox as its Senior OPC Representative in the field when he arrived in Hong Kong in October 1949, had enjoyed a most cordial and cooperative relationship with Chennault and Willauer. They had never allowed the heat of the business negotiations with the Agency to interfere with their complete support of the various Agency operational missions which were required of the OPC mission in CAT.
At times, some OPC objectives ran counter to the General's personal views, but he willingly made requests of the Generalissimo as asked, and furnished considerable support to Agency operations,
Willauer had been completely cooperative. Admittedly, at times he had to be restrained since he was the type of person who could come up with an idea a minute, but he was always amenable and obedient to carrying out the instructions of OPC, later DDP, as transmitted to Cox. This aspect of the operation was stressed because it had become rather evident that Agency attitudes toward Chennault and Willauer had been much colored by the difficulties encountered in
negotiations for the purchase of the airline and CNAC/CATC litigation, while their completely cooperative attitude in the field had been disregarded.
The second paper was a chronological history of the CNAC and CATC airline litigation as seen in the field without the benefit of knowledge of a great deal of the maneuvering that had been taking place at Headquarters. The point was made that in retrospect it was regrettable that the Agency had not assumed responsibility for the operation at the very beginning, as had been strongly recommended by the field.
It was with a great deal of regret that Cox left the airline and the area. He had enjoyed the complete cooperation and the friendship of practically everyone in CAT, and had formed many friendships outside the airlines. He was satisfied, in leaving the airline, that it was in excellent operating condition, and that the improvement being shown on the fiscal side of the company would continue and would be satisfactory to the Agency officers who had responsibility for the CAT project. Although avoiding direct contact with CAT since his resignation, and in writing of this history, Cox is amply aware of the splendid performance by CAT over the past years, particularly in support of national
policy in Laos and South Vietnam, and in other associated projects
CIA/CAT Field Accounting
This section of the paper will deal with the accounting procedures and problems related with the OPC Mission established under CAT cover in October 1949. A factual account of the actual field conditions encountered by this OPC Mission will be begun here.
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Cox was recalled to Headquarters in January 1951, in order to be briefed on the major programming which had just been approved in support of the effort in the Korean War. He was requested by the Finance Division to try to reconstruct, insofar as possible, the expenditure of funds that had been advanced to him. Several
days were spent in a hotel room, and with the assistance of the case officer and a finance officer, every effort was made to reconstruct these accounts. At the conclusion of one session, the finance officer remarked that it was difficult to understand why Cox had so much difficulty, whereas there was another OPC agent in the Far East who accounted for funds so rapidly that the Finance Division had not yet received the T/A charging him with the funds which he had spent. Cox queried as
*At that time the Deputy Comptroller, Mr. Emmet Echols, wrote a memorandum to ADPC about the apparent disregard on the part of OPC personnel in fulfilling the responsibility for the operational administration of their project. It discussed the resultant inability or
From the viewpoint of the field and in consideration of the fact that it took fifteen months before a minimum of administrative assistance was supplied to the OPC Mission in CAT, it would seem to be just as fair to state that Headquarters consciously or unconsciously ignored administrative and financial requirements. Cox was delinquent in regard to administrative expenses largely because the tempo of activities and operations was such that it was almost impossible to keep an orderly running record of the expenditures involved.
failure to comply with the financial regulations of the Agency, with specific mention of the activities of Cox and of the CAT proprietary project.34/ Echols' memorandum is critical of both Cox and of the FE Division for failing to provide the administrative support required in order to comply with Agency fiscal regulations. It is a fair memorandum and is sympathetic to the operational problems involved in trying to meet such compliance. In reviewing the memo for the first time, the writer recognizes the fairness of the criticism but (and possibly in self-defense) would like to have had the opportunity to reply at that time. The writer would do so entirely without rancor, because he has known Echols since North Africa in 1943, and has always received fair and considerate treatment from him on a number of matters that have been within his purview. Echols does make one statement: "I am convinced that Cox consciously or unconsciously adopted a policy of optimum operational security and accomplishment knowing that he was ignoring his administrative and financial responsibilities. This decision was apparently concurred in by the Chief, FE."
In the summer of 1951, [now deceased], a staff officer of the Finance Division, accompanied the [audit team] to the field. [He had been requested to review the nature of the administrative expenses and other expenditures of the OPC Mission in CAT. During the months that he was in the field he had ample opportunity to be able to estimate the level and justification of administrative expenditures.]
[ ] a junior officer who had had no field administrative experience, had been hurriedly briefed and rushed to the field in response to urgent pleas for some administrative assistance. Despite his inexperience, which meant that his reporting did not always fully comply with Agency regulations [did an outstanding job. He took advantage of the assignment [to begin the study of the Chinese language, and currently is an extremely valuable Agency officer with knowledge of Chinese that few Americans possess. He maintained the records as best he could and serviced the Mission in every way.]
In early 1952, Cox again returned to Headquarters to work with Finance Division representatives on accountings for Agency funds. At the time (due credit had been given to payments made in support of the mainland forces) the total outstanding advances to Cox were slightly over [number] of which about [number] were in claims approved. Another [number] were listed as claims pending. A review of claims showed that in almost every case they represented approved expenditures and Headquarters had in its possession receipts to show that the funds had been advanced to the designee approved to receive such advances. The accounting showed that a balance of [number] was due Cox.
Cox, working with [name], had developed an estimated administrative expense based on the cost of living, cost of travel, of entertainment, etc. which was entailed in assignment to CAT. Complications arose in that, on occasion, various expenses had been borne by the airline. Admittedly this was an estimate, but [name] as representative of the Fiscal Division and after several months of personal observation, concurred in the figures arrived at. At that time, [name] pointed out that he did not consider that it
would be proper to recognize a credit due to Cox, which was based on an estimate of expenditures as against detailed accountings. Cox did not object to opinion, and in fact concurred with it. A readjustment of accounts was made, resulting in a balance of advances not accounted for by Cox in the amount of . Cox promptly paid this amount to the Agency, with a sigh of relief that the matter, which had been of constant concern both in the field and at Headquarters, could be considered cleared up.
While in the process of working out these accounts with the Finance Division, Cox prepared a long and detailed study of all of the problems that had been encountered by the OPC Mission in CAT. This included a report of the problems encountered at every location in which the Mission had been operating, such as costs of living, passport and visa costs, customs clearances, communications currency exchange, transportation, entertainment, black exit and entry, and every factor of the environment that would affect Agency personnel who might be sent to those areas. A review of the study at this late date indicates that it still has a considerable validity.
As gained experience and became accustomed
to the requirements of his assignment, the quality of his reporting improved and, although perhaps never perfect by Agency standards, it was indeed adequate for Agency requirements.
When the writer assumed the office of president of CAT, it was agreed by all that the most practical solution for avoiding constant problems in complying with Agency fiscal regulations was for him to resign from the Agency and become a straight airline employee. It is certain that this saved many headaches for all.
Upon return to Headquarters in 1955, he was reinstated at his previous grade, and for a period of two or three years, the monthly personnel record-runs indicated that his date of grade was as per his appointment to the grade in 1950. Then this was adjusted (without notification) to the date of his return to Headquarters in 1955, with the resultant loss of five years of seniority. Procedures should be developed to cover such types of assignment which are fully understood and acceptable to all parties.
Security
Without consideration of Agency requirements, security problems involved in the operation of CAT were tremendous, both externally and internally. The airline operated continuously along the Nationalist-Communist combat lines, often making extensive flights over Communist-held areas. The Chinese Communists were extremely active, attempting to penetrate the three Chinese airlines, CNAC, CATC and CAT; eventually they were able to induce the defection of most of CNAC and CATC personnel. The defection of even a part of CAT personnel would have been a tremendous propaganda triumph as well as a material plum for them. CAT
management, therefore, had a major problem in assuring the loyalty of its employees, and in defending itself against sabotage and penetrations from without. With the entry of the Agency into the CAT picture, the security problem became much more complex. Agency interest had to be shielded from all external interests, as well as from almost all of the CAT employees, who in October 1949 numbered about 2,000.
When Cox arrived in Hong Kong on 8 October 1949, he ran at once into a number of security problems which could easily have jeopardized the ability of the Agency to support CAT and to utilize its cover for other activities.
First of all, the Chief of Security in CAT was an old Far East hand and British subject, Mr. William Parker. He had excellent contacts with the Hong Kong police and with immigration and customs authorities, and he was doing an apparently excellent job in the overt aspects of the CAT security problem. It had to be accepted that he was at least an informant, if not an agent, of British intelligence. At the same time, precipitously removing him from his post might have seriously endangered relationships with the Hong Kong authorities which at that time were vital to the
operations of the airline. It was necessary that Parker's attention be diverted from activities that might be carried on in the Agency's behalf under CAT cover. Fortunately, the USAF Air Attaché in Hong Kong at the time, Colonel William Heston, was an extremely enthusiastic if not eager-beaver type, who requested permission to use Parker's services in developing intelligence on conditions on the mainland. Permission was granted and Colonel Heston kept Parker so busy that he had little time to observe Cox's activities or those of other people in CAT who were working on Agency requirements.
Among the first persons encountered by the writer on arrival in Hong Kong was Mr. Duncan Lee, who was representing Corcoran's law office in winding up various commercial activities and transactions that were then defunct because of the Communist takeover of the mainland. Lee had been with the OSS in China in 1945 and was well known to the writer. Lee had married before the war, and his wife and mother-in-law, both British, were considered to be card-carrying Communists. At any rate, there was no question but that Lee, as close as he was to CAT management was unclearable. On his behalf, it must be said that Lee's actions
were most circumspect. He did not intrude, and contacts were kept to the minimum required for maintenance of cover. Chennault and Willauer were both advised of the concern with regard to Lee's presence, and they did their best to assure that Lee was not aware of any Agency activities. It should be noted that, over a period of years, Lee went through very trying times. After long efforts, he regained his American passport, which had been suspended. Cox feels with reasonable certainty that he was never disloyal to the United States.
Introduced into the airline as a special assistant to Chennault and Willauer on political and military matters, Cox experienced no particular difficulty in gaining acceptance by the airline as a whole. By operating in the shadow of Chennault and Willauer, he was able to pursue Agency matters such as support to Pai Chung-hsi and other military leaders without arousing suspicions that such activities were anything other than work for the airline.
Particularly difficult security problems arose at the time of the defection of CNAC and CATC in early November 1949. CAT personnel physically and violently blocked (by driving trucks on the runway, slashing
tires, etc.) the attempt to fly 71 aircraft from Kai-tak Airport in Hong Kong to Communist-held airfields on the mainland. The Hong Kong authorities took action to freeze all CNAC and CATC assets in the Colony, but permitted them to remain in the physical possession of the Communists. It shortly became evident that the Communists were smuggling vital accessories, such as carburetors and magnetos, back into the mainland as rapidly as they could. Through Parker and his security office, a guard system was organized to prevent the evaporation of all the assets. Some funding by the Agency was required for these efforts, since at that time CAT was in an extremely poor financial position.
Another major security problem lay in the fact that there was a considerable time lag in getting the necessary operational clearances for use of personnel in the field. On a selective basis, members of CAT who apparently were in a position where they might become involved in, or become aware of, Agency activities were submitted for clearance. At that time the Office of Security was overburdened, because of requests for clearances from the rapidly expanding OPC and because of the Korean War. As rapidly as possible, clearances were requested on the CAT pilots, mainly those who might
become involved in Agency operations connected with the war. When the decision was made to activate Captain Robert Brongersma was the CAT pilot which had been requested because he had been assigned
When the decision was made the Agency was not able to supply any personnel to although One of the ground operations managers volunteered to accompany forces, moving overland into Yunnan, and then, after being thrown back, returning overland to Thailand. At a much later date, when it was desired to use his services again to operate a winch in the rear of a plane on a pickup mission, Headquarters suddenly advised that this individual was unclearable.
When resupply operations it was desired to initiate the operation by flying three aircraft on the same day. It was necessary to have sufficient personnel in the rear of the aircraft to dispatch the cargo. Again there were not enough cleared personnel available to do the job, and it was necessary
to bring in other Americans, whose loyalty and character were vouched for by CAT personnel.
was fortunate at the time that Headquarters understood the problems of the field; no reprimand, which would ordinarily be received for such unauthorized use of personnel, was ever given.
Although satisfied as to the overt aspects of CAT security, there was naturally considerable concern over the protection of the Agency interest. This was the subject of numerous cables and dispatches, and of discussions with Headquarters officials. An Agency security officer was dispatched to the field in 1950, but he proved unsuitable for the assignment, and after a month or two had to be transferred out of CAT.
Initially, and as was true in too many instances, he arrived with prejudiced opinions on the airline and its
personnel, based on what were apparently negative briefings in Headquarters. After having had the opportunity to look around and judge for himself, he revised some of his opinions and became a most trusted and valuable assistant to Cox. In short order, he established records and files, particularly for clearances, so that when it became necessary for certain airline personnel to be involved in support of Agency operations, it was possible to insure ahead of time that necessary clearances had been obtained. Personnel employment application forms were revised to insure that necessary information was provided for obtaining clearances. As more and more CAT people were involved in the numerous clandestine operations that were being undertaken, continuously held meetings with pilots and other persons involved, in which he stressed the need for secrecy and security.
expressed his concept of his responsibilities as follows:37/
"I explained my security policy as I would execute it to Mr. Cox in this way:
a. Provide security know-how for all commercial phases of CAT.
b. Provide personnel security standards for CAT."
c. Create and direct an investigative unit for investigation of CAT applicants, of whatever nationality, and in all areas.
d. Investigate internal security violations of a criminal nature. At the same time, for the operational Mission as Operational Security Officer, I would: (1) provide professional know-how to any operation so that the operation or assignment could be carried out as securely as the circumstances provided; (2) assist in any way possible with any operational assignment that I could; (3) set up clearance procedures to expedite approvals or clearances for any individual within CAT, associated with CAT, or otherwise employed, used or needed."
It is interesting to note that ADPC, who made an inspection trip through the Far East with ADSO in 1952, made the following comment:
"7. Cover and Security was found to be so thin as to be practically non-existent (except in the case of CAT which strangely enough seems to be universally accepted as a Chinese not a U.S. organism)."
By and large, CAT cover survived as well as it did because as much attention as possible was paid to security and tradecraft, and because of the apparently reckless and cowboy nature of its operations. CAT flew where and when no one else would be flying. CAT, particularly in view of Chennault's close relationship with the Generalissimo, often seemed to be acting
counter to U.S. policy and in support of the Nationalist Government. Despite the seeming recklessness, CAT maintained a safety record that is probably unparalleled by any major airline in the world.
There were, of course, minor problems. Incentives for smuggling throughout the area were great. During the period that Parker was Chief of Security, the Hong Kong authorities made the largest single confiscation of raw opium that had been made in the history of the Colony. Two CAT mechanics at Kunming had crammed raw opium into the nacelles behind the landing lights of an aircraft. The CAT security division tipped off the Hong Kong police, and after the plane landed the material was seized. Naturally, there were no repercussions against the airline from the British authorities. The mechanics involved were terminated, since there was no power of arrest by Americans in China. From time to time, other such attempts at making a fast buck were encountered but were handled in routine fashion.
There were other more specific and important problems which probably merit some attention.
In late 1950, a CAT C-47 had been assigned to the
in the parachute training of police units that were and in the placement and recovery of police patrols operating in the border areas of the country. Captain Robert "Dutch" Brongersma had been assigned as the pilot for this activity. After every 1,000 hours of operation, he would fly the aircraft to Tainan via Clark Field, Philippine Islands, for maintenance, after stopping off at Hong Kong en route.
He was approached in Hong Kong and in Bangkok by certain persons who sounded him out on his willingness to smuggle gold from Clark Field to Hong Kong. He reported this to Cox suggestion, the matter was discussed with the Department of the Treasury representative in Hong Kong who requested that Brongersma continue his discussions and stall off any actual delivery as long as possible. This was done, but a point was finally reached at which Brongersma advised that the tenor of his discussions was such that he had to either "fish or cut bait." It was arranged with the Treasury representative that Brongersma would undertake a delivery, with surveillance being the responsibility of the Treasury representative. The delivery was made and Brongersma was paid off in an amount approximating $700. The money was promptly
turned over to Cox who tried to deliver it to the Treasury representative. The latter stated that he had no authority to accept such monies. [ ] advised that the Agency could not accept the funds. Cox thereupon appointed a special committee consisting of Mrs. Whiting Willauer, Mrs. Lillian Chu, and Mrs. Cox to expend the funds on worthwhile charities. The money was spent in the name of CAT in the construction of refugee housing and in donations to such charities as the SPCC and the SPCA.
Unfortunately, an entirely different situation developed with regard to Brongersma. [ ]
He was involved in a number of business ventures and approached Brongersma, who of course he knew well, with a proposition for participating in a private investigation enterprise. As explained at the time, the main source of business would be from various insurance companies who were being hard hit by suspected cases of barratry involved claims by various shipowners, largely Chinese, against the insurance companies. [ ] had an excellent relationship with General Phao (Chief of the Thai
Security Forces) and could arrange part-time employment of Thai police personnel on their off time. The matter was referred by Cox [ ] and since it was decided that Brongersma's investment in this enterprise did not interfere with his airline duties or conflict with Agency interest, the investment was approved. (At that time new CAT regulations required that all business ventures by CAT personnel in the Far East had to be approved by CAT management.) Apparently, at a later date, [ ] felt strongly that the investigative agency was being used for surveillance [ ]. Brongersma's clearance was cancelled, and Headquarters ordered his termination from the airline. It was only after years of effort that Brongersma was cleared. His efforts since then, in small plane operations and resupply operations in Laos, have more than vindicated the reinstatement of his clearance.
Other security responsibilities included a watch for excessive customs charges against CAT and CAT personnel, which often involved "kickbacks" to a CAT employee, and an effort to insure that employees' off-duty conduct met acceptable (not prudish) standards. The temptation to take advantage of the "black market"
currency manipulations was ever present. CAT flight personnel, constantly passing in and out of customs in the various airports of international entry and exit, quickly developed an easy air of familiarity with the customs officers, and their effects received either little or no inspection.
Charges -- actually more rumors than charges -- were heard during the Korean War that CAT crews were bringing liquor on their flights into Air Force bases and selling it to the GI's at a high price. A little of this may have been going on, but in point of fact, CAT flew large quantities of liquor into and within Korea, but these were legitimate shipments properly manifested to officer's clubs, PX's, etc.
Another of the more important responsibilities entrusted to [ ] was the establishment and maintenance of good relationships with the local security authorities. [ ] was particularly effective in this respect with the British authorities in Hong Kong, and with Mao Jen-fang and other officials in Taiwan.
In undertaking any venture such as the Agency covert ownership and utilization of CAT, the establishment of an effective internal security branch should be of the highest priority. In the case of CAT, it was more than three years before effective security measures began to be taken.
Communications
At the time that Cox departed for the field in late September 1949, there were no OPC Stations in the Far East, and he had the rather vague title of Chief of the OPC Far Eastern Mission.
On the evening prior to Cox's departure for the Far East, Mr. Lloyd George, Chief of the FE Division of OSO, kindly invited him to his home for a farewell drink. Cox explained to Mr. George that his only concern with the communications system was that it could
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In the heat of the summer their living conditions were unbearable. Atmospheric conditions affected the reception of incoming cables. Extensive garbles were frequent and at times could have led to costly misinterpretations of Headquarters directions. Over the years, however, technical improvements and better facility arrangements greatly improved communications.
It was perfectly natural for Americans and other foreigners of all sizes, shapes, and description to meet at the club in the evening for drinks, gambler's dice, and dinner. It was relatively easy for Cox to sit occasionally at the bar.
This system worked well, indeed,
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Crises arising in the area, of which there were more than several, required almost continual travel on the part of Cox, ranging from Korea in the north to Bangkok in the south. During these periods, it was impossible for Headquarters to ascertain to which
be received prior to his departure for some other [______]. It was often necessary, therefore, that priority cables [________________] hoping that one of them would be able to make delivery. It was unfortunate that this could not be avoided since, of course, it increased the communications traffic load [____________]. This was particularly true when the [_________] were started simultaneously, and during the crash C-119 operation in 1953 and 1954.
It should also be noted that communications equipment in the Far East was not adequate to establish a communications base for the [________], therefore, [________________] was conducted on a shoestring insofar as Agency personnel being made available, but the [________________] The team maintained regular communication with the [________], keeping the [________] advised as to the location of the forces at any given time, the progress being made, and the plans for future action. When [________] were
forced back out of Yunnan by the ChiComs' reaction to their penetration, the team returned to Thailand again on foot. The operator came through the operation minus a few pounds but in good physical condition, and carried out his assignment very creditably.
Establishment of the
At the time of the discussions in Headquarters in late 1952, Cox advised the DD/P that if he accepted the office as president of the airline he could not effectively carry out his responsibilities as Chief of the DD/P Mission in CAT. He was assured that as rapidly as possible a senior and experienced Agency officer would be integrated into CAT to assume these responsibilities. As an interim measure, Cox recommended that [redacted] be assigned as acting chief. [redacted] was well integrated in the airline, already stationed in Hong Kong, and conversant with the Agency operations being carried on under CAT cover. This was acceptable to the DD/P.
[redacted] had done an outstanding job at Okinawa [redacted]. He had been assigned there by CAT as station manager, and had developed excellent contacts and rapport with the
American military authorities controlling the island. He operated at both Naha, the commercial airport, and at Kadena, the U.S. Air Force Base, and had been transferred to Hong Kong to assist Cox who was thoroughly tied up in trying to handle both CAT management and Agency operational activities. He was assigned as Traffic and Sales Regional Director for Southeast Asia, headquartered in Hong Kong. [Name] had an extremely engaging personality, a good deal of common sense, and
A few months later Headquarters advised that they
[Name] had had previous airline experience, and therefore his integration into CAT did not present any particular problems. It was felt, however, that instead [Name] in order to familiarize himself with the airline and to gradually become acquainted with the activities being carried on under CAT cover. This was
acceptable to Headquarters and integration into the airline was accomplished rather readily.
and his family returned to the States on home leave in June 1954. Shortly afterwards Cox was suddenly advised that would not be returning to the field and was being terminated from Agency employment. had not given any indication whatsoever of his intention to resign, and had left all his personal effects and kept his home in Hong Kong. Thus, this came as a complete surprise. At first Cox was determined to challenge the decision in view of the excellent and loyal performance had shown while with CAT. However, a hand written safehand letter from to Cox begged Cox not to further muddy the waters by taking any action whatsoever. In the light of this request, the whole matter was dropped.
During the same year, a similar experience occurred in respect had served for several years in CAT, and although not a heavyweight in terms of conducting operations, he had been valuable as a leg man, courier, public relations man, etc. He, too, had returned to the States on home leave never to return to the field.
In August 1954, [ ] reported to Hong Kong in order to be assigned responsibilities as special assistant to the president of CAT, [ ]. [ ] was very well known to Cox and to many others in the airline, [ ], several years. [ ] after several years with the Government during the Korean crisis, upon the cessation of hostilities he had decided to return to civilian life; CAT had become aware of this and, because of the closely cooperative relationship which had developed [ ], the airline made an offer of employment to him. This story, of course, probably raised a few quizzical eyebrows but there was no comment. [ ] arranged with Cox [ ].
As rapidly as possible, all of the residual Agency activities which Cox had been carrying on were transferred over to [ ] and his mission. It was Cox's feeling that the cooperation between the [ ].
and CAT management was excellent.
It should be pointed out that this kind of arrangement can conceivably raise a number of problems, since, in effect, integrated personnel are working for two bosses, the Chief of Mission and the company management, and have responsibilities to both. Consider the case of [ ] Chief of Security of CAT -- a very demanding job spread out over a large geographic area (Bangkok to Korea) -- [ ]. Fortunately all involved were friends of years standing, and no particular problems arose.
II. CONCLUSIONS REACHED
Value of CAT as an Operational Asset
CAT Support of Agency Requirements
In April 1955 the Far East Division was requested to prepare a brief summary of the value of CAT as an operational facility. This summary was to be used for the purpose of briefing the DCI, who was to attend a meeting of the CAT board of directors on 25 April 1955.
In submitting the summary, the Chief of FE Division noted that on 14 September 1953 his office took the position that, strictly from a CIA operational point of view, sufficient justification was not present for the continuation of the airline in the Far East. Nevertheless, the National Security Council ruled that CAT was a desirable transportation instrument and that it was in the national interest to have this airline in the Far Eastern area. He indicated that the division viewpoint of 1953 remained unchanged.
The FE briefing can be summarized as follows:40/
Covert Transportation in Support of CIA Activities
a. In the past three and one-half years, CAT had been used to effect the movement of
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d. While the level of requirements for covert transportation service at the time of the report was not large, a change of circumstances, particularly in the cold war of the Far East, could alter the situation quickly. CAT therefore represented a considerable insurance in having immediately available flexible and capable support.
CAT as an Instrument of National Policy
a. In both 1953 and 1954 CAT, at the request of the U.S. Government, contracted with the French military command in Indochina to furnish crews flying USAF C-119 aircraft on loan to the French. The operations in 1953 were successful in assisting the French to turn
back the invasion of the Viet Minh in Laos. In 1954 the operation was begun again on 10 March and continued after the fall of Dien Bien Phu until 30 August 1954.
b. In addition to the operations of the C-119 aircraft, on 19 August 1954, CAT contracted with the French to provide a minimum of 1,000 flying hours per month using its own C-46 type aircraft. On the termination of this contract on 5 October 1954, CAT had provided a total of 2,575 flying hours.
c. Ever since the partition of Indochina into three separate states, CAT has been making every effort to extend its services into Cambodia and Laos. If CAT is successful in the future, the Agency will obtain considerable operational advantages in these areas, including unofficial cover for Agency employees and unattributable transportation.
In the case of Laos, the opposition of a monopoly of French interests was so strong that we did not expect that CAT would be able to make much progress for the time being. In Cambodia, also, progress was extremely slow, but
the line was more hopeful that it would be able to obtain an entry there.
**Other Activities**
Other briefing papers prepared for the Director were:
a. A report on the status of the commercial operation which, in addition to the fiscal and operational figures, included a report on the company reorganization plans which had recently been effected or were under way.
b. The place of the airline in war planning was discussed. This indicated that war planning for the utilization of CAT in case of the outbreak of hostilities was still at the discussion stage at the Pentagon and with CINCPAC. It was stated, however, that CINCPAC did believe that the experience and knowledge of CAT flying personnel were unique. The maintenance abilities of CAT also were of considerable importance.
c. A discussion of the BOOKLIFT contract. This outlined the advantages of the contract to CAT both in terms of cover and as a source of revenue. It noted that there
were certain complications since the contract was subject to audit by regular Air Force auditors, and that there had been some speculation among the USAF audit staff as to certain of the peculiarities of the CAT contract. Additional negotiations had been conducted as commercial negotiations, on an unwitting basis, and only as a last resort would any attempt be made to use CIA and Air Force intervention to obtain favorable results for CAT.
d. A short briefing on maintenance facilities and the military utilization thereof, indicating that the quality of the work done by CAT had been a substantial factor in obtaining valuable customers and contracts.
In forwarding these briefing sheets to the DCI, the General Counsel, in his covering memorandum, noted that the conclusion of this survey was that CAT could continue its commercial operation in the foreseeable future so as to meet admirably both overt and covert government requirements. It noted that there would still remain two fundamental problems. The first involved sound short and long-range planning to develop the most economical, efficient commercial operation consistent with the overall requirements. The second arose out of the continuing need for
subsidizing CAT. It was indicated that a continuing study was being made in order to tailor the entire commercial structure as closely as possible to the actualities of normal air operations; the General Counsel also supported the recommendation that be referred back to OCB so that rigid requirements heretofore set could be replaced by a new policy statement to the effect that CAT would only maintain the capacity to meet government requirements as its commercial cover permits.\textsuperscript{41/}
All of the comments made above were briefing notes for the Director, for his meeting on 25 April 1955 with the CAT board of directors. These notes, therefore, consisted almost entirely of matters which could properly be discussed with the board of directors and did not cover strictly Agency activities.
A brief mention has been made of the activity in
Also, the briefing papers made some slight reference to the fact that it had been possible to insert
The writer feels that he was much too close to the scene to give an impartial evaluation of the overall CAT contribution to Agency and national objectives, and as to whether its retention by the Agency during the first few difficult years was justified. That is left to the reader of this historical paper to judge. Subsequent events have proven that the annual decision to retain the airline, rightly or wrongly at the time, was a fortunate one.
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III. REFERENCES - VOLUME II
1. Memo for Mr. Wisner from [ ]
Subject: Purpose of Memo, 16 January 1951.
Letter, no subject (letter of transmittal of memo noted above to Frank [F.G. Wisner] from [ ]), 16 January 1951, Secret, Sensitive V-62, V-63.
2. Memo for the Record, by R.G.S. DCOP,
Subject: Memo of Agreement Between Government and Civil Air Transport with Memo of Agreement Att., 3 October 1949, TS-35242, Series B.
3. [ ]
4. Daily OPC Reports 208, 7 November 1951, HS/CSG 716.
5. Volume I, Section IV B, The Korean War, of this history.
6. Volume III, Tabs B, C and D of this history.
7. [ ]
8. Memo of Conference with [ ] by Whiting Willauer, Tokyo 25 February 1952.
9. Volume I, Section IV A, Propaganda, of this history.
10. Memo for DD/P from Chief, I&R, Subject: Purchase of Won by CAT, 24 June 1953, DDP 4447.
11. Memo from Psychiatrist, [ ] 9 February 1954, Subject: Interview with Mr. [ ]
12. Draft memo contained in [ ]
13. Memo for Sheffield Edwards A/G/A (INS) from Stuart Hedden IG, Subject: , 24 September 1952,
14. See Reference 13.
15. Memo for the Record by Stuart Hedden, Subject: CAT 2 January 1952, TS-62906.
16. CAT Inter-office Memo to Board of Directors from Acting President and Managing Director, Subject: Progress Report for Board Meeting, 24 November 1952, dated 17 November 1952, CAT Ref. No. L.A.T.C. 52-197.
17. See Reference No. 16.
18. Memo for ADPC from , Special Assistant for Inspection, Subject: Whiting Willauer, 2 July 1951, OPC Registry 230-120-5.
19. Volume III, Tab K, Indochina-Limited Victory in 1952, Dien Bien Phu and Disaster in 1954, of this history.
20. Volume III, Tab N, of this history.
21. Memo for the Record by Chief of Administration, DD/P, Subject: Briefing on CAT, 23 September 1953, DD/P 5759.
22. Memo for the Record by Chief, Subject: Air Support in the Far East, 27 October 1953.
23. Memo for DCI from DD/P, Subject: CAT, 30 December 1953, DD/P-8075.
24. Memorandum, no addressee, by DD/P, Subject: memo of Points for Discussion of CAT Decision with the Director, 17 December 1953, DD/P 7933.
25. Memo for the Record, Subject: CAT by Chief of Administration, DD/P, 9 January 1954, DD/P 8181.
26. Draft Cables to Ambassador Rankin, no subject, undated, DD/P 8736, 8737.
27. Memo for George E. Aurell from Robert C. Strong, Department of State, Subject: Visit of Admiral Radford to Formosa, 15 December 1953.
28. Memo for DCI from C/FE, Subject: Visit of Admiral Radford to Formosa (CAT Franchise), 15 December 1953, DD/P 8734.
29. Memo for DD/P from Chief of Admin DD/P Subject: CAT, 1 February 1954, DD/P 8617.
30. State Department Cable 424, 20 January 1954, from Ambassador Rankin to Assistant Secretary Robertson, Subject: Payment to Bank of Taiwan by CATI. (This cable has not been available.)
31. Memo to C/FE from Chief of Mission CAT Monthly Report 22 September 1954, Enclosure to FCCA-87, Memo of Transmittal of Monthly Report.
32. Memo from A.T. Cox, Subject: Early History of Agency Relationship with Civil Air Transport (CAT) (Att. to DDS-62-0641) Control Report, Written at the Request of the IG Staff in the Course of an Investigation of CAT, 14 February 1962.
33. Memo CNAC/CATC Litigation (Att. to DD/S 62-0641).
34. Memo for DADPC from Deputy Comptroller, Subject: Accounts of A.T. Cox [in pseudo] 20 January 1951.
Memo for Deputy Comptroller CIA, from DADPC, Subject: Accounts of A.T. Cox, 7 February 1951.
35. Memo for [ ] DD/P through F.G. Wisner, DD/P, from Emmet Echols, Chief, Administration Staff (S). Subject: Accountability of A.T. Cox [ ] China for Period 1 October 1949 through 31 October 1951, 22 August 1952.
36. Memo for CFE through C/FE-2, from A.T. Cox [ ] Subject: Organization Procedures, China Mission 14 April 1952.
37. Memo from [ ] for [ ] Subject: Civil Air Transport (CAT), 7 April 1965, (R-212) Page 7.
38. Memo for DD/P (Eyes Only) Highlights of ADPC's Impressions on Far East - General, 15 March 1952.
39. Dispatch to C/FE, from Chief of Mission CAT [ ], Subject: Transmittal of Monthly Report, 22 September 1954, FCCA-87 and 88.
40. Memo to General Counsel, from [ ] C/FE, Subject: The Value of CAT as an Operational Asset, 20 April 1955, DD/P 1-6127.
41. Memo for DCI, from General Counsel, Subject: Survey of [ ] -- Spring 1955, 21 April 1955. |
Learning Dynamics Models for Model Predictive Agents
Michael Lutter * † Leonard Hasenclever† Arunkumar Byravan†
Gabriel Dulac-Arnold§ Piotr Trochim† Nicolas Heess† Josh Merel† Yuval Tassa†
Abstract: Model-Based Reinforcement Learning involves learning a dynamics model from data, and then using this model to optimise behaviour, most often with an online planner. Much of the recent research along these lines [1, 2, 3] presents a particular set of design choices, involving problem definition, model learning and planning. Given the multiple contributions, it is difficult to evaluate the effects of each. This paper sets out to disambiguate the role of different design choices for learning dynamics models, by comparing their performance to planning with a ground-truth model – the simulator. First, we collect a rich dataset from the training sequence of a model-free agent on 5 domains of the DeepMind Control Suite. Second, we train feed-forward dynamics models in a supervised fashion, and evaluate planner performance while varying and analysing different model design choices, including ensembling, stochasticity, multi-step training and timestep size. Besides the quantitative analysis, we describe a set of qualitative findings, rules of thumb, and future research directions for planning with learned dynamics models. Videos of the results are available at https://sites.google.com/view/learning-better-models.
Keywords: Model Learning, Model Based Reinforcement Learning, Control
1 Introduction
Recently reinforcement learning (RL) [4], in particular actor-critic approaches [5] were shown to successfully solve a variety of continuous control problems [6, 5, 7, 8]. The simplicity of this approach has led to an explosion of research demonstrating the effectiveness of these methods [9, 10]. However, model-free RL suffers from two key disadvantages [11]. First, model-free RL is sample inefficient, often requiring millions or billions of environment interactions. Second, the learned policies are tied to a specific task, making transfer of learned knowledge in multi-task settings or across related tasks difficult [12, 13].
Model-Based RL holds the promise of overcoming these drawbacks while maintaining the benefits of model-free methods. Model-based RL involves learning a dynamics model from data, and then using this model to optimise behaviour, most often with an online planner. Since the dynamics model is ideally independent of the reward and state-action distribution, multi-task settings are simple: the reward function can be changed at will [14, 15, 16]. For the same reason, offline learning with off-policy data is possible [3, 17, 15]. Moreover, model-based RL can achieve a better sample efficiency [2, 18, 19, 20, 21, 22, 15].
In this paper we investigate the impact of the different model learning design choices on the planner performance. For this evaluation we focus on learning models using feed-forward neural networks as these are the dominant models in the recent model-based RL literature. A large portion of these papers mainly proposes different methods to train the networks and variations on the planner. Unfortunately, each new paper proposes a series of evolutions, and so individual design choices are rarely ablated fully. This is the goal of our work. We look specifically at the effects of various model learning design choices on the planning performance. We consider 4 different design choices, deterministic vs. stochastic models, multi-step vs. 1-step losses, use of ensembles, and input noise. These design choices have been proposed to obtain better long term prediction [23, 1, 22] and planning performance [24, 25, 26]. To derive best practices for each choice-parameter, we perform
*Technical University of Darmstadt, †DeepMind, §Google Research
†Work during an DeepMind internship.
ablation studies evaluating the impact of the different choices. In addition we investigate the qualitative performance of the learned models, by evaluating their ability to describe complex trajectories with reasonable fidelity, and to be consistent.
The contributions of this paper are
- We perform a systematic comparison evaluating the planning performance of different design choices for model learning, i.e., stochastic models, multi-step loss, network ensembles and input noise, on five DeepMind Control Suite environments.
- We observe that mean squared error (1-step or multi-step) is not a good predictor of planning performance when using a learned model.
- We find that multiple model learning design choices can obtain high reward and consistent long-term predictions for the evaluated systems excluding the humanoid. The differences in reward between the different combinations is not significant.
- We characterise best practices for learning models using feed-forward networks. For our experiments, deterministic models need to be trained using the multi-step loss and combined with ensembles. Stochastic models require more ensemble components and input noise.
The paper is structured as follows. First, we cover related work on model-based RL for continuous control in Sec 2. Afterwards, we review the naive approach to learning dynamics models (Sec. 3). Section 4 introduces the design choices of model learning and evaluates the learned models using model-predictive control. The subsequent discussion (Sec. 5) summarizes the insights, results and highlights general challenges of model learning for planning.
2 Related Work
Learning dynamics model has a long tradition in robotics. The seminal work of Atkeson et al. [28] proposed to learn the dynamics parameters of a rigid-body kinematic chain from data. To remove the limitations of analytic rigid-body models [28, 29, 30], black-box function approximation was leveraged [31, 32, 33, 34, 35, 36, 37] to learn system models able to learn the peculiarities of real-world robotic systems.
The majority of model-based RL focuses on learning dynamics models, which predict the next step using the current state and action. The model learning for control literature refers to these models as forward models [38]. Model-based RL algorithms use the model as a simulator to generate additional data [39, 2, 40], to evaluate the reward of an action sequence [1, 18, 41, 19], to improve the value function estimate [42, 21] or backpropagate the policy gradients through time [43, 44, 45, 20, 46]. Current model-based RL methods use 1-step predictions to compute the optimal trajectory. Most current model-based RL approaches use different architectures of deep networks to approximate the model, e.g., deterministic networks [18, 20, 42, 47], stochastic networks [45, 41], recurrent networks [48, 22, 49, 50], stochastic ensembles [1, 19, 2, 17, 3, 21, 14, 51] and graph neural networks [52].
In this work we focus on feed-forward neural networks for learning dynamics models with continuous states and actions. The learned models are used with model predictive control (MPC) [53, 54, 55] to solve continuous control tasks. Simple feed-forward neural networks are the standard of most model-based RL and already offer many different variations that affect the planning performance. For the considered environments, MPC enables the direct evaluation of the learned models without
requiring a policy or value function approximation. Therefore, the model performance for planning can be directly measured and compared to planning with the ground-truth model.
3 Learning Dynamics Models
We concentrate on 1-step forward models and review this setup in more detail. Dynamics models predict the next observation \( x_{i+1} \) using the current observation \( x_i \) and action \( u_i \). These models can be used as a simulator for planning without interacting with the real system. For example, some sample-based planning algorithms sample action sequences close to the current plan, evaluates the reward of each action sequence by simulating the trajectories using the dynamics model and updates the plan using the action sequences with the highest reward. The simplest approach to learn such a forward model is to use a deterministic model that minimizes the prediction error. This objective can be achieved by minimizing the 1-step mean squared error between the predicted and observed next state. This optimization loss is described by
\[
\theta^* = \arg \min_\theta \frac{1}{N_D} \sum_{x, u \in D} (x_{i+1} - \hat{x}_{i+1})^T (x_{i+1} - \hat{x}_{i+1}) \quad \text{with} \quad \hat{x}_{i+1} = f(x_i, u_i; \theta),
\]
with the model parameters \( \theta \), the dataset \( D \) with \( N_D \) samples.
**Dataset** Current model-based RL algorithms re-use the data collected by the agent to learn the model. Therefore, the data is acquired in the vicinity of the optimal policy. This exploration leads to a specialized model for the considered task as only regions of high reward are explored. Hence, the current learned models are not independent of the state-action distribution and the reward function cannot be interchanged at will. In contrast to model-based RL, system identification focuses purely on obtaining the optimal data for learning the model cover most of the state space.
**Integrator** Instead of predicting the next observation, one can predict the change of the observation. Then the system dynamics are modelled as an integrator described by \( x_{i+1} = x_i + \Delta t \cdot f(x_i, u_i; \theta) \) with the time step \( \Delta t \). This technique has proven to result in more stable long term prediction compared to predicting the next state and has been widely adapted [1, 2, 3, 46, 56].
**Normalization** Optimizing the MSE can be problematic if the scales of the different observations are different. In this case, the model overfits to the dimensions with larger scales. For forward models this results in overfitting to the velocities as the position is usually an order of magnitude smaller. To mitigate this overfitting the MSE can be normalized using the variance of the dataset \( \Sigma_D \), which is commonly approximated using a diagonal matrix. The normalized MSE is comparable to standardization of the model inputs and outputs. In our experiments we did not observe any significant benefits using standardization instead of the normalized MSE.
4 Results
In the following we present our quantitative and qualitative evaluation of the model learning design choices. We evaluate the planning performance for 4 different design choices, i.e., stochastic models (Sec. 4.2), multi-step loss (Sec. 4.3), network ensembles (Sec. 4.4) and input noise (Sec. 4.5). These different design choices have been previously proposed within the literature to improve the model for planning [23, 1, 22] and generate better long-term predictions [24, 25, 26]. For each of these proposed models we first introduce the approach, summarize the results and conclude the best practices. The best hyperparameter for model learning were identified first using random search and the ablation studies compare to the optimal hyperparameter. The humanoid is only used for the initial ablation study as no model-learning approach learns a model that could be used for planning. A more detailed experimental setup, the hyperparameters and additional ablation studies are contained in the appendix. The links within the results point to the referenced section contained in https://sites.google.com/view/learning-better-models/.
4.1 Experimental Setup
**Data Sets** For the experiments the models are learned using a fixed data set. The data sets are recorded using five snapshots of an MPO policy [57] during the training process. Therefore, the data set has diverse trajectories including random movements and optimal trajectories. The combined data set contains 500 episodes which corresponds approximately to 1 hour of data for the cartpole and 5 hours of data for the humanoid.
**Evaluation Criteria** The models are evaluated using the normalized task reward and the MSE. The normalized reward is rescaled such that the maximum reward per episode is 1000. The MSE is
Figure 2: The learning curves comparing deterministic and stochastic models for five seeds on the five test domains. The shaded area marks the 20/80 percentile. For all systems except the humanoid, the stochastic and deterministic ensembles learn a good model that enables successful planning. The obtained reward is marginally below the reward obtained by planning with the true model. For the humanoid both approaches fail.
computed using the test set with an 80/20 split and normalized using the data set variance. If not specifically mentioned, the MSE is computed between a predicted and observed trajectory of 0.5s.
**Model Predictive Control** The planning performance of the models is evaluated using a CEM-based MPC agent [53, 54, 55]. Instead of maximizing the raw actions, we optimize the control points and interpolate linearly to obtain the actions at each simulation step. This approach simplifies the planning as the search space is decreased. We do not use a terminal value function. The MPC hyperparameters are optimized w.r.t. the true model and held fixed for planning with all learned models. For ensembles, we use a fixed ensemble component per rollout during forward prediction and do not switch between different components per rollout step. The reward is averaged across the rollouts of the ensemble [1, 41, 19, 15].
### 4.2 Deterministic vs. Stochastic Models
Instead of using a deterministic model, Chua et al. [1] proposed to use stochastic models. This model predicts the change of the system using a normal distribution. If the covariance matrix is assumed to be diagonal, the next state is described by
\[
x_{t+1} = x_t + \Delta t \left[ \hat{\mu}(x_t, u_t; \theta) + \hat{\sigma}(x_t, u_t; \theta) \xi \right]
\]
with \( \xi \sim \mathcal{N}(0, 1) \), the mean \( \hat{\mu} \) and standard deviation \( \hat{\sigma} \). Instead of minimizing the MSE, the stochastic model maximizes the 1-step log-likelihood. To make the optimization numerically stable the standard deviation is bounded by \( [\sigma_{\min}, \sigma_{\max}] \). This clipping can be obtained using the differentiable transformation
\[
\hat{\sigma} = \sigma_{\min} + S(\sigma_{\max} - \sigma_{\min} + S(\sigma_{\max} - \hat{\sigma}))
\]
with the softplus function \( S \). Depending on the implementation, the network can either predict the standard deviation [48] or the logarithm of the standard deviation [1]. The common motivation for this stochastic model is the estimation of aleatoric uncertainty, which arises from the fundamental stochasticity of the environment. However, most performed experiments use a deterministic environment, which has no aleatoric uncertainty. The main benefits of the stochastic model for deterministic environments is the lower entropy bound and the adaptive selection of precision. The lower entropy bound reduces the risk of model exploitation by increasing the variance of the model predictions. The state-dependent variance enables a model with limited capacity to trade-off precision with higher variance at specific states. Prior work [19, 22] has also shown that fixing the variance to for all states can achieve the same performance as the state-dependent variance.
**Results** The learning curves comparing stochastic and deterministic models are shown in Figure 2. Videos of the model performance are available at [Link]. Both the deterministic and the stochastic ensemble learn a model that can be used for planning for most environments. For the cartpole, finger, ball in cup and walker the learned models are able to solve the task. The differences in reward are not large and the qualitative differences of the rewards are not visible. Compared to the true model, the obtained rewards are marginally lower and exhibit a higher variance. The differences between models are not clearly visible in the videos. Visualising the plans [Link] of the approximated models shows that the plans are plausible. Only for the ball in cup system the model exploitation is obvious as the ball can pass through the top of the cup. When transferring the models to a different task (Appendix - Table. 2), increasing the replan intervals (Appendix - Fig. 8) and comparing the learning speed, the performance of the deterministic ensembles is better. For the humanoid both variants fail
Figure 3: The learning and loss curves averaged across five seeds for different horizons of the multi-step loss. The MSE is computed between an observed and predicted trajectory of length $0.5s$. The shaded area visualizes the 20/80 percentile. For all systems, the multi-step loss for up to 5 steps improves the model performance for planning. For longer horizons, the MSE keeps decreasing but the obtained reward also decreases.
to learn a good model. The MPC agent is able to easily exploit the approximated model. The visualized plans show that the optimization finds an action sequence that lets the humanoid magically float midair [Link].
The results are partially different compared to Chua et al. [1], which shows that the stochastic ensembles perform better than deterministic ensembles. We also found that stochastic ensembles are better, when the deterministic model was trained using the 1-step loss. However, if the deterministic model is trained using the multi-step loss (Sec. 4.3), the deterministic models achieve the same or better performance than the stochastic models trained on the 1-step log-likelihood.
**Conclusion** Both deterministic and stochastic ensembles are capable to learn models for planning for most evaluated systems and fail for the humanoid. However, both model types require different design choices to learn a good model for planning.
### 4.3 1-Step Loss vs. Multi-step Loss
The previously described losses optimized the 1-step loss that uses the information of two consecutive observations to learn the parameters. While this information is theoretically sufficient to learn the model accurately, various approaches [23, 24, 22] have used the multi-step loss to learn better models. For the deterministic model the multi-step loss is described by
$$\theta^* = \arg \min_{\theta} \frac{1}{HN_D} \sum_{D} \sum_{i=0}^{H} (\hat{x}_{i+1} - \hat{\hat{x}}_{i+1})^T \Sigma_D^{-1} (\hat{x}_{i+1} - \hat{\hat{x}}_{i+1})$$
with the horizon $H$, the prediction $\hat{x}_{i+1} = \hat{x}_i + \Delta t f(\hat{x}_i, u_i; \theta)$ and $\hat{x}_0 = x_0$. The computational complexity of the multi-step loss grows linearly with the horizon as the model needs to be evaluated $H$ times for each gradient update. Extending the multi-step loss to stochastic models is non-trivial. To compute the log-likelihood conditioned on the previous prediction one would need to propagate the uncertainty through the non-linear dynamics which is not possible analytically. Various approximations to propagate the uncertainty have been used for optimizing the policy [44, 58], but these approaches have not been adapted to model learning, yet. Therefore, we do not consider these approximations within this comparison and leave it for future work.
**Results** The learning curves and loss curves on the test set are shown in Figure 3. The obtained reward for multi-step loss using up to 10 steps is higher than the reward of the 1-step optimization loss. For very long horizons the obtained reward drops for finger and ball in cup. The increase of the reward due to multi-step loss varies by system. For the walker and cartpole the increase is not large. For the finger and ball in a cup the multi-step loss is required to achieve a high reward. For all systems an horizon of 3 to 5 steps works best, which is much lower compared to the planning horizon of 50+ steps. In addition, we observed that increasing the horizon using a schedule results in a lower reward (Figure 9). The systems that benefit the most from the multi-step objective only
Figure 4: The learning curves averaged over five seeds for different number of ensembles. The shaded area highlights the 20/80 percentile. The obtained reward increases when increasing the number of ensembles. For stochastic ensembles the increase in performance is higher compared to deterministic ensembles. Without an ensemble both models do not fail at the task and only obtain a lower reward.
obtain a reward comparable to the 1-step optimization loss. In contrast to the reward, the MSE keeps improving when increasing the horizon. This observation highlights that a lower MSE does not necessarily imply a better model for planning. We elaborate the implications of the MSE on the planning performance in section 5.
**Conclusion** For deterministic ensembles the multi-step objective increases the reward. Increasing the horizon using a schedule performs worse. A horizon between 3-5 steps performs the best for these systems. Despite the lower multi-step MSE for long horizons, the planning starts to fail for too long horizons. This observation highlights that the MSE (single or multi-step) is not a good indicator for the planning performance. A similar observation has been made for the 1-step log-likelihood by Lambert et. al. [56].
### 4.4 Single Network vs. Network Ensemble
To prevent the planner to exploit the model, various authors used the ensemble disagreement as a measure of epistemic uncertainty to regularize for the policy optimization. For example, PETS [1] averages over the reward of the predicted ensemble trajectories to prevent over-fitting to too optimistic predictions. MOREL [17] and MOPO [3] add a reward penalty to state with high epistemic uncertainty to prevent the policy optimization venturing into uncertain regions. The epistemic uncertainty can be approximated using bootstrapped network ensembles. The ensembles stack deep networks with different initialisation and train the networks with different minibatches. Therefore, all ensemble components are trained using the same data but the order and composition of the mini-batches is different. The computational and memory complexity for training the models and planning increases linearly with the number of ensemble components.
**Results** The learning curves for different ensemble sizes are shown in figure 4. Videos highlighting the model entropy [Link] and open-loop rollouts [Link] are available. More ensemble components increase the obtained reward. The increase in reward depends on the model type and specific system. For deterministic models the ensemble size only significantly matters for ball in a cup. For this task, the reward doubles when using a model ensemble. For the other systems the reward increases by up to 20%, which qualitatively does not significantly affect the task completion. For stochastic models, the advantages of ensembles is more significant compared to deterministic models. For all systems except the cartpole, the ensembles significantly outperform the single deep network. It is important to note that the computational complexity grows linearly with the number of ensembles. Therefore, future work needs to evaluate whether the increased performance of ensembles persists when the computational budget is fixed.
Qualitatively, the videos show that each ensemble component provides a stable long-term prediction of 1 second for all systems except the humanoid. The open-loop rollouts of the provide a diverse set of trajectories that are all physically plausible and not obviously wrong. However, the predictions
Figure 5: The learning curves averaged over 5 seeds for different levels of input noise. The shaded area highlights the 20/80 percentile. For deterministic models the input noise is not required to achieve a high reward. For stochastic models the input noise significantly improves the reward for walker and ball in cup. Without the noise ball in cup cannot be solved using the stochastic ensemble.
are not perfect and have minor errors. For example, the walker marginally sinks into the floor and the edges of the cup are not modelled accurately. Only for the humanoid the predictions yield diverging trajectories that are obviously wrong. Furthermore, the entropy describing the epistemic uncertainty increases at intuitive state space configurations. For example the entropy increases when the finger touches the spinner or the walker is in contact with the floor.
**Conclusion** Adding more ensemble components to the model increases the planning performance. For the considered systems, the stochastic models benefit more using ensembles. The reward gain beyond five ensemble components is marginal. It is important to note that a single deep network does *not* completely fail at the task and only obtains a lower reward.
### 4.5 Perfect Observations vs. Input Noise
For dynamics models the data commonly lies on a manifold due to system constraints and over-parametrized observations. For example the cartpole positions with sine/cosine features lie on the cylinder. When predicting long time horizons using the approximate model, one will inevitably deviate from the manifold. This deviation is inevitable as even simulators with perfect assumptions and knowledge frequently violate constraints. Simulators use forces orthogonal to the constraint to return to the manifold. For learned models returning to the manifold is not straight forward as the dynamics are random outside the manifold. Therefore, it is very common that the policy optimization exploits these random dynamics during planning to obtain a high reward. Sanchez-Gonzalez et al. [25] proposed to add noise to the inputs to learn a dynamics model that remains on the manifold for long horizons. Adding noise to the inputs causes them to lie outside the manifold. Using these inputs the model learns to predict solutions that return to the manifold. In this case the next step of the stochastic model is described by
\[
x_{t+1} = x_t + \Delta t \left[ \hat{\mu}(x_t + \lambda L_D \omega, u_t; \theta) + \hat{\sigma}(x_t + \lambda L_D \omega, u_t; \theta) \xi \right],
\]
with \( \omega \sim \mathcal{N}(0, 1) \), the Cholesky decomposition \( L_D \) of the variance \( \Sigma_D \), and noise amplitude \( \lambda \).
**Results** The learning curves for different noise amplitudes are shown in figure 5. Adding noise to the inputs can be beneficial, if the noise amplitude is not chosen too large for the specific environment. If the amplitude is too large the obtained reward drops significantly. For the deterministic models trained using the multi-step loss the input noise is not required to achieve a good performance. For the stochastic models the input noise significantly improves the obtained reward for ball in cup and walker. Especially for ball in cup the adding inputs noise is required to obtain a high reward. Without the input noise, the stochastic model fails on this task.
**Conclusion** Adding input noise during the training can improve the model performance, if the noise amplitude is not too large. For some models this data augmentation is even required to solve the task, e.g., ball in cup with a stochastic model.
Figure 6: The reward discrepancy measuring the difference between the expected and observed reward. If the discrepancy is positive the planner is too optimistic. If the value is negative the planner is too pessimistic. The planner with the true model rarely over-estimates the future reward. The learned model frequently over-estimates the future reward highlighting the model exploitation. Especially for the humanoid the planner expects a too high reward in close to all time steps. For the other systems the model exploitation is not so drastic as the maximum mode ist at 0.
5 Discussion
Feed-forward networks can learn models that enable planning for most of the considered systems. The obtained reward is only slightly lower than the reward when planning with the true model. Qualitatively, the models generate feasible plans and stable open-loop predictions for more than 100 steps. No single design choice works significantly better. Multiple combinations achieve a comparable reward. Deterministic models must be trained using the multi-step loss and combined with ensembles to achieve a good performance. Stochastic models trained using the 1-step log-likelihood perform well when ensembles are used and noise is added to the inputs.
**High Dimensional Systems** All tested models fail for the humanoid. The learned models predict diverging trajectories for open-loop sequences. The planner is too optimistic (Fig. 6) and finds an action sequence that lets the humanoid float midair [Link]. The results for the humanoid are expected as – to the best of our knowledge – only DreamerV2 [49] obtained a humanoid model that is able to generate stable open-loop rollouts by using significant more data, online learning and a recurrent latent space model.
**Model Exploitation** The model exploitation is visible when comparing the difference between expected and obtained reward (Fig. 6). The approximate model frequently overestimates the reward, while the true model does not. Especially, systems that involve contacts of two moving bodies, e.g., finger and ball in cup, are more prone to exploitation. One common failure mode for ball in cup is that the planner tries to tunnel the ball through the bottom of the cup [Link]. The collisions of ball and cup are modelled for the open-loop trajectories. Only during planning, an action sequence is found that enables to bypass this collision. Therefore, the modeling the contact is not the main problem but the model exploitation in the vicinity of strong non-linear changes.
**Mean Squared Error** The experiments show that the MSE (multi-step or 1-step) is not a good indicator for planning performance. A similar observation was described by Lambert et al. [56] for the 1-step log-likelihood. It is important to note that this observation does not suggest that one desires a higher MSE model. The result only suggests that MSE is not sufficient to estimate the planning performance of the model. During training, the reward increases and the MSE decreases with the number of updates. However, the MSE does not provide information about the planning performance when comparing two trained models. A particular peculiar example of this effect is shown in figure 10. For ball in cup only a coarse time step obtains a high reward, even though the MSE is an order of magnitude higher compared to smaller time steps. It is intuitive that the accuracy is not that important for this task. The trajectory after the collision does not need to be modelled precisely. The model must only ensure that the ball can not tunnel into the cup.
**Future Work** To advance model learning for planning, the existing techniques must be (1) extended to high-dimensional observations and (2) made more robust to avoid model exploitation. As data fit is not the main indicator for planning performance and ensembles are not sufficient to prevent model exploitation, a promising research direction is adversarial model learning. This approach can explicitly incorporate the planner into the model learning objective to minimize the reward discrepancy and promises to learn a robust model. One should specifically focus on dynamics with strong non-linearities as these are more susceptible to model exploitation.
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[57] A. Abdolmaleki, J. T. Springenberg, Y. Tassa, R. Munos, N. Heess, and M. Riedmiller. Maximum a posteriori policy optimisation. *arXiv preprint arXiv:1806.06920*, 2018.
[58] J. Watson, H. Abdulsamad, R. Findeisen, and J. Peters. Stochastic control through approximate bayesian input inference. *arXiv preprint arXiv:2105.07693*, 2021.
## 6 Experimental Setup
**Systems** To evaluate the model learning approaches, we apply these algorithms to Cartpole, Finger, Ball in Cup, Walker and Humanoid of the Deepmind Control suite (Figure 1). These systems cover a wide range of tasks, include contacts and include high-dimensional systems. For example the finger environment requires learning the interactions between the finger and the spinner. The ball in cup environment requires learning the collision shapes such that the ball does not tunnel into the cup. The walker and humanoid require to learn high dimensional dynamics and contacts with the floor.
**Data Sets** The data sets are recorded using five snapshots of an MPO policy during the training process. Therefore, the data set has diverse trajectories including random movements and optimal trajectories. The combined data set contains 500 episodes which corresponds approximately to 1 hour of data for the cartpole and 5 hours of data for the humanoid.
**Observations** The observations are over-parameterized and can include Cartesian coordinates or sensors. For example, the finger contains touch sensors on the tip. The humanoid observations contain the ego-centric positions of hands and feet. Therefore, the data does not correspond to minimal coordinates of the simulator. Due to the overparameterized representation, the data lies on a low-dimensional manifold defined by the kinematic structure. Therefore, not all points in $\mathbb{R}^n$ correspond to physically possible configuration. The system is fully observed. Hence, the simulator
Table 1: The hyperparameters for the deep networks and the model predictive control. The deep network parameters were identified using random search to obtain the parameters with the highest reward for each system. Ablation studies comparing different network parameters did not show any coherent trend for all systems. Therefore, these studies are omitted. The MPC parameters were optimized using random search using the ground-truth dynamics models.
| Deep Network Parameters | Cartpole - Swing Up | Finger - Spin | Ball in Cup - Catch | Walker - Walk | Humanoid - Stand |
|-------------------------|---------------------|---------------|---------------------|--------------|------------------|
| Time Step [s] | 0.01 | 0.01 | 0.01 | 0.04 | 0.01 |
| | Deterministic | Stochastic | Deterministic | Stochastic | Deterministic |
| Network Dimension | [2 x 128] | [3 x 256] | [1 x 512] | [2 x 512] | [3 x 512] |
| Activation | ReLU | ReLU | ReLU | ReLU | ReLU |
| Learning Rate | 5e-4 | 1e-4 | 5e-4 | 5e-4 | 5e-4 |
| Batch Size | 256 | 64 | 512 | 512 | 512 |
| Multi-step Horizon | 5 | 5 | 5 | 3 | 5 |
| # Ensemble | 5 | 5 | 5 | 5 | 5 |
| Input Noise | 0.0 | 1e-3 | 1e-2 | 1e-3 | 0.0 |
| | | | | | |
| Model Predictive Control Parameters | Cartpole - Swing Up | Finger - Spin | Ball in Cup - Catch | Walker - Walk | Humanoid - Stand |
|-------------------------------------|---------------------|---------------|---------------------|--------------|------------------|
| Horizon | 1.25s / 125# | 0.25s / 25# | 0.75s / 19# | 0.50s / 50# | 0.50s / 50# |
| Replan Interval [s] | 0.01s | 0.01s | 0.01s | 0.01s | 0.01s |
| # Control Points | 1/5s / 63# | 1/75s / 19# | 1/25s / 19# | 1/20s / 10# | 1/5s / 25# |
| # Particles | 200 | 500 | 200 | 200 | 500 |
| # Iterations | 1 | 1 | 1 | 1 | 1 |
| Exploration Noise $\sigma$ | 0.5 | 1.0 | 0.5 | 1.0 | 0.75 |
| Exploration Noise $\beta$ | 2.0 | 3.0 | 3.0 | 2.0 | 1.5 |
| arg max $x_k$ | True | True | True | True | True |
state - except the x-y world coordinates of the floating base systems - can be reconstructed from the observations.
**Reward Function** For environments with sparse rewards the reward function is smoothed to provide a dense function. Therefore, the reward corresponds to the euclidean distance to the goal state. This smoothing is necessary to provide a good search signal for the planner. The reward per step is bounded to be between 0 and 1. The reported normalized reward scales the reward such that the maximum obtainable reward for a single episode is 1000.
**Mean Squared Error** The reported MSE is computed using the test set with an 80/20 split and normalized using the data set variance. If not specifically mentioned the MSE is computed between a predicted and the observed trajectory of 0.5s.
**Model Predictive Control** The planning performance of the models is evaluated using a CEM-based MPC agent [53, 54, 55]. Instead of maximizing the raw actions, we optimize the control points and interpolate linearly to obtain the actions at each simulation step. This approach simplifies the planning as the search space is decreased. We do not use a terminal value function. The MPC hyperparameters are optimized w.r.t. the true model and held fixed for planning with all learned models. For ensembles, we use a fixed ensemble component per rollout during forward prediction and do not switch between different components per rollout step. The reward is averaged across the rollouts of the ensemble [1, 41, 19, 15].
## 7 Additional Experiments & Ablation Studies
In addition to the experiments presented in the main paper, we provide additional experiments that vary the dataset (Sec. 7.1), the task for the trained model (Sec. 7.2) and the replan frequency (Sec. 7.3). We also provide ablation studies evaluating the impact of a schedule for the multi-step loss (Sec. 7.4) and the impact of the time discretization (Sec. 7.5).
### 7.1 Model Generalization w.r.t. Dataset
To test the performance across different datasets, we compare the planning performance when varying the dataset. We consider 5 different datasets that contain episodes with different average reward. For example *dataset 0* contains only random actions while *dataset 4* contains the converged MPO policy. The average and maximum reward of the datasets are shown in figure 7. The results show that the approach of learning a model and utilizing the model for planning achieves - in most cases - a higher reward than the average and maximum reward of the dataset. For the most domains the model-based planning approach obtains a high reward for *dataset 1* or *dataset 2*, which is far from containing the data of the optimal policy. Therefore, the learned models are capable to generalize the beyond the state-action distribution of the dataset. The generalization is not perfect as for the random dataset, the performance is commonly worse. However, this is to be expected as the random dataset often does not contain large portions of the state space. For example, the random actions dataset for the cartpole do not contain states close to the balancing of the cartpole. Therefore, the planner with the learned model can swingup the pendulum but not balance the pendulum. When comparing deterministic and stochastic models, the deterministic models achieve in most cases a better or identical performance than the stochastic model. The only exception is *dataset 2* for ball in a cup.
### 7.2 Model Generalization w.r.t. Task
To test the transferability of the learned models, we transfer the approximate models between the different walker tasks. For example, the model is trained using *walker walk* data and applied to solve *walker stand* and *walker run*. The results are summarized in table 2. The deterministic model performs well in the transfer tasks as the learned models generalize to the other two tasks. The obtained reward is marginally lower than training the model for the specific task. Only when transferring the deterministic model from *walker stand* to *walker run* the reward is much lower than training the model on *walker run*. This difference is expected as the state-action distribution between the stand and run task are very different. Furthermore, the experiments show that the transfer from the *run* to the *stand* task is simpler than transferring the model from stand to the run task. This difference is intuitive as the *run* datasets contains configurations of the standing walker, while the *stand* task does not contain the data of the fast moving walker.
Figure 7: The obtained reward for the four different DM control suite environments and 5 different datasets with different average reward. In most cases, the model-based planning approach obtains a higher reward than the average dataset reward. Even when the dataset contains only random actions, i.e., dataset 0, the planner obtains a much higher reward than random actions.
Table 2: The obtained reward when transferring the model between tasks. The model is trained using the training domain and then applied to the evaluation domain. The deterministic model exhibits a good performance and obtains a comparable reward than the model trained on the test domain for most transfers. The stochastic model performs worse than the deterministic model when the model is transferred between tasks.
| Train Domain | Model Type | Walker Stand | Walker Walk | Walker Run |
|--------------|---------------------|--------------|-------------|------------|
| | | 20th Per | Avg | 80th Per | 20th Per | Avg | 80th Per | 20th Per | Avg | 80th Per |
| Walker Stand | Deterministic Ensemble | 820.1 | 897.8 | 976.4 | 787.8 | 853.5 | 5.5 | 949.5 | 344.4 | 394.6 | 446.2 |
| | Stochastic Ensemble | 468.4 | 690.0 | 905.5 | 296.6 | 426.0 | 565.6 | 87.0 | 140.9 | 190.9 |
| Walker Walk | Deterministic Ensemble | 890.0 | 931.3 | 993.2 | 822.9 | 869.0 | 962.3 | 463.5 | 503.6 | 563.6 |
| | Stochastic Ensemble | 685.4 | 782.9 | 886.3 | 672.8 | 750.2 | 930.6 | 212.5 | 300.7 | 411.5 |
| Walker Run | Deterministic Ensemble | 799.7 | 865.2 | 985.5 | 817.7 | 839.9 | 954.5 | 422.7 | 464.6 | 559.7 |
| | Stochastic Ensemble | 334.2 | 668.9 | 909.7 | 70.5 | 328.1 | 595.5 | 53.7 | 158.0 | 268.3 |
| * | True Model | 927.7 | 967.6 | 994.8 | 883.8 | 920.9 | 965.8 | 563.1 | 590.4 | 634.0 |
When comparing the transfer of the deterministic and stochastic model, the deterministic model performs much better than the stochastic model. When transferred the 20th percentile of the deterministic model is better than the 80th percentile of the stochastic model for most task transfer. Therefore, the deterministic model is better when transferring models between tasks.
7.3 Replan Frequency
An additional experiment to test the model performance for planning is to reduce the replanning frequency and observe the decrease in reward. As the replanning frequency is reduced, the planner evaluates fewer action sequences, is more likely to overfit to the approximate model and takes more steps before adapting the plan to the observed model mismatch. Therefore, the obtained reward can decrease for the true and approximate model. The results are shown in figure 8. For the cartpole and finger domain, the stochastic and deterministic model perform comparable. For the ball in cup and walker domain, the deterministic model performs better than the stochastic model. Especially for the walker domain, the deterministic model performance does not decrease while the reward of the stochastic model decreases by a lot. The obtained reward decreases slower / does not decrease for the deterministic model while the reward of the stochastic model decreases faster.
7.4 Multi-step Loss with Schedule
Instead of training directly on the multi-step loss, one can increase the horizon of the multi-step loss using a schedule. One starts to train on the 1-step loss and increases the horizon with the number of updates. In this work we increase the horizon linear w.r.t. to the number of updates. The motivation for this schedule is that the multi-step loss is too ambiguous / hard to optimize this loss directly. Therefore, one uses a curriculum that starts with the simple 1-step loss and makes the optimization slowly harder. The results for the multi-step loss using a schedule is shown in figure 9. In our experiments a schedule leads worse results than directly training on the multi-step loss directly. The MSE curves clearly show the effect of the horizon as the loss curves start identical. After some updates, the loss curves spread out according to the horizon length. Similar to training without schedule, the longer horizon lead to a better MSE. However, the MSE becomes unstable for some very long horizons. This instability was not observed without the schedule. Furthermore, the obtained rewards are comparable or worse compared to not using the schedule. This is especially
visible for the *Finger spin* task. Even for the optimal horizon length of 5 steps, the schedule causes the model to obtain a reward comparable to 1-step loss, which is significantly worse compared to training without the schedule. Therefore, the model seems to over-fit to the 1-step and cannot obtain the same performance as training on the multi-step loss without schedule.
**Figure 9:** The learning curves and loss curves for the multi-step loss using a schedule to linearly increase the horizon. The schedule cause the loss curve to start identical and spread once the schedule increases the horizon. Compared to training on the multi-step loss without a schedule, the training with the schedule performs comparable or worse.
### 7.5 Time Discretization
A frequently neglected design choice for model learning is the choice of the time step. The time step can be chosen as a multiple of the observation frequency. The common choice of model-based RL approaches is to use the time step of the model-free RL agent, which uses control frequencies of 30 - 100Hz and up-scales the actions using action repeats. These control frequencies are much lower than the simulation time steps ranging from 100 - 500Hz for the considered environments. However, the time step can be chosen differently to simplify learning the model. The learning and loss curves for different time steps are shown in figure 10 and figure 11.
**Deterministic Model** If the time step is chosen too coarse, the MSE is much higher than a finer time step. Despite the lower accumulation error the MSE is higher. If the time step is too small, i.e., $< 1/100$s, the MSE starts increasing again due to the higher accumulation error. For most evaluated systems, the deterministic model obtained the smallest MSE for a model time step between $1/40$ – $1/100$s. In terms of reward, the reward is lower for very coarse time steps as the time step lower bounds the control points distance for the planner. For example, the reward for *cartpole swingup* and
Figure 10: The learning and loss curves for different time discretization averaged over 5 seeds. The shaded regions highlight the 20/80 percentile. For too fine and too coarse time steps, the MSE increases. The lowest MSE is obtained for time steps between $1/40 - 1/100$s. The optimal time step to obtain the highest reward depends on the domain, while cartpole swingup and finger spin require a fine time step, ball in a cup catch only solves the task using a very coarse time step.
finger spin the reward decreases for time steps greater than $1/100$s. A particular peculiar example is ball in a cup. For this domain, the planner only obtains a high reward when using a very coarse model with a time step of $1/20 - 1/25$s, despite that the MSE is about an order of magnitude larger than the MSE for a timestep of $1/50$s. This result shows that even the multi-step MSE is not a sufficient criteria to evaluate the model for planning. The optimal time step to obtain the highest reward depends on the domain. Cartpole swingup and finger spin require a fine time step of $1/100$s, ball in a cup catch only solves the task using a very coarse time step of $1/25$s and walker walk performs well for time steps between $1/40 - 1/100$s.
**Stochastic Model** The optimal time steps for the stochastic models are identical to the optimal discretization of the deterministic model. Therefore, the optimal time step depends on the domain but not the model representation. In contrast to deterministic models, stochastic models perform slightly better in terms of reward for more coarse time steps. However, for very fine time steps the stochastic models perform worse than deterministic models. For example, the deterministic model solves the task for all time steps $< 1/10$s while the stochastic model fails for time steps $< 1/50$s. Furthermore, the MSE of ball in a cup shows that the stochastic models can diverge for very fine time steps.
Figure 11: The learning and loss curves for the stochastic model with different time discretization averaged over 5 seeds. The shaded area highlights the 20/80 percentile. Similar to the deterministic model, the optimal time step depends on the domain. The optimal time steps are identical to the optimal time steps of the deterministic model. |
Minutes of College Meeting No. 4 - 6 February 2013
Members present: Oda Helen Sletnes, Sverrir Haukur Gunnlaugsson and Sabine Monauni-Tömördy
Officials present: Ólafur Jóhannes Einarsson, Per Andreas Bjørgan, Xavier Lewis, Helle Brit, Christian Jordal, Mihalis Kekelekis, Ingvar Sverrisson, Kristin Bangsund, Birgitte Jourdan Andersen, Berhard Zaglmayer, Markus Schneider, Trygve Mellvang-Berg and Nina Hoppe
* * *
1. Agenda
Event 661226
The College approved the Agenda
2. Decisions taken by delegation procedure
Event 659397
Approved
3. Case 72480: Non-incorporation by Norway of Regulation (EU) No 1276/2011 (Viable parasites in fishery products for human consumption)
Event 660382
The College adopted a decision to close the case against Norway for failure to incorporate the Act referred to at point 17 in Part 6.1 of Chapter I of Annex I of the Agreement on the European Economic Area (Commission Regulation (EU) No 1276/2011 of 8 December 2011 amending Annex III to Regulation (EC) No 853/2004 of the European Parliament and of the Council as regards the treatment to kill viable parasites in fishery products for human consumption), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to
notify the Authority forthwith thereof, as **Decision No. 30/13/COL**
4. **Case 71395:** Non-implementation by Iceland of Directive 2009/161/EU (Third list of indicative occupational exposure limit values)
Event 660338
The College adopted a decision to close the case against to Iceland for failure to implement the Act referred to at point 16j of Annex XVIII of Annex II of the Agreement on the European Economic Area (*Commission Directive 2009/161/EU of 17 December 2009 establishing a third list of indicative occupational exposure limit values in implementation of Council Directive 98/24/EC and amending Commission Directive 2000/39/EC*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as **Decision No. 31/13/COL**
5. **Case 71371:** Non-implementation by Norway of Directive 2010/35/EU (Transportable pressure equipment)
Event 660301
The College adopted a decision to close the case against to Norway for failure to implement the Act referred to at point 6d of Chapter VIII of Annex II of the Agreement on the European Economic Area (*Directive 2010/35/EU of the European Parliament and of the Council of 16 June 2010 on transportable pressure equipment and repealing Council Directives 76/767/EEC, 84/525/EEC, 84/526/EEC, 84/527/EEC and 1999/36/EC*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as **Decision No. 32/13/COL**
6. **Case 65876:** Own initiative case concerning access to unemployment benefits in Iceland for migrant workers
Event 658745
The College adopted a Decision to close an own-initiative case arising from a failure by Iceland to comply with Article 67 of the Act referred to at point 1 of Annex VI to the Agreement on the European Economic Area (*Regulation (EEC) No 1408/71 of the Council of 14 June 1971 on the application of social security schemes to employed persons, to self-employed persons and to members of their families moving within the Community*, as amended), as amended, as adapted to the EEA Agreement by Protocol 1 thereto, by maintaining in force Article 47 of Act 54/2006 on unemployment insurance (*Lög nr. 54/2006 um atvinnuleysistryggingar*), as **Decision No. 33/13/COL**
7. **Case 65337:** Own initiative case concerning access to maternity leave benefits in Iceland for migrant workers
Event 619946
The College adopted a decision to close an own-initiative case arising from a failure by Iceland to fulfil its obligations arising from Article 1(a) in conjunction with Article 2 and Article 72 of the act referred to at point 1 of Annex VI to the Agreement on the European Economic Area (Regulation (EEC) No 1408/71 of the Council of 14 June 1971 on the application of social security schemes to employed persons, to self-employed persons and to members of their families moving within the Community, as amended), as adapted to the EEA Agreement by Protocol 1 thereto, as Decision No. 34/13/COL
8. **Case 73119:** Non-incorporation by Iceland of Regulation (EU) No 606/2010 (Fuel consumption of certain small emitting aircraft operators)
Event 660001
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at point 21ape of Chapter III of Annex XX of the Agreement on the European Economic Area (Commission Regulation (EU) No 606/2010 of 9 July 2010 on the approval of a simplified tool developed by the European organisation for air safety navigation (Eurocontrol) to estimate the fuel consumption of certain small emitting aircraft operators), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 35/13/COL
9. **Case 73077:** Non-incorporation by Iceland of Regulation (EU) No 64/2012 (Emissions from heavy duty vehicles)
Event 659291
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at point 45zzl of Chapter I of Annex II of the Agreement on the European Economic Area (Commission Regulation (EU) No 64/2012 of 23 January 2012 amending Regulation (EU) No 582/2011 implementing and amending Regulation (EC) No 595/2009 of the European Parliament and of the Council with respect to emissions from heavy duty vehicles (Euro VI)), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 36/13/COL
10. **Case 73076:** Non-incorporation by Iceland of Regulation (EU) No 65/2012 (Gear shift indicators)
Event 659287
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at points 45zx and 45zzo of Chapter I of Annex II of the Agreement on the European Economic Area (Commission Regulation (EU) No 65/2012 of 24 January 2012 implementing Regulation (EC)
No 661/2009 of the European Parliament and of the Council as regards gear shift indicators and amending Directive 2007/46/EC of the European Parliament and of the Council), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 37/13/COL
11. **Cases 73084 and 73085:** Non-incorporation by Iceland of Regulations (EU) No 347/2012 and No 351/2012 (Type approval requirements of motor vehicles)
Event 659345
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at points 45zzp and 45zzq of Chapter I of Annex II of the Agreement on the European Economic Area:
- Commission Regulation (EU) No 347/2012 of 16 April 2012 implementing Regulation (EC) No 661/2009 of the European Parliament and of the Council with respect to type-approval requirements for certain categories of motor vehicles with regard to advanced emergency braking systems,
- Commission Regulation (EU) No 351/2012 of 23 April 2012 implementing Regulation (EC) No 661/2009 of the European Parliament and of the Council as regards type-approval requirements for the installation of lane departure warning systems in motor vehicles
as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 38/13/COL
12. **Cases 73129, 73130 and 73031:** Non-incorporation by Iceland of Regulation (EC) No 1005/2009, Regulation (EU) No 744/2010 and Regulation (EU) No 291/2011 (Substances that deplete the ozone layer)
Event 660090
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at points 21aa and 21aaa of Annex XX of the Agreement on the European Economic Area:
- Regulation (EC) No 1005/2009 of the European Parliament and of the Council of 16 September 2009 on substances that deplete the ozone layer,
- Commission Regulation (EU) No 744/2010 of 18 August 2010 amending Regulation (EC) No 1005/2009 of the European Parliament and of the Council on substances that deplete the ozone layer, with regard to the critical uses of halons,
- Commission Regulation (EU) No 291/2011 of 24 March 2011 on essential uses of controlled substances other than hydrochlorofluorocarbons for laboratory and analytical purposes in the Union under Regulation (EC) No 1005/2009 of the European Parliament and of the Council on substances that deplete the ozone,
as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 39/13/COL
13. **Cases 73081, 73082 and 73083:** Non-incorporation by Norway of Regulation (EC) No 1005/2009, Regulation (EU) No 744/2010 and Regulation (EU) No 291/2011 (Substances that deplete the ozone layer)
Event [659463](#)
The College adopted a decision to issue a letter of formal notice against Norway for failure to incorporate the Act referred to at points 21aa and 21aaa of Annex XX of the Agreement on the European Economic Area:
- *Regulation (EC) No 1005/2009* of the European Parliament and of the Council of 16 September 2009 on substances that deplete the ozone layer,
- *Commission Regulation (EU) No 744/2010* of 18 August 2010 amending Regulation (EC) No 1005/2009 of the European Parliament and of the Council on substances that deplete the ozone layer, with regard to the critical uses of halons,
- *Commission Regulation (EU) No 291/2011* of 24 March 2011 on essential uses of controlled substances other than hydrochlorofluorocarbons for laboratory and analytical purposes in the Union under Regulation (EC) No 1005/2009 of the European Parliament and of the Council on substances that deplete the ozone,
as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as **Decision No. 40/13/COL**
14. **Case 73125:** Non-incorporation by Iceland of Regulation (EU) No 109/2012 (Registration, evaluation, authorisation and restriction of chemicals (REACH))
Event [660075](#)
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at point 12zc of Chapter XV of Annex II of the Agreement on the European Economic Area (*Commission Regulation (EU) No 109/2012* of 9 February 2012 amending Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) as regards Annex XVII (CMR substances)), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as **Decision No. 41/13/COL**
15. **Case 73126:** Non-incorporation by Norway of Regulation (EU) No 109/2012 (Registration, evaluation, authorisation and restriction of chemicals (REACH))
Event [660076](#)
The College adopted a decision to issue a letter of formal notice against Norway for failure to incorporate the Act referred to at point 12zc of Chapter XV of Annex II of the Agreement on the European Economic Area (*Commission Regulation (EU) No 109/2012* of 9 February 2012 amending Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation,
Authorisation and Restriction of Chemicals (REACH) as regards Annex XVII (CMR substances)), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 42/13/COL
16. **Case 73123:** Non-incorporation by Iceland of Regulation (EU) No 125/2012 (Registration, evaluation, authorisation and restriction of chemicals (REACH))
Event 660061
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at point 12zc of Chapter XV of Annex II of the Agreement on the European Economic Area (Commission Regulation (EU) No 125/2012 of 14 February 2012 amending Annex XIV to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals ('REACH')), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 43/13/COL
17. **Case 73124:** Non-incorporation by Norway of Regulation (EU) No 277/2012 Regulation (EU) No 125/2012 (Registration, evaluation, authorisation and restriction of chemicals (REACH))
Event 660069
The College adopted a decision to issue a letter of formal notice against Norway for failure to incorporate the Act referred to at point 12zc of Chapter XV of Annex II of the Agreement on the European Economic Area (Commission Regulation (EU) No 125/2012 of 14 February 2012 amending Annex XIV to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals ('REACH')), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 44/13/COL
18. **Case 73121:** Non-incorporation by Iceland of Regulation (EU) No 412/2012 (Registration, evaluation, authorisation and restriction of chemicals (REACH))
Event 660009
The College adopted a decision to issue a letter of formal notice against Iceland for failure to incorporate the Act referred to at point 12zc of Chapter XV of Annex II of the Agreement on the European Economic Area (Commission Regulation (EU) No 412/2012 of 15 May 2012 amending Annex XVII to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH)), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 45/13/COL
19. **Case 73122:** Non-incorporation by Norway of Regulation (EU) No 412/2012 (Registration, evaluation, authorisation and restriction of chemicals (REACH))
Event 660021
The College adopted a decision to issue a letter of formal notice against Norway for failure to incorporate the Act referred to at point 12zc of Chapter XV of Annex II of the Agreement on the European Economic Area (*Commission Regulation (EU) No 412/2012 of 15 May 2012 amending Annex XVII to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH)*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as *Decision No. 46/13/COL*
20. **Case 73153:** Non-implementation by Iceland of Directive 2009/38/EC (Establishment of a European Works Council or a procedure in Community-scale undertakings and Community-scale groups of undertakings for the purposes of informing and consulting employees (Recast))
Event 660349
The College adopted a decision to issue a letter of formal notice against Iceland for failure to implement the Act referred to at point 27 of Annex XVIII to the Agreement on the European Economic Area (*Directive 2009/38/EC of the European Parliament and of the Council of 6 May 2009 on the establishment of a European Works Council or a procedure in Community-scale undertakings and Community-scale groups of undertakings for the purposes of informing and consulting employees (Recast)*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as *Decision No. 47/13/COL*
21. **Case 73147:** Non-implementation by Iceland of Directive 2005/35/EC (Ship-source pollution and introduction of penalties for infringements)
Event 660231
The College adopted a decision to issue a letter of formal notice against Iceland for failure to implement the Act referred to at point 56v of Chapter V of Annex XIII to the Agreement on the European Economic Area (*Directive 2005/35/EC of the European Parliament and of the Council of 7 September 2005 on ship-source pollution and on the introduction of penalties for infringements*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as *Decision No. 48/13/COL*
22. **Case 73148:** Non-implementation by Norway of Directive 2005/35/EC (Ship-source pollution and introduction of penalties for infringements)
The College adopted a Decision to issue a letter of formal notice against Norway for failure to implement the Act referred to at point 56v of Chapter V of Annex XIII to the Agreement on the European Economic Area (Directive 2005/35/EC of the European Parliament and of the Council of 7 September 2005 on ship-source pollution and on the introduction of penalties for infringements), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 49/13/COL
23. **Case 73079:** Non-implementation by Iceland of Directive 2008/43/EC (Identification and traceability of explosives for civil uses)
Event 659330
The College adopted a decision to issue a letter of formal notice against Iceland for failure to implement the Act referred to at point 5 of Chapter XXIX of Annex II to the Agreement on the European Economic Area (Commission Directive 2008/43/EC of 4 April 2008 setting up, pursuant to Council Directive 93/15/EEC, a system for the identification and traceability of explosives for civil uses), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 50/13/COL
24. **Case 73080:** Non-implementation by Norway of Directive 2008/43/EC (Identification and traceability of explosives for civil uses)
Event 659336
The College adopted a decision to issue a letter of formal notice against Norway for failure to implement the Act referred to at point 5 of Chapter XXIX of Annex II to the Agreement on the European Economic Area (Commission Directive 2008/43/EC of 4 April 2008 setting up, pursuant to Council Directive 93/15/EEC, a system for the identification and traceability of explosives for civil uses), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 51/13/COL
25. **Case 73106:** Non-implementation by Iceland of Directive 2008/50/EC (Ambient air quality and cleaner air for Europe)
Event 659912
The College adopted a decision to issue a letter of formal notice against Iceland for failure to implement the Act referred to at point 14c of Annex XX to the Agreement on the European Economic Area (Directive 2008/50/EC of the European Parliament and of the Council of 21 May 2008 on ambient air quality and cleaner air for Europe), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 52/13/COL
26. **Case 73107:** Non-implementation by Liechtenstein of Directive 2008/50/EC (Ambient air quality and cleaner air for Europe)
Event 659926
The College adopted a decision to issue a letter of formal notice against Liechtenstein for failure to implement the Act referred to at point 14c of Annex XX to the Agreement on the European Economic Area (*Directive 2008/50/EC of the European Parliament and of the Council of 21 May 2008 on ambient air quality and cleaner air for Europe*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 53/13/COL.
27. **Case 73109:** Non-implementation by Iceland of Directive 2011/37/EC (End-of-life vehicles)
Event 659941
The College adopted a decision to issue a letter of formal notice against Iceland for failure to implement the Act referred to at point 32e of Chapter V of Annex XX to the Agreement on the European Economic Area (*Commission Directive 2011/37/EU of 30 March 2011 amending Annex II to Directive 2000/53/EC of the European Parliament and of the Council on end-of-life vehicles*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 54/13/COL.
28. **Case 73110:** Non-implementation by Norway of Directive 2011/37/EC (End-of-life vehicles)
Event 659980
The College adopted a decision to issue a letter of formal notice against Norway for failure to implement the Act referred to at point 32e of Chapter V of Annex XX to the Agreement on the European Economic Area (*Commission Directive 2011/37/EU of 30 March 2011 amending Annex II to Directive 2000/53/EC of the European Parliament and of the Council on end-of-life vehicles*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 55/13/COL.
29. **Case 73108:** Non-implementation by Liechtenstein of Directive 2011/37/EC (End-of-life vehicles)
Event 659932
The College withdrew the case from the agenda due to notification of the act.
30. **Case 73113:** Non-implementation by Iceland of Directive 2009/125/EC (Ecodesign requirements for energy-related products)
Event 659999
The College adopted a decision to issue a letter of formal notice against Iceland for failure to implement the Act referred to at point 6 of Chapter IV of Annex II to the Agreement on the European Economic Area (*Directive 2009/125/EC of the European Parliament and of the Council of 21 October 2009 establishing a framework for the setting of ecodesign requirements for energy-related products*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 56/13/COL.
31. **Case 73104:** Non-implementation by Iceland of Directive 2008/98/EC (Waste framework directive)
Event 659890
The College adopted a decision to issue a letter of formal notice against Iceland for failure to implement the Act referred to at point 32ff of Chapter V of Annex XX to the Agreement on the European Economic Area (*Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste and repealing certain Directives*), as adapted to the EEA Agreement by Protocol 1 thereto, into its national law and its failure to notify the Authority forthwith thereof, as Decision No. 57/13/COL.
32. **Case 72272:** Non-incorporation by Norway of Regulation (EU) 1152/2011 (Health measures for the control of *Echinococcus multilocularis* in dogs)
Event 659615
The College adopted a decision to deliver a reasoned opinion to Norway in accordance with Article 31 of the Agreement between the EFTA States on the Establishment of a Surveillance Authority and a Court of Justice concerning the failure by Norway to make the Act referred to at point 149 in Part 1.2 of Chapter I of Annex I to the Agreement on the European Economic Area (*Commission Delegated Regulation (EU) No 1152/2011 of 14 July 2011 supplementing Regulation (EC) No 998/2003 of the European Parliament and of the Council as regards preventive health measures for the control of *Echinococcus multilocularis* infection in dogs*) part of its internal legal order, as Decision No. 58/13/COL.
33. **Case 72273:** Non-incorporation by Norway of Regulation (EU) 1153/2011 (Technical requirements for the anti-rabies vaccination)
Event 659605
The College adopted a decision to deliver a reasoned opinion to Norway in accordance with Article 31 of the Agreement between the EFTA States on the Establishment of a Surveillance Authority and a Court of Justice concerning the
failure by Norway to make the Act referred to at point 10 in Part 1.1 of Chapter I of Annex I to the Agreement on the European Economic Area (Commission Delegated Regulation (EU) No 1153/2011 of 30 August 2011 amending Annex Ib to Regulation (EC) No 998/2003 of the European Parliament and of the Council as regards the technical requirements for the anti-rabies vaccination) part of its internal legal order, as Decision No. 59/13/COL
34. **Case 72479: Non-implementation by Norway of Directive 2007/43/EC (Minimum rules for the protection of chickens kept for meat production)**
Event 659706
The College withdrew the case from the agenda due to information on implementation of the act into national law, and imminent reception of the notification.
35. **Case 69694: Decision to open the formal investigation into potential aid to public bus transport providers in Aust-Agder County**
Event 658206
The College adopted a decision to open the formal investigation into potential aid to public bus transport providers in Aust-Agder County, as Decision No. 60/13/COL
requested that the Norwegian Authorities be informed of this Decision by way of a letter enclosing a copy of the Decision
requested that the European Commission be informed in accordance with Protocol 27(d) of the EEA Agreement, by way of a copy of the Decision
requested that the other EFTA States, EU Member States and interested parties be informed by publishing a summary notice of this Decision, in the EEA Section of the Official Journal of the European Union and the EEA Supplement thereto,
agreed to inform the public by means of a press release in English and in Norwegian
36. **Decisions taken by written procedure**
None
37. **Other Business**
None
38. **Minutes of the College Meeting, held on 6 February 2013 (no. 4)**
Event 661229
The College approved the Minutes of the College Meeting held on 6 February 2013
Oda Helen Sletnes
President
Xavier Lewis
Director |
7th Heaven
Journal of the Aus7 Modellers Group Inc.
No 47
$7.70 inc GST
Spring 2015
Merbein - A VR O Scale Layout Under Construction
Waratah NSWGR CPH - MkII
The Layout That Almost Was
An Afternoon at Peters
Commercial News
CONTENTS
4 Merbein - A VR O Scale Layout Under Construction Andrew Krassay
Andrew relates his conversion to O scale and describes the first stages of the construction of his VR prototype 1/4” scale layout.
7 Waratah NSWGR CPH - MKII John R.B. Parker
John updates his previous article on DCC for the CPH with this newly released version.
12 The Layout That Almost Was Peter Krause
Peter describes a layout concept he once planned to build.
14 An Afternoon At Peters Stephen Reynolds
Aus7 member Peter Smith has a large indoor/outdoor layout. Stephen gives us a sample of his visit.
16 Commercial News Trevor Hodges
Spreading The Word
Many years ago, probably about 1997 or 1998, our current Secretary Stephen Reynolds dragged me fairly reluctantly along to an O-Gauge Modellers Workshop at Thornleigh in Sydney. At the time I’d been working in HO for about 7 or 8 years. Stephen’s scale/prototype interest was a little more difficult to define: at the time, when asked to specify his chosen scale and prototype on a model railway club membership application I’d asked him to fill out, he wrote “too many”. In spite of this he got me to go with him to the workshop and I made the fatal mistake of purchasing my first 1:43.5 kit. It took a couple of years but by about 2003 I’d essentially relinquished HO entirely, sold every HO model I owned and have worked exclusively in O-scale ever since.
There are probably lots of different ways we could go about promoting the hobby and more specifically O-scale, but I do know what worked for me: attending that first O-Gauge Modellers Workshop introduced me to a new scale and a group of people who were as intent on enjoying their hobby as I was. No one lectured me, everyone was friendly and the trains sold themselves. Ever since I caught the bug I’ve been quite happy to spread it around and I flatter myself that the Aus7 Modellers Group has managed to do for a few others what the organisers of the Workshops did for me.
On Saturday the 11th of July, 2015 we upheld the Aus7 Modellers Group’s proud tradition of “spreading it around”, this time carrying the bug across the border into Queensland. This first Queensland Forum was a bit of a test to be quite honest. We ran it using the same tried and tested formula that we’ve used at North Sydney Leagues for many years. The one down side to this formula is that we had no idea whether anyone would turn up on the day until people started actually coming through the door. Thankfully we attracted a small but enthusiastic group of interested modellers, about twenty people in all attended, and the day was a resounding success. The talks were a great mix of interesting topics and everyone was praising the Aspley AFL club as being a fantastic venue. People came from as far away as Cairns and Wollongong to attend, so O-scale obviously has some pulling power although we could have happily accommodated twenty more people.
I’d like to thank Peter Krause and Phil Flynn for ably assisting me to organise the event. I’d also like to thank John Parker for heading north and doing one of his informative talks on DCC for the group and I should also thank Glenn Scott. Glenn came north for a family holiday which just happened to coincide with the Brisbane Forum so that we poor souls north of the Tweed could make some strategic purchases from the Model-O-Kits fine range.
Whether we organise another Brisbane Forum is really a matter of whether we think there’s a demand. We have discussed the possibility of running two more, either annually or biennially, however the organisers have made a personal commitment that we need to cover the cost of holding the event and we didn’t quite manage that this time. We have a few tweaks we feel we can make to ensure we cover costs but we’ll make a final decision about whether we run another one after this year’s AGM.
I’m a relatively recent convert to O scale but have been lurking for some time – it all started innocently enough. About six or seven years ago I attended the October long-weekend Liverpool Exhibition and spent my time buying HO equipment and viewing layouts as usual. In the back corner of the hall was a small exhibit that caught my eye. There, upon a short single track ran a highly detailed, sound-equipped O scale 48 class diesel moving slowly back and forth. I was intrigued by the scale, heft and presence of the model and how toy-like HO offerings looked in comparison. I must have walked around the exhibition half a dozen times and always ended up being drawn back to that exhibit.
A few months later I found the Veteran Models website and the AMRM article series on starting in O scale by Trevor Hodges and it opened up the possibilities of O scale modelling to me. However, I was a confirmed HO modeller and it would be silly to change scales after investing so much time, effort and money into HO – right? But the thoughts would just not go away so I bought just one O scale kit (a GY) to get it all out of my system. How much harm could one small O scale kit do? I admired the kit, put it on the shelf unbuilt and continued with HO but the seed was sown. Then one day several years later the newest HO wagons I’d ordered arrived and as I placed them on the mostly-built HO layout it was strangely unexciting. The models were excellent but it felt like something was missing. All my plans for a HO empire were no longer as inspiring and it felt like I needed a new challenge.
Over the next month or so I doodled new track plans, visited O scale websites and realised that a change in scale could be just what I was looking for. The final piece of the puzzle was a house move and renovations to provide a dedicated trainroom with enough space for a small O scale layout. The decision was made and I started to sell some off my HO stuff and buy O scale kits and design my first O scale layout.
**Merbein: The plan**
I’ve long had an interest in the far NW part of the VR system in the Riverland near Mildura and the NSW border. My O scale (1:48) layout is based on Merbein, Yelta and industrial sidings at Mildura.
The header photo shows Merbein yard and station building in 1976 looking southwest towards Yelta (Geoff Winkler photo)
The Mildura station and yard is too big to model in O scale for my space - unless I can drill through walls and take over the entire kitchen and family room but the inhabitants are strangely unwilling. The layout will include three main scenes: 1) Caltex oil siding and Mildura fruit packing sheds at the Up (Melbourne) end on the outskirts of Mildura, 2) the station, yard and sidings at Merbein, and 3) the Down terminus at Yelta with a small yard, goods shed, passenger shed and grain silos. Yelta is the farthest point by rail from Melbourne on the VR system. It is also planned to include two sections of hidden staging tracks; two or three-tracks behind the Mildura fruit packing siding and two tracks behind Yelta accessible on a traverser. Other planned scenes are a vineyard, small stock-loading yard...
and the cutting and road-over-rail bridge at McEdwards St between Mildura and Merbein.
After careful measuring of the room the track plan was designed on XTrackCAD. The plan is fairly simple and is probably subject to change as building progresses. The plan incorporates most features of the prototype in their correct orientation and arrangement with a few compromises. I couldn’t work out a way to include all three roads at Merbein without compromising the approaches so for now the yard has been reduced to two tracks (as the real VR did in 1980 so I can live with this element). The plan and location for a turntable approximates where a small turntable once existed solely for turning railmotors but I plan on using a bigger, standard VR 70 ft one instead.
The layout is designed for point-to-point branchline operation. Track will be code 100 Peco rail hand-laid with spikes on stained wooden sleepers with 4-foot radius curves and handmade #6 points. Most of the traffic will include 4-axle diesels (T & Y class) and a mix of 4-wheel and bogie wagons to represent traffic circa 1975. The local passenger service is by VR DERM and trailer. The main goods traffic will be short grain, fruit and oil trains with other mixed goods and service stock.
**Merbein: Progress so far**
The roughly 5m by 3.5m trainroom is finished with new gyprock walls, multiple powerpoints, new flooring, paint and LED downlights. The benchwork is completed for five of the modules. For this layout, which needs to be double-decked, I decided to use modular steel rather than dimensional pine timber as used in previous layouts. Some of the steel is from the Metal Mart range available at Bunnings. Subsequently I found cheaper, stronger 38mm slotted steel at an industrial supplier. One advantage is that this steel comes in 3.6m lengths which are almost exactly the length of one trainroom wall so a single beam can span the whole wall. The slotted steel structure is self-supporting and quite strong and rigid when assembled and joined together with bolts. Each benchwork module has four beams, two for the lower HO deck (previous HO modules and now used by my sons) with a rail height at 90cm from the floor and the upper O-scale deck with a rail height of 130 cm.
In the past I have used pine or hollow-core doors to make layout modules to sit on the benchwork but these tend to be heavy and awkward to move for one person. This time Merbein modules are constructed from 25x25x1.5mm aluminium angle rails with 12mm plywood cross-members pre-drilled to allow for wiring harnesses - thanks to Trevor H and his blog for showing this method. So far two 1.86 x 0.7 m modules have been constructed and have proven to be lightweight and strong.
The plan is now to mark and cut the subroadbed, secure in place and then commence tracklaying on a 4mm marine ply roadbed to be glued or screwed to the subroadbed. I originally bought the Aus7 perspex track template to use in point making but realised that the design differs quite a bit from VR points. So, I used a prototype VR point diagram scaled to 1:48 on a photocopier as a base for making a point building template in MS powerpoint that can be printed off in A3 and trimmed ready for gluing to the subroadbed prior to track laying on the bench.
Before committing to wholesale track-laying I made a small diorama to test various track building techniques. This helped me avoid at least one disaster when the first plywood I bought proved to be so dense and hard that track spikes would nearly all bend and could not be inserted properly. Several different suppliers later I’ve found appropriate plywood and have a test track that looks the way I want and is prototypical for the VR.
Since starting this article I’ve bought a new air compressor and airbrush and layout work has being suspended in favour of kit building and spray-painting. I aim to resume layout and track construction in the spring and summer.
*Self-supporting, modular slotted steel benchwork along one wall*
Double-deck layout with O-scale modules on top and HO-modules on lower deck. Layout has been designed to allow a large amount of storage space underneath.
Aluminium angle and plywood layout module resting on the slotted steel benchwork
The first two O-scale modules with 9mm marine ply subroadbed resting temporarily on top whilst track locations are marked with paper templates prior to cutting with jigsaw. The blue extruded foam skyboard is also temporary
Diorama with single test track to VR prototype sleeper style and spacing for branchlines
The original version of the Waratah O scale model of the NSWGR rail motor proved to be so popular that many prospective purchasers were disappointed when the first run sold out in record time. Model O Kits, who recently purchased Waratah Models have arranged a new production run to satisfy the demands of those who desire their own model of this iconic railmotor. Part of the popularity of this model comes from the fact that the CPH has always been an ideal motive power for a very small O scale layout. For convenience I will identify this new model as CPH Mk II. The model is now available for immediate delivery from Model O Kits.
The Mk II version although very similar to the original does include a number of improvements, most notably in smoother running together with a body that now sits lower on the bogies at a prototypical height. If your normal motive power is DC, or even if you purchased the model just for display on your mantelpiece then I am sure you will be delighted as this is a great model. The model as supplied is fitted with interior lighting, headlights and the correct red and white marker lights. These Light Emitting Diodes are all terminated on two pin plugs which connect to an interface board. This is a marked improvement to the hard wired arrangement used in the original production run. However there is no connection at all between the body, which includes this interface board and all the lighting, and the chassis. As a consequence, without modification, none of the lights will operate if the model is powered solely by a DC power pack.
Now some might have hoped for a fully equipped Ready To Run DCC sound version, but this would have been considerably more expensive and almost certainly would have priced the model out of the reach of many modellers. If you really need a DCC version complete with sound what is the solution?
Ask for help from a friend? Why not add the decoder yourself, in this model that is not a difficult task, just follow the diagrams and photographs, I feel sure that you will be impressed with the results.
All of the components required for this adaption are listed below in the parts list. Almost all of the assembly is carried out outside the model; in fact you don’t even need the model at this stage.
Start by cutting your “Vero” PC board stock to produce a square 22 holes wide x 22 holes high (approximately 55 mm square.) Arrange the material so that when viewed from the copper side the tracks are horizontal, remove a rectangle 10 holes high x 8 holes wide from the top right hand corner, this will result in a “L” shaped board. To aid in construction both the adjacent photos are twice the actual size of the board.
The mounting holes are identified by the orange circles. They are made by opening up the existing holes with a 1.4-1.5 mm drill. Next cut the tracks at the 17 places identified by the blue circles. This can be easily achieved by using the special spot face cutter or a 1.8mm drill turned between you thumb and finger. Count the holes from the edge of the board to ensure that the cuts are made in the correct places.
All of the components can then be inserted from the component side of the board and soldered in place. It is recommended that the three wire links are soldered first then the eight 1K ohm resistors and finally the eleven two pin sockets which were made by separating groups of two contacts from the I.C. connector strip with a razor saw. Remove the two brown speaker wires from the 21 pin Loksound V4.0 decoder and solder them to the pads on the underside of the adaptor board. The decoder can be put in safe place; it will be inserted later into the adaptor board.
**Parts List**
**Jaycar**
1 x HP9542 PC board Vero type
1 x AS3030 8 ohm speaker
1 x RR0572 1K ohm resistor (8)
1 x PI6470 IC socket strip
1 x TD2461 Spot face cutter
**Model O Kits**
1 x AS3030 Minimum size Speaker enclosure kit
**Model Railroad Craftsman**
1 x #51968 adaptor board
1 x Loksound V 4.0
CPH 7th Heaven decoder
The Model Railroad Craftsman (02 9831 8217) has produced an authentic sound file for the CPH railmotor. Upon request Gary will supply the decoder complete with that file and function programming to match this article. He will even include your road number if asked rather than the usual default “3”. There will be no need for any additional programming!
**FUNCTIONS**
F0 = Headlights (directional)
F1 = Interior Lights
F2 = Horn
F3 = Short Horn
F4 = Marker lights (red & white directional)
F5 = Guard’s whistle
F6 = Sound of seat turnover
F7 = Sound of freight movement
F8 = Motor start/stop
F9 = Dim interior Lights
F10 = Sound of rail joint (smart)
Due to the manufacturing process the adaptor board usually has an extension piece with two holes. This can be snapped off to reduce the length of the board. Follow the wiring diagram and solder all the leads from the adaptor board to the correct locations on the copper side of the matrix board. It may be necessary to add a wire for Aux 3, making a total of 12 connections. The adaptor board is fixed in the position indicated using a short length of 3M double sided foam tape, the tape should be at least 2.5 mm in thickness to reduce the possibility of a short between the back of the board and the copper tracks beneath. If you are concerned a short piece of electrical tape could positioned under the adaptor board. The decoder can now be gently plugged in place. Follow the photograph to ensure that it is inserted correctly; noting the position of the blanked-off pin will assist alignment. To avoid any possibility of the decoder assembly becoming loose it is tied in place with nylon fishing line. The line is passed through four holes in the matrix board.
Make up the special speaker box using PVA or acrylic glue. Solder two wires to the speaker and thread the wires through one of the two holes. Acrylic glue is used to seal the speaker in place and close any gaps. Achieve minimum height by ensuring that the rear face of the speaker is flush with bottom of the enclosure.
Cut the wires to length and solder them to a male 2 pin plug cut from the I.C. socket strip. Ultimately the base of the speaker box will be glued to the component side of the PC board but that is best left until last to facilitate the final assembly.
We can now turn our attention to the model. Invert the model on a suitable foam pad to protect the paintwork and remove all the screws which secure the body to the chassis. Put the screws in a safe place as they will be reused. Separate the body from the chassis. You will find that there are no wired connections between the two parts. Put the chassis to one side. Gently unplug all the LED wires which are connected to the interface board. It is not necessary to keep any record of how they are connected. Remove the four screws from the board and add the board to your collection of ‘things that might come in handy one day.” Retain the screws, they will be used to secure the new assembly in place.
It is recommended that final testing is carried out before affixing the new assembly in place. The photograph on the first page shows how this is possible. The various leads are long enough to reach the sockets on your new assembly. The photograph above indicates the ultimate location of all the leads. The Chinese factory has taken a cavalier attitude to the wire colour code. The anode is usually white but can be orange as well as red or black. The diagram is correct for the model I converted; hopefully it will be the same as yours. Prior to the final test a small modification to the chassis wiring is required.
As delivered the model has both bogies pick-ups and the motor wired together. This is fine for DC operation but not for DCC. A simple modification is required.
Cut the two soldered connections from the wiring leaving the six wires as long as possible. Prepare two 2-pin plugs from the I.C. connector strip. They will both be used as male plugs. To avoid any possibility of melting the plastic moulding it is a good idea to insert the plugs into another piece of the connector to act as a heatsink when soldering. Identify the red and blue wires from the motor, strip off a small section of insulation and “tin” the exposed wire with solder. Solder the two wires into the socket side of the connector ensuring that there is no contact between the two wires. A similar approach should then be used for the wires which come from the bogies. A slight complication this time is that you now need solder two wires to each individual socket. You may find it easier to connect the two red wires together to another short length of red wire and then connect the other end of that wire to the plug. It is then necessary to repeat that action for the blue wires coming from the bogies. Heat-shrink tubing should be used to cover the soldered wire joint.
We are now ready make sure that everything works as expected. Place the speaker enclosure in its final position and plug into the socket provided on the edge of the board. It can be plugged in either way, it is not polarised. Do not glue the enclosure in place yet. Plug the bogie pick-ups, (track power) into the socket as marked. (It is the one closest to the speaker.) Either way around is fine. Plug in the motor leads to the adjacent socket, it is alongside the track connection socket and is closest to the edge of the board. Either way will do, you have a 50% chance of getting it correct but if it is wrong it will be fixed as part of the testing.
With everything connected the chassis should be placed on a short section of track connected to your DCC system. Use your control cab to access the loco via either the default “3” or the railmotor road number if that was requested as part of the programming of the decoder. The various functions as listed in the function table can now be tested. F8 will initiate the sound start-up which must be in operation before other sounds will be active. If the model moves in the wrong direction simply reverse the plug from the motor. If you have an inoperable LED whilst other lights work correctly it is possible that the choice of wire colour is at fault. Remember that if the connection to the cathode and anode of a LED are reversed it will not illuminate, however the LED will not be damaged, just pull the plug out, turn it 180 degrees and plug it in again.
Prior to screwing the assembly in place it is worth inserting a small plastic strip (as shown) under the board. This has the advantage of making the mounting screws captive and it also eliminates any possibility of a short to the body. Due to the design of the board this is only necessary on the side closest to the resistors. The speaker enclosure can now be glued in place. As part of your testing you will probably notice that there is a lot of light spill from the LEDs used for the marker lights. I solved this problem by wrapping the LED fibre optic junction with black electrical tape.
You might like to add a driver and some passengers before reuniting the chassis and body using the screws you earlier put in a safe place. If you have got this far your DCC sound conversion is complete.
Well done!
I have often been asked how I developed an interest in New South Wales Railways given that I am a Queenslander. The short answer was that during the 1970s I worked for a major Australian transport company whose premises were adjacent to the main interstate rail line into Brisbane and the location of my office afforded me an excellent view of the passing parade of NSWJR trains arriving into and departing from Brisbane. As the line was 100% diesel locomotive operated by the time I have to admit that I no idea how I came to also be interested in NSW steam locomotives.
The parade of trains at that time included the Brisbane Limited, the Brisbane Express and several express freight trains each day. Of particular interest to me was the flexi van train which arrived around 2.30pm. The operation of the company’s flexi van traffic was one of my areas of responsibility. Over the years I have often given thought to the possibility of building a layout based on the operation of the interstate line in the Brisbane region. The main features are as follows:
SOUTH BRISBANE STATION - A platform long enough for a 14 car passenger train plus two locomotives; a run around track; two storage tracks; a two track carriage shed and a three track goods yard which included a goods shed and two travelling gantry cranes.
PARK ROAD - An unloading facility which primarily handled newsprint traffic.
YEERONGPILLY- Locomotive servicing facilities which included a two bay engine shed and a 70’ turntable.
CLAPHAM – Transshipping facilities between the New South Wales and Queensland systems as well as flexi van transfer and motor vehicle unloading sidings.
ACACIA RIDGE – the main marshalling yard and container handling facilities.
Being an O scale modeller I always thought that such a layout was probably a dream too far. However, when I recently reviewed my layout options, I did re-visit the Brisbane interstate line option and surprisingly came up with something that mirrored the operation; albeit in a significantly smaller format, but able to be arranged around the walls of a two car garage, nominally 6 metres X 6 metres. The overall concept is shown in the track plan included with this article.
Along one wall is an interpretation of the facilities at South Brisbane. It includes the platform and run around track and a two track goods yard, all located approximately as they were at South Brisbane. To keep the depth to the nominal 800mm I rotated the carriage shed 180 degrees from where it actually is at South Brisbane and have made it a single track. Representation of the facilities at Park Road, Yeerongpilly and Clapham are located along the back wall with Clapham being a passing loop only (there was one in the real Clapham) with a spur for Park Road and a two bay engine shed and turntable to cover the Yeerongpilly facilities.
The third wall has provision for an industry as well as a fiddle yard. The fiddle yard represents Acacia Ridge and points beyond. Had I built the layout the industry would have born a striking resemblance to the place that I worked at in the 1970s. We unloaded and loaded a large number of louvre vans each week in addition to the flexi van traffic referred to earlier.
Operationally there would need to a degree of acceptance that mainline sized passenger trains might be out of the question but a TAM/FS/BS/EHO set pulled by a 36 or 44 could be feasible as a substitute for the Brisbane Limited and a motley collection of other readily available passenger cars could fill the role of the Express.
Three freight trains departed South Brisbane each day. First cab off the rank was a fruit express which left early morning headed for Flemington markets in Sydney after picking up extra loading at Clapham. The other two were evening departures, the last being a sweeper service which picked up enroute all the southbound wagons that could not be included in other trains. All three could be easily replicated in this layout.
Inbound freight direct to South Brisbane was only one train daily. Most freight trains into Brisbane terminated at either Acacia Ridge or Clapham. Wagons for South Brisbane, Park Road and other sidings were delivered by a service known as Number 9 Shunt which usually consisted of a 48 and a dilapidated PHG (which was labelled ‘for use between South Brisbane and Acacia Ridge only’) and whatever wagons needed to be delivered. It worked two shifts a day. As well there was a shunt engine allocated to South Brisbane which worked two shifts a day.
Had I decided to build this layout, I would have called it South Moreton as the area that is now Brisbane was once known as the Moreton Region. Instead I opted to build Saddlersfield. So there it is; a lot of operation in a two car garage and still room for the family car if your two car garage has a full width door as a lot of them do now days.
I penned this article in the hope that it may inspire someone who claims to not have sufficient space to build an O scale layout to reconsider. You do not even have to think outside the 6m X 6m square.
I can now only ask; what is the next excuse going to be as to why you cannot build yourself an O scale layout?
INTRODUCING THE PIONEER MODELS CROWDFUNDED 7MM SCALE NSW LOW-FRAME 32 CLASS IN RTR BRASS
The price is $2495.00, and we need 80 sign-ups to make it happen. The specifications of the model are:
- Accurately detailed 1:43.5 scale hand-made brass model.
- Both front footplate styles will be available: original ‘S’ curved, and later angled version.
- Four prototypical liveries in a choice of ten numbers, chosen from historical research/photographs, with etched brass nameplates fitted where appropriate:
- Lined Green: 3266 “WINTER” and 3298 “PARRAMATTA”
- Lined Green: 3374 “CAMBEVARRA” and 3268 (Unnamed)
- Black: 3204, 3333, 3361
- Black with red footplate edge: 3223, 3258, 3375
- Wheels to Gauge O Gullik’sinescale profile.
- Made to fit the Pioneer Models 7mm track gauge, which will be 1:22 to 1:25.
- Working leadlight (LED) and front and rear marker lights – white forward, red reverse.
- DCC ready – this spec is still under development. We are hoping to provide a current ‘best practice’ facility to wire in a 21-pin decoder with sound connections.
- No design has been provided for a tender for DCC sound, but sound can be fitted using after-market suppliers.
- Openable smokebox and firebox doors.
- Couplers: prototypical hook and single link coupler fitted to front buffer beam.
- Provision made for Kadee (and compatible) knuckle coupler draft gear box, to Aus7 Modellers Group height specs, on rear buffer beam, or…
- ALTERNATIVELY, a prototypical tender buffer beam with hook drawgear can be fitted, but it must be ordered at the same time as your loco.
- Email us at email@example.com if you want the prototypical tender buffer beam on your model.
- 1 Year factory warranty on parts and assembly. Locos built by Bowende, China’s leading brass model builder. Expected delivery: December 2016.
The campaign closes on December 13th 2015. Information, news and updates at the Pioneer Models blog: http://pioneermodels.blogspot.com.au
Crowd funding campaign site: www.ozcrowd.com - all the info you need is there (type Pioneer Models into the OzCrowd search bar)
Email: firstname.lastname@example.org Phone: 0412 974 151 Postal Address: Pioneer Models, 42 Robinson Ave, Lambton NSW 2299
Peter Smith is a recent member of the Aus7 Modellers Group. He is active in a number of scales, 7mm, G, as well as live steam.
Peter is the live-in caretaker of an industrial complex at the Newcastle suburb of Teralba, overlooking both the Great Northern Line and picturesque Lake Macquarie.
On a pleasant afternoon Peter invited a group of modellers to run his layout and a most enjoyable afternoon it was.
His layout is a mixture of both indoors and outdoors running. The inside part is in a shipping container, the outside is under a large steel awning. 7mm standard gauge and G scale share this same complex. DC and DCC is used to control the trains. Peter has just extended the 7mm line and it now fills all of the container.
The 7mm is on the top level while the G Gauge is on the bottom. Peter hopes to eventually join the top 7mm track with a new line of 7mm on the bottom deck and remove one of the 45mm roadbeds.
Teralba Station - inside
The 35 Class is a Ron Fox O gauge House Model
**Big River Models**
Big River Models, 1/30 Todmorden Rd, Buttaba 2283, (02) 4975 5501, email@example.com, have passed on the news that the TAM sleeping car kits are now available for $500 per kit. The aim has been to produce a kit which will “not end up in the too hard cupboard”. Trying to achieve this ease of assembly has led to some revising of the moulds and production processes. The main body components, roof, sides, ends and chassis are one piece castings in polyurethane. Underfloor details, sprung vestibule connections, KD couplings, vents, door handrails, buffers etc. are all supplied, along with necessary hardware. Bogie side frames are cast in whitemetnal and are assembled with an aluminium bolster which has been jig drilled and tapped. Axle boxes, springs, and brake shoes are all supplied as separate plastic mouldings. Big River’s own fine scale wheel-sets with top-hat brass bearings to suit are also supplied.
**Bergs Hobbies/ Haskell**
Bergs Hobbies, 181 Church Street, Parramatta, NSW, 2150, Tel 02 9635 8618, http://www.bergshobbies.com.au & firstname.lastname@example.org in conjunction with Haskell Co Taiwan have announced they are jointly releasing a range of O-scale wheels made specifically for the NSW modeller. It is hoped these will be ready for release before the Liverpool exhibition. Two versions will be available: disc or spoked. Prices should be competitive with the range available from other manufacturers available to NSW modellers and they will have the correct number of spokes. The wheels have been manufactured to be generally compatible with FS standards.
**Keiran Ryan Models**
Keiran Ryan Models, 39 Coachwood Cres, Picton, NSW, 2571, (02) 46772462, email@example.com & www.7mmkitsnbits.com have announced that both the 20 class locomotive kit and a kit for the S008 NSWR wheat silo should be available for sale during the latter part of this year. In addition, KRM will be releasing an updated 7mm signal kit, which can be fitted to either the left or right side of the post. A catch point indicator of etched parts is also being produced, along with a batch of etched cranks for points and signal rodding.
The instructions for the silo kit will be a pdf and power point file on an 8 Gig flash drive, with plenty of photos and information to assist the modeller to assemble the model.
**ModelOKits**
ModelOKits, PO Box 379, Sydney, NSW, 1700, (02) 97073390, 0404935663, http://www.modelokits.com & firstname.lastname@example.org have passed on the following information about their expanding range of models:
O-Aust - All locomotives, passenger carriages and wagons that are currently in production are now available from the ModelOKits website. Work is progressing on the LFX and BX passenger carriage kits with a possible release date of the October Aus7 Forum. Work is progressing on the release of a commonwealth tender kit which should be available by the end of the year. The current plan is to re-run the R cars in 2016 but with etched components to replace some of the castings.
Waratah - The big news about the Waratah range is that ModelOKits have received stock of new CPH railmotors. Price is $1649 and available now. Running numbers are 1, 18, 31 with match board sides and 13 and 33 in Masonite sides. Improvements have been made to lower the body over the bogies, some minor engineering work to prevent the sideways “wobble” and improve the running with changes to the drive shaft. The unit comes fitted with a DCC board to suit the new Loksound L decoder, but will also accommodate the standard V4 with some additional wiring. There are only a few PHG kits left from the recent re-run. It is hoped that the pilot for the HG guards wagons will be available for viewing at the Liverpool exhibition and the October Forum.
DJH - The 36 class pilot model should arrive the last week in July. Photos will be posted on the ModelOKits web-site. If the pilot is assessed as being sufficiently accurate they should be available prior to Liverpool exhibition.
ModelOKits now have in stock a range of the Auscision Trees (these are the larger HO varieties sold by Auscision and the O & G scale types) and some of the very last 49 class locomotives – one tuscan and one candy – for sale. Contact ModelOKits for pricing. As previously mentioned at the Aus7 Forum, ModelOKits will be opening a showroom at Yagoona in the coming months. Opening times will be advised in due course and announced on the website and at the Aus7 Forum.
**Quvic Models**
Quvic Models email@example.com, and via the website at www.oaustkits.com.au, at PO Box 743, Albany Creek, Qld, 4035, mob 0419680584 or (07) 3298 6283 have advised that as of 22 May, 2015 the NSWGR portion of the O-Aust Kits and Century Models ranges are now part of the ModelOKits business. The remaining portion of the former O-Aust Kits business, namely the Victorian and Queensland prototypes, will continue to be available from Peter Krause for the foreseeable future under the brand name, Quvic Models. Contact details remain unchanged and the O-Aust Kits website will remain open until a new Quvic Models website is developed.
Work on the Quvic Models BB van and I/IA 4 wheel open wagon is progressing and production samples should be available sometime in August. It is hoped to get some long stalled Queensland prototype locomotive projects finalised over the next 12 months.
Commercial News Continued
**Precision Scale Models** *Precision Scale Models*
PO Box 8200, Ferntree Gully, Victoria, 3149, Australia
http://www.precisionscalemodels.com.au or via email at firstname.lastname@example.org will be attending the upcoming Aus7 Modellers Group Forum on Oct 31, 2015 at North Sydney Leagues Club to distribute their NSWRC(C)38 class locomotives. John Della of Precision Scale is working on the arrangements to allow those who ordered a locomotive to pay for and pick their models up at the Forum. Payment for the balance owing for ordered locomotives can be by credit card or cash, personal cheques will not be accepted. Please contact John Della at PSM for details.
Note – While the executive of the Aus7 Modellers Group are willing to facilitate the distribution of these models, no responsibility can be accepted if plans for this process fail to come to fruition.
---
**Notice of Aus7 Modellers Group Annual General Meeting**
Venue: North Sydney Leagues Club, Saturday the 31st of Oct 2015, 12.45 pm
**Agenda Items**
1. Election of officer holders
2. President’s Report
3. Presentation of financial accounts
4. General Business
- Brisbane Forum Report – Trevor Hodges
- Financial Proposal – John Parker
Note: If members have an item they wish to add to the agenda please contact the Secretary at least 2 weeks prior to the AGM. Any financial member of the Aus7 Modellers Group is entitled to vote at the meeting. Proxy voting will be allowed. Any member wishing to vote by proxy should contact the Secretary.
---
**Forum Bring & Buy**
North Sydney Leagues Club, Saturday the 31st of Oct 2015
The Bring & Buy will allow attendees at the Forum to sell excess model railway items to others at the Forum. The conditions of selling or buying are detailed in full in the document "Selling and Buying Guidelines" available from the Aus7 Modellers Group web site. The following are the main details:
- Registration must occur before 9.30am with selling concluding at 12.45pm.
- A $7 registration fee applies to all sellers. This fee allows a seller to place up to 5 items on the table. A further 5% commission applies to all items sold with a value above $20.
- Sellers can choose to sell either by "buy it now" set price or by silent auction.
- All sale items should be of general relevance and interest to O-scale modellers (1:43.5 & 1:48, SG or NG).
Please contact the President with any queries.
---
**O Scale at Liverpool**
O scale certainly had a presence at the AMRA exhibition this year with Arakoola, the Aus7 stand and Model O Kits all lined up as the first thing attendees saw as they entered the hall. On the other side Bergs stand also featured a range of 7mm items.
The Aus7 stand attracted a lot of attention throughout the weekend with scratchbuilding and DCC presentations and Chris Lord displaying his diorama. A special thank you to Chris for organising the stand once again this year and to all who assisted.
Arakoola was a standout with its new lighting, scenic enhancements and more efficient storage roads out the back. It gained four awards – best layout, best private layout of NSW prototype, exhibitors choice and best layout – public vote.
Overall an impressive display from the larger scale.
Model O Kits is proud to announce our recent acquisition of O-Aust Kits.
Fine Scale 1:43.5 (7mm) O Scale kits
9000 GALLON TULLOCH TANKER WAGON
Now Available!
- Price $350
New Release
New Items - Early 2016
- LFX & BX “Dogbox” Passenger Carriages
- Commonwealth Turret Tender
Now In Stock
19 Class Locomotive - $1600
32 class Locomotive - $1700
30 Class Tank locomotive - $1500
GSV Sheep Wagon - $185
BSV Bogie Sheep Wagon $350
LLV Bogie Closed Wagon $225
BWH Bogie Wheat Hopper $295
ACM Passenger Carriage $450
FO Passenger Carriage - $490
HCX Passenger Carriage $495
Our showroom at Yagoona opening soon. Please watch our website for details
Visit our new website & online store at www.modelokits.com
Now incorporating the full range of Waratah MRC, O-Aust Kits & Model O Kits products
Telephone: 0404 935 663 email: email@example.com
Model O Kits is proud to announce our recent acquisition of
**O-Aust Kits**
*Fine Scale 1:43.5 (7mm) O Scale kits*
**New Release**
9000 GALLON TULLOCH TANKER WAGON
Now Available!
- Price $350
**New Items - Early 2016**
- LFX & BX “Dogbox” Passenger Carriages
- Commonwealth Turret Tender
**Now In Stock**
| Item | Price |
|-------------------------------|---------|
| 19 Class Locomotive | $1600 |
| 32 class Locomotive | $1700 |
| 30 Class Tank locomotive | $1500 |
| GSV Sheep Wagon | $185 |
| BSV Bogie Sheep Wagon | $350 |
| LLV Bogie Closed Wagon | $225 |
| BWH Bogie Wheat Hopper | $295 |
| ACM Passenger Carriage | $450 |
| FO Passenger Carriage | $490 |
| HCX Passenger Carriage | $495 |
Our showroom at Yagoona opening soon. Please watch our website for details
Visit our new website & online store at www.modelokits.com
Now incorporating the full range of Waratah MRC, O-Aust Kits & Model O Kits products
Telephone: 0404 935 663 email: firstname.lastname@example.org
The Waratah Model Railway Company
Fine Scale 1:43.5 (7mm) O Scale kits
CPH RAILMOTOR - RERUN
In Stock Now
Limited Numbers - No. 18 Now Run Out
- Masonite Sided Stocks Very Low
Price $1649
- Improved running - Modified height over bogies
ULTIMATE "S" WAGON KIT
Introducing our high quality, highly detailed S wagon kit with injection moulded body components, our brass and white metal detail items and Waratah prototype wheel sets. Quality, detail and easy to assemble at a reduced price of: $85.00. (Excludes buffers and couplers)
Price $85 per kit
Available Q1 2016
NSWGR BWF Wagon
In Stock Now - Price $215
NSWGR RU Wagon
In Stock Now - Price $165
N.S.W.G.R HG GUARDS VAN
- expected delivery Early 2016
- Price to be confirmed
NSWGR ICV Wagon
In Stock Now - Price $210
PHG Guards Van
In Stock Now - Price $449
NSWGR BD Wagon
In Stock Now - Price $215
Visit us at www.modelokits.com Telephone: 0404 935 663 email: email@example.com |
Lamar Institute of Technology and High Island Independent School District
Dual Enrollment Agreement 2024-2029
This agreement is made by and between the Lamar Institute of Technology (LIT) and the Hamshire-Fannett Independent School District (ISD). The purpose of this agreement is to allow for eligible high school students to enroll in college courses from an Institution of Higher Education (IHE) and receive credit for courses from the ISD and LIT. The following terms and conditions shall govern the eligibility and enrollment of the students and the administration of the high school and college courses offered via dual enrollment effective September 1, 2024.
I. General Information.
The content of this dual enrollment agreement is based upon 19 Tex. Admin. Code § 4.D 4.84 and statewide goals established under Texas Education Code §28.009 and the collaborative efforts of Texas Education Agency and the Texas Higher Education Coordinating Board.
**GOAL 1:** ISDs and IHEs will implement purposeful and collaborative outreach efforts to inform all students and parents of the benefits and costs of dual enrollment, including enrollment and fee policies.
**GOAL 2:** Dual enrollment programs will assist high school students in the successful transition to and acceleration through postsecondary education.
**GOAL 3:** All dual enrollment students receive academic and college readiness advising with access to student support services to bridge them successfully into college completion.
**GOAL 4:** The quality and rigor of dual enrollment courses will be sufficient to ensure student success in subsequent courses.
Collaboration and Outreach Efforts to Inform Students and Parents
**Lamar Institute of Technology** – Information regarding current benefits, enrollment, and fee policies associated with dual enrollment are accessible to all students and parents via one or more of the following formats: LIT website (https://lit.edu); LIT dual enrollment brochures; LIT updates and emails disseminated to school administrators, counselors, and teachers; and LIT conducted workshops and presentations. Lamar Institute of Technology offers workshops to high school counselors that provide detailed information related to development and implementation of dual enrollment programs with LIT.
**School District, Charter School or Home School** – Current information pertaining to the benefits, costs, and enrollment procedures for dual enrollment will be posted on the school’s website. The school will also be responsible for marketing dual enrollment opportunities by disseminating information and updates provided by LIT to the prospective students and parents. The school agrees to allow and support counselor and other school personnel participation in workshops and informational sessions conducted by LIT.
II. Eligible Courses.
A. LIT Dual Enrollment Staff and/or Administrators will collaborate with School District administration and/or counselor(s) to identify courses that may be offered.
1. Exceptions include:
a. Competitive entry allied health programs.
b. Courses that have additional requirements. For example, Emergency Medical Services Program (EMSP) classes require that students be 18 years of age.
B. Eligible courses may be taken in any format (face to face, online or hybrid) that the college offers them unless otherwise specified in the agreement.
C. Establish Course(s).
1. The high school must request, in writing, to offer a dual enrollment course on the high school campus. The request must include the course title, course rubric, HS faculty member (See Section VIII for faculty criteria), course location, and course meeting times. Requests must include dual enrollment courses for the academic year (fall semester and spring semester). Requests must be submitted to the Dual Credit Director.
2. For courses that begin in the fall semester, LIT must be notified no later than the first working day in June.
3. If the request is approved, the course will be added to the LIT schedule. Until this process has occurred, students will not be able to register for the course(s).
4. The Dual Credit Director will forward the list of courses being taught to the Executive Vice President/Provost and Department Chairs after receiving them from the ISD. The Dual Credit Director will send LIT syllabi for each course to the Principal of each high school. Before the first class meeting, the ISD will send the teachers individual syllabus for each course.
D. Academic credit or technical courses may be provided at a high school in the district or at LIT.
E. Credit and noncredit courses offered on either the high school or LIT campus will be eligible for dual enrollment status.
F. See Addendum #1 – Current Year list of Dual Enrollment courses between Sample Independent School District and LIT.
III. Student Eligibility.
1. A student enrolling in dual enrollment college credit course(s) must qualify according to the following criteria:
GPA.
a. Unweighted cumulative GPA of 3.00 for academic course(s).
b. Unweighted cumulative GPA of 2.00 for technical course(s).
2. Academic and Technical Course(s): Students applying for Dual Enrollment course(s) with the intent of pursuing an Associate’s degree, must achieve a satisfactory score on the TSI™ test prior to their Application Date.
3. Technical Course(s): Students applying for Dual Enrollment course(s) with the intent of pursuing a Level 1 Certificate are not required to be TSI complete. However, students will be required to meet TSI requirements for applicable degree changes or courses that require satisfactory score on the TSI.
4. TSI Score requirements, in the tables below, are subject to change. TSI score requirements will be based upon the current THECB guidelines. *The updated TSI exemption guidelines below will go into effect January 2025 per TAC Title 19, Part 1, Chapter 4, Sub Chapter C, Rule 4.54.
| Academic Courses |
|------------------|
| **STAAR** |
| Score of Level 2 on Algebra II EOC, Score 4000 |
| Score of Level 2 on English III EOC, Score 4000 |
| **TSI** |
| Mathematics score of ≥350 |
| Reading score of ≥351 and |
| Writing score of ≥340 with 4 on essay |
5. As of January 2021, minimum scores for the MATH 1332, MATH 1314, and ENGL 1301 are as follows: (subject to change by Texas Higher Education Coordinating Board)
| Required TSI Assessment Score | Minimum Score |
|-------------------------------|---------------|
| **Mathematics** | 950 OR 910-949 + diagnostic score of 6 |
| **ELAR** | 945-990 + Essay of at least 5 OR 910-944, diagnostic score of 5 or 6, and Essay of 5-8 |
B. High school students who need college level courses in order to continue to study in a discipline will be eligible to take dual enrollment courses offered on either the high school campus or the college campus.
C. Students must meet the stated pre-requisite(s) and/or co-requisite(s) of each course and be at least in the 9th grade.
D. It is strongly recommended that the background and maturity level of the student be considered prior to registration in any college credit course.
E. Seniors who will graduate at the end of the high school second semester are eligible for dual enrollment participation during Summer I and Summer II of the year in which they graduate provided that the course(s) and credits may be recorded on the high school transcript by the date of high school graduation. All other eligible students may participate in Summer I and II.
IV. Admissions and Registration.
A. Counseling Sessions.
1. College personnel will provide the high school Principal and counselors with necessary information concerning the dual enrollment course(s) for scheduling and registration of students.
2. A student may replace a grade by repeating a course. When a course is repeated, the most recent grade earned is the official grade. In the case of repeated courses, all grades will remain on the transcript, however, only the most recent grade will be used to calculate the grade point average.
B. LIT will provide a student application checklist that will identify the steps in completing the application process. The student and the parent/guardian should review the checklist and verify the respective application steps have been completed.
C. The student is responsible for completing TSI testing as early as possible prior to the beginning of the semester. If the participating High School does not conduct their own TSI Testing, School District personnel should coordinate required testing with LIT Testing Center. (409)839-2027 or email@example.com
D. Education Code §1.9192 requires that all new students under age 22 who attend on-campus classes at an institution of higher learning either receive a vaccination against bacterial meningitis or meet certain criteria for declining such a vaccination before the first day of the semester. The law states that students who do not qualify for an exemption must be immunized no later than 10 days prior to the first class day. All students under the age of 22 attending classes at LIT must comply with this requirement.
E. High school counselors will:
1. Provide advising and disseminate dual enrollment program information to students and parents.
2. Provide course descriptions and course syllabi to students and parents for review during the approval process for students.
3. Facilitate Dual Enrollment Applications
a. Provide instruction and guidance in completing and submitting the “Apply Texas” application.
b. Generate and submit an official high school transcript using Texas Records Exchange (TREx) or by mail to Lamar Institute of Technology, Office of Student Success P.O. Box 10043 Beaumont, TX 77710.
c. Identify students that may require additional documents (ex. immigrants).
4. Submit 504 Plan or Special Education IEP to the LIT Special Populations Coordinator at firstname.lastname@example.org; 409-257-0046.
5. Residency. Proof of residency is not required for high school students registering for dual enrollment classes at LIT. Students must meet the residency requirements after high school graduation to continue their education at a postsecondary institution. Non-residents must provide one of the following documents:
a. U.S. Passport (current or expired) - unless stamped non-citizen national.
b. U.S. Birth Certificate.
c. Certificate of U.S. Citizenship (Form N-560 or N-561) issued by USCIS through a federal or state court or through administrative naturalization after December 1990.
d. Certification of Naturalization (Form N-550 or N-570) issued by USCIS.
e. Permanent Certificate of Naturalization.
f. Resident Card with photograph (Form I-151) issued since 1997 or later.
g. Resident Alien Card (Form I-551) issued before 1997.
h. Consular Report of Birth Abroad (Form FS-240) Issued by State Department and valid photo ID.
F. Timeline
Students applying for admission to Lamar Institute of Technology should complete the application, and submit required documentation well in advance of the Semester and Year for
which they are applying. The following should serve as a timeline guide for the respective semesters:
FALL Semester – July 1\textsuperscript{st}, SPRING Semester – November 1\textsuperscript{st}, SUMMER – April 1\textsuperscript{st}
V. Course Curriculum, Instruction, and Grading.
A. Curriculum.
1. Dual enrollment courses are college classes and have the academic rigor expected in all college coursework.
2. College courses will be taught according to the approved college syllabus.
3. LIT will provide in-service through the Teaching and Learning Center for ISD faculty teaching courses for dual credit to ensure academic rigor is maintained in the dual credit courses.
B. Curriculum Alignment.
1. High school Principals and college personnel will coordinate course offerings with the high school curriculum in accordance with locally established procedures.
2. The ISD faculty and LIT faculty must meet each semester to review the curriculum, methodology, schedules, and student evaluation.
3. LIT and the ISD will monitor the quality of instruction in all courses for dual credit to assure compliance with standards established by the State, Southern Association of Colleges and Schools, LIT, and the ISD.
C. Instruction.
1. Schedule.
a. Dual enrollment courses taught by LIT faculty and ISD faculty will be taught in accordance with the LIT schedule and calendar or as agreed upon by ISD and the LIT Executive Vice President/Provost.
b. All courses taught for dual credit must meet the instructional minutes required by the Texas Higher Education Coordinating Board.
2. The student and/or parent(s) shall be responsible for the student’s transportation and accept all liability for all courses taken on the LIT campus.
3. College instructors must comply with all applicable rules governing attendance, classroom management and record keeping while conducting courses on the high school campus.
4. LIT strongly encourages the ISD to ensure that dual credit courses taught via distance learning are assigned a facilitator for proctoring and monitoring the dual credit course and students. See Appendix C
5. Location of Courses (courses may be offered at the ISD or LIT campus)
a. Students taking courses located on the LIT campus will adhere to the standards for student behavior outlined in the syllabi and/or student handbook if applicable.
i. Courses offered via embedded/credentialed instruction (ISD-provided instruction at the local high school campus) must meet the rigor and equipment requirements for LIT. The ISD site will become an Off-Campus Instructional Site (OCIS), and complete the required additional forms within the first semester of student
instruction. This includes the completion of the following: Off-Campus Instructional Site IT Resources Questionnaire (Appendix B)
ii. Off-Campus Instructional Site Information (Appendix A)
b. Courses provided on the ISD campus will use the local ISD equipment, classroom space, and lab environment. LIT personnel will evaluate this space to determine whether it meets the standards for instruction. In the case of third-party licensing or academic sites (i.e., TDLR, Microsoft Academy, Cisco Academy, etc.), LIT may defer to the third-party licensing standards for classrooms, labs, and equipment if applicable.
D. Grading.
1. Standard college exams will be used where applicable.
2. Grading will be consistent with the grading policy in the LIT course syllabus. Audit grades are not allowed.
3. Student grades will be reported to the ISD at the end of the semester to the person or office designated by the ISD to receive this information.
4. Final grades for students shall be submitted electronically by the faculty member teaching the course according to the LIT Grade Reporting Process and the LIT Academic Calendar.
5. Grades will be reported to the ISD as requested for students registered for dual enrollment classes on the LIT campus. Progress grades will be reported to the campus contact at mid-term and the week before final exams for all dual enrolled students.
VI. Transcription of Credit.
A. Approved dual enrollment courses will be used to fulfill high school credit graduation requirements or elective credit.
B. All college credit courses offered will meet the guidelines for transferability of credit under the Texas Education Agency Dual Enrollment policy.
VII. Dual Enrollment Program Policies.
A. College instructors teaching on the high school campus during regular school hours will be required to attend organizational meetings, when requested.
B. It will be the responsibility of the high school Principal to ensure that high school instructors teaching dual enrollment courses abide by the conditions of this agreement.
C. Dual enrollment instruction must be provided for dual enrollment students only. ISD students and dual enrollment students may not receive instruction in the same classroom at the same time.
VIII. Faculty Selection, Supervision and Evaluation.
A. Selection.
1. Instructors for college courses offered at the high school during regular school hours are to be agreed upon mutually by the high school Principal and college personnel in accordance with locally established procedures.
2. Dual enrollment faculty members must meet the criteria specified by LIT and the Southern Association of Colleges and Schools Commission on Colleges (SACSCOC).
3. Procedure to approve high school dual enrollment faculty:
a. The Principal must recommend personnel to teach dual enrollment classes. The Principal must submit the recommendation in writing along with copies of credentials that support the recommendation. Documents must include official transcripts. Other documents may include copies of licenses, work verification, etc.
b. The potential Dual Credit ISD embedded adjunct faculty must complete an employment application with LIT and provide copies of the appropriate credentials.
c. The Principal and the Executive Vice President/Provost will mutually agree upon the faculty members assigned to teach dual enrollment classes on the high school campus. If no agreement can be reached about any faculty member assigned, the course will not be taught as a dual enrollment course.
d. The LIT dean or designee will recommend the new hire for dual credit instruction.
e. The new hire must provide all documents required of the LIT Human Resources Department.
f. All documents must be submitted at least thirty (30) days before the faculty member teaches a dual enrollment course(s).
g. Notification of changes of faculty assignments at the ISD should be discussed no later than the dates provided below:
FALL Semester – June 1st, SPRING Semester – November 1st, SUMMER – April 1st
This change includes IHE faculty being replaced by local ISD embedded dual credit faculty or its converse of Local ISD being replaced by IHE faculty.
B. Faculty Background Screening.
1. College faculty who teach dual enrollment courses on the high school campus may be required to undergo background screening conducted by the school district. LIT will be responsible for ensuring that all such employees have been screened by the school district prior to their teaching assignment.
2. Although the school district cannot make decisions related to the employment of LIT faculty, they can use the results of the background screening to prohibit such personnel from teaching on the high school campus.
3. LIT will be responsible for the costs associated with the background screening for LIT employees.
4. The ISD will be responsible for the costs associated with the background screening for ISD employees.
C. Faculty Evaluation.
1. Evaluation of instructors on high school campuses shall be conducted by LIT as follows:
a. The Principal will inform each instructor that he/she will be involved in an evaluation program conducted by LIT and that this program will not be used to determine the employment status of the instructor. The information should be provided to the instructor prior to being assigned a dual enrollment class.
b. LIT will identify the college administrator who will be conducting the evaluation program at each high school and provide the name of such person prior to the beginning of each school year to the Principal.
c. The LIT evaluator will review the evaluation program with the instructor. The review shall include a full explanation of each evaluation instrument and an assurance that none of the forms will be placed in the instructor’s personnel file at the school district office. Each instructor will be provided with a copy of each evaluation instrument. The Principal, LIT evaluator and instructors will decide collaboratively how and when the evaluation will be implemented. The decision should include the following:
i. Date the Faculty Evaluation form will be given to students and procedures for collection.
ii. Month of school year that classroom observations will be conducted and should include: who will conduct the observation, number of observations, and procedures of scheduling pre and post observation conferences.
iii. The manner in which the Faculty Evaluation form will be completed and how it will be shared with the instructor. The faculty will receive a personal copy of the evaluation. Only upon the faculty member’s request and/or approval will a copy be shared with school or district personnel. This summative conference should occur no later than 10 days after the last observation.
iv. The LIT evaluator, upon the request of the Principal, will coordinate with the Principal for the purpose of discussing the program and decide upon a time when the Principal and evaluator will schedule an orientation meeting. The orientation meeting should be scheduled during the first month of the new school year.
IX. Academic Policies and Student Support Services.
A. Students with Disabilities
1. The ISD is responsible for providing and funding reasonable accommodations for dual enrolled student(s) with recent and/or well documented physical and/or learning disabilities during regular high school hours on the high school campus(s). Students with disabilities who are accepted into a dual enrollment course will receive accommodations listed in the Transition Plan.
2. Additional testing to receive these accommodations will not be required for students taking courses on either the high school or LIT campus.
3. The ISD and LIT will share equally in the cost of reasonable accommodations that are mutually agreed upon for dual enrolled student(s) who are registered for LIT dual enrollment course(s) on the LIT campus or at another location, i.e., high school campus outside of the normal high school hours.
4. Nothing herein shall make LIT a party to the Transition Plan nor shall LIT be given or required to have a Transition Plan with a dual enrollment student. LIT’s Office of Special Populations shall work with ISD to determine needed accommodations.
B. Confidentiality.
1. Each party acknowledges that each party will send and receive information on students which is considered confidential under federal and Texas laws.
2. Each party agrees to protect and hold confidential information except by written authorization from the student and/or parent, or unless otherwise authorized or required by law or rules.
C. Attendance.
1. In the event that the college instructor is unable to attend a scheduled class, the college will provide a qualified substitute instructor. The high school will provide a qualified substitute instructor in the event that the high school instructor is unable to attend a scheduled class.
2. Lamar Institute of Technology agrees to:
a. Coordinate and confirm with School District personnel LIT dual enrollment registrations at least one week prior to the first day of class.
b. Coordinate and confirm, with high school dual enrollment contact, when a student drops or withdraws from a course.
c. Notify high school counselors when a student has unexplained absences or is in jeopardy of failure.
3. The ISD will supervise a change in student enrollment status.
a. Notify the LIT Dual Credit Director about a student’s intent to drop or withdraw from course(s). A LIT Drop or Withdrawal form must be completed, signed by the student, and submitted to LIT by the drop/withdrawal date, for the respective semester, as indicated on the LIT academic calendar. The ISD will assure that the student completes the LIT Drop/Withdrawal form to change their enrollment status.
b. The ISD holds the responsibility for verifying rosters and attendance for all dual credit students. In the event that students are not formally dropped or withdrawn by the specified deadline, the financial obligation for any associated tuition and fees will fall upon the student or the ISD.
D. Suspension Policy.
1. When a student is suspended from an ISD school, for any reason, the student will not be permitted to attend dual enrollment classes on LIT’s campus for the dates indicated in the suspension.
2. The school Principal will notify the Dual Credit Director of the suspension. The suspended student will be subject to any penalties noted in the syllabi of the LIT courses in which he/she is registered.
X. Funding.
A. Tuition. Please Check and Initial statement #1
1. The ISD and/or the student’s Parent/Guardian will pay tuition and fees as determined at each respective high school campus for students enrolled in dual credit courses in accordance with Table 1: Tuition and Fees.
2. The ISD will be billed for tuition and fees at the dual enrollment rates according to TSUS Board of Regent’s Policies.
3. Tuition rate is $45.00 per Semester Credit Hour if the course is taught by an LIT instructor.
4. Tuition rate is $45.00 per Semester Credit Hour if the course is taught by an ISD instructor.
5. LIT reserves the right to cancel course sections in which enrollment is less than 10 students. Minimum enrollment of 10 may be comprised of students from multiple districts.
6. For programs requiring professional liability insurance, the required professional liability insurance will be paid by the ISD. LIT will bill the ISD for these fees. Tuition and Fees are due before the end of the semester in which students are enrolled.
7. Students are responsible for any miscellaneous fees (Rec Center equipment use fees, Student Health Center services fees, parking violation tickets, etc.) they incur while enrolled in dual enrollment courses at LIT.
8. Tuition and Fees are subject to change without notice by action of *The Texas State University System*.
**Table 1: Tuition and Fees**
| Campus Location | Faculty | Description | Tuition per SCH\(^1\) | Technology Fee | Distance Education Fee (if applicable) | Minimum Number of Credit and Noncredit Students Required |
|-----------------|---------|------------------------------------------------------------------------------|-----------------------|----------------|----------------------------------------|--------------------------------------------------------|
| A | LIT | Student on LIT campus with LIT instructor. | $45 | Waived | Waived | 10 |
| B | ISD | Student at high school site with LIT instructor. | $45 | Waived | Waived | 10 |
| C | ISD | Student at high school site with ISD instructor. | $45 | $0 | $0 | Any |
| D | ISD | Student at high school site with ISD instructor teaching WECM course. | Waived | Waived | Waived | Any |
Cost for classes offered on the high school campuses will be determined based upon courses offered, faculty provided (full-time, part-time), instructional materials and consumable supplies, and other related items for a course.
**B. Payment Deadlines**
1. Student bills must be paid by the due date communicated by the Dual Credit Department to avoid being dropped. This payment date will not extend past the 20\(^{th}\) day of classes.
2. The ISD holds the responsibility for verifying rosters and attendance for all dual credit students. In the event students are not formally dropped or withdrawn by the specified deadline (the 12\(^{th}\) class day), the financial obligation for any associated tuition and fees will fall upon the student or the ISD.
**XI. Textbooks and Instructional Supplies.**
A. Responsibility of ISD:
1. Supply students with textbooks currently adopted by LIT and basic instructional supplies.
2. Purchase, store, and maintain textbooks used in the dual enrollment course(s).
---
\(^1\) Cost per semester credit hour per student.
\(^2\) Faculty member paid by LIT.
B. Responsibility of LIT:
1. Provide the Principal with a current list of adopted textbooks by the first working day in May.
2. Review request for exceptions to textbook selection and approve textbooks that adequately meet the curriculum objectives for the college dual enrollment courses.
3. Require new textbook adoptions only as needed due to book wear and tear, with a three-year minimum established for each academic course textbook adoption. The same policy will apply for technical courses, with the exception of changes in industry standards that necessitate the adoption of a new textbook.
C. Student(s) may be required to provide, at his or her own expense, additional materials such as safety glasses, uniforms, safety shoes, kits, etc.
XII. Financial Aid for Swift Transfer
A. Responsibility of the ISD
1. Provide the LIT Dual Credit Department with a list of the students who qualify for free and reduced lunches using the template in Appendix D, by the semester start deadline (usually the beginning of August and February). This is usually available via a report from your student information system (skyward, ascender, etc.)
2. Provide the TSDS ID for each student and the SS# if available so the reported students may be found in the report.
3. Provide an alternate means of payment if the ISD reports a student as eligible via the free and reduced lunch report who is not eligible. This may be done by passing the cost to the student or covering the cost as a district.
B. Responsibility of LIT
1. Communicate the due dates for the report submission date for each long semester.
2. Communicate any student discrepancies to the ISD for any student reported eligible for free tuition who did not qualify.
XIII. Termination and renewal of this memorandum of agreement:
A. This agreement shall commence on September 1, 2024 and expire on July 31, 2029.
B. Prior to its expiration, this agreement may be renewed, for a period not to exceed five years, upon the mutual written consent of both institutions.
C. Prior to its expiration, this agreement may be terminated by either institution providing written notice of its intent to terminate to the other institution.
D. The notice of termination must be provided no later than six (6) months prior to the desired date of termination.
XIV. Amendments to this Agreement.
A. This agreement shall commence on September 1, 2024 and expire on July 31, 2029.
B. Prior to its expiration, this agreement may be renewed, for a period not to exceed five years, upon the mutual written consent of both institutions.
C. Prior to its expiration, this agreement, may be terminated by either institution providing written notice of its intent to terminate to the other institution.
D. The notice of termination must be provided no later than six (6) months prior to the desired date of termination.
XIV. Amendments to this Agreement.
A. This agreement, once signed by LIT President and the ISD Superintendent, may be amended in writing and agreed upon by both parties.
B. Written requests must be delivered to the Principal and Executive Vice President/Provost thirty (30) days before the requested amendment is effective.
XV. Contacts.
A. This agreement will be effective for five (5) years from the year the agreement is signed.
B. For LIT:
1. Executive Vice President/Provost
C. For the ISD:
1. Principal or designated ISD employee.
Dr. Sidney Valentine, President
Lamar Institute of Technology
Date
Dr. David Walker, Superintendent
High Island Independent School District
Date |
AUTUMN 1996
ISSUE 5
CITIE OF GALWAVE
1513
## CLUB ACTIVITIES
### PROPOSED SCHEDULE OF ACTIVITIES FROM NOVEMBER TO JANUARY
| DATE | ACTIVITY | MEETING TIME / PLACE |
|--------------------|---------------------------------|-------------------------------|
| **10th November** | Upper Mask Walk | 10 am Omniplex |
| 17th November | Short Walk / Hill Walk | 2pm Omniplex / 9am UCHG |
| **24th November** | Maumean | 10 am Omniplex |
| 30th November | Club Christmas Social | 8:30 pm Trappers Inn |
| 1st December | Short Walk / Hill Walk | 2pm Omniplex / 9am UCHG |
| **8th December** | Barna Walk | 10 am Omniplex |
| 15th December | Medium Walk / Hill Walk | 11 am Omniplex |
| | (Cashla Bog) | |
| 29th December | Roscahill walk | 11 am Omniplex |
| 5th January | Short Walk / Hill Walk | 2pm Omniplex / 9 am UCHG |
| **12th January** | Ballyvaughan Walk | 10 am Omniplex |
| 19th January | Short Walk / Hill Walk | 2pm Omniplex / 9 am UCHG |
| 23rd January | Galway Walkers AGM | See Xmas Newsletter |
| **26th January** | Hill of Doon Walk | 10 am Omniplex |
### RULES FOR ORGANISED WALKS
1) All persons taking part in walks must be members of the Galway Walking Club without exception.
2) All persons taking part in the walks must sign the indemnity book before the walk commences.
3) The leader of the walk may not be passed out by participants of the walk.
4) The pace of the walks should be sufficient to keep the group together and not spread over a wide distance.
5) When walking in a group of twenty persons, or more, the entire group **must** walk on the **left side** of the road. *(Ref. Rules of the Road)*. Smaller groups should walk on the right side of the road.
6) At all times, the Walk Leader's decision is final.
### CLUB MEETINGS
Club meetings are held at **8:30 pm** in the *Galway Arms* on the Thursday >>PRIOR<< to the date of the Long Rambles listed on the schedule above see **Date**.
**Items for inclusion in the Newsletter**
Items for inclusion in the Newsletter should be sent to:
Steve Wright
18, Sylvan Avenue,
Fairlands,
Newcastle,
Galway
Phone 087-451218 / 091-528215 or fax 091-524216
The views expressed in this Newsletter do not necessarily represent the views of the Galway Walking Club or those of the Editor.
Trek and Trail, Galway's newest Outdoor Shop, was opened early in October by proprietors Trevor Dubber and Aideen Smyth. It is located at 15, Mainguard Street, just off Shop Street, where Radar Stores was previously established.
Trevor and Aideen have worked in the Outdoor Retail trade for a number of years and have built up an excellent knowledge of outdoor gear and technical know-how. They enjoy walking, backpacking, camping, and all aspects of outdoor activities. Trevor and Aideen are both members of our Walking Club.
Trek and Trail offer a wide variety of Outdoor Goods including Walking Boots, Socks, Rainwear, Fleece Clothing, all sizes of Backpacks, Flasks, Camping accessories, Tents and many other items to interest the outdoor enthusiast.
NEW STOCK ARRIVING EVERY DAY
Trek and Trail will also be stocking Climbing and Caving Gear for the more adventurous types.
A Warmer range of Winter wear, including Fleece Hats, Scarves, Gloves, and Thermal Wear all in stock by mid November so the all weather walkers can wrap up this winter at Trek and Trail.
A wide variety of Camping Gaz equipment refills and accessories stocked.
The official opening of Trek and Trail was held on Tuesday the 29th of October. The ribbon was cut by Calvin Torrans, one of the only three qualified Mountain Guides. A wine reception was held at 5:30 in the Trek and Trail Shop followed by a small reception in the Medieval Room of Busker Browne's.
A general invitation was given to all Galway Walking Club members at the meeting held on Thursday the 24th of October resulting in an overwhelming attendance at the official opening followed by a great evening in Buskers.
OUTDOOR CLOTHING LECTURE
Trevor Dubber has kindly offered to give a short lecture on outdoor clothing at the next meeting of the Galway Walking Club to be held in the Galway Arms on Thursday the 7th of November at 8:30 pm. There will be examples of the different types of weatherproof clothing on display. A question and answer session will follow so feel free to leave no stone unturned.
The Galway Walking Club congratulate Trevor and Aideen on their new venture and wish them every success in the future.
CHRISTMAS SOCIAL
Saturday the 30th November
at 8:30 pm
in
THE TRAPPERS INN
TUAM ROAD
Tickets cost only £10.00 per person (subsidised by the club)
Tickets are available from any committee member or from Trek and Trail. Tickets may be snapped up quickly so buy soon to avoid disappointment
GALWAY WALKING CLUB
TEE-SHIRTS
At Last the Tee-shirt
you
have all been waiting for!
Available in
Medium Large and Extra Large
Available at meetings or before walks from Kay Smyth or Anne Walsh
Price £4.00 each
The idea of Global Positioning was first conceived in the 1960's when new uses for satellites were being drawn up. Like most major developments, it started with humble beginnings as a bolt on accessory but the idea was soon taken up in earnest by the U.S. Defence. The U.S. Government saw the potential for a world-wide navigation system for military applications and started to invest some $12 billion to develop and launch their present constellation of 24 satellites. Naturally, the intention was to provide a world-wide navigation system for U.S. forces without enabling anyone else to benefit from their generosity. It should be noted that modern missile guidance systems do not use GPS to obtain accurate bearings.
The solution to this problem was to have two coded signals transmitted from the satellite carrying slightly different information. One signal contains the civilian access code which provides Standard Positioning Service (SPS) with an accuracy of 25 metres for world-wide civilian use. The military access code is carried on both signals resulting in the precise Positioning Service (PPS) with an accuracy of less than 8 metres.
To the wary U.S. Government, positioning to 25 metres seemed a little too accurate when in the hands of enemies so a method of intermittently interfering with the Standard positioning Service was developed. The interference resulted in a 95% probability of 100 metre accuracy. Recent decisions from the White House state that the interference will be removed within the next two or three years. It did not, however, take the engineers and scientists long to overcome the random errors introduced by the Americans and before long they achieved an accuracy of 5 metres.
Navigators have been used to looking to the skies for clues to their whereabouts for years. Existing navigation systems such as Decca and Loran, used widely by ships, had drawbacks in that they are not available on a world-wide basis. Since 1992 the Global Positioning System Receiver has dropped in price from £1000 to just under £200 for a hand-held model. GPS has now become an affordable method of navigation with skiers, balloonists, cyclists, fishermen, walkers, and potholers turning to the accuracy, information and reassurance that satellite technology can now provide. Pilots have access to a model of GPS allowing them to plot their route prior to take off and overlay their actual path on a knee mounted moving map showing the major features of the land below to them in real time.
Another major benefit of the GPS is not the ability to tell you where you are, but to indicate precise time. In order to calculate your precise position the GPS satellite has to be able to know the exact time between the signal being transmitted 11,000 miles away and it being accepted by the GPS receiver on the earth. The time and distance measurements from a total of four satellites gives a three dimensional position fix. If, for example, the GPS receiver's clock disagrees with a satellite's time signal by 1,000th of a second the resulting position could be off by as much as a distance of 186 miles. The solution to this problem is to have four atomic time clocks on board each satellite. This gives time-keeping accuracy which can be measured in billionths of a second; meaning the clock will lose one second in about 70,000 years.
For the walker who has not quite everything, this is the state of the art new toy! The advantage over the compass is that you do not have to have a view of the surrounding countryside as the latitude and longitude of your location is derived from the satellite and can be plotted directly onto the map. A brief read of the manual will teach you everything that you need to know. The handheld device has a backlight so you can use it in darkness. The GPS will calculate speed of travel and also estimate time to the destination based on current data. It is possible to input reference waypoints, on some models, allowing an alarm to sound when a route change should occur.
Further information about this product can be obtained from Maplin Electronics, P.O. Box 777, Rayleigh, Essex, SS6 8LU, England.
Several models of this instrument are manufactured by Magellan and vary in price from around £219 - £310.
Reference.
Maplin Magazine "Electronics" Oct 1996 Issue 106, The Future of GPS - by Mark Laflingham.
The Magellan GPS 2000 retailing at £219 from Maplin Electronic Supplies.
Some months ago I was approached by a friend to see if I was interested in a charity venture which would result in competing in “The Ultimate Killary Challenge”. Each team of four persons had to raise £1,000 to be eligible. Despite the usual trauma of fund-raising, we achieved our goal; in fact we exceeded it.
A couple of weeks prior to the event, we received some information on what “The Challenge” involved. There were two lists of activities: CLASSIC: Archery, Orienteering, Fishing, Clay Pigeon Shooting, Sheep Herding, Swimming, Canoeing, and Cycling. MINDBENDERS: Soft Option, Helicopter Pilot, Bog Crossing, Mud Castle, Amazon, and Locations.
Our first problem was to choose in which six activities we would compete. We decided on Orienteering, Sheep Herding, Cycling, Soft Option, Bog Crossing and Amazon. We were, I might add, in blissful ignorance as to what soft option and Amazon were. Depending on how well a team performed in each event, it was rewarded with Killary Kash. On completion of activities, this kash enabled teams to purchase materials to construct a Curragh which then had to be paddled out to a canoe in the bay. A garbage bag had to be collected from the canoe, its contents: fire lighting material had to be transported back to shore. The fire lit and the first team to boil one litre of water would be the overall winners of the Challenge along with a nice prize. After a few meetings with my team mates, we decided if nothing else it would be a fun day.
On the day it was an early departure from Galway at 7 am. Amazingly we were all on time with a few minutes to spare for a photograph or two. I was driving and keen to get going as it was a very foggy morning. By the time we reached Oughterard the fog had lifted somewhat. We arrived at Killary Lodge at 8:15 and soon a buffet breakfast was available. It was such a glorious morning that most people decided to dine outdoors.
With 10 teams competing, a general briefing was given at 9:30 am. Each team was given a folder containing instructions on the day’s events; missing though was the order in which the activities would take place. At 10:15 we were to line up outside behind a starting line. The team activity sheets were placed some distance away and on a count of three we were let loose.
Our first activity was Bog Crossing which we had fun locating since none of us were experienced with orienteering maps. After trial and error we got there and combined our efforts with another team and we achieved our objective by placing planks to cross the bog. Strict rules applied with no chance of cheating as we were supervised. Half an hour was allotted to each activity.
On to event No. 2, CYCLING where we arrived ahead of time which gave us a chance to familiarise ourselves with mounting bikes. The three of us competing, expected to a 10-12 km ride - we were in for a bit of a shock when it turned out to be an obstacle course. We were briefed on the rules i.e. points deducted each time one’s foot touched the ground. We knew we didn’t stand a chance with this one, it was extremely difficult. My team mates completed the course after a fashion and with many expletives. I came to grief on the second obstacle when I failed to clear it and went clean over the handlebars landing flat on my face on the obstacle. I thought I would be singing “all I want for Christmas is my two front teeth”. Fortunately, Tom Rea was the doctor for the event - there were a few funny comments as I approached looking the worst for wear. I know how a boxer feels when he is punched in the mouth. In a short time, Tom had patched me up and I hurried to our next event - Sheep Herding.
Twenty wild Connemara sheep sheltered beneath the trees and our goal was to get four of them into a pen. Another ladies team arrived for the event so we combined our efforts. What a laugh! After much frustration we managed to pen all of them - 16 in one and 4 in the other. 12:30 pm - time for lunch; a Buffet, alas due to my handicap, split lip etc., I could eat very little. At 1:15 pm it was time to line up again and race to the instruction sheets.
ORIENTEERING was first one our list. On arrival to the location we were penalised £10.00 for being late which we felt was a little unfair but rules are rules. We located 5 out of 10 points in the given time and then we headed for the SOFT OPTION.
Three teams arrived for this one. Each team was handed a brown envelope - the contents were balloons, straws, sticky tape, newspapers string and 3 eggs. The challenge was to package the three eggs in such a way that when dropped off a nearby bridge they wouldn’t break. We opted for a boat like structure with balloons attached - alas, two eggs broke. Our final activity was AMAZON.
The location of Amazon eluded us and another team competing and we both arrived 10 minutes late and were penalised. By now we were tiring. The challenge was to retrieve two “kinder” eggs from an area of bog without walking on it. Materials given: a plank, a length of 4 x 4, a rope, and a stick with a hook on its end. After much fun we managed to retrieve only one of the eggs. Our time was up anyway so back to base.
At 3:45 pm, the shop was opened for us to purchase materials for Curragh building. Our finances were somewhat lean with only just £KC360 in the Kitty and when we witnessed what other teams had purchased our enthusiasm waned a little. Each team had to have at least one swimmer and since I was injured we were minus a swimmer. Not to be beaten though, we bought what we could. Five lengths of wood, three lengths of wavin, a plastic sheet, and ten lengths of rope. To encourage us further the organiser offered us a staff member to paddle
THE ULTIMATE KILLARY CHALLENGE Continued .......
our contraption. We set to, and in the allotted time, completed a weird looking vessel. Some of the others looked equally interesting. We were instructed to line up all the so called vessels and on the count of three we ran with them to the waters edge and launched them. Anka, our paddler, did a fantastic job, she was second at the canoe to collect the fire gear. We were astounded, our canoe lasted the distance.
Hurriedly we lit our fire - we had briquettes, bits of wood, newspaper and matches. My team mates did a good job by continuously blowing to keep the fire lit, again I was of little help here. We got our kettle with a litre of water and frantically tried to get it to be first to boil. We failed but actually came third which was pretty good considering. Team 10 won and deservedly so. They had earned a lot more Killary Kash during the day which enabled them to purchase a fire lighter for £100 and that made all the difference.
At 5:30 pm all activities were over and it was time to get ready for dinner and refreshments. We had a buffet with a choice of tasty dishes followed by a giant Black Forest Gateaux made to commemorate the event. Prize giving to place with the winners receiving a Glass Trophy and £1000 of travel vouchers. There was choice of prizes for the runners up and we chose a dinner for four with wine. To my surprise, I was awarded a special prize for carrying on regardless of my injuries. Our team leader also received a less obvious injury in the cycling event and had to bandage a very badly bruised thigh.
The whole experience was interesting and I would do it again but would definitely avoid the so called cycling at all costs or do a course with BMX beforehand.
MARY RYAN'S OAT COOKIES
Ingredients
6 oz Porridge Oats
6 oz Brown Flour
6 oz Sugar
3 oz Coconut
Grated Rind of ½ Lemon
Melt 6 oz of Margarine with 3 tablespoons of water and spread into 2 swiss roll tins 7" x 11" (greased). Bake at 150° C for 10 - 15 minutes
These cookies are quite filling and a great addition for the lunch box when going out on a long walk.
SUMMER BARBECUE
The Barbecue held at Ti Gearoid's, Oranmore on Saturday the 24th of August was a terrific success. A pre-barbecue walk took place in Rinville Park with 12 participants. I have to admit to a feeling of anxiety with so few on the walk since the venue for the Barbecue expected around 45 to 50 people.
After a very pleasant walk we arrived at Ti Gearoid’s around 8:30 pm and enjoyed pre-barbecue drinks. During which time other members arrived. Around 9:15 Gearoid began to cook the steaks, sausages with a self-service for salads and French Bread - definitely a fine feast.
The regular club talent was available for after dinner entertainment: the Huban Family, Noel and Peter Browne followed by a grand finale around 1:15 am with the combined talents of Tom Huban, Steve Wright, Tom Rea and Paul Pavarotti singing about a Dicki-di-doe to the air of the Ash Grove. It is amazing what a few pints of the Black Stuff will bring out. A raffle for a bottle of whiskey took place during the evening. Sarah Browne, a visitor from the U.K., won the prize.
All in all this was a very enjoyable evening with a final number of 35 in attendance. At £2.00 per person this was excellent value - hopefully the numbers will be greater at the next function.
ANN WRIGHT'S CHOCOLATE CAKE
Ingredients
1 Egg
8 oz Sugar
2 Heaped tablespoons of Cocoa
4 oz Margarine
3/8 pint of Milk
8 oz Self Raising Flour
Melt the margarine. Stir in the sugar and egg then the cocoa, flour and milk. Put in a greased 8" cake tin and bake at 160° for about 45 mins. As soon as the cake comes out of the oven, pour over it the icing made by mixing:
4 oz Sugar
1 oz Margarine
2 Heaped Tablespoons Cocoa
2 Tablespoons of Boiling Water
Following the success of the last Castlebar walk, it was decided to include another walk before the winter set in. It was disappointing to note that only twenty-five walkers appeared for the bus after thirty had expressed an interest and booked seats! The weather was a trifle inclement as we set off towards Castlebar. Dense grey cloud in the sky and torrential rain bucketed from the heavens as we drove out of Galway. Could this have been the reason we saw so few on the bus?
As we approached Castlebar the weather seemed to clear and it was obvious that we were going to experience occasional showers and poor visibility on the higher ground. We made a short stop in the Welcome Inn to meet with Ernie.
The bus brought the group about 7 Km north of Castlebar on the Windy Gap road. We assembled at the small bridge next to a right turn towards Burren mountain.
Our route took us in a south westerly direction along a 2 km stretch of country lane and then to a small prefabricated house at the base of Burren Mountain. We had a brief chat with the owner of the land before heading in an uphill direction towards the mountain. Ernie’s experience from the Castlebar Walks had determined the resting points as we headed upward. The uphill stretch was sufficient to get us to a point where we could traverse the Burren mountain roughly three quarters of the way up. We were able to enjoy some excellent views in between the showers. Our route took us to the northerly end of Burren Mountain where we were about 950 ft up with fine scenery to the north. Alas, the low cloud began to close in again and our views were short lived.
We turned left, in a westerly direction, across bog and crossed two more small peaks before turning south west towards Croaghmoyle. The terrain was rough and we had to keep an eye on the footing least we sank up to our knees in the bog. We had to jump across boggy furrows cut by the water running off the side of the hill. Ernie seemed to have a good sense of where to tread and it was advisable to follow immediately behind him - those who didn’t generally sank up to their knees.
Fencing was another obstacle that was encountered on the mountain tops and it was noticeable that there was no effort to include even a simple style to facilitate those walking across the hills.
Between the changeable weather and the rough terrain, it was impossible to find a place to take lunch. At last the weather broke and a large expanse of blue sky appeared in the distance. We were just heading out of the boggy area and towards the side of a hill and this was the perfect time to stop. Despite the wind, the sun warmed us a little and our clothing was beginning to dry out. Our rest was nearly three quarters of an hour before we got underway. The weather was deteriorating and it was time to move. We headed uphill to our second last peak before turning towards Croaghmoyle. Again fencing obstructed our route across the hill top. The last stretch of the walk continued over grassy bog before we turned west, towards Croaghmoyle. There was a climb of 80 ft to get to the top where the TV mast was located. A new mast was under construction leaving rubble and machinery strewn all over the place. A shame really as the views from here are normally excellent.
Some chose to skirt the summit and join the road a little lower down. Our route was now in a southerly direction heading down a steep transmitter road for about 2 kms. A quick call on the Eircell revealed that our bus driver was waiting at the bottom of the road near the junction. The whole journey took us four and a half hours in which we covered roughly 9 kms of ground. It would seem to be a long time for that distance but one has to take into account, the rests, lunch stop, and climbs.
Our bus driver informed us that the Castlebar Drug Squad had been asking questions and searched the bus in our absence. We called back to the Welcome Inn for “Tea & Biscuits” and debriefing before heading back to Galway. Our thanks to Ernie Sweeney for leading the walk and to Murphy’s Coaches for the warm comfortable drive home.
BELLACORICK TO TREANLAUR LODGE
The Bellacorick to Treanlaur Lodge Walk follows the part of the Western way starting at a cross-roads on the Castlebar to Bellacorrick Road. The actual cross-roads can be found on the map approximately 4 km east of the Bellacorrick Power Station. The route follows a well made track through a valley and then on to Treanlaur Lodge Hostel.
Twenty walkers assembled for the walk and we made an early start towards Newport. At Newport we took the bus driver along the "Nephin Drive" in a northerly direction. The scenery along this route is only magnificent with forestry, bog and mountains. The Nephin Drive is just about passable and we were barely able to get the bus along it much to the horror of the driver. This road joins the Castlebar to Bellacorrick Road and heads towards the power station. At the cross-roads near Derry we took a left turn and continued until the Western Way marker directed us to the right onto a bog road. The road continues until the next Western Way marker points left to a gate with a well-made track. Once on this track it is possible to continue along the track without deviation until the end is reached.
The track passes through forestry with some fantastic scenery and firm terrain underfoot. This is definitely the kind of walk that can be undertaken in the worst of weather conditions. As it happened the weather was at its worst on this occasion with torrential rain for the most of the walk. At the half way mark we decided to take a lunch break. We had put off the lunch in the hope that the rain would stop but this was not to be so. After a wet lunch we set off to finish the walk.
The weather actually began to ease after the break and as we passed Nephin Beg, to our left, the rain stopped. At the three quarters mark the sound of a river could be heard which was a good indicator that we were coming to the end of the track. At this point two rivers merge into one with a beautiful picnic area just a little further on. Beyond the picnic area there are a series of waterfalls which are worth photographing. Approximately one mile beyond the waterfalls, the Western Way and the Bangor trail merge and continue towards Srahmore Lodge. At this point the track becomes a road and continues to Treanlaur lodge for three miles.
Our bus was waiting at this point and we were glad to change the wet clothing before our long journey back to Galway. Our journey took about two hours before we reached the Omniplex. As we had not taken a refreshment break for the entire journey, we decided to do so in Kate's Bar before going home. Never did a pint taste so sweet! Whilst this walk was a little arduous in the wet weather but it is way different in the summery months and should feature on our list under better circumstances.
FANORE - GLENINAGH - FANORE
This circular walk from Fanore to Gleninagh and back to Fanore via the Green Roads has always been a favourite of mine because it requires just a little more than average effort to complete. This is basically a pleasant ramble with a little hill climbing thrown in for good measure.
The walk begins at the recreation area car park just beyond the Fanore Caravan Park. On leaving the entrance of the Car Park, turn right and veer left onto a muddy track just beyond the school. Continue along this track until meeting a minor road at which point a left turn is taken. The road continues in an uphill direction where it meets the Green Road from Ballylacken. Once at the top of the hill, turn left and continue walking. There will be a series of gates that should always be closed after passing through them. One can't get lost on this track as it is lined by stone walls. To the left there is a magnificent view of the sea and across Galway bay to the Aran Islands.
The Green Road eventually takes a gentle downhill gradient for a fair distance where it meets with road and crosses a river in the "Kyber Pass". At the end of the road turn right and take the next turn left in an uphill direction. This part is steep and seems never ending but is, nevertheless, worthwhile once the top is reached.
At the top of this hill it is possible to take a short cut to the top of Aghaglinney South by turning left and walking across the rough rocky surface towards the Trig point. Real walkers continue along the road and follow it downhill to the junction where a left turn is taken. Follow the path past a farmhouse and slightly to the right across the fields and then from here onwards head along the tracks and through the gates. The route is basically a straight run towards a saddle between two hills in a northerly direction. Having crossed the last wall the track heads uphill towards the ridge. This is a deceptive path as it seems to get increasingly more exhausting until the ridge is reached. Turn to the left and head up the side of the hill.
Follow a straight line uphill and continue on that line over the flat plateau and eventually the summit of Aghaglinney South will be reached the Trig point will be seen at this location. Those who took the short cut would have come in from the left. This is a good point to savour the Burren atmosphere and have lunch followed by a good rest.
Follow the lie of the land to the left and keep a line of sight to the right of the peak in the distance. After a while it a wall will be seen to the right in the distance and it is possible to follow a path alongside it. After a while, the green road skirting Blackhead will seen below the wall some two hundred yards away. The path will take gentle left direction and when the ruins of Cathair Dhuin Irghius are seen in the distance
one should crossover the wall and head towards them. Just before reaching the castle turn left, cross over the wall and follow a path parallel to the wall that will eventually join the Green Road back to Fanore. Looking to the left huge boulders will be seen scattered across the landscape. Apparently these were deposited by the glaciers in the region.
When the green road rejoins a surfaced road there are only two miles to walk back to the car-park.
**GLENINAGH WALK**
The Gleninagh walk starts at the small lay-by next to the Pinnacle Well opposite Gleninagh Castle. Walk down the road towards Blackhead for approximately one mile and a gateway on the left will lead onto a path that will head towards a ridge between two hills. This path will be evident from the roadside. The path is a steady uphill climb which shows no mercy to those who are not fit. Do not let this deter you as frequent stops for a breather will help. The path tends to zig zag up the side of the hill until it eventually flattens and ends at a wall on the ridge. This is the same ridge mentioned in the previous walk.
Follow the footpath downhill in a southerly direction across the fields and through the gates. The path will be evident all the way until it passes the farmhouse and meets with a narrow road. Follow the road until a junction is reached and turn right in an uphill direction. A good place to take a break would be the top of the hill in the ruins of the chapel and sheebeen.
Head downhill and take a right turn and follow the road into Fanore. This road follows along side a river and eventually meets the main road. At the junction, turn right over the bridge and follow the road until a right turn becomes evident. Turn right and continue uphill until and join the Green Road.
The Green road is flat for some distance before it rises up the side of the hill and follows a contour around Blackhead. There are excellent views of Galway Bay and the landscape to the left of the path. After some distance the Green Road seems to disappear into a jungle of brambles and it is advisable to turn left into the field and then right onto the main road. After approximately two miles of road walking the Pinnacle Well will be seen on the right side of the road signifying the end of an excellent walk.
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**SHORT WALKS**
The short walks were introduced in September as an experiment following a suggestion that the longer walks were tending to make newer members shy away. The short walks have been found to be very popular with nearly fifty people on the Corofin walk. Hopefully these walks will serve as an introduction to walking and point people in the direction of the longer walks. The shorter walks are also of great interest to those who do not wish to spend a full day out for family reasons. Whilst the attendances on these walks is on the increase it would be a shame to see walkers just supporting the short walks without having a go at the longer cross country rambles.
**LONG RAMBLES**
The long rambles seem to have regular support from an established group of die hards. Where have all the others gone? Some took the option of the shorter walks but others seem to have just given up altogether. Many of the long rambles require a bus to bring walkers to the start of the walk and pick them up at the end. Of late it has been difficult to justify wasting club funds on just a small handfull of people. More support is needed. There is no more hanging about at the end of the walk and the time for refreshments is determined at the meeting before the walk. The bus does actually leave on time nowadays with no messing about on the way home. Those who wish to indulge may do so at Kate's Bar. This has worked successfully for some time now.
**HILL WALKS**
Following a suggestion from Mike Fogarty, a Hill Walking group was formed in our Club. A maximum of fourteen have shown an interest and there have been three Hill walks to date. The hill walks are held on the Sunday on which the Short Walks are held. UCHG Hill Walkers invited the Galway Walking Club Hill walkers to share their bus for economic reasons and the task of leading the walks will be shared by both groups. Hopefully our numbers will be on the increase to keep this section viable.
**WEEKENDS AWAY**
Two activities were cancelled as a result of a lack of commitment from members. The interest was there for both of them but the follow up wasn't. It has been decided that the club will no longer collect cash and be responsible for organising accomodation for trips away. A group of members will form the core of activity and others may book independantly if they wish to participate. There are always at least ten who show an interest in a walking trip away. If you have any suggestions - feel free to air them at meetings as it would be a shame to see the end of organised trips away.
The trip to Guadaloupe is still on offer but there has been no display of interest for some time now. The holiday was for ten days full board in a Hotel costing £21.00 per person sharing per day. The Air fare is under discussion and to date has not really improved from £245 return. Maybe something will come up before next May.
The holiday would include organised walks, pony trekking and sight seeing trips in neighbouring villages and towns. A trip across the border to Portugal would be possible. As the places of interest are all on public transport routes the responsibility of bus hire would not fall on the club. Some may wish to just avail of the accommodation and laze in the sun - there is no obligation to go walking on this trip.
Arturo Rodriguez, will be joining us for the duration of the holiday to help us through the language barrier and guide us around the places of interest in the area. Many of the activities will also be organised via Arturo. One notable place is the Vineyard where he produces his own wine.
This will be an excellent holiday but it should be stressed that numbers and commitment will play an important part in finalising this trip. If you are interested in a holiday in the first week of May, please inform one of the committee members know as soon as possible.
Tom Rea has recently become Chairman of the Western Region of "Keep Ireland Open" - an organisation who are fighting for the rights of way to remain open. If anyone wishes to join this group membership can be obtained from Tom Rea, Bridge Street, Headford, Co. Galway. If sufficient numbers were apparent a group membership could be organised for a mere 50p per person.
Following many requests to follow up the issue of insurance the Club has decided to insure all of its walk leaders with the M.C.I. Anyone who is interested in joining MCI may do so and also avail of the insurance policy they have to offer. More information at the Club meetings or from Steve Wright.
Paddy Dillon, of Walking World Ireland fame, recently visited Galway to research an article entitled Six Short Walks of Galway. Paddy was taken on the walks by Steve Wright, Tom Huban, Ollie Sammon and Tom Rea. The article will feature in the Christmas Annual edition of Walking World Ireland.
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MEMORANDUM
DATE: March 12, 2014
TO: BRIAN BARTOW, General Counsel, CalSTRS
FROM: CHRIS WADDELL, Senior Attorney
RE: LEGAL ANALYSIS OF ISSUES ASSOCIATED WITH GUARANTEEING THE 2% ANNUAL IMPROVEMENT FACTOR AND INCREASING MEMBER CONTRIBUTION RATES
We have been asked by CalSTRS to analyze a hypothetical change to the CalSTRS plan that would guarantee or “vest” the current 2% annual “improvement factor” applied to retirement benefits that is currently subject to legislative reduction and would increase the current member contribution of 8% (for pre-PEPRA members) or of 50 percent of normal cost of benefits (for members covered by PEPRA). You have further asked by what percentage the member contribution may be increased in light of the vesting of the 2% improvement factor.
We have concluded that if the 2% annual adjustment is guaranteed by the State, some increase in member contribution rate would be permissible because the disadvantage associated with the increased member contribution rate would be offset by the “comparable new advantage” of vesting the 2% annual adjustment. There is insufficient case law on the issue of what constitutes a “comparable new advantage” to identify a precise number by which the member contribution may be increased. We believe, however, that the likely outside limit of such an increase is the actuarial cost of the annual improvement factor for active employees as well as future hires.
DISCUSSION
A. Overview of Vested Rights Doctrine
Both the United States Constitution\(^1\) and the California Constitution\(^2\) prohibit a state from passing “....a law impairing the obligation of contracts.” “Under well-settled principles, these clauses limit the power of a state to modify its own
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\(^1\) U.S. Const., Art. I, § 10, cl. 1.
\(^2\) Cal. Const. Art. I, §9.
contracts with other parties.”\textsuperscript{3} The Contracts clauses protect both express contracts\textsuperscript{4} as well as contracts that are implied “from the texts and contexts of the statutes at issue.”\textsuperscript{5} For purposes of the Contracts clauses, express and implied contracts exist on equal footing with respect to the prohibitions against their impairment.\textsuperscript{6} “A legislative intent to grant contractual rights can be implied from a statute if it contains an unambiguous element of exchange of consideration by a private party for consideration offered by the state.”\textsuperscript{7}
The best judicial summary of the principles applicable to the vested rights doctrine in California may be found in \textit{Betts v. Board of Administration}\textsuperscript{8}. The \textit{Betts} court stated that:
“A long line of California decisions has settled the principles applicable to the problems here presented. A public employee’s pension constitutes an element of compensation, and a vested contractual right accrues upon acceptance of employment. Such a pension right may not be destroyed, once vested, without impairing a contractual obligation of the employing public entity (Cit. omitted). The employee does not obtain, prior to retirement, any absolute right to fixed or specific benefits, but only to a ‘substantial or reasonable pension.’ (Cit. omitted). Moreover, the employee’s eligibility for benefits can, of course, be defeated ‘upon the occurrence of a condition subsequent.’ (Cit. omitted)
However, there is a strict limitation on the conditions which may modify the pension system during employment. We have described the applicable principles as follows: ‘An employee’s vested contractual pension rights may be modified prior to retirement for the purpose of keeping a pension system flexible to permit adjustments in accord with changing conditions and at the same time maintain the integrity of the system. (Cit. omitted). Such modifications must be reasonable, and it is for the courts to determine upon the facts of each case what constitutes a permissible change. To be sustained as reasonable, alterations of employees’ pension rights must bear some material relation to the theory of a pension system and its successful operation, \textit{and changes in a pension plan which result in disadvantage to employees should be accompanied by comparable new advantages}. (Cit. omitted)
Judicial attention has also been given to the subject of ‘comparable new
\begin{footnotes}
\item \textit{Valdes v. Cory} (1983) 139 Cal. App. 3d 773, 783.
\item See, e.g., \textit{Sonoma County Organization of Public Employees v. County of Sonoma, et. al.}, (1979) 23 Cal. 3d 296, 304
\item \textit{California Teachers’ Association v. Cory} (1984) 155 Cal. App. 3d 494, 505.
\item Id.
\item Id.
\item \textit{(1978) 21 Cal. 3d 859}.
\end{footnotes}
advantages.’ The comparative analysis of disadvantages and compensating advantages must focus on the particular employee whose own vested pension rights are involved. (Cit. omitted). It has been said that the offsetting improvement must also ‘relate generally to the benefit that has been diminished.’” (Cit. omitted)\(^9\).
In the next two sections of our memorandum, we apply the above principles and conclude that CalSTRS active and retired members arguably do not have a vested right to future annual 2% benefit improvement factor increases but that CalSTRS active members do have a vested right to an employee contribution rate of either 8% of compensation for members hired prior to the effective date of PEPRA) or 50 percent of the normal cost rate of benefits (for members covered by PEPRA).
**B. The 2% Benefit Improvement Factor is not a Vested Benefit for Current CalSTRS Members or Retirees**
Education Code Section 22140 provides:
(a) “Improvement factor,” with respect to the Defined Benefit Program, means an increase of 2 percent in monthly allowances. The improvement factor shall be added to a monthly allowance each year on September 1, commencing on September 1 following the first anniversary of the effective date of retirement, or the date on which the monthly allowance commenced to accrue to any beneficiary, or other periods specifically stated in this part.
(b) The improvement factor may not be compounded nor shall it be applicable to annuities payable from the accumulated annuity deposit contributions or the accumulated tax-sheltered annuity contributions. *The Legislature reserves the right to adjust the amount of the improvement factor up or down as economic conditions dictate. Any adjustment of the improvement factor may not reduce the monthly retirement allowance or annuity below that which would be payable to the recipient under this part had this section not been enacted.*” (Emphasis added).
If the Legislature expressly reserves to itself the right to reduce a given pension benefit, members of the retirement system do not have a vested right to it. In the case of *Teachers’ Retirement Board v. Genest*,\(^{10}\) the court observed that in the situation where the Teachers’ Retirement Law prior to 1998 provided that, with respect to the Supplemental Benefit Maintenance Program (SBMA):
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\(^9\) Betts, *supra*, 21 Cal. 3d at 863-865(emphasis original).
\(^{10}\) (2007) 154 Cal. App. 4th 1012.
“[n]othing in the sections establishing the Supplemental Benefit Maintenance Program shall be construed as a basis for any implied contractual obligation, or as an element of exchange of consideration by a private party for consideration offered by the state, or as an intent to grant private rights of contract, or as conferring an vested right whatsoever on any present or future member…”
The court found that given this language, prior to 1998 “…there was no vested right to payments from the General Fund into the SBMA program.” The court went on to conclude that the repeal of the above language in 1998 and its replacement with provisions that included an express statement of legislative intent to establish the State’s contributions to the SBMA program as vested benefits did result in the creation of a contractual obligation of the state to make contributions in the specified amount to the SBMA program.
In light of the highlighted language of section 22140 above, the Legislature could determine, similar to the status quo in effect with respect to the SBMA program prior to 1998 that if economic conditions dictate, the amount of the improvement factor could be reduced prospectively to zero for current employees and retirees. Absent future legislation that eliminates the ability of the Legislature to take such action, current CalSTRS members and retirees likely do not have a vested right to future annual 2% benefit improvement factor increases.
C. A Statutory Change Resulting in an Increase in Current Member Contributions Must be Accompanied by a Comparable New Advantage
Employee contributions for CalSTRS members who first entered into covered employment prior to the effective date of the Public Employees’ Pension Reform Act (PEPRA) are governed by Education Code section 22901 (a), which provides:
“Each member of the Defined Benefit Program shall contribute to the retirement fund an amount equivalent to 8 percent of the member’s creditable compensation.”
This 8 percent employee contribution rate was last changed in 1972 and has remained fixed in the Education Code since that date. The employee contribution rate for CalSTRS members hired after the effective date of PEPRA (January 1, 2013) is set by the Education Code at 50 percent of the normal cost rate of benefits and is subject to prospective adjustment to maintain the 50 percent ratio.
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11 Id. at 1022.1029,
12 Id. at 1029.
13 Id. at 1029-1031.
14 Education Code section 22901 (b).
Under existing case law, the general principle is that “where the employee’s contribution rate is a fixed element of the pension system, the rate may not be increased unless the employee receives comparable new advantages for the increased contributions.”\textsuperscript{15} The lead case in this area is \textit{Allen v. City of Long Beach}\textsuperscript{16}. In \textit{Allen}, an amendment to a city charter provision raised the rate of a current employee’s contribution to the city pension fund from 2 to 10 percent of his salary, without any corresponding increase in the benefits he would receive upon retirement. The California Supreme Court held the increase to be an unconstitutional impairment\textsuperscript{17}. The Court of Appeal reached a similar result in a case where a current city employee’s contribution rate was increased from 1 to 8 percent of salary without a corresponding benefit increase.\textsuperscript{18}
A public employee acquires a vested right to a pension based on the system then in effect upon acceptance of employment.\textsuperscript{19} Given that both the 8 percent employee contribution rate for pre-PEPRA CalSTRS members and the “50 percent of normal cost” contribution rate for CalSTRS members covered by PEPRA are fixed in statute, under the above legal principles those rates constitute vested rights of CalSTRS members and may not be increased without their receipt of an offsetting comparable new advantage.
\textbf{D. Sufficiency of Comparable New Advantage}
Consistent with the general principle that “changes in a pension plan that result in disadvantage to employees should be accompanied by comparable new advantages,”\textsuperscript{20} there are a number of cases from California and other jurisdictions that have invalidated employee contribution rate increases on the grounds that \textit{no} comparable new advantage was provided.\textsuperscript{21} However, we have found only two cases that address the sufficiency of a comparable new advantage to offset a corresponding disadvantage to plan members.
The first, \textit{Claypool v. Wilson}\textsuperscript{22}, involved in pertinent part the repeal of cost-of-living adjustments (COLA) that could be as high as 80% but were contingent on extraordinary investment performance. In its place, the Legislature substituted a COLA of a lower amount (up to 75%) that was found by the court to be more likely to be paid with much greater frequency. The court found that the substituted COLA provided a comparable new advantage, observing that:
\begin{footnotesize}
\begin{enumerate}
\item Pasadena Police Officers Association v. City of Pasadena (1983) 147 Cal. App. 3d 695, 702-703.
\item (1955) 45 Cal. 2d 128.
\item \textit{Allen, supra}, 45 Cal. 2d at 131.
\item Wisley v. City of San Diego (1961) 188 Cal. App. 2d 484, 485-487.
\item Miller v. State of California (1977) 18 Cal. 3d 808, 817.
\item Betts, \textit{supra}, 21 Cal. 3d at 864.
\item \textit{Allen v. City of Long Beach} (1955) 45 Cal. 2d 128; \textit{Wisley v. City of San Diego} (1961) 188 Cal. App. 2d 484; \textit{Singer v. City of Topeka} (1980) 227 Kan. 356; \textit{Opinion of the Justices} (1973) 364 Mass. 847.
\item (1992), 4 Cal. App. 4th 646.
\end{enumerate}
\end{footnotesize}
“...the new COLA program provides an obvious new advantage for such members, actual benefits for the theoretical but illusory higher benefits under the repealed programs.”\textsuperscript{23}
In \textit{City of Downey v. Board of Administration}\textsuperscript{24}, the court analyzed changes to the Public Employees’ Retirement Law relating to contracting local agencies. The changes had the effect of increasing local employee contributions to CalPERS and increasing the benefits ultimately payable upon retirement. The court found that the vested contract rights of the employees were not unconstitutionally impaired because the increase in the contribution rate was offset by the increase in the retirement allowance that the employees would be able to receive.\textsuperscript{25}
\section*{E. Analysis and Conclusion}
At present, the 2% annual improvement factor payable to CalSTRS retirees and beneficiaries could likely be reduced to any number less than 2% by the Legislature without abrogating the vested rights of CalSTRS members, retirees or beneficiaries because of the express reservation of legislative rights in Section 22140. The elimination of the potential for such a reduction would clearly provide an advantage to members, beneficiaries and retirees. Under the rationale of \textit{Claypool} and \textit{City of Downey}, that advantage could be used to offset the disadvantage associated with an increase in the employee contribution rate. However, the cases do not provide any in-depth framework or formulaic analysis for measuring the value of a comparable new advantage.
The only available benchmark for determining the comparable new advantage associated with vesting the annual improvement factor is the cost of providing that benefit. The rationale for using this as the benchmark is as follows. Assume that the Legislature, under its reserved rights to decrease the amount of the improvement factor, decreases the amount of the factor to zero.
Then, assume that the Legislature subsequently elects to increase the annual improvement factor back to its maximum level of 2% and, in connection with that action, also increases the employee contribution by the amount necessary to fund the improvement factor at that level (including both normal cost and amortization of the resulting unfunded liability). In our view, increasing the annual improvement factor back to 2% would constitute an advantage that would offset the increased contributions paid by active members.
It could be argued that because members, retirees and beneficiaries are already receiving the full 2% improvement factor, the value of vesting that benefit prospectively is something less than the full actuarial cost of providing the benefit. We believe that the rationale described above largely refutes this argument—i.e., if the Legislature could take the above-described actions in serial fashion then this forms a reasonable basis for evaluating the “value” of vesting the benefit, thereby eliminating the possibility of such a benefit reduction. However, the Legislature may
\textsuperscript{23} \textit{Claypool}, supra at 660.
\textsuperscript{24} (1975) 47 Cal. App. 3d 621.
\textsuperscript{25} Id. at 632. The presence of the comparable new advantage in the form of increased benefits is the distinguishing factor in the outcome of the \textit{City of Downey} case as compared to the \textit{Allen} and \textit{Wisley} cases discussed in the text of this memorandum accompanying footnotes 17 through 19.
wish to use a value that is less than the full actuarial cost of providing the benefit improvement factor in targeting the amount of the employee contribution rate increase for which vesting this benefit serves as an offsetting comparable new advantage in order to provide an additional margin of safety in the event of a legal challenge.
In determining the current cost of providing the benefit improvement factor for purposes of determining the outside limit of its offsetting value for purposes of increasing the employee contribution rate, our view is that it should be limited to the actuarial cost of the benefit for active employees as well as future hires. The additional cost associated with providing the benefit to retirees and beneficiaries together with the cost of providing the benefit to inactive members might not be considered by a reviewing court in considering whether the new advantage is “comparable” because vesting the benefit for retirees, beneficiaries and inactive members does not confer an advantage to the active members who will be paying the increased contributions.
We note in closing that the ultimate applicability of our analysis on this point would have to be evaluated in the context of any other contribution or benefit changes proposed by the Legislature as a part of a global funding solution.
CWW:ab
April 19, 2013
Teachers' Retirement Board
California State Teachers' Retirement System
Re: Analysis of the Value of the 2% Annual Benefit Adjustment
Dear Members of the Board:
The purpose of this analysis is to calculate the value of the 2% annual benefit adjustment (2% ABA). Additionally, we calculate the impact if there was an increase in the member contribution rate equivalent in value to the 2% ABA. As the value of the 2% ABA will vary depending on each individual's specific situation, we have shown the expected value for several sample members. We have separately assessed the value to members of the DB Program as of June 30, 2012, and to new hires on or after January 1, 2013 under the provisions of Assembly Bill (AB) 340 (also commonly referred to as the California Public Employees’ Pension Reform Act, or PEPRA). This analysis is an update of our previous study dated December 15, 2011 to reflect the most recent actuarial valuation and the impact of PEPRA.
Two Percent Annual Benefit Adjustment
State law provides for an automatic benefit increase equal to 2% percent of the member’s initial benefit, beginning on September 1 after the first anniversary of their retirement. These adjustments are not compounded or tied to changes in the cost of living. It is our understanding that the California Legislature can reduce or eliminate the amount of the annual benefit adjustment for new and existing members, even if they have already retired, if economic conditions dictate.
Estimated Cost (Value) of 2% ABA – Pre-2013 DB Program Structure
We have calculated the value of the 2% ABA by comparing the cost of the pre-2013 CalSTRS benefit with the alternative benefit (i.e., the same benefit as the pre-2013 CalSTRS structure, except excluding the annual benefit adjustment). The best estimate of the ultimate cost of the 2% ABA is to compare the normal cost rate – the annual cost of benefits earned as a percentage of salary – under the current and alternative benefit provisions.
Note that we have looked only at recent entrants for the purposes of these calculations (see the Actuarial Certifications section of this letter for details). If the population of all current members were used, the additional member contribution rate needed to fund the 2% ABA would be greater than the additional contribution rate needed for recently hired members, since there is less time to receive the additional contributions being made by older members. By limiting the population studied to only recent new entrants, the resulting equivalent increase in the member contribution rate is effectively the lowest value of the potential increase in the member rate. It should be noted that if the member contribution rate increase were calculated based on the cost
for the full population, some members would end up paying a rate that is greater than the equivalent value. The methodology used in these calculations is based on our understanding of CalSTRS’ request for this analysis.
As shown in the following chart, there is estimated to be a decrease of 2.60% in the annual cost for recent entrants if the 2% ABA were excluded, as compared to the pre-2013 DB Program with the current 8.00% member contribution rate. However, the amount by which member contributions would need to be increased in order to fund the 2% ABA will be higher than 2.60%; this is because the potential refund of these additional member contributions will itself increase the costs.
The equivalent value of the 2% ABA when financed by member contributions, including the increased value of the return of the additional member contributions, is 2.83% of pay as outlined below.
| Normal Cost Rate as a % of Pay for 2% Annual Benefit Adjustment (Pre-2013 Benefits) |
|-------------------------------------------------------------------------------------|
| New Entrant Population (6/30/12 Valuation) |
| NC% with 2% ABA | NC% without 2% ABA | Value of 2% ABA |
|-----------------|--------------------|-----------------|
| If No Change in Member Rate (8.00%) |
| 18.51% | 15.91% | 2.60% |
| Increased Value of Refund Benefit |
| 0.23% | n/a | 0.23% |
| If Member Rate (10.83%) Increased for 2% ABA |
| 18.74% | 15.91% | 2.83% |
**Estimated Cost (Value) of 2% ABA – PEPRA Benefit Structure**
For most CalSTRS members hired on or after January 1, 2013, the provisions of PEPRA will apply. This will result in lower benefits for these members, and a lower normal cost. See our letter dated October 23, 2012 for an analysis of the impact of PEPRA on such members.
Since the value of the benefits under PEPRA differs from the value of benefits under the DB Program structure in place for non-PEPRA hires, the value of the 2% ABA will also be expected to be different for PEPRA hires.
We have calculated the value of the 2% ABA for new hires covered by PEPRA using the same methodology we used for the pre-2013 DB Program structure above. Specifically, we compared the cost of the current PEPRA benefit with the alternative benefit (i.e., the same benefit as the current PEPRA structure, except excluding the annual benefit adjustment). The best estimate of the ultimate cost of the 2% ABA is to compare the normal cost rate – the annual cost of benefits earned as a percentage of salary – under the current and alternative benefit provisions.
The previous analysis of the normal cost for DB Program members subject to PEPRA was limited to a recent hire population in order to give the best estimate of the cost for those hired on or after January 1, 2013 and subject to PEPRA. We have based the calculation of the value of
the 2% ABA on this same group of recent hires. See the Actuarial Certifications section of this letter for details.
As shown in the chart below, there is estimated to be a decrease of 2.20% in the annual cost for new members covered under PEPRA if the 2% ABA were excluded, as compared to the currently anticipated normal cost for these members. However, the amount by which member contributions should be increased in order to fund the 2% ABA (ignoring any member contributions currently being made toward the 2% ABA, as discussed later) will be higher than 2.20%; this is because the potential refund of these additional member contributions will itself increase the costs.
The equivalent value of the 2% ABA when financed by member contributions, including the increased value of the return of the additional member contributions, is 2.39% of pay as outlined below.
The member contribution rate under PEPRA is rounded to the nearest quarter percent. For purposes of comparison, we have shown the unrounded member rate to provide the best comparison of the value of the 2% ABA.
| Normal Cost Rate as a % of Pay for 2% Annual Benefit Adjustment (PEPRA) | New Entrant Population |
|------------------------------------------------------------------------|------------------------|
| | NC% with 2% ABA | NC% without 2% ABA | Value of 2% ABA |
| If No Change in Member Rate (7.95%) | 15.90% | 13.70% | 2.20% |
| Increased Value of Refund Benefit | 0.19% | n/a | 0.19% |
| If Member Rate (10.34%) Increased for 2% ABA | 16.09% | 13.70% | 2.39% |
Note that, because the member contribution rate under PEPRA is defined based on one-half of the PEPRA normal cost rate, an argument can be made that members subject to PEPRA already contribute one-half of the cost of the 2% ABA. It is therefore unclear whether the adjustment to the member rate to reflect the value of the 2% ABA should be 2.39%, as previously shown, or one-half of this amount.
Another way to look at this is that if the 2% ABA was removed, the normal cost rate would go down by the value of the 2% ABA (2.39%), including the reduced value of the member refund. Therefore, the member rate under PEPRA would decrease by one-half of that, or about 1.19% (prior to any adjustment for the one-quarter percent rounding). If the 2.39% was then added to the member rate to reflect the 2% ABA, the actual increase to the member rate would only be 1.20% (one half of the 2.39%).
The equivalent value of the 2% ABA when financed by member contributions, including the increased value of the return of the additional member contributions, is 2.39% of pay as outlined above. However, if this were adjusted for the fact that members are already paying for one-half of the 2% ABA, the increase in the member rate would only be 1.20%.
| Alternative Value of 2% Annual Benefit Adjustment (PEPRA) | New Entrant Population |
|----------------------------------------------------------|------------------------|
| | Normal Cost % | Member Rate(1) |
| PEPRA Plan with 2% ABA | 15.90% | 7.95% |
| PEPRA Plan without 2% ABA | 13.51% | 6.75% |
| Additional Value of 2% ABA | 2.39% | 1.20% |
(1) 50% of Normal Cost Rate
**Cost will Vary Depending on the Individual**
The ultimate value of the annual benefit adjustment for any individual will vary due to a number of factors. These factors include:
- **How Long a Member Lives**: The longer a member lives after retirement, the greater the value of the 2% ABA. In the extreme case, if a member dies within a year of retirement and no survivor benefit is payable, there is no value to the adjustment. For purposes of this analysis, we have assumed that the member’s lifetime after retirement will be consistent with the valuation assumptions.
- **Retirement Age**: The 2% ABA is most valuable for members who retire at younger ages. For purposes of our analysis of sample members, we have shown various retirement ages.
- **Termination Age**: For members who terminate prior to retirement and defer commencement of their benefit, the relative value of the 2% ABA will be much less than for those who work until retirement.
- **Form of Payment**: The annual benefit adjustment is most valuable for members who elect benefits with a survivor continuance, particularly for those with a much younger beneficiary. For purposes of this analysis, we have assumed that the member will receive an unmodified benefit with no survivor continuance. This results in the lowest value and is consistent with the valuation assumption.
- **Future vs. Existing Member**: For current members, the value of the 2% ABA is roughly equivalent to future members; however, the equivalent increase in the member rate needed to fund this benefit is much greater for current members, since there is a shorter period to contribute. For purposes of this analysis, we have not considered the costs associated with past years of service for existing members, as detailed above.
Specifically, this means the normal costs for future years of service will be financed, but not the normal costs for past years, or the interest that would have accumulated on those normal costs for past years.
- **Hire Age:** Similarly, members hired at older ages will generally be more expensive since there will be less time for investment earnings to grow their contributions.
**Examples for New Employees**
As previously noted, the value of the 2% ABA varies by individual. There are some situations where a member would be better off having the 2% ABA and making the additional contributions and others where they would be worse off (compared to not having the 2% ABA and having no change in the member’s contribution rate).
The following is a comparison of the value of the 2% ABA for several individuals under the pre-2013 DB Program structure with the additional contribution rate (2.83% of pay) previously calculated. We have shown both typical members and outliers. The outliers are designed to show situations where members are expected to receive a benefit that is less valuable than the actuarial cost.
| Benefit Type | Age at: | Value of 2% Annual Adjustment |
|-------------------------------------|---------|-------------------------------|
| | Hire | Term. | Ret. | Svc | Sex | |
| Non-Vested Refund | 35 | 38 | na | 3 | M | Value of Additional Refund is 2.83% of Pay |
| Average Retiree | 35 | 62 | 62 | 27 | F | 3.30% of Pay |
| Typical Retiree #1 (Early Career Hire) | 25 | 60 | 60 | 35 | M | 2.93% of Pay |
| Typical Retiree #2 (Mid-Career Hire) | 35 | 64 | 64 | 29 | M | 2.91% of Pay |
| Typical Retiree #3 (Late Career Hire) | 45 | 65 | 65 | 20 | M | 3.02% of Pay |
| Deferred Retiree | 30 | 40 | 60 | 10 | M | 0.87% of Pay |
| Late Retiree | 35 | 70 | 70 | 35 | M | 1.95% of Pay |
As can be seen from the above examples, the value of the 2% ABA for a typical CalSTRS retiree is generally slightly greater than the estimated average cost of 2.83% of pay for new hires. However, there are situations where the value is much less.
Note that we have used male members in our examples (except for the average retiree example), as this results in the lowest value of the 2% ABA. For the typical retirees, we used the expected retirement age based on individual hire age.
A similar analysis for members under the PEPRA benefit structure is presented below. Note that for purposes of this comparison we have used the first scenario where the current member contribution rate is increased by the full value of the 2% ABA.
The results are comparable to the pre-2013 benefit structure. The only difference of note is that the value of the 2% ABA under PEPRA benefits for the Early Career Hire is projected to be slightly less valuable than the additional contributions; whereas, under the pre-2013 benefit structure the value of the 2% ABA was slightly more. The difference is that pre-2013 benefit structure includes the additional 0.2% career factor, making the value of the 2% ABA relatively greater than the additional contributions.
| Benefit Type | Age at: | Value of 2% Annual Adjustment |
|-------------------------------------|---------|-------------------------------|
| | Hire | Term. | Ret. | Svc | Sex | |
| Typical Members | | | | | | Value of Additional Refund is 2.39% of Pay |
| Non-Vested Refund | 35 | 38 | na | 3 | M | 2.34% of Pay |
| Average Retiree | 35 | 62 | 62 | 27 | F | 2.91% of Pay |
| Typical Retiree #1 (Early Career Hire) | 25 | 60 | 60 | 35 | M | 2.34% of Pay |
| Typical Retiree #2 (Mid-Career Hire) | 35 | 64 | 64 | 29 | M | 2.75% of Pay |
| Typical Retiree #3 (Late Career Hire) | 45 | 65 | 65 | 20 | M | 3.02% of Pay |
| Outliers | | | | | | |
| Deferred Retiree | 30 | 40 | 60 | 10 | M | 0.77% of Pay |
| Late Retiree | 35 | 70 | 70 | 35 | M | 1.95% of Pay |
**Alternative Approaches**
We believe that the approach used in this analysis to determine the equivalent value of the 2% ABA is reasonable and consistent with the actuarial valuation. However, it should be noted that there are alternative approaches that would have yielded different results. Two other possible calculation methods are as follows:
- **Investment Return Assumption**: In our analysis, we used the valuation investment return assumption of 7.50% in the determination of the value of the 2% ABA. Since the purpose of this analysis is to determine an equivalent member contribution rate, a case could be made that the crediting rate on member contributions should be used. If the
assumed crediting rate used in the valuation of 4.50% were utilized in this analysis, this would result in a significantly higher equivalent value of the 2% ABA.
- **Inclusion of Additional Member Contributions**: As outlined above, the ultimate purpose of this analysis is to express the cost of the 2% ABA as an equivalent member contribution rate. We have therefore reflected the value of the potential refund of additional member contribution in the calculation of the equivalent value of the 2% ABA. We have also shown the value of the 2% ABA if these additional contributions were not included in the calculations, as noted above, which results in a smaller value of the 2% ABA.
**Actuarial Certification**
All data, methods and assumptions are the same as those used in our June 30, 2012 actuarial valuation of the DB Program, except where noted. Please refer to that report for further details. Also, see our letter dated October 23, 2012 for additional details of the determination of the current PEPRA rates. It should be noted that member behavior may change if the 2% ABA was eliminated or if additional member contributions were required. We have not anticipated any changes in member behavior in the assumptions used in our analysis.
In determining the actuarial cost of the 2% ABA, only a recent entrant group is used. The new entrant group for the pre-2013 DB Program calculations consists of all members hired from July 1, 2010 to June 30, 2012. Members working less than 60% of full time were excluded so that average part-time service of the new entrant group was consistent with the overall active population. The new entrant group used for the PEPRA calculations is the same new entrant population used in our previous PEPRA analysis; see our letter dated October 23, 2012 for details.
The cost estimates presented in this letter reflect possible changes in the benefits provided to DB Program members, as described in this letter. These cost estimates are subject to the uncertainties of a regular actuarial valuation; the costs are inexact because they are based on assumptions that are themselves necessarily inexact, even though we consider them reasonable.
In preparing the valuation upon which this letter was based, we relied without audit, on information (some oral and some in writing) supplied by CalSTRS staff. This information includes, but is not limited to, statutory provisions, employee data and financial information. In our examination of these data, we have found them to be reasonably consistent and comparable with data used for other purposes. It should be noted that if any data or other information is materially inaccurate or incomplete, our calculations may need to be revised.
All costs, liabilities, rates of interest, and other factors for CalSTRS have been determined on the basis of actuarial assumptions and methods which are individually reasonable (taking into account the experience of CalSTRS and reasonable expectations); and which, in combination, offer a reasonable estimate of anticipated experience affecting CalSTRS.
Future actuarial measurements may differ significantly from the current measurements presented in this report due to such factors as the following: plan experience differing from that anticipated by the economic or demographic assumptions; changes in economic or demographic assumptions; increases or decreases expected as part of the natural operation of the methodology used for these measurements (such as the end of an amortization period or additional cost or contribution requirements based on the plan's funded status); and changes in plan provisions or applicable law. Due to the limited scope of our assignment, we did not perform an analysis of the potential range of future measurements. The Retirement Board has the final decision regarding the appropriateness of the assumptions and adopted them as indicated in Appendix B of the June 30, 2012 valuation report.
Actuarial computations presented in this letter are for purposes of determining the estimated impact of potential changes to the DB Program. The calculations in this letter have been made on a basis consistent with our understanding of CalSTRS current funding requirements. Determinations for purposes other than meeting these requirements may be significantly different from the results contained in this letter. Accordingly, additional determinations may be needed for other purposes.
Milliman’s work is prepared solely for the internal business use of CalSTRS. To the extent that Milliman’s work is not subject to disclosure under applicable public records laws, Milliman’s work may not be provided to third parties without Milliman’s prior written consent. Milliman does not intend to benefit or create a legal duty to any third party recipient of its work product. Milliman’s consent to release its work product to any third party may be conditioned on the third party signing a Release, subject to the following exceptions:
(a) CalSTRS may provide a copy of Milliman’s work, in its entirety, to the System’s professional service advisors who are subject to a duty of confidentiality and who agree to not use Milliman’s work for any purpose other than to benefit the System.
(b) CalSTRS may provide a copy of Milliman’s work, in its entirety, to other governmental entities, as required by law.
No third party recipient of Milliman’s work product should rely upon Milliman’s work product. Such recipients should engage qualified professionals for advice appropriate to their own specific needs.
The consultants who worked on this assignment are pension actuaries. Milliman’s advice is not intended to be a substitute for qualified legal or accounting counsel. These possible changes should be reviewed by counsel. Note that we have not explored these or any other legal issues with respect to the potential plan changes. We are not attorneys and cannot give legal advice on such issues.
On the basis of the foregoing, we hereby certify that, to the best of our knowledge and belief, this cost study letter is complete and accurate and has been prepared in accordance with generally recognized and accepted actuarial principles and practices which are consistent with the Actuarial Standards of Practice promulgated by the Actuarial Standards Board and the
applicable Guides to Professional Conduct, amplifying Opinions, and supporting Recommendations of the American Academy of Actuaries.
We respectfully submit this analysis and we look forward to discussing it with you. We are consulting actuaries for Milliman, Inc. We are also members of the American Academy of Actuaries and meet the Qualification Standards of the American Academy of Actuaries to render the actuarial opinion contained herein.
If you have any questions, please contact us.
Sincerely,
Nick J. Collier, ASA, EA, MAAA
Principal and Consulting Actuary
NJC/MCO/nlo
cc: Mr. Rick Reed
Mark C. Olleman, FSA, EA, MAAA
Principal and Consulting Actuary
This work product was prepared solely for CalSTRS for the purposes described herein and may not be appropriate to use for other purposes. Milliman does not intend to benefit and assumes no duty or liability to other parties who receive this work. Milliman recommends that third parties be aided by their own actuary or other qualified professional when reviewing the Milliman work product. |
I would like to start out by thanking all our Post Officers, Clubroom Staff, maintenance crew consisting of Graig and Jorga, as well as our House Committee for doing such great work keeping our Post running smoothly and keeping our doors open every day throughout this pandemic and turmoil over the past several years. It is not an easy task for an organization such as ours that is heavily dependent on so many volunteers as well as a very small staff of very dedicated employees.
Please don’t forget that first nominations for next year’s officers will take place next month.
The attendance at our last Post meeting was far greater than it has been for one of our regular meetings over the previous two years. Things are finally getting back to normal with more people feeling better about attending a meeting in person. Hopefully this will translate into greater attendance at our many upcoming events such as Post meals and our Law-and-Order dinner. And, while on this subject, The American Legion Law and Order Dinner will be held Saturday, April 30th. The Dinner will be a Tri-Tip dinner with all the fixings. Please contact Dave Geary for tickets. They are $20.00 each. If you would like to make a donation, please send it to Dave at the address below made out to: American Legion Post 149, or drop the check with the Adjutant, Jeff Dodds. We need a head count by April 13, 2022 to adequately plan for the meal.
Dave Geary, 112 N. Kalmia Street
Escondido Ca. 92025 (760)432-2095
It is another month and another newsletter. Thank you to those legionnaires that came out to the post this month! I noticed that there were more of you here! Your support is what keeps our doors open. Keep coming back!
We’ve had an influx of transfers to our post. Welcome to you all. Please join us at our post meetings the third Tuesday of the month at 1800. We would love to see your faces at the meetings and get your input. Don’t forget to reach out to your coworkers, neighbors, friends, and family and encourage them to join our ranks. New memberships are our life blood.
Don’t forget we can use help at our post breakfast the third Sunday of the month. We start prepping around 0630 and breakfast begins at 0800. Just as a reminder we will have a booth at the Escondido Street Festival on May 22 and will be looking for members of the Post, Sons, Auxiliary, and
Riders to help man it and provide information to the public.
Thank you for all you do and your support!
SECOND VICE | CLUBROOM MANAGER | STEF HOLDEN
Dear patrons of Club 149, due to the rising cost of goods and services and lagging supply chains, Club 149 has no choice in raising the cost of club room drink prices to take effect on March 19, 2022. However, despite this unfortunate event, Club 149 will still offer the cheapest prices on beer and spirits in the city of Escondido. The entire Club 149 staff thanks you for your continued patronage and understanding.
On a positive note, it has been nothing short of wonderful seeing old faces and friends that have not been a fixture in the club for two years. It is great having you all back. I sincerely hope it is a trend that will only continue as we all get back to a pre-covid way of living. See you at 149!
POST 149 ADJUTANT | JEFF DODDS
Good Post Meeting turn out in March. A few new faces. Much camaraderie was had. Don’t miss out this month. See you on Tuesday the 19th.
For those that signed up to be a Post Rental Representative at a Rental Event please see me or Shannon White for a copy of the Rental Representative Guidelines. Any Auxiliary, Sons or Post members that are interested let me or Jim Botts email@example.com know.
Take note of the calendar. There will be no breakfast served on Easter Sunday. The Post Breakfast will be on April 24th.
My office hours are 10:00 AM to 2:00 PM, Monday through Thursday. Friday by appointment. Please stop by to say hello and join me for a cup of coffee.
Actions of Post 149 E-Board
03/08/2022
- Clubroom manager will complete an analysis of cost to sale price of drinks and create a new price list for beverages to go into effect no later than April 1, 2022.
- To approve the payment $1750.00 of Boys State Delegate fees for 5 boys. And transportation cost of $875.00.
- To move funds from the Post Improvement Fund to the Post General Donations Fund.
CHAPLAIN | CHUCK FAUPEL
Report (1) sickbay:
Tony Azares has been fighting sepsis several years. He was hospitalized for 5 days. After 3 surgeries, he was released from the hospital on Saturday March 5. Finally removed stones (not gravel stones) that has been making him sick for 3 years. Hopefully this will clear this up for him. Praying for permanent recovery.
I want to thank everyone that came out and supported the Four Chaplain Service in February. We had new faces there. Next year whoever the Chaplain is will continue to support this Service.
“Finally, be strong in the Lord and in the strength of his might. 11 Put on the whole armor of God, that you may be able to
stand against the schemes of the devil. 12 For we do not wrestle against flesh and blood, but against the rulers, against the authorities, against the cosmic powers over this present darkness, against the spiritual forces of evil in the heavenly places. 13 Therefore take up the whole armor of God, that you may be able to withstand in the evil day, and having done all, to stand firm. 14 Stand therefore, having fastened on the belt of truth, and having put on the breastplate of righteousness, 15 and, as shoes for your feet, having put on the readiness given by the gospel of peace. 16 In all circumstances take up the shield of faith, with which you can extinguish all the flaming darts of the evil one; Ephesians 6:10-16
We still need more new faces in the Auxiliary, please come to the April meeting in the conference room on Tuesday, April 19th at 6PM and see what we are all about. I guarantee you will have fun and meet some wonderful ladies.
I also want to wish everyone a very Happy Easter, enjoy this special day with your friends and family.
Remember Memorial Day is May 30 a day to remember all who gave their lives to keep this great country free. The Legion will have a special ceremony at Oak Hill with a lunch at Post 149 at noon. Look for the flyer with all the information and mark your calendars.
Thank you all for your support!!!
Cathy Wathen, President Unit 149 | 760-717-1425
firstname.lastname@example.org
AUXILIARY PRESIDENT | CATHY WATHEN
Hello Ladies, Another month is gone and on to April we go!! Wow they go so fast. Thank you to all the ladies who are now attending the monthly meeting and helping with our Veterans programs, you are all awesome!!!!
The Easter Children’s Party is Sunday, April 10th at 1PM on the patio. The Easter Bunny is hopping by to give baskets to all the children (infant to 10 years old). The sign-up sheets are in the clubroom, we have extended the cutoff date to April 5th. You must register to attend.
Sunday, April 3rd we will be serving breakfast from 8AM until 11AM. Our special will be Diced Ham and Scrambled Eggs or you can enjoy your eggs cooked to order, ham or sausage, home fries, biscuits and gravy, coffee and juice. All that for $12 bucks!! We hope to see everyone attend.
Friday, April 15th dinner starts at 6PM and is served till 7:30PM or until we run out of food. Grilled Shrimp or Chicken will be served over Creamy Parmesan Linguine, Salad, Garlic Bread Sticks and a special Dessert. What a great dinner for $12 bucks. Karaoke starts in the clubroom at 8PM for all of you who love to sing.
Keep the donations coming for Camp Pendleton. Thanks to everyone who has donated to this worthy cause. Canned Tuna, Chicken, Pastas, Rice, box Mac & Cheese, healthy Cereals PB&J these are just a few of items needed. Put all donations in the gray bin in the hall, please no expired items or glass jars can be accepted.
AMERICAN LEGION AUXILIARY
IRENE CLINGMAN | PR CHAIR
POPPY PROGRAM – Our Poppy Committee is winding down with a count of 13,000 poppies created. As you know the Poppy Program was created to honor those who shed their blood protecting our country and others during the World Wars. The month of May has been designated as National Poppy Month and during the month of April letters will be mailed out to request donations which are then used to support our veterans. There are no administrative fees collected as part of your donation so all funds donated go directly to help take care of those who have served protecting our country. To assist the auxiliary, we request that all membership groups make sure we have an updated mailing list prior to April 8th. A special thank you to those who dedicated their time to work for this program.
GIRLS STATE – During mid-March, Girls State Committee members were able to interview five students each from six schools who are completing their junior year, and were nominated by the school counselor to be interviewed. We are always amazed by the caliber of students interviewed and realize students are still involved with honors classes, advance placement classes, participates in the Scholastic Honors Program, and at the same time can form school clubs, do various community projects, volunteer tutoring, etc. I am proud to announce the following chosen from each school. Delegates will attend!!
Girls State will be held at Sacramento State College from June 27 – July 02, 2002. This year, due to a location change, a bus will be chartered for transportation to and from. The auxiliary raises funds to sponsor the girls at a cost of $425 per person. However, there will be an additional cost for transportation and if you would like to donate to the program, forward all donations to Cathy Wathen, Auxiliary President. Thank you for your donation in advance!
It’s Easter!!!!
COME join the fun at Post 149’s Annual Children’s Easter Party
HOP on down and have a fun afternoon on
SATURDAY APRIL 10th, 2022, 1-3 PM
Deadline for Sign-up Is March 31st, 2022
Easter egg hunt, lunch (kids eat free), games and a visit from the Easter Bunny. Veteran’s families ages Infant to 10 years old.
Sign-up sheets are available at Post 149
230 East Park Ave., Escondido, CA 92025 OR call 760-745-1159
Escondido
Police and Fire Law & Order Awards Ceremony
April 30, 2022
5:00 PM
J. B. CLARK POST 149
230 E Park Avenue
Escondido, CA 92025
Dinner at 6:00 PM
Tickets $20
For additional information, contact Dave Geary (760) 802-3945 or Penu Pauu (619) 241-6313
Glad to see the turn out for “We Clean Our Post” event last month. All are welcome to come help clean up the neighborhood around the Post.
Our Sunday breakfast this month will be on the 10th. And it will be on the Patio. Time to enjoy some nice spring weather. Plus, District 22 will be in the Hall. So, we are expecting some extra customers, so, a little extra help would be appreciated. And you don’t even need to be a SAL member to help. Again, all are welcome.
And a thank you to all that bought raffle tickets last month. Sorry not everyone can be a winner. But please keep trying. You can’t win if you don’t play.
RIGHT: Commander Mike Frank introducing 5 new members at our March Post meeting.
BOTTOM: Long-time Post member, Bob Reiley, receiving a certificate of recognition from Commander Mike Frank for his outstanding performance as our Post ATM Manager over the past several years.
## APRIL 2022
**POST MEMBERS FREE BIRTHDAY MONTH BREAKFAST**
At the Post Officers Breakfast in your birthday month - All you can eat buffet
| SUNDAY | MONDAY | TUESDAY | WEDNESDAY | THURSDAY | FRIDAY | SATURDAY |
|--------|--------|---------|-----------|----------|--------|----------|
| 3/27 | 3/28 | 3/29 | 3/30 | 3/31 | 1 | 2 |
| | | 9 AM-1 PM Porcelain Club (Conf. Rm.) | | 6-8:30 PM BUNKO (Hall) | NO DINNER 8-11 PM KARAOKE (Club Rm.) | 8:30 AM-12:30 PM Sea Cadets (Hall) |
| 3/27 | 3/28 | 3/29 | 3/30 | 3/31 | 1 | 2 |
| 8-11 AM AUXILIARY Breakfast $12 3 PM Pub Grub by Cheryl (Clubroom) | 6-7 PM EVC Meeting (Conf. Rm.) | 4-5:30 PM Teamsters Local 911 (Hall) 6-8 PM VFW Post 149 Mtg. (Hall) 9 AM-1 PM Porcelain Club (Conf. Rm.) | PRIVATE PARTY 6-8 PM Next Step Service Dogs (Hall) | 6-8:30 PM BUNKO (Hall) | 5-7 PM VFW Dinner (BBQ Brisket) $13 (Patio) 8-11 PM KARAOKE (Club Rm.) | 8:30 AM-12 PM Blue Star Moms (Hall) 10 AM-12 PM 173rd Veterans Assn. (Conf. Rm.) 9-10 AM VFW Riders Mtg. (Patio) |
| 3/27 | 3/28 | 3/29 | 3/30 | 3/31 | 1 | 2 |
| 8-11 AM Sons Breakfast All You Can Eat Buffet $12 8 AM-12PM District 22 Mtg. (Hall) 2 PM Kids Easter Party AL 149 (Patio) 3-7 PM Polish Club (Hall) | 6-7 PM EVC Meeting (Conf. Rm.) | 4-5:30 PM Teamsters Local 911 (Hall) 6-8 PM VFW Post 149 Mtg. (Conf. Rm.) 9 AM-1 PM Porcelain Club (Conf. Rm.) | PRIVATE PARTY 6-8 PM Next Step Service Dogs (Hall) | 6-8:30 PM BUNKO (Hall) | 5-7 PM VFW Dinner (BBQ Brisket) $13 (Patio) 8-11 PM KARAOKE (Club Rm.) | 8:30 AM-12 PM Blue Star Moms (Hall) 10 AM-12 PM 173rd Veterans Assn. (Conf. Rm.) 9-10 AM VFW Riders Mtg. (Patio) |
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Extracting Triangular 3D Models, Materials, and Lighting From Images
Jacob Munkberg$^1$ Jon Hasselgren$^1$ Tianchang Shen$^{1,2,3}$ Jun Gao$^{1,2,3}$
Wenzheng Chen$^{1,2,3}$ Alex Evans$^1$ Thomas Müller$^1$ Sanja Fidler$^{1,2,3}$
$^1$NVIDIA $^2$University of Toronto $^3$Vector Institute
Abstract
We present an efficient method for joint optimization of topology, materials and lighting from multi-view image observations. Unlike recent multi-view reconstruction approaches, which typically produce entangled 3D representations encoded in neural networks, we output triangle meshes with spatially-varying materials and environment lighting that can be deployed in any traditional graphics engine unmodified. We leverage recent work in differentiable rendering, coordinate-based networks to compactly represent volumetric texturing, alongside differentiable marching tetrahedrons to enable gradient-based optimization directly on the surface mesh. Finally, we introduce a differentiable formulation of the split sum approximation of environment lighting to efficiently recover all-frequency lighting. Experiments show our extracted models used in advanced scene editing, material decomposition, and high quality view interpolation, all running at interactive rates in triangle-based renderers (rasterizers and path tracers).
1. Introduction
3D content creation is a challenging, mostly manual task which requires both artistic modeling skills and technical knowledge. Efforts to automate 3D modeling can save substantial production costs or allow for faster and more diverse content creation. Photogrammetry [50, 57] is a popular technique to assist in this process, where multiple photos of an object are converted into a 3D model. Game studios leverage photogrammetry to quickly build highly detailed virtual landscapes [21]. However, photogrammetry is a multi-stage process, including multi-view stereo [53] to align cameras and find correspondences, geometric simplification, texture parameterization, material baking and delighting. This complex pipeline has many steps with conflicting optimization goals and errors that propagate between stages. Artists often rely on a plethora of software tools and significant manual adjustments to reach the desired quality of the final 3D model.
Our goal is to frame this process as an inverse rendering task, and optimize as many steps as possible jointly, driven by the quality of the rendered images of the reconstructed model, compared to the captured input imagery. Recent work approaches 3D reconstruction with neural rendering, and provides high quality novel view synthesis [41]. However, these methods typically produce representations that entangle geometry, materials and lighting into neural networks, and thus cannot easily support scene editing operations. Furthermore, to use them in traditional graphics engines, one needs to extract geometry from the network using methods like Marching Cubes which may lead to poor surface quality, particularly at low triangle counts. Recent neural methods can disentangle shape, materials, and lighting [4, 68, 70], but sacrifice reconstruction quality. Also, the materials encoded in neural networks cannot easily be edited or extracted in a form compatible with tradtional game engines. In contrast, we reconstruct 3D content compatible with traditional graphics engines, supporting relighting and scene editing.
In this paper, we present a highly efficient inverse rendering method capable of extracting triangular meshes of unknown topology, with spatially-varying materials and lighting from multi-view images. We assume that the object is illuminated under one unknown environment lighting condition, and that we have corresponding camera poses and masks indicating the object in these images, as in past work [4]. Our approach learns topology and vertex positions for a surface mesh without requiring any initial guess for the 3D geometry. The heart of our method is a differentiable surface model based on a deformable tetrahedral mesh [55], which we extend to support spatially-varying materials and high dynamic range (HDR) environment lighting, through a novel differentiable split sum approximation. We optimize geometry, materials and lighting (50M+ parameters) jointly using a highly optimized differentiable rasterizer with deferred shading [22, 32]. The resulting 3D model can be deployed without conversion on any device supporting triangle rendering, including phones and web browsers, and renders at interactive rates. In Figure 1, we show scene editing examples in Blender using our reconstructed model.
Experiments show our extracted models used in advanced scene editing, material decomposition, and high quality view interpolation, all running at interactive rates in triangle-based renderers (rasterizers and path tracers).
2. Related Work
2.1. Multi-view 3D Reconstruction
Classical methods for multi-view 3D reconstruction either exploit inter-image correspondences [1, 13, 14, 53] to estimate depth maps or use voxel grids to represent shapes [11, 54]. The former methods typically fuse depth maps into point clouds, optionally generating meshes [29]. They rely heavily on the quality of matching, and errors are hard to rectify during post-processing. The latter methods estimate occupancy and color for each voxel and are often limited by the cubic memory requirement.
Neural implicit representations leverage differentiable rendering to reconstruct 3D geometry with appearance from image collections [26, 41, 44]. NeRF [41] and follow-ups [40, 43, 51, 63, 69], use volumetric representations and compute radiance by ray marching through a neurally encoded 5D light field. While achieving impressive results on novel view synthesis, geometric quality suffers from the ambiguity of volume rendering [69]. Surface-based rendering methods [44, 65] use implicit differentiation to obtain gradients, optimizing the underlying surface directly. Unisurf [49] is a hybrid approach that gradually reduces the sampling region, encouraging a volumetric representation to converge to a surface, and NeuS [62] provides an unbiased conversion from SDF into density for volume rendering. Common for all methods is that they rely on ray marching for rendering, which is computationally expensive both during training and inference. While implicit surfaces can be converted to meshes for fast inference, this introduces additional error not accounted for during optimization [58]. We optimize the end-to-end image loss of an explicit mesh representation, supporting intrinsic decomposition of shape, materials and lighting by design, and utilizing efficient differentiable rasterization [32].
Explicit surface representations are proposed to estimate explicit 3D mesh from images [8, 9, 16, 24, 36, 37, 55]. Most approaches assume a given, fixed mesh topology [8, 9, 24, 37], but this is improved in recent work [16, 36, 55]. In particular, DMTet [55] directly optimizes the surface mesh using a differentiable marching tetrahedral layer. However, it focuses on training with 3D supervision. In this work, we extend DMTet to 2D supervision, using differentiable rendering to jointly optimize topology, materials, and lighting.
2.2. BRDF and Lighting Estimation
Beyond geometry, several techniques estimate surface radiometric properties from images. Previous work on SVBRDF estimation rely on special viewing configurations, lighting patterns or complex capturing setups [3, 6, 17–19, 33, 52, 64]. Recent methods exploit neural networks to predict BRDF from images [15, 20, 34, 35, 39, 45]. Differentiable rendering based methods [8, 9, 22, 37, 71] learn to predict geometry, SVBRDF and, in some cases, lighting via 2D image loss. Still, their shape is generally deformed from a sphere and cannot represent arbitrary topology.
Neural implicit representations successfully estimate lighting and BRDF from image collections. Bi et al. [3] and NeRV [59] model light transport to support advanced lighting effects, e.g., shadows, but have very high computational cost. Most related to our work are neural 3D reconstruction methods for jointly estimating shape, BRDFs and lighting from images [4, 5, 68, 70], while providing an intrinsic decomposition of these terms. Illumination is represented using mixtures of spherical Gaussians (NeRD [4].
| Method | Geometry | Factorize | Training | Inference |
|------------|----------|-----------|----------|-----------|
| NeRF [41] | NV | | day | seconds |
| NeRD [4] | NV | ✓ | days | seconds |
| NerFactor [70] | NV | ✓ | days | seconds |
| PhySG [68] | NS | | day | seconds |
| NeuS [62] | NS | | day | seconds |
| Our | Mesh | ✓ | hour | ms |
Table 1. Taxonomy of methods. NV: Neural volume, NS: Neural surface. Factorize indicates if the method supports some decomposition of geometry, materials, and lighting.
PhySG [68]), or low resolution envmaps (NeRFactor [70]), in both cases limited to low frequency illumination. In contrast, we propose a differentiable split sum lighting model, also adopted by the concurrent work Neural-PIL [5]. These neural implicit methods use multiple MLPs to factorize the representation, resulting in long training and inference times. Furthermore, these methods forgo the vast ecosystem of available 3D modeling and rendering tools, “reinventing the wheel” for tasks such as rendering, scene editing and simulation. In contrast, our output is directly compatible with existing renderers and modeling tools. We optimize an explicit surface mesh, BRDF parameters, and lighting stored in an HDR probe, achieving faster training speed and better decomposition results. Table 1 shows a high level comparison of the methods.
3. Our Approach
We present a method for 3D reconstruction supervised by multi-view images of an object illuminated under one unknown environment lighting condition, together with known camera poses and background segmentations masks. The target representation consists of triangle meshes, spatially-varying materials (stored in 2D textures) and lighting (a high dynamic range environment probe). We carefully design the optimization task to explicitly render triangle meshes, while robustly handling arbitrary topology. Hence, unlike most recent work using neural implicit surface or volumetric representations, we directly optimize the target shape representation.
Concretely, we adapt Deep Marching Tetrahedra [55] (DMTet) to work in the setting of 2D supervision, and jointly optimize shape, materials, and lighting. At each optimization step, the shape representation – parameters of a signed distance field (SDF) defined on a grid with corresponding per-vertex offsets – is converted to a triangular surface mesh using a marching tetrahedra layer. Next, we render the extracted surface mesh in a differentiable rasterizer with deferred shading, and compute loss in image space on the rendered image compared to a reference image. Finally, the loss gradients are back-propagated to update the shape, textures and lighting parameters. Our approach is summarized in Figure 2 and each step is described in detail below: Section 3.1 outlines our topology optimization, Section 3.2 presents the spatially-varying shading model, and our approach for reconstructing all-frequency environment lighting is described in Section 3.3.
Optimization task Let $\phi$ denote our optimization parameters (i.e., SDF values and vertex offsets representing the shape, spatially varying material and light probe parameters). For a given camera pose, $c$, the differentiable renderer produces an image $I_\phi(c)$. The reference image $I_{\text{ref}}(c)$ is a view from the same camera. Given a loss function $L$, we minimize the empirical risk
$$\arg\min_\phi \mathbb{E}_c \left[ L(I_\phi(c), I_{\text{ref}}(c)) \right]$$
using Adam [30] based on gradients w.r.t. the optimization parameters, $\partial L / \partial \phi$, which are obtained through differentiable rendering. Our renderer uses physically based shading and produces images with high dynamic range. Therefore, the objective function must be robust to the full range of floating-point values. Following recent work in differentiable rendering [22], our loss function is $L = L_{\text{image}} + L_{\text{mask}} + \lambda L_{\text{reg}}$, an image space loss, $L_{\text{image}}$ ($L_1$ norm on tone mapped colors), a mask loss, $L_{\text{mask}}$ (squared $L_2$) and a regularizer $L_{\text{reg}}$ (Equation 11) to improve geometry. Please refer to the supplemental material for details.
Assumptions For performance reasons we use a differentiable rasterizer with deferred shading [22], hence reflections, refractions (e.g., glass), and translucency are not supported. During optimization, we only renderer direct lighting without shadows. Our shading model uses a diffuse Lambertian lobe and a specular, isotropic microfacet GGX lobe, which is commonly used in modern game engines [28, 31]. Both dielectrics and metal materials are supported. We note that our approach directly generalizes to a differentiable path tracer [46, 47], but at a significantly increased computational cost.
3.1. Learning Topology
Volumetric and implicit shape representations (e.g., SDFs) can be converted to meshes through Marching Cubes [38] (MC) in a post-processing step. However, MC inevitably imposes discretization errors. As a result, the output mesh quality, particularly at the moderate triangle counts typically used in real-time rendering, is often not sufficient. Similarly, simplifying dense extracted meshes using decimation tools may introduce errors in rendered appearance. To avoid these issues, we explicitly render triangle meshes during optimization. We leverage Deep Marching Tetrahedra [55] (DMTet) in a 2D supervision setting through differentiable rendering. DMTet is a hybrid 3D representation that represents a shape with a discrete SDF defined on vertices of a deformable tetrahedral grid. The SDF is converted to triangular mesh using a differentiable marching tetrahedra layer (MT), as illustrated in Figure 4. The loss, in our case computed on renderings of the 3D model, is back-propagated to the implicit field to update the surface topology. This allows us to directly optimize the surface mesh and rendered appearance end-to-end.
We illustrate the advantage of end-to-end learning in Figure 3, where we compare our meshes to those generated by competing methods. While NeRF [41] (volumetric rep.) and NeuS [62] (implicit surface rep.) provide high quality view interpolation, the quality loss introduced in the MC step is significant at low triangle counts.
Given a tetrahedral grid with vertex positions \( v \), DMTet learns SDF values, \( s \), and deformation vectors \( \Delta v \). The SDF values and deformations can either be stored explicitly as values per grid vertex, or implicitly [44, 49] by a neural network. At each optimization step, the SDF is first converted to a triangular surface mesh using MT, which is shown to be differentiable w.r.t. SDF and can change surface topology in DMTet [55]. Next, the extracted mesh is rendered using a differentiable rasterizer to produce an output image, and image-space loss gradients are back-propagated to the SDF values and offsets (or network weights). A neural SDF representation can act as a smoothness prior, which can be beneficial in producing well-formed shapes. Directly optimizing per-vertex attributes, on the other hand, can capture higher frequency detail and is faster to train. In practice, the optimal choice of parametrization depends on the ambiguity of geometry in multi-view images. We provide detailed analysis in the supplemental materials.
To reduce floaters and internal geometry, we regularize the SDF values of DMTet similar to Liao et al. [36]. Given the binary cross-entropy \( H \), sigmoid function \( \sigma \), and the sign function \( \text{sign}(x) \), we define the regularizer as
\[
L_{\text{reg}} = \sum_{i,j \in S_e} H(\sigma(s_i), \text{sign}(s_j)) + H(\sigma(s_j), \text{sign}(s_i)),
\]
where we sum over the set of unique edges, \( S_e \), in the tetrahedral grid, for which \( \text{sign}(s_i) \neq \text{sign}(s_j) \). Intuitively, this reduces the number of sign flips of \( s \) and simplifies the surface, thus penalizing internal geometry or floaters. We ablate the choice of regularization loss in the supplemental material.
3.2. Shading Model
Material Model We follow previous work in differentiable rendering [22] and use the physically-based (PBR) material model from Disney [7]. This lets us easily import
game assets and render our optimized models directly in existing engines without modifications. This material model combines a diffuse term with an isotropic, specular GGX lobe [61]. Referring to Figure 5, the diffuse lobe parameters $k_d$ are provided as a four-component texture, where the optional fourth channel $\alpha$ represents transparency. The specular lobe is described by a roughness value, $r$, for the GGX normal distribution function and a metalness factor, $m$, which interpolates between plastic and metallic appearance by computing a specular highlight color according to $k_r = (1 - m) \cdot 0.04 + m \cdot k_d$ [28]. Following a standard convention, we store these values in a texture $k_{\text{orm}} = (o, r, m)$, where $o$ is left unused. Finally, we include a tangent space normal map, $n$, to capture high frequency shading detail. We regularize material parameters using a smoothness loss [70], please refer to our supplemental material for details.
**Texturing** Automatic texture parametrization for surface meshes is an active research area in computer graphics. We optimize topology, which requires continually updating the parametrization, potentially introducing discontinuities into the training process. To robustly handle texturing during topology optimization, we leverage volumetric texturing, and use world space position to index into our texture. This ensures that the mapping varies smoothly with both vertex translations and changing topology.
The memory footprint of volumetric textures grows cubically, which is unmanageable for our target resolution. We therefore extend the approach of PhySG [68], using a multilayer perceptron (MLP) to encode all material parameters in a compact representation. This representation can adaptively allocate detail near the 2D manifold representing the surface mesh, which is a small subset of the dense 3D volume. More formally, we let a positional encoding + MLP represent a mapping $x \rightarrow (k_d, k_{\text{orm}}, n)$, e.g., given a world space position $x$, compute the base color, $k_d$, specular parameters, $k_{\text{orm}}$ (roughness, metalness), and a tangent space normal perturbation, $n$. We leverage the tiny-cuda-nn framework [42], which provides efficient kernels for positional encoding and MLP evaluations.
Once the topology and MLP texture representation have converged, we re-parametrize the model: we generate unique texture coordinates using xatlas [66] and sample the MLP on the surface mesh to initialize 2D textures, then continue the optimization with fixed topology. Referring to Figure 6, this effectively removes texture seams introduced by the $(u, v)$-parametrization, and may also increase texture detail as we can use high resolution 2D textures for each of $k_d$, $k_{\text{orm}}$, and $n$. This results in 2D textures compatible with standard 3D tools and game engines.
### 3.3. Image Based Lighting
We adopt an image based lighting model, where the scene environment light is given by a high-resolution cube map. Following the rendering equation [27], we compute the outgoing radiance $L(\omega_o)$ in direction $\omega_o$ by:
$$L(\omega_o) = \int_\Omega L_i(\omega_i)f(\omega_i, \omega_o)(\omega_i \cdot n)d\omega_i.$$
(3)
This is an integral of the product of the incident radiance, $L_i(\omega_i)$ from direction $\omega_i$ and the BSDF $f(\omega_i, \omega_o)$. The integration domain is the hemisphere $\Omega$ around the surface intersection normal, $n$.
Below, we focus on the specular part of the outgoing radiance, where, in our case, the BSDF is a Cook-Torrance microfacet specular shading model [10] according to:
$$f(\omega_i, \omega_o) = \frac{DGF}{4(\omega_o \cdot n)(\omega_i \cdot n)},$$
(4)
where $D$, $G$ and $F$ are functions representing the GGX [61] normal distribution (NDF), geometric attenuation and Fresnel term, respectively.
High quality estimates of image based lighting can be obtained by Monte Carlo integration. For low noise levels, large sample counts are required, which is typically too expensive for interactive applications. Thus, spherical Gaussians (SG) and spherical harmonics (SH) are common approximations for image based lighting [4, 8, 68]. They allow for control over the lighting frequency through varying the number of SG lobes (or SH coefficients), and are efficient representations for low to medium frequency lighting. However, representing high frequency and highly specular materials is challenging and requires many SG lobes, which comes at a high runtime cost and hurts training stability.
We instead draw inspiration from real-time rendering, where the split sum approximation [28] is a popular, very efficient method for all-frequency image based lighting. Here,
the lighting integral from Equation 3 is separated into two terms:
\[
L(\omega_o) \approx \int_{\Omega} f(\omega_i, \omega_o)(\omega_i \cdot n)d\omega_i + \int_{\Omega} L_t(\omega_i)D(\omega_i, \omega_o)(\omega_i \cdot n)d\omega_i.
\]
The first term represents the integral of the specular BSDF with a solid white environment light. It only depends on the parameters \( \cos \theta = \omega_i \cdot n \) and the roughness \( r \) of the BSDF, and can be precomputed and stored in a 2D lookup texture. The second term represents the integral of the incoming radiance with the specular NDF, \( D \). Following Karis [28], this term is also pre-integrated and represented by a filtered cubemap. In each mip-level, the environment map is integrated against \( D \) for a fixed roughness value (increased roughness at smaller mips).
The split sum approach is popular for its modest runtime cost, using only two texture lookups: query the 2D lookup texture representing the first term based on \((r, \cos \theta)\) and the mip pyramid at level \( r \), in direction \( \omega_o \). This should be compared to evaluating SG products with hundreds of lobes for each shading point. Furthermore, it uses the standard GGX parametrization, which means that we can relight our extracted models with different kinds of light sources (point, area lights etc.) and use our reconstructed materials with no modifications in most game engines and modeling tools.
We introduce a differentiable version of the split sum shading model to learn environment lighting from image observations through differentiable rendering. We let the texels of a cube map (typical resolution \(6 \times 512 \times 512\)) be the trainable parameters. The base level represents the pre-integrated lighting for the lowest supported roughness value, and each smaller mip-level is constructed from the base level using the pre-filtering approach from Karis [28].
To obtain texel gradients, we express the image based lighting computations using PyTorch’s auto-differentiation. However, the pre-filtering of the second term in Equation 5 must be updated in each training iteration, and therefore warrant a specialized CUDA implementation to reduce the training cost. This term can either be estimated through Monte-Carlo integration (BSDF importance sampling), or by pre-filtering the environment map in a solid-angle footprint derived from the NDF. To reduce noise, at the cost of introducing some bias, we chose the latter approach. Please refer to our supplemental material for implementation details.
We additionally create a single filtered low-resolution \((6 \times 16 \times 16)\) cube map representing the diffuse lighting. The process is identical to the filtered specular probe, sharing the same trainable parameters, average-pooled to the mip level with roughness \( r = 1 \). The pre-filtering of the diffuse term only uses the cosine term, \( \omega_i \cdot n \). The two filtering steps are fully differentiable and are performed at each training step.
4. Experiments
In the following, we evaluate our system for a variety of applications. To emphasize our approach’s explicit decomposition into a triangle mesh and materials, we show re-lighting, editing, and simulation using off-the-shelf tools. We also compare to recent neural methods supporting factorization: NeRD [4] and NeRFactor [70]. While not our main focus, we include view interpolation results to establish a baseline comparison to state-of-the-art methods. Finally, we compare our split-sum approximation against spherical Gaussians for image-based lighting.
4.1. Scene Editing and Simulation
The main strength of a factorized scene representation is the freedom it allows with regard to scene editing. Pre| Relighting | $k_{ij}$ |
|------------|---------|
| PSNR↑ | SSIM↑ | LPIPS↓ | PSNR↑ | SSIM↑ | LPIPS↓ |
| NeRFactor | 23.78 | 0.907 | 0.112 | 23.11 | 0.917 | 0.094 |
| Our | 24.53 | 0.914 | 0.085 | 24.75 | 0.924 | 0.092 |
Table 2. Relighting quality for NeRFactor’s synthetic dataset. The reported image metrics are the arithmetic mean over 8 validation views and 8 light probes for all 4 test scenes. We also show metrics for the $k_{ij}$ (albedo) textures. Following NeRFactor, we note that the scale factor between material and lighting is indeterminable and therefore normalize albedo images by the average intensity of the reference before measuring errors.
Previous work using density-based neural representations only supports rudimentary relighting and simple forms of scene edits [4, 68, 70].
In Figure 7 we compare the relighting quality of our reconstructed model, rendered using the Blender Cycles path tracer, with the results of NeRFactor (rendered by evaluating a neural network). A quantitative summary is provided in Table 2, where we also measure the quality of the reconstructed albedo textures. We note that our method produces more detailed results and outperforms NeRFactor in all metrics. Our artifacts come mainly from the mismatch between training (using a rasterizer), and inference (using full global illumination). In areas with strong shadowing or color bleeding, our material and geometry quality suffer. A differentiable path tracer [48] can likely improve the material separation in our pipeline, but would require significantly more computations.
Our representation can be directly deployed in the vast collection of 3D content generation tools available for triangle meshes. This greatly facilitates scene editing, which is still very challenging for neural volumetric representations [70]. We show advanced scene editing examples in Figure 8, where we add our reconstructed models from the NeRFactor dataset to the Cornell box and use them in a soft-body simulation. Note that our models receive scene illumination, cast accurate shadows, and robustly act as colliders for virtual objects. In Figure 1, and the supplemental video, we show another example, where an object is reconstructed from real-world photographs and then used as a collider for a virtual cloth object. The combined scene is then rendered using our extracted environment light. Note that shading of the virtual object looks plausible given the reference photo. We also show material editing on the same example.
4.2. View interpolation
Synthetic datasets We show Results for the NeRF realistic synthetic image dataset in Table 3 and a visual example of the MATERIALS scene in Figure 9. Per-scene results and visual examples are included in our supplemental material, where we also include Chamfer loss on extracted meshes. Our method consistently performs on par with NeRF, with better quality in some scenes. The margins are smaller for perceptually based image metrics (SSIM and LPIPS). We speculate that density-based volume approaches can more efficiently minimize PSNR than our opaque meshes. However, the effect of slightly moving a silhouette edge will not be as detrimental to a perceptual metric.
The DRUMS and SHIP scenes are failure cases for our method. We assume mostly direct lighting, with no significant global illumination effects, and these scenes contain both significant intra-scene reflections, refractions, and caustics. Interestingly, while material reconstruction suffers, we still note high quality results for view interpolation.
Given that we factorize into explicit shape, materials and lighting, we have slightly lower quality on novel view synthesis than methods specialized for view-interpolation. To put this in context, in Table 4 we compare our approach against NeRFactor, which performs a similar factorization, and our approach. We observe a 4.21 dB PSNR image quality reduction for NeRFactor compared to the NeRF baseline. This is consistent with NeRd [4] which do not provide source code but report a 4.17 dB quality drop for their
| Method | PSNR↑ | SSIM↑ | LPIPS↓ |
|------------|-------|-------|--------|
| PhySG | 18.91 | 0.847 | 0.182 |
| NeRF | 31.00 | 0.947 | 0.081 |
| Mip-NeRF | 33.05 | 0.961 | 0.067 |
| Our | 29.05 | 0.939 | 0.081 |
Table 3. Average results for the eight scenes in the NeRF realistic synthetic dataset. Each scene consists of 100 training images, and 200 test images, with masks and known camera poses. Results from NeRF are taken from Table 4 of the NeRF paper [41]. PhySG and Mip-NeRF were retrained using public source code.
Mesh /$k_{ij}/k_{\text{env}}/n$
Extracted probe
Figure 9. Our result on the MATERIALS scene, reconstructed from 100 images from the NeRF synthetic dataset.
| Method | PSNR↑ | SSIM↑ | LPIPS↓ |
|------------|-------|-------|--------|
| NeRF | 31.08 | 0.956 | 0.064 |
| NeRFactor | 26.87 | 0.930 | 0.099 |
| Our | 31.65 | 0.967 | 0.054 |
Table 4. View interpolation error metrics on NeRFactor’s variant of the NeRF synthetic dataset. The reported image metrics are the arithmetic mean over the eight validation images of all four scenes.
factorized representation on a subset of the NeRF synthetic dataset. In contrast, our quality is significantly higher, while still providing the flexibility of a factorized representation.
**Real-world datasets** NeRD [4] provides a small dataset of real-world photo scans with auto-generated (inaccurate) coverage masks and diverse camera placement.
Visual and quantitative results are shown in Figure 10, where we have masked out the background for the reference object. Due to inconsistencies in the dataset, both NeKF and NeRD struggle to find sharp geometry borders with transparent “floaters” and holes. In contrast, we get sharp silhouettes and a significant boost in image quality. The results reported for NeRD are for their volumetric representation. Note that NeRD can generate output meshes as a post-processing step, but at a significant quality loss (visual comparison included in our supplemental material).
### 4.3. Comparing Spherical Gaussians and Split Sum
In Figure 11, we compare our differentiable split sum environment lighting approximation, from Section 3.3 against the commonly used spherical Gaussian (SG) model. Split sum captures the lighting much more faithfully across all frequencies, while still having a lower runtime cost. In our implementation, we observe a $5 \times$ reduction of optimization time compared to SG with 128 lobes. At inference, evaluating the split sum approximation is extremely fast, requiring just two texture lookups.
### 5. Limitations and Conclusions
Our main limitation is the simplified shading model, not accounting for global illumination or shadows. This choice is intentional to accelerate optimization, but is a limiting factor for material extraction and relighting. With the current progress in differentiable path tracing, we look forward to this limitation being lifted in future work. We additionally rely on alpha masks to separate foreground from background. While our method seems quite robust to corrupted masks, it would be beneficial to further incorporate this step into the system. Other limitations include the static lighting assumption, not optimizing camera poses, and high compute resource and memory consumption during training. Apart from deepfakes, which are common to all scene reconstruction methods, we are not aware of and do not foresee nefarious use cases of our method.
In summary, we show results on par with state-of-the-art for view synthesis and material factorization, while directly optimizing an *explicit* representation: triangle meshes with materials and environment lighting. Our representation is, by design, directly compatible with modern 3D engines and modeling tools, which enables a vast array of applications and simplifies artist workflows. We perform end-to-end optimization driven by appearance of the rendered model,
while previous work often sidestep the error from mesh extraction through Marching Cubes. Our method can be applied as an appearance-aware converter from a (neural) volumetric or SDF representation to triangular 3D models with materials, complementing many recent techniques.
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6. Supplemental Material
In the following, we supplement the paper with additional results, ablations and implementation details. In Section 7 we present novel use cases for our method: automatic level of detail creation from images, and appearance aware model extraction. In Section 8, we present additional results, including an evaluation of geometric quality, additional per-scene statistics and visual examples. Finally, in Section 9 we provide implementation details, including efficient split-sum pre-integration, regularizer terms and losses.
7. Novel applications
7.1. Level-of-detail From Images
Inspired by a recent work in appearance-driven automatic 3D model simplification [22], we demonstrate level-of-detail (LOD) creation directly from rendered images of an object. The previous technique requires an initial guess with fixed topology and known lighting. We generalize this approach and showcase LOD creation directly from a set of images, i.e., we additionally learn both topology and lighting. To illustrate this, we generated 256 views (with masks & poses) from a path tracer, rendered in two resolutions: $1024 \times 1024$ pixels and $128 \times 128$ pixels, then reconstructed the mesh, materials and lighting in our pipeline to create two LOD levels (geometry and spatially-varying materials). We show visual results in Figure 12 and in the supplemental video.
7.2. Appearance-Aware NeRF 3D Model Extractor
We devise a way to extract 3D models from neural radiance fields [41] (NeRF) in a format compatible with traditional 3D engines. Our pipeline for this task has three steps:
NeRF $\rightarrow$ Marching Cubes $\rightarrow$ Differentiable renderer.
The dataset consists of 256 images of the Damicornis model [56] (with masks and poses), rendered in a path tracer. We first train a NeRF model and extract the mesh with Marching Cubes. Next, we finetune the extracted mesh and learn materials parameters (2D textures) using our differentiable renderer (with DMTet topology optimization disabled), still only supervised by the images in the dataset. The output is a triangle mesh with textured PBR materials compatible with traditional engines. As a bonus, the silhouette quality improves over the Marching Cubes extraction, which is illustrated in Figure 13.
7.3. 3D Model Extraction with Known Lighting
We observe that the DMTet representation successfully learns challenging topology and materials jointly, even for highly specular models and when lit using high frequency lighting. We illustrate this in a joint shape and material optimization task with known environment lighting, optimized using a large number of views. In Figure 14 we show two examples from the Smithsonian 3D repository [56]. Note the quality in both the extracted materials and geometric detail.
8. Results
8.1. Scene Editing and Simulation
This section supplements Section 4.1 in the main paper. In Table 5 we present per-scene breakdowns of relighting results corresponding to Table 2 in the main paper. An additional visual relighting example is shown in Figure 15, where we relight the Ficus scene with four different light probes, comparing to the results of NeRFactor [70]. Figure 16 shows a visual example of material separation with albedo, $k_d$, and normals, $\mathbf{n}$. In Figure 27 we show our lighting, material and shape separation for all scenes.
| Scene | Drums | Ficus | Hotdog | Lego | Avg |
|---------|--------|--------|--------|--------|-------|
| NeRFactor | 21.94 | 22.35 | 25.39 | 25.23 | 23.82 |
| Our | 22.63 | 25.71 | 28.77 | 21.03 | 25.24 |
| Scene | Drums | Ficus | Hotdog | Lego | Avg |
|---------|--------|--------|--------|--------|-------|
| NeRFactor | 0.912 | 0.930 | 0.917 | 0.870 | 0.907 |
| Our | 0.915 | 0.961 | 0.932 | 0.846 | 0.911 |
| Scene | Drums | Ficus | Hotdog | Lego | Avg |
|---------|--------|--------|--------|--------|-------|
| NeRFactor | 0.092 | 0.095 | 0.129 | 0.132 | 0.112 |
| Our | 0.083 | 0.046 | 0.092 | 0.119 | 0.085 |
| Scene | Drums | Ficus | Hotdog | Lego | Avg |
|---------|--------|--------|--------|--------|-------|
| NeRFactor | 0.083 | 0.081 | 0.110 | 0.095 | 0.092 |
| Our | 0.087 | 0.063 | 0.074 | 0.163 | 0.097 |
Table 5. Relighting quality results for the four scenes in NeRFactor’s synthetic dataset. The reported metrics are the arithmetic mean over eight validation views relit with eight different light probes.
Figure 15. Relighting quality for a scene from the NeRFactor dataset, with our examples relit using Blender, and NeRFactor results generated using the public code.
in the NeRF synthetic dataset. We note that we achieve significantly more detailed normals (thanks to our shading model’s tangent space normal map) and albedo mostly decorrelated from lighting. Our remaining challenges are areas with strong shadows or global illumination effects, which are currently not rendered in our simplified shading model used during optimization.
8.2. View interpolation
This section supplements Section 4.2 in the main paper. In Table 6 we show per-scene breakdowns of the view-interpolation results corresponding to Table 3 in the main paper, evaluated on the NeRF Synthetic Dataset. Figure 17 shows a visual comparison to PhySG and MipNeRF for
| Scene | Chair | Drums | Ficus | Hotdog | Lego | Mats. | Mic | Ship | Avg |
|-----------|--------|-------|-------|--------|-------|-------|------|------|-------|
| PhySG | 21.87 | 16.45 | 17.30 | 21.78 | 18.36 | 18.02 | 19.16| 18.06| 18.91 |
| NeRF | 22.00 | 16.50 | 17.40 | 21.84 | 18.54 | 20.94 | 32.38| 20.65| 21.00 |
| MipNeRF | 23.08 | 25.25 | 33.44 | 37.38 | 35.46 | 39.63 | 30.38| 30.78| 33.05 |
| Our | 31.60 | 24.10 | 30.88 | 33.04 | 29.14 | 26.74 | 30.78| 26.12| 29.05 |
| Scene | Chair | Drums | Ficus | Hotdog | Lego | Mats. | Mic | Ship | Avg |
|-----------|--------|-------|-------|--------|-------|-------|------|------|-------|
| PhySG | 0.890 | 0.823 | 0.864 | 0.894 | 0.812 | 0.837 | 0.904| 0.756| 0.847 |
| NeRF | 0.967 | 0.925 | 0.964 | 0.974 | 0.981 | 0.949 | 0.909| 0.836| 0.947 |
| MipNeRF | 0.980 | 0.934 | 0.981 | 0.982 | 0.978 | 0.959 | 0.991| 0.885| 0.961 |
| Our | 0.969 | 0.916 | 0.970 | 0.973 | 0.949 | 0.923 | 0.977| 0.833| 0.939 |
| Scene | Chair | Drums | Ficus | Hotdog | Lego | Mats. | Mic | Ship | Avg |
|-----------|--------|-------|-------|--------|-------|-------|------|------|-------|
| PhySG | 0.122 | 0.188 | 0.144 | 0.163 | 0.208 | 0.182 | 0.108| 0.343| 0.182 |
| NeRF | 0.046 | 0.091 | 0.044 | 0.121 | 0.050 | 0.063 | 0.028| 0.206| 0.081 |
| MipNeRF | 0.041 | 0.044 | 0.042 | 0.051 | 0.053 | 0.054 | 0.024| 0.177| 0.067 |
| Our | 0.045 | 0.101 | 0.048 | 0.060 | 0.081 | 0.100 | 0.040| 0.191| 0.081 |
| Scene | Chair | Drums | Ficus | Hotdog | Lego | Mats. | Mic | Ship | Avg |
|-----------|--------|-------|-------|--------|-------|-------|------|------|-------|
| PhySG | 0.088 | 0.140 | 0.115 | 0.109 | 0.139 | 0.139 | 0.069| 0.159| 0.119 |
| MipNeRF | 0.028 | 0.073 | 0.035 | 0.026 | 0.036 | 0.043 | 0.016| 0.061| 0.040 |
| Our | 0.034 | 0.065 | 0.041 | 0.033 | 0.042 | 0.060 | 0.024| 0.080| 0.047 |
Table 6. Image quality metrics for the NeRF realistic synthetic dataset. Each training set consists of 100 images with masks and known camera poses, and the reported image metrics are the arithmetic mean over the 200 images in the test set. Results for NeRF are based on Table 4 of the original paper [41], with new measurements for PhySG and MipNeRF using their respective publicly available source code. We additionally report FLIP mean scores [2]. Note that the Hotdog outlier LPISI score for NeRF is consistent with the original paper, but probably a bug.
the CHAIR, MICROPHONE and SHIP scenes. We note that PhySG struggles to capture the complex geometry of the NeRF dataset.
To study view interpolation quality for techniques which support material decomposition, we report per-scene breakdowns of view-interpolation result in Table 7. This corresponds to Table 4 in the main paper. We use the NeRFactor dataset (which is a subset of the NeRF dataset with simplified lighting conditions) and compare with NeRFactor and PhySG.
In Figure 18 we additionally compare view interpolation quality on a small synthetic dataset containing three scenes with increasing geometric complexity: KNOB, DAMICORNIS and CERBERUS, each dataset consists of 256 views with masks and known camera poses, and is validated on 200 novel views. We compare against NeRF (neural volumetric representation) and NeuS [62] (neural implicit representation). We provided masks at training for both approaches. We note that on this dataset, our method performs on par with NeRF, and consistently produces results with greater detail and sharpness than NeuS.
### 8.3. Geometry
Our primary targets are appearance-aware 3D reconstructions which render efficiently in real-time (e.g. for a game or interactive path tracer). As part of that goal, our shading model includes tangent space normal maps, which is a commonly used technique to capture the appearance
Figure 18. Visual quality examples on the synthetic KNOB and CERBERUS datasets. We observe slightly blurry results from NeuS.
Figure 19. Synthetic examples with increasing complexity. Each dataset consists of 256 rendered images at a resolution of $1024 \times 1024$ pixels. We report Chamfer $L_1$ scores on the extracted meshes for NeRF (neural volume), NeuS (neural implicit), and our explicit approach. Lower score is better.
| | KNOB | CERBERUS | DAMICORNIS |
|----------------|--------|----------|------------|
| NeRF [41] | 2.77e-01 | 9.08e-03 | 3.34e-03 |
| NeuS [62] | 2.04e-01 | 2.84e-02 | 5.84e-04 |
| Our | 1.87e-01 | 1.03e-02 | 4.66e-04 |
Figure 20. Extracted mesh quality visualization examples on the synthetic KNOB and CERBERUS datasets.
Figure 21. Example of the quality of the neural NeRD representation and their final generated mesh. Note the quality loss in both geometry and appearance (textures).
of high frequency detail at modest triangle counts. For these reasons, we consider image quality our main evaluation metric, but additionally report Chamfer scores in Table 8 for completeness. When comparing with NeRF [41], we use pretrained checkpoints provided by JaxNeRF [12], which we denote NeRF w/o mask. We note that the pre-trained models suffer greatly from floater geometry in some scenes. To that end, we additionally show results for NeRF (w/ mask) which further utilizes coverage masks and regularizes density, trading some image quality for better geometric accuracy. To calculate the Chamfer scores, we sample 2.5M points on both predicted mesh and ground mesh respectively, and calculate the Chamfer distance between the two point clouds.
While our meshes have considerably lower triangle count that the MC extractions, we are still competitive in terms of Chamfer loss. Note that we primarily focus on opaque geometry, hence, the DRUMS, SHIP, and FOCUS
| Scene | NeRF | DVR | Our | IDR | NeuS |
|---------|-------|------|------|------|------|
| scan05 | 1.44 | 1.06 | 1.03 | 0.79 | 0.72 |
| scan106 | 1.44 | 0.95 | 1.07 | 0.67 | 0.66 |
| scan118 | 1.13 | 0.71 | 0.69 | 0.51 | 0.51 |
Table 9. Quantitative evaluation on the DTU dataset w/ mask. Chamfer distances are measured in the same way as NeuS [62], IDR [65], and DVR [44]. Results for NeRF, IDR and NeuS are taken from Table 1 in the NeuS paper [62], and the DVR results are taken from Table 8, 9 and 10 in the DVR supplemental material. We also reevaluated the DVR scores using the DTU MVS dataset evaluation scripts [25] to verify the evaluation pipeline. Our Chamfer distances are lower than NeRF, roughly on par with DVR, but higher than the current state-of-the-art (IDR/NeuS). Still, we find these results encouraging, considering that we provide an explicit mesh with factorized materials.
scenes with transparency are challenging cases.
In Figure 19, we report Chamfer loss on three synthetic datasets of increasing geometric complexity. Interestingly, the neural implicit version performs very well on the organic shapes, but struggles on the CERBERUS robot model, where NeRF provide the lowest Chamfer loss. Visual comparisons of rendered reconstruction quality are included in Figure 18 and a visualization of the Lambertian shaded mesh is included in Figure 20.
We additionally present an example of an output mesh generated by NeRD [-] in Figure 21. The impact of the mesh extraction step is notable, both to geometry and material quality. As we only have this single data point, with no means of accurately aligning the meshes for measuring geometric loss (NeRD does not provide source code), we will not provide metrics.
8.4. Multi-View Stereo Datasets
Our experiments with scans from a limited view angle, low number of views, and/or varying illumination, e.g., the DTU MVS datasets [25], shows that our approach work less well than the recent neural implicit versions, such as NeuS [62], Unisurf [49], and IDR [65], which we attribute to a more regularized, smoother shape representation for the neural implicit approaches, and our physically-bases shading model which assumes constant lighting. -We provide quantitative results for three scans from DTU in Table 9, and visual examples of our results on three scans in Figure 22.
The sparse viewpoints and varying illumination (which breaks our shading model assumption of constant lighting) in the DTU datasets lead to strong ambiguity in the reconstructed geometry. In this case, we noticed that directly optimizing the per-vertex SDF values results in high-frequency noise in the surface mesh. Instead, we follow the approach of the neural implicit approaches and use an MLP to parametrize the SDF values, which implicitly regularize the SDF and, as a consequence, the resulting surface geometry produced by DMtet. The smoothness of the reconstructed shape can be controlled by the frequency of the positional encoding applied to the inputs of the MLP, as shown in Figure 23. On the contrary, in case of densely sampled viewpoints and constant illumination, we observed that directly optimizing per-vertex attributes better captures high-frequency details, as shown in Figure 24, and is faster to train. We use direct optimization of per-vertex SDF values in all results presented in the paper, except for the DTU scans, and the NeRF hotdog example, where we obtained better geometry reconstruction using the MLP parameterization.
We use the same MLP as in DVR [44], which consists of five fully connected residual layers with 256 hidden features. In addition, we adopt the positional encoding in NeRF [41] and progressively fit the frequencies similar to SAPE [23]. More specifically, for an input position $p$ and a set of encoding functions $e_1, e_2, \ldots, e_n$ with increasing frequencies, we multiply each encoding $e_n(p)$ with a soft mask $\alpha_n(t)$ at training iteration $t$. The first $n_{base}$ encodings are always exposed to the network, and we linearly reveal the rest during training such that:
$$\alpha_n(t) = \begin{cases}
1 & n \leq n_{base} \\
\min(1, \frac{t}{t_f}) & n > n_{base}
\end{cases}$$
where $t_f$ is the iteration when all encodings are fully revealed. In practice, we find that progressively fitting the frequencies produces less high-frequency artifacts on the reconstructed surface than the non-progressive scheme.
9. Implementation
9.1. Optimization
Unless otherwise noted, we start from a tetrahedral grid of resolution 128 (using 192k tetrahedra and 37k vertices). As part of the Marching Tetrahedral step, each tetrahedron can generate up to two triangles.
We initialize the per-vertex SDF values to random values in the range $[-0.1, 0.9]$, such that a random selection of approximately 10% of the SDF values will report “inside” status at the beginning of optimization. The per-vertex offsets are initialized to zero.
Textures are initialized to random values within the valid range. We also provide min/max values per texture channels, which are useful when optimizing from photographs, where we follow NeRFactor [70] and us a range on the albedo texture of $k_d \in [0.03, 0.8]$. Similarly, we limit the minimal roughness value (green channel of the $k_{arm}$ texture) to 0.08 (linearized roughness). The tangent space normal map is initialized to $(0, 0, 1)$, i.e., following the surface normal with no normal perturbation. The environment
Figure 22. Our decomposition results on scan 65, 106, and 118 of the DTU MVS dataset [25]. Our model is trained on a reduced subset (49 of the 64 views) which has more consistent lighting across views, labelled by DVR [44]. However, we still penalize mask loss on the excluded views.
Figure 23. Comparing grid vs. MLP parametrizations of DMTet on scan 65 from the DTU MVS dataset [25]. Directly optimizing SDF values at grid vertices leads to a surface with high-frequency noise (left). In contrast, if we use an MLP to parametrize the SDF values, we can regularize the geometry, with smoothness controlled by the frequency of positional encoding. We use the positional encoding in NeRF [41] with frequency set to 4 (middle) and 6 (right) respectively.
Figure 24. Comparing grid vs. MLP parametrization of DMTet on the synthetic DAMICORNIS dataset. Directly optimizing per-vertex SDF and offsets on a grid is faster to train, and better captures high-frequency geometric details than parametrizing DMTet with a network.
light texels are initialized to random values in the range \([0.25, 0.75]\), which we empirically found to be a reasonable starting point in our tests.
We use the Adam [30] optimizer with default settings combined with a learning rate scheduler with an exponential falloff from 1.0 to 0.1 over 5000 iterations. We typically train for 5000 iteration using a mini-batch of eight images, rendered at the native resolution of the images in the datasets (typically in the range from \(512 \times 512\) pixels to \(1024 \times 1024\) pixels). Next, after texture reparametrization, we finetune geometry and 2D textures with locked topology for another 5000 iterations. The entire process takes approximately an hour on a single NVIDIA V100 GPU, with indicative results after a few minutes. We include a training visualization in the supplemental video.
In DTU experiments, we set $n = 6$, $n_{\text{base}} = 4$ and $t_f = 2500$ for the progressive positional encoding. We disable the normal perturbation and second-stage optimization to get the best geometric quality, and train DMTet for 10k iterations.
### 9.2. Losses and Regularizers
**Image Loss** Our renderer uses physically based shading and produces images with high dynamic range. Therefore, the objective function must be robust to the full range of floating-point values. Following recent work in differentiable rendering [22], our image space loss, $L_{\text{Image}}$, computes the $L_1$ norm on tone mapped colors. As tone map operator, we transform linear radiance values, $x$, according to $x' = \Gamma(\log(x + 1))$, where $\Gamma(x)$ is the sRGB transfer function [60]:
$$
\begin{align*}
\Gamma(x) &= \begin{cases}
12.92x & x \leq 0.0031308 \\
(1 + a)x^{1/2.4} - a & x > 0.0031308
\end{cases} \\
a &= 0.055.
\end{align*}
$$
**Light Regularizer** Real world datasets contain primarily neutral, white lighting. To that end, we use a regularizer for the environment light that penalizes color shifts. Given the per-channel average intensities $\overline{c}_i$, we define the regularizer as:
$$
L_{\text{light}} = \frac{1}{3} \sum_{i=0}^{3} \left| \overline{c}_i - \frac{1}{3} \sum_{i=0}^{3} \overline{c}_i \right|.
$$
**Material Regularizer** As mentioned in the paper, we regularize material parameters using a smoothness loss similar to NeRFactor [70]. Assuming that $k_d(x)$ denotes the $k_d$ parameter at world space position $x$ and $\epsilon$ is a random displacement vector, we define the regularizer as:
$$
L_{\text{mat}} = \sum_{\mathbf{x}_{\text{surf}}} |k_d(\mathbf{x}_{\text{surf}}) - k_d(\mathbf{x}_{\text{surf}} + \epsilon)|.
$$
To account for the lack of global illumination and shadowing in our differentiable renderer, we use an additional, trainable visibility term which can be considered a regularizer. We store this term in the otherwise unused $\alpha$-channel of the $k_{\text{term}}$ specular lobe parameter texture and use it to directly modulate the radiance estimated by our split sum shading model. Thus, it is similar to a simple ambient occlusion term and does not account for directional visibility.
**Laplacian Regularizer** In the second pass, when topology is locked, we use a Laplacian regularizer [58] on the triangle mesh to regularize the vertex movements. The uniformly-weighted differential $\delta_i$ of vertex $v_i$ is given by $\delta_i = v_i - \frac{1}{|N_i|} \sum_{j \in N_i} v_j$, where $N_i$ is the one-ring neighborhood of vertex $v_i$. We follow Laine et al. [32] and use a Laplacian regularizer term given by
$$
L_\delta = \frac{1}{n} \sum_{i=1}^{n} \| \delta_i - \delta'_i \|^2,
$$
where $\delta'_i$ is the uniformly-weighted differential of the input mesh (i.e., the output mesh from the first pass).
**SDF Regularizer** If we only optimize for image loss, internal faces which are not visible from any viewpoint do not receive any gradient signal. This leads to random geometry inside the object, as shown in Fig. 25, which is undesirable for extracting compact 2D textures. To remove the internal faces, we regularize the SDF values of DMTet similar to Liao et al. [36] as described in the main paper (Eqn. 2). The $L_1$ smoothness loss proposed by Liao et al., adapted from occupancy to SDF values, can be written as:
$$
L_{\text{smooth}} = \sum_{i,j \in S_e} |s_i - s_j|,
$$
where $S_e$ is the set of unique edges, and $s_i$ represents the per-vertex SDF values. In contrast, our regularization loss explicitly penalizes the sign change of SDF values over edges in the tetrahedral grid. Empirically, our loss more efficiently removes internal structures, as shown in Fig. 25.
In our DTU experiments, we use an additional regularization loss to removes the floaters behind the visible surface, as illustrated in Fig. 26. Specifically, for a triangular face $f$ extracted from tetrahedron $T$, if $f$ is not visible in current training views, we encourage the SDFs at vertices of $T$ to be positive with BCE loss.
### 9.3. Split Sum Implementation Details
We represent the trainable parameters for incoming lighting as texels of a cube map (typical resolution $6 \times 512 \times$
Figure 26. Reconstruction of scan 65 from the DTU MVS dataset [25] without (left) and with (right) the regularization loss based on visibility of faces. The regularization loss removes floaters behind the object that are not visible from the training views.
Algorithm 1: Computation of the loss gradient w.r.t. inputs, $\frac{\partial L}{\partial X}$, for a 2D convolution, expressed as a gather or scatter operation. We use the notation $x_{i,j}$ to denote element $(i,j)$ of the tensor $X$.
Input: output gradient: $\frac{\partial L}{\partial Y}$, weight tensor: $W$
$\frac{\partial L}{\partial X} = 0$;
for $k, j \in$ pixels do
for $k, l \in$ footprint do
$\frac{\partial L}{\partial x_{i+k,j+l}} += W^T_{k,l} \cdot \gamma y_{i+k,j+l}$; // gather
$\frac{\partial L}{\partial x_{i+k,j+l}} += W_{k,l} \cdot \frac{\partial L}{\partial y_{i,j}}$; // scatter
512). The base level represents the pre-integrated lighting for the lowest supported roughness value, which then linearly increases per mip-level. Each filtered mip-map is computed by average-pooling the base level texels to the current resolution (for performance reasons, the quantization this process introduces is an acceptable approximation for our use case). Then, each level is convolved with the GGX normal distribution function. We pre-compute accurate filter bounds per mip-level (the filter bound is a function of the roughness, which is constant per mip level).
The loss gradients w.r.t. the inputs, $\frac{\partial L}{\partial X}$, for a convolution operation can be computed as a gather operation using products of the transposed weight tensor, $W^T$, and the output gradient, $\frac{\partial L}{\partial Y}$, within the filter footprint. However, in cube maps, the filter footprint may extend across cube edges or corners, which makes a gather operation non-trivial. We therefore express the gradient computation as a scatter operation, which can be efficiently implemented on the GPU using non-blocking atomicAdd instructions. We illustrate the two approaches in Algorithm 1.
10. Scene Credits
Mori Knob from Yasotoshi Mori (CC BY 3.0), Cerberus model used with permission from NVIDIA, Damicornis, Saxophone, and Jackson models courtesy of the Smithsonian 3D repository [56], (CC0), Spot model (public domain) by Keegan Crane. NeRD datasets (moldGoldCape, ethiopianHead) (Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International). The NeRF and NeRFactor datasets contain renders from modified blender models located on blendswap.com: chair by 1DInc (CC-0), drums by bryanajones (CC-BY), ficus by Herberhold (CC-0), hotdog by erickfree (CC-0), lego by Heinzelnisse (CC-BY-NC), materials by elbrujoelatribu (CC-0), mic by up3d.de (CC-0), ship by gregzaal (CC-BY-SA). Probes from Poly Haven [67] (CC0) and the probes provided in the NeRFactor dataset which are modified from the probes (CC0) shipped with Blender. DTU scans from the DTU MVS dataset [25].
Figure 27. Our decomposition results on the NeRF Synthetic dataset. We show our rendered models alongside the material textures: diffuse ($k_d$), roughness/metalness ($k_{\text{orm}}$), the normals, and the extracted lighting. |
New Ventures in Delivering Government Services:
Where We've Been and Where We're Going
January 1993
Past in Review
Future in Preview
Metropolitan Council
The following is a list of the most important and influential works in the field of quantum mechanics:
1. "Quantum Mechanics" by Richard Feynman, Robert Leighton, and Matthew Sands (1965)
2. "The Principles of Quantum Mechanics" by Paul Dirac (1930)
3. "Quantum Theory" by David Bohm (1951)
4. "Quantum Mechanics: The Theoretical Minimum" by Leonard Susskind and Art Friedman (2014)
5. "Quantum Mechanics: A Critical Introduction" by John Baez and John Huerta (2014)
These books provide a comprehensive overview of the fundamental concepts and principles of quantum mechanics, as well as their applications in various fields such as physics, chemistry, and engineering. They also discuss the philosophical implications of quantum mechanics and its impact on our understanding of reality.
New Ventures in Delivering Government Services: Where We’ve Been and Where We’re Going
Past in Review
Future in Preview
January 1993
A Staff Report
METROPOLITAN COUNCIL
Mears Park Centre, 230 East Fifth Street, St. Paul, Minnesota 55101
Tel. (612) 291-6359 / TDD (612) 291-0904
Publication No. 620-93-023
METROPOLITAN COUNCIL MEMBERS
Dottie Rietow, Chair
Stephen B. Wellington, Jr., District 1
Dede Wolfson, District 2
Patrick C. Leung, District 3
Carol A. Kummer, District 4
Martha M. Head, District 4
Barbara Butts Williams, District 6
Esther Newcome, District 7
Susan Anderson, District 8
Roger Scherer, District 9
Jim Krautkremer, District 10
Polly Peterson Bowles, District 11
Sondra R. Simonson, District 12
Mary H. Smith, District 13
Bonnie D. Featherstone, District 14
Kevin Howe, District 15
E. Craig Morris, District 16
The Metropolitan Council conducts long-range planning and research for the Twin Cities Metropolitan Area in such areas as transportation, solid waste, housing and water resources. It also coordinates planning among local governments, the metropolitan agencies and the private sector.
by
Marion Angelica
Deb Detrick
Terry Kayser
Nancy Reeves
Joane Vail
Norm Werner
Kay Zwernik
CONTENTS
Summary .................................................. 1
Background ............................................. 3
New Ventures forum, March 1992 ....................... 6
Intergovernmental Resource Center .................... 9
Summary of surveys ................................... 11
Other groups working on shared services and service delivery ................. 19
Co-op Northwest ...................................... 26
Executive summary of paper on barriers to change ......................... 31
Executive summary of paper on redesigning public services ................. 33
Local officials' guide to resolving disputes ......................... 37
New Ventures advisory task force .......................... 38
Task force recommendations and conclusions ......................... 42
Staff recommendations .................................. 45
Appendix: Advisory Task Force 1992 ....................... 47
SUMMARY
This paper summarizes activities undertaken under the auspices of the Metropolitan Council in the past 18 months to respond to Gov. Arne Carlson's challenge to lead efforts to improve delivery of public services in the seven-county Metropolitan Area. All of these activities are being carried out under the umbrella title of "New Ventures in Delivering Government Services." This summary was prepared by Council staff.
The elements of this report are:
- **Background and Underlying Themes and Premises**--describing how the New Ventures project came about, the Council's preparatory work and the underlying themes and premises that have emerged.
- **New Ventures Forum, March 1992**--reporting on a forum of nearly 200 local government leaders convened by the Council to examine new ways of doing government business and to heighten interest in the topic.
- **Intergovernmental Resource Center**--outlining the Council's new data base of information on local government cooperative efforts in the region and its library of materials related to "reinventing government."
- **Summary of Surveys of Local Units of Government Regarding Intergovernmental Agreements**--summarizing results of surveys of local governments, which indicated that at least 2,600 cooperative agreements of various kinds currently are in force in the region.
- **Other Groups Working on Shared Services and Service Delivery**--describing the activities of a number of groups studying local government service delivery or participating in cooperative activities aimed at improving services, reducing costs, or otherwise addressing needs in new ways.
- **Co-op Northwest**--presenting information on a voluntary association of governmental units--including the Metropolitan Council--and other organizations working to address needs in this northwest Metropolitan area.
- **Executive Summary of Paper on Barriers to Change**--giving the outlines of *Improving Government Services: Realities and Possibilities*, a report prepared by Council staff that examines the structure of government in the region, the services those governments provide, the barriers to making improvements and some proposed solutions.
- **Executive Summary of Paper on Redesigning Public Services**--outlining a report prepared by Council staff on how and why governments become involved in providing services, the advantages and disadvantages of government and of marketplace approaches to service provision, what service redesign means, how to assess services and ways of approaching local government service redesign.
- **Local Government Officials’ Guide to Resolving Disputes**--explaining the Council’s work with the Association of Minnesota Municipalities and the State Office of Dispute Resolution to provide tools and support for use of dispute mediation and resolution techniques in local governments.
- **New Ventures Advisory Task Force**--describing the role and work of the task force.
- **Task Force Recommendations and Conclusions**--presenting the advisory body’s recommendations for creation of a body to examine intergovernmental issues.
- **Staff Recommendations**--presenting staff recommendations in several areas and rankings of each for high, medium or low use of staff time and visibility.
- **Appendix**--listing members of the Advisory Task Force on New Ventures in Delivering Government Services.
BACKGROUND AND UNDERLYING THEMES AND PREMISES
Gov. Carlson in 1991 challenged the Metropolitan Council to become involved more actively and visibly in efforts to deliver public services in the Metropolitan Area more effectively and cost-efficiently. The Council has taken this challenge seriously. In preparing the 1992 Work Program and Budget, it said, "The Council will examine and promote shared services among local jurisdictions in the region to reduce the cost of providing government services. The Council will also look for opportunities to share services among regional agencies."
The Council has had experience in cooperating, collaborating and consolidating local government services both in the past and in the present. For example:
- In the 1970s, the Council obtained state legislative authority to create a Metropolitan Housing and Redevelopment Authority (Metro HRA) that currently operates in almost 100 communities in the region. One of the major purposes of this organization was to minimize the need to create separate authorities in every local jurisdiction.
- Also in the '70s, the Council, working closely with local governments in the region, developed a metropolitan 911 emergency telephone system that replaced more than 60 separate emergency numbers.
- Recently, the Council has provided staff support for a public-private cooperative effort known as the I-494 Transportation Management Organization, to plan for transportation improvements in the very congested I-494 corridor.
- In 1991, the Council initiated a regional effort to plan with local governments for a significantly improved regional radio communications system using the 800 MHz frequency made available by action of the Federal Communications Commission. In 1993 the Council has proposed legislation to set up a body to reserve 800 MHz channels and plan for a region wide trunked radio system.
In July 1991, the Council formally added the "shared services" goal to its proposed 1992 Work Program and Budget and made it a priority project for next year. The lead staff assignment was given to the Research and Long-range Planning Department (RLRP). The RLRP staff used an existing staff intraCouncil group, the Strategic Planning Team, to prepare information to develop the 1992 work plan.
In preparing for the work plan, the team conducted interviews with 49 Council stakeholders. Included in the interviews were a substantial number of local officials at the city and county level (policymakers and staff members), several "Council watchers" at the University of Minnesota, and some individuals from civic, business, nonprofit and consumer organizations. Special efforts also were made to include people who have been involved in significant cooperative local government projects and local studies of intergovernmental activities.
A number of general themes emerged from the interviews. They are as follows:
- While all of the interviews began with a specific focus on "shared services" in a literal sense (that is, how local governments are working together cooperatively to deliver services), the
interviewees almost always moved from there to other service delivery perspectives, such as redesign of services, privatization, changing governmental roles and relationships and emerging regional issues.
- As a result of the above, the term "shared services" proved to be too limiting in a thorough discussion of how the Council can be a real contributor to streamlining public service delivery in the region. A broader concept, such as "promoting streamlined public service delivery in the region," seems to be more appropriate.
- The amount and extent of existing cooperating and sharing is not well known, although much is occurring. The Association of Metropolitan Municipalities (AMM) is conducting a survey to better determine the extent and nature of these activities among the region's cities.
- Cost and efficiency appear to be the primary factors underlying the interest in more intergovernmental approaches to delivery of services.
- Governmental units are drawn together primarily by economic motives. There are many examples of two units sharing with each other, but multi-jurisdictional sharing is difficult, complex and seldom achieved. There also are difficulties with sharing between different levels such as counties and cities or cities and school districts.
- Local government efficiency and effectiveness is seen as having less to do with the number of units involved and more with how services are delivered. There was also a minority viewpoint to the effect that there are more governmental units in the region than society can afford to maintain for very long.
- The willingness of local governments to share services is greatly influenced by political, professional and personal associations: particular people and their histories. These interpersonal associations help explain many of the patterns of cooperation that have developed in the region to date.
- Some services are much harder to share or operate on a larger scale because of the importance of local values or the extent of interlocal competition (for example, in economic development). There is at least a minority point of view to the effect that local values tend to be exaggerated for local service "self-preservation."
- The Council may be especially helpful in dealing with some issues that are too controversial for local governments to handle.
- The Council should demonstrate effective leadership in resolving regional problems in areas such as transportation and solid waste in which it is already involved.
- If the Council attempts to redraw the "political map" of the region substantially, it is likely to place the organization in a no-win power struggle between the state and its subdivisions. These changes are best approached incrementally and perhaps led by others. On the other hand, there is the viewpoint that, "If not the Metropolitan Council, then who will even begin to address these tough, fundamental questions and government structure and relationships in the region?"
The Metropolitan Council definitely should be a more active participant in this whole area of interlocal sharing and cooperating, but should choose its role carefully, based upon real, identified needs and its own organizational strengths. Those strengths were consistently described as research, analysis, convening and facilitating, policy formulation (especially longer-range) and consensus-building around policy directions for the region. The following were identified as roles that the Council now has or that it might play in helping the region achieve better and more cost-effective public service delivery:
- Creating or convening forums for sharing ideas, information and approaches
- Providing data, analysis, research and technical support
- Facilitating and mediating processes for study and change
- Serving as an information clearinghouse
- Serving as the leader in regional planning on current issues
- Providing stronger oversight of metropolitan government
- Helping to plan joint service delivery/redesign with other metro agencies
- Identifying and working on emerging "larger than local" issues
- Advocating for local governments
- Advocating for significant changes in governmental structure
In addition to conducting these interviews, the Council, an advisory task force and the staff have carried out a number of activities as part of the New Ventures project. These activities are summarized in the following chapters.
A forum entitled "New Ventures in Delivering Government Services" was convened by the Metropolitan Council on March 30, 1992. The purposes were (1) to heighten the interest of local government leaders in improving efficiency and cost-effectiveness; (2) to highlight several programs or projects in local governments that represent special efforts to provide better services to citizens and/or to lower costs and (3) to provide a forum for these leaders to share ideas and concerns about "reinventing" their governments.
Nearly 200 appointed and elected officials from metropolitan area counties, cities, townships and school districts were exposed to both national and local examples of "doing more with less." The forum's keynote speaker was Ted Gaebler, co-author with David Osborne of a recent book entitled *Reinventing Government.*¹ He discussed the reasons governments need to change the way they operate. He provided numerous examples of ways people in different levels of governments across the country have tried to improve services, reduce costs, or gain additional revenue through trying new ideas or becoming more entrepreneurial.
Among Gaebler's comments were these:
- With all the problems confronting government today--poor results from the educational system, low confidence in government officials, ever-rising crime rates, cities struggling to stay out of bankruptcy, states facing staggering deficits, citizen tax revolts, voters throwing incumbents out of office--most leaders still debate the same old options: raise taxes or cut services.
- The current system of government must be rethought. As an alternative to the idea that government needs to do more (or less), there is a new belief that government must do things differently.
- The future measure of a successful city, county, or school district manager will be how hard (and smart) he or she works at finding ways to meet the needs of constituents with fewer resources.
- Government officials must be encouraged to try new ideas that satisfy two expectations: do more, spend less. Government in the future will be "entrepreneurial government."
- Entrepreneurial governments:
-- steer rather than row;
-- promote competition between service providers;
-- empower citizens by giving them more control and giving less to the bureaucracy;
-- measure performance by output rather than input;
-- are driven by their goals and mission rather than by rules and regulations;
-- define their citizens as customers and offer them choices;
-- prevent problems from emerging rather than simply providing services afterward;
---
¹ Redding, MA. Addison-Wesley Co. Pub. 1992.
-- put more energy into making money rather than just spending it;
-- decentralize authority and embrace participatory management; and
-- become catalytic agents to bring together all sectors to help solve community problems.
"We must change the basic incentives that drive our governments," according to the speaker. Perhaps the greatest stumbling block is the power of outdated ideas that the majority of officials hold. These leaders belong to one of two camps: They want more government (liberals) or less government (conservatives) rather than considering what kind of government might be better for the changes taking place today.
Privatization makes sense in some instances, but is not the answer. Privatization is the wrong starting point for a discussion of the role of government. Services can be contracted out or turned over to the private sector, but governance cannot.
In order to recoup some of the costs of the keynote speaker, arrangements were made to have Gaebler speak to several other groups, including the St. Paul Chamber of Commerce and the St. Paul School District. These groups, along with the St. Paul Companies, the Minnesota Business Partnership and the Minnesota Chamber of Commerce, made contributions totalling $2,300. An additional $900 was generated from the sale of 350 copies of Reinventing Government to attendees and others.
**Regional Examples**
The second goal of the forum was to highlight current activities in the region that demonstrated various methods local governments and school districts were using to make some of their services more cost-effective or demonstrated a creative approach to cooperating with other local governments. These activities were described:
- The I-35W Beautification Project has involved Hennepin County Employment and Training Services, the Minnesota Department of Transportation and the American Federation of State, County and Municipal Employees Union Local 2792 over the past three years.
- Energizing Public Transit at the Local Level described how a fast-growing West Metro suburb worked to develop an alternative transit service that better served the needs of residents.
- Four Examples of Alternative Service Delivery provided examples of city-to-city, city-to-county and city-to-private arrangements that reduced service costs and improved services.
- The Anoka County Joint Powers Law Enforcement Council discussed the background, development, and results of a county-wide coordination effort to improve public safety and make the criminal justice system more efficient.
- The Fast Forward Program of Dakota County demonstrated a computer-based access system for social service staff, service vendors and clients designed to improve social services based on individual and family needs.
Another Anoka County effort was described in the Human Resources Co-Location Project in Blaine which included a city, a county and the United Way of Minneapolis to bring together 26 different social services under one roof.
The South St. Paul School Education Foundation Project described the strategies of a small community group to raise funds to provide scholarships to graduating seniors and to provide additional school resources.
A pair of alternative approaches by the Minneapolis Youth Trust and Hennepin County Planning and Development Department showed how governments, business and youth-serving agencies could redesign a small part of the education system.
A multi-community effort to work with citizens, governments and the private sector involved with solid waste issues in Anoka County was presented.
Factors involved in a 1985 consolidation of fire departments in Anoka County were presented by staff from the Minnesota Technical College's Fire Information Research and Education Center.
Staff from the Metropolitan Region Education Cooperative Service Unit provided information about the results of coordinating services for very young children with potential learning difficulties.
**Video and Panel**
Rounding out the program was a video presentation entitled, "Discovering the Future" with futurist and consultant Joel Barker. This video provided numerous examples of how organizations that changed their views of the world went on to be successful while those that did not change suffered for it. A panel of practitioners involved in studies on changing government arrangements, led by moderator Ted Kolderie, senior associate at the Humphrey Institute, provided practical information to the audience. The evaluations of the forum indicated a generally high level of satisfaction with the forum content and speakers.
INTERGOVERNMENTAL RESOURCE CENTER
The Intergovernmental Resource Center (IRC) at the Metropolitan Council is a database of information about local government cooperation efforts and a collection of articles and information on a variety of topics relating to the New Ventures project. The establishment of the IRC was part of the 1992 work program. The center is intended to be a resource for local government officials and staff as well as for the Metropolitan Council staff.
An area has been set aside for the IRC collection in the Library at the Metropolitan Council. There are more than 250 items in the collection and they continue to be added. There are newspaper, magazine and journal articles, booklets, pamphlets, books, and other materials on delivery of government services. Items are filed under the following headings:
- City-county Consolidation
- Consolidation
- Economic Development
- Employment
- Housing
- Human Services
- Intergovernmental Cooperation
- Interlocal Agreements
- Periodicals
- Program Description
- Ramsey County Local Government Services Study Commission
- Service Delivery
- Service Sharing
- Transportation
- City Government
- County Government
- Education
- Governmental Organization
- Human Services
- Infrastructure
- Intergovernmental Relations
- Metropolitan Government
- Privatization
- Quality
- Regional Government
- Service Descriptions
- Solid Waste
The Council's research staff and the librarian work together to respond to inquiries. In some cases, the Council has the material in its library collection; in others, staff members refer callers to a more appropriate source.
The data base contains examples of more than 2,600 working agreements between and among local governments in the Metropolitan Area. The data was gathered through surveys mailed early in 1992 to every city, county, township and school district in the Metropolitan Area. The cover letter asked local officials to complete the survey listing all agreements currently in effect in their jurisdiction. The data base provides examples from the following areas for cities, counties and townships:
- Public Safety
- Parks and Recreation
- Personnel
- Human Services
- Public Works/Streets/Utilities
- Community Development/Planning
- Administration/Finance/Legal
- Other
The survey form asked for information from school districts in a slightly different format. It asked with which local entity or entities the school district has agreements:
County/Counties
City/Cities
Private Organizations
Other School Districts
Each example in the data base includes a key word for identification purposes, a description of the agreement, the type of agreement (joint powers, contract or informal), information on what other local entities are participating in the agreement and the total number of entities involved. Also provided is the name, address and phone number of a contact person if someone wants further information. The next section of this report has further information about the survey results.
SUMMARY OF SURVEYS OF LOCAL UNITS OF GOVERNMENT REGARDING INTERGOVERNMENTAL AGREEMENTS
For several years the Metropolitan Council has discussed and researched emerging trends and issues in the Metropolitan Area. In 1991 the Council directed staff to interview key informants, local government officials and legislators. Approximately 50 interviews were conducted during the summer months. Summaries of all the interviews were written and discussed by the staff. The interviews indicated that many governments already were cooperating. The staff recommended that the Council conduct a survey of local units of government to learn more about the ways local governments work together.
At about the same time Gov. Carlson was calling for local governments, primarily cities, to become more efficient and to reduce spending. In response to this call, the League of Minnesota Cities (LMC) and the AMM decided to survey their constituencies about the number and types of working arrangements already in existence among local governments.
Metropolitan Council and the AMM jointly developed the survey and mailing to the cities. Metropolitan Council staff used the AMM form to develop similar ones for counties, townships and school districts. In early 1992 the Metropolitan Council mailed survey forms to all townships, counties and school districts in the Metropolitan Area. Surveys to all cities in the Metropolitan Area were mailed by the Association of Metropolitan Municipalities (AMM).
The two agencies focused the surveys on the major areas in which local governments provide services or operate administratively. The survey requested information on intergovernmental agreements in the following areas: public safety; public works/streets/utilities; parks and recreation; community development/planning; personnel; administration/finance/legal; human services and other. The greatest number of agreements are in the areas of public safety and public works/streets/utilities.
Information on agreements between school districts and other agencies was requested in a different format. The survey asked with what other local governments districts had agreements. These included city/cities, county/counties, township/townships, school district/districts and private organizations. No school district had agreements with townships.
Of the 50 townships receiving surveys, 25 returned them. Six of the seven counties returned the survey forms. Of the 51 school districts in the Metropolitan Area, 35 returned survey forms. Eighteen of the 25 East Metro school districts, or 72 percent, and 17 of the 26 West Metro district, or 65 percent, returned the surveys. Of the 137 cities in the Metropolitan Area, 62, or 45 percent, returned the forms. Only one local government, a township, replied that it had no agreements. (See Figure 1.)
Sixty-two cities reported 1,710 agreements. In the counties, 211 agreements were noted. The 35 school districts reported 569 agreements. Townships reported the fewest agreements. Twenty-five townships described 115 agreements. The total was 2,605.
The survey asked what type each agreement was: an informal agreement in which people do something such as share a snow plow because it makes sense to do it, a written agreement which might be a formal contract or a formally constituted Joint Exercise of Powers Agreement in which each party has an equal voice or power. When type of arrangement was reported, 623 were joint powers, 701 were informal agreements and the greatest number, 1,180, were written agreements. (See Figure 2.)
Cities
The data from cities was divided into five classes based on population:
Class 1: more than 100,000 such as St. Paul;
Class 2: 20,000 to 100,000 such as Apple Valley, Richfield or Roseville;
Class 3: 10,000 to 20,000 such as North St. Paul, Prior Lake or Robbinsdale;
Class 4: 2,500 to 10,000 such as Mound, Shoreview or St. Paul Park; and
Class 5: less than 2,500 such as Centerville, Chanhassen or Lexington.
Regardless of their size, the type of sharing arrangement cities most frequently use are written contracts or agreements. Cities of the third and fourth class use more informal agreements than joint powers arrangements. However, cities of the first, second and fifth class use more joint powers arrangements than they do informal agreements. (See Figure 3.)
**Figure 3**
**Type of Agreement by Size (Class) of City**
The cities returning surveys, regardless of size, most frequently showed the largest number of intergovernmental agreements in the areas of public safety and public works. The population base of some communities is too small to support a police force or the purchase of expensive fire or snow removal equipment. It is cost-effective for them to contract the services from larger cities. Mutual aid agreements are common with communities that border each other; that is communities offer additional emergency support with fire or police services in cases in which a single community may not be able to meet the need.
The only class one city to respond was St. Paul. It reported more agreements in public works than in public safety. The rest reported more public safety agreements than public works. Contracted fire protection service was the most frequently reported public safety service. The next was contracted police protection services. Other frequently mentioned services included animal impound facilities, fire mutual aid, police mutual aid and cooperative police training. Moderate responses showed cooperation in the Drug Abuse Resistance Education Program (DARE) and regional drug task forces, emergency police dispatching, ambulance services, police investigation services, and police recruiting through a statewide system.
Extensive cooperation among local governments in the area of public works likely is due to the high cost of capital equipment. The cooperation most frequently mentioned in public works was recycling. Next were participation in water management organizations and managing intersection traffic signal maintenance. Cooperation with the Metropolitan Waste Control Commission was mentioned by 20 cities. Other services mentioned fairly frequently were public works mutual aid; the Gopher State One Call, an emergency utility locator service; road maintenance and cooperative buying of public works equipment.
The three most frequently mentioned agreements in the area of administration were cooperative purchasing, joint cable television commissions and the insurance trust though the LMC. Cities participate in joint purchasing through the counties or the state, depending on the items purchased. Cable commissions usually are formed by four or five neighboring communities in a joint powers agreement. Purchasing insurance through the league helps cities contain costs in health benefits as well as general insurance.
In the area of parks and recreation joint programming, sharing of facilities with schools including athletic fields and playgrounds and joint recreation programming are the two most frequently mentioned agreements. Park and recreation departments find it cost-effective to use school gyms and swimming pools rather than build their own. In some cases a school district will build a playground or athletic field and the city will maintain it and use the facilities for its own recreational programming. Joint recreational programming usually occurs among neighboring communities. For instance, a number of small communities around Lake Minnetonka use the recreation services of the City of Minnetonka park and recreation department. The cities of Richfield, Edina, Bloomington and Eden Prairie for a number of years jointly have operated programs and services for children and adults with disabilities.
Twenty-one communities mentioned the community development block grant (CDBG) program in the area of community development, but this probably is an underestimate since every city in Hennepin County participates in the county-administered CDBG program.
The personnel areas most frequently mentioned are participation in the legislatively mandated comparable worth study in cities, and participation in joint health and other insurance programs. The insurance programs likely were through the LMC, but respondents did not mention the league on the survey form. (See Figure 4.)
Counties
Six counties returned information on agreements to the Metropolitan Council. Two factors affect the results for the counties. The largest, Hennepin, which probably has the most agreements in the region did not respond. Two other counties responded with innovative programs information but not the survey form itself. Thus, the information from those two counties is incomplete.
The reporting counties most frequently used written agreements. Joint powers agreements were used next most frequently with informal agreements last in frequency. The total number of agreements was 211 but an additional 76 responses did not describe the type of agreement. (See Figure 5.) The highest number of written agreements were in the areas of human services, parks and recreation and public safety.
**FIGURE 5**
**TOTAL AGREEMENTS BY SERVICE FOR COUNTIES**
![Graph showing total agreements by service for counties]
Counties, unlike cities and townships, provide health and human services in addition to the other usual public services. Counties enter into relationships with cities, other counties, townships and private for-profit and nonprofit organizations. Many health and human services are purchased from private organizations. Some examples are home health care, emergency care for children, day programming for adults with developmental disabilities, teen-age pregnancy programs, mental health day treatment and some job training assistance programs.
In the area of administration, counties had a total of 11 agreements, three with cities and four each with other counties and with private organizations. An example is central records management. In the area of community development and planning, counties had 18 agreements, most of them with cities, for housing, zoning and inspection activities. Twenty-two agreements in human services were mentioned by counties. Most agreements were with private organizations for such programs as Head Start, employment programs and youth services. Counties had 36 agreements in parks and recreation. Twenty-three of them were with cities, primarily in joint maintenance of park properties. Employee relations (personnel) had very few agreements. The most agreements for any service category were for public safety. Thirty-two of 48 were with cities. Commonly, agreements were for police/sheriff and correctional services. Typically, public works agreements were related to plowing, street maintenance, joint purchasing and traffic signal maintenance. Of the 17 agreements, most of them (nine) were with cities. The category of "other" includes such things as libraries, light rail planning and financial services agreements. Twenty-three agreements were listed there. (See Figure 6.)
Townships
Among the four types of governments, townships have the fewest intergovernmental agreements and are more likely to contract for services such as inspecting and assessing. Townships have the lowest number of paid employees and some of them are only part-time. Townships enter into agreement with other townships, cities and counties but usually not with school districts. Most agreements are for public safety and public works functions.
Twenty-five of the 50 townships in the Metropolitan Area responded to the survey. The data from townships was divided into five classes based on population:
- Class 1: more than 3,000, such as White Bear and Linwood townships
- Class 2: 1,000 to 3,000, such as Empire and Hassan townships
- Class 3: less than 1,000, such as Nininger and Baytown townships
In all three classes, the highest frequency of agreements is for public safety and public works services. The tax base and size of budgets do not allow for staff for police and emergency services. Any employed staff besides the clerk usually perform the public works functions, but many public works activities are also performed in conjunction with other counties and cities. Of the class one townships, White Bear Township reported the most agreements at 18. With 15 agreements, Empire had the most for Class two townships. Nininger, a class three township, reported eight agreements. (See Figure 7.)
No joint exercise of powers agreements were reported by townships. All of the townships responding to the survey reported both written agreements such as contracts and informal arrangements such as for sharing equipment. (See Figure 8.)
School Districts
Fifty-one school districts in the Metropolitan Area returned survey forms. Schools reported that they entered into agreements with other school districts, cities, private organizations, counties and one or two with a church, the State of Minnesota and the Metropolitan Airports Commission. (See Figure 9.) In 385 cases, the response did not indicate with which other units they cooperated. When a second or third party was mentioned as participating in the agreement, it probably included a private organization. (See Figure 9.)
Similar to counties, school districts most commonly used written agreements or contracts when entering into cooperative arrangements. Second were informal agreements. The school districts report joint powers agreements least. (See Figure 10.)
Every school district in the Metropolitan Area participates in a cooperative such as the Intermediate School Districts 196, 197, 287 or Scott-Carver for the purposes of vocational training and special education services. School districts also participate in the Metropolitan Educational Cooperative Service Unit (ECSU) for the purpose of in-service training and research and with Technology and Information Educational Services (TIES) for data processing services. Most of the urban districts work with cities on the DARE program and with a police liaison program in which an officer is assigned to a high school to provide educational and safety services. Schools cooperate with each other to provide low-incidence services which would be individually cost-inefficient. Examples are adult basic education, pregnant and parenting teens services and early intervention for children with disabilities.
Schools cooperate with counties to provide social work and mental health services, employment services, library services and parenting clas
OTHER GROUPS WORKING ON SHARED SERVICES AND SERVICE DELIVERY
Intergovernmental cooperation is an issue that is bubbling in the public policy arena. Many groups are studying the issue and making recommendations. As a part of the New Ventures project, staff members monitored other groups that are working on these issues.
Advisory Commission On Intergovernmental Relations (ACIR)
This commission was created by the 1991 Minnesota Legislature. It originally consisted of 10 legislators and 10 local officials but the number of legislators was reduced to four in the 1992 legislative session. The legislative leadership appoints the legislators; other members are appointed by the governor from lists submitted by local government organizations. Two members are from the executive branch: the commissioners of finance and revenue.
The group's function as defined by statute is to recommend to the legislature a formula for the distribution of the Local Government Trust Fund. That fund was established as a part of the 1991 Minnesota tax legislation. It receives two percent of the state's 6.5 percent sales tax. In 1992 the legislature directed that the following programs would be financed by the trust fund:
- local government aid
- equalization aid
- homestead and agricultural credit aid
- disparity reduction aid
- school transition aid
- school disparity reduction credit
- attached machinery aid
- new county corrections aid--more than $8 million per year in fiscal years 1994 and 1995
- community social services--more than $51.5 million for fiscal year 1993 and more than $53.1 million per year in fiscal years 1994 and 1995
- reimbursement to cities and counties for the costs of conducting the 1992 presidential primary--capped at $2.48 million statewide
- Minnesota Advisory Commission on Intergovernmental Relations--$25,000
- Intergovernmental Information Systems Advisory Council for the development of a local government financial reporting system--$350,000 for fiscal year 1993 and $1.2 million per year in fiscal years 1994 and 1995
- Commissioner of revenue for the administration of aid and tax programs--$560,000 for fiscal year 1993 and $300,000 per year in fiscal years 1994 and 1995
- Commissioner of finance for the administration of the Local Government Trust Fund
The ACIR has not been able to agree on what it wants to recommend and has spent most of the time since 1991 in hearing testimony from various groups. At its most recent meeting, members suggested that the task of creating a formula for the fund might be impossible for such a group, but that there were many other intergovernmental functions that could be incorporated into ACIR. One suggestion was to put the ACIR together with several other groups dedicated to general policy and information systems and policy under one administrative roof. Major benefits might be efficiency, improved focus, reduced duplication of effort and the ability to address policy issues across functional lines. Funding
for intergovernmental initiatives might be facilitated, too. Some of the candidates mentioned for inclusion (either the entities themselves or the functions they perform) were:
**Dyrstad Commission on Local and State Relations**
The group was formed in February 1991 and has been discussing a number of general intergovernmental policy questions, including state mandates, local government review of proposed and pending legislation and the administrative rule-making process. It has little or no staff support and little funding. The membership does not include legislators or state agency members and the members were not nominated by local government groups.
**Commission on Reform and Efficiency (CORE)**
Appointed by the governor (see below).
**Intergovernmental Information Systems Advisory Council (IISAC)**
The council distributes grants for information systems development, conducts statewide information management symposia and is the steering and fiscal agent for the Local Government Financial Reporting Project (FinRep). Housed in the Department of Administration, IISAC reportedly is looking for a new home.
**Accounting Standards Resource Board (ASRB)**
The ASRB has been planned as a part of FinRep. It will represent local, state agency, and legislative stakeholders. Its function will be to advise local units on changes in accounting standards and reporting requirements, coordinate training for local personnel, oversee development of standards for local financial software, and regulate access to local financial and related information contained in a planned local data clearinghouse.
**Citizens League**
In 1991 the Citizens League convened a committee on Organization of Local Government Services: Goals and Structures, which was co-chaired by Bill Blazar and Larry Bakken. The committee in 1992 issued a report entitled, *Results for Citizens, Options for Officials.*\(^2\) The report identifies some of the barriers facing local governments and makes the following recommendations:
- Local governments, neighborhoods and individuals should have additional opportunities to manage service budgets as a means of improving service delivery.
- Local governments should be authorized and encouraged to transform their operating bureaus into enterprises.
- Local units of government and state agencies should develop contract relationships that focus on results. Such agreements would give the local unit significant flexibility for how it reaches those goals.
- The legislature should direct the legislative auditor or the state auditor to develop and implement a program which would audit the value of local government services in relationship to costs of the services.
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\(^2\) Minneapolis: Citizens League, 1992.
The legislature should direct development and implementation of a performance accounting system to be used by local governments.
The Citizens League currently has a committee on state spending that is examining a number of public service issues. A member of the Metropolitan Council staff is a member of the committee.
**Commission on Reform and Efficiency (CORE)**
This 20-member commission was created by Gov. Carlson in 1991 to help solve the 1992-1993 budget deficit and to make recommendations for restructuring state government. In its first phase, CORE identified $17.5 million in possible cuts in the 1992-1993 budget. It has divided into three working groups with 11 projects. The working groups are Executive Reorganization and Comprehensive Assessment, Management Systems and Program Analysis.
Council staff members have been monitoring the projects of the Program Analysis group, which are 1) state-county human services delivery system, 2) local service funding and 3) environmental services. The state/county human services delivery system project will make recommendations on state health and human services organization, local health and human services organization, health and human services funding and health and human services delivery. The groups just added a project to identify aggressive strategies for controlling the escalating cost of services for the elderly.
The local services funding project has focused on a pilot study of fire and parks and recreation services, in order to demonstrate methodology and the development of benchmarks. It also will make recommendations on local government aids, "truth in taxation" requirements and the availability of information on local government.
The environmental services project is examining environmental policies and programs and also will make recommendations.
CORE is expected to finish its deliberations in early 1993 and make recommendations to the governor. Staff will remain for some months to monitor legislation.
**Ramsey County Local Government Services Study Commission (RCLGSSC)**
The study commission was created by the 1991 legislature and given the charge "to report on the advantages and disadvantages of sharing, cooperating, restructuring, or consolidating" activities in five areas: public health, attorney's functions in criminal law, libraries, public works and law enforcement, specifically police communications, crime lab and investigative functions.
This 25-member body (members were appointed as directed by the enacting legislation) met during the summer and fall of 1991 and issued a report to the legislature in January 1992 which contained the following recommendations:
- **Public Health.** The study commission voted not to consolidate the St. Paul and Ramsey County Health Departments. The commission also rejected a joint powers agreement between the City of St. Paul and Ramsey County to provide public health service in Ramsey County that would allow cost-saving for all county taxpayers while avoiding the tax burden shift from the city to the county.
• **Libraries.** "Support the consolidation of libraries on a seven-county regional basis with a single taxing authority and recommend the Legislature to take an in-depth look at this approach. The recommendation includes a moratorium on new library construction, substantive expansion of library facilities, major investments in new technology after December 31, 1992, until such time that the legislative review has been completed. We also urge that the schools be included in the study, and that future technology be carefully considered. Any such regional system must include reasonable local management autonomy."
• **Public Works.** The commission unanimously adopted a series of recommendations affecting the area of public works. They are:
• **Functional consolidation of roadways.** The commission adopted a plan for functional consolidation of roadways within Ramsey County.
• **Creation of a central service program.** The commission recommended that the county and local communities establish a cooperative plan for a single central service program for specific functions.
• **Private vs. public sector cost-effectiveness of various public works functions.** The commission recommended that Ramsey County be funded at $20,000 by legislative appropriation to study and determine the availability and cost-effectiveness of independent or coordinated public vs. private providers of various public works functions or services.
• **Cooperative planning between the county and municipalities and schools.** The commission supported additional efforts for cooperative planning between the county and municipalities and schools for school-related public works projects.
• **Surface water management.** The commission recommended that the Ramsey County Board of Commissioners appoint a task force of equal representation to support cooperative efforts between Ramsey County and St. Paul, suburban municipalities, watershed districts, joint powers water management organizations, the Ramsey Soil and Water Conservation District and other citizens. The task force would formalize a process to coordinate management of watershed issues and implementation of capital improvement activities.
According to the report, the public works proposal is significant. The functional consolidation of roads alone would increase the amount of new state revenues available to serve Ramsey County residents as a whole. Furthermore, the reclassification of roadways would assign maintenance responsibilities to the most appropriate governmental unit, leading to better service and accountability.
Increased cooperation and competitive bidding also likely would result from the recommendations. A centralized service program could promote better joint purchasing, specialized equipment purchasing, joint manufacture of signs, coordinated traffic signal maintenance, bridge inspection and equipment rental.
• **Law Enforcement.** The commission recommended the following:
• **Police communications.** A single public safety answering point (PSAP) should be provided by joint powers agreements.
• **Records management.** This function should be integrated on a county-wide basis.
• **Critical incident response team.** The St. Paul Police Department and Ramsey County Sheriff Department should continue to provide this service.
• **Major crime investigation.** The current investigation teams in the St. Paul Police Department and the Ramsey County Sheriff Department should continue.
• **Crime lab.** The St. Paul Police Department should continue to provide this service but should evaluate its service charges to other cities.
• **Emergency ordnance disposal.** St. Paul should continue to provide the service but should evaluate its service charges to other cities.
Eleven members of the group signed a dissenting report which was included in the commission's report to the legislature. Their report called for a "less control-oriented system of bureaucratic, top-down organizations in which decisions have a heavy political bias, and depend more on customer-oriented organization structures. The customer here is defined jointly as the taxpayer and the specific user of a service. This organizational structure must:
- Measure outcomes against standards of performance.
- Rely on competition to control costs (including competition from other governmental units and even the private sector).
- Provide for decision making with less of a political bias and more of a cost-efficiency bias."
The dissenting members, mostly private citizens, made recommendations regarding future commissions. They recommended longer time lines, a composition of 60 percent private citizens and 40 percent elected officials, professional staffing by an independent consultant to eliminate potential biases when staff members represent specific units of local government, and an adequate budget.
**Citizens for Change**
The dissenting members from the RCLGSSC formed Citizens for Change and they continue to meet at least monthly to consider further recommendations to the legislature and to hear from interested parties. They have been looking at the new Ramsey County home rule charter, the county's Communications Center, and records management in the county.
**League of Women Voters and Council of Metropolitan Area Leagues (CMAL)**
CMAL is a group composed of local Leagues of Women Voters in the Metropolitan Area. It published a document entitled *Metro Maze IV* in January 1992.\(^3\) This is the fourth in a series published by CMAL to explain the system of coordination and interrelationships among the many units of government in the Twin Cities Metropolitan Area. The aim is to broaden and deepen the discussion of metropolitan affairs among area residents.
**Northwest Ramsey Cooperative Ventures (NWRCV)**
City managers and elected officials from Arden Hills, Mounds View, New Brighton, Shoreview and St. Anthony Village worked together to look at possibilities for cooperation and collaboration in the delivery of services and at the optimum size of organizations to deliver various public services. They published a summary of the discussions entitled, *An Analysis of Optimization as It Relates to the Size of Local Government Services Delivery Entities*.\(^4\) At the time of the publication (August 1991) the RCLGSSC had begun meeting and many of the local staff people from NWRCV were used to staff the commission.
**Other Groups**
A number of groups meet to discuss mutual problems and possibilities for cooperation. Most of these are relatively informal. Several are described below:
Roseville and Falcon Heights have been interested in the possibilities of merger for several years. Falcon Heights contracts with Roseville for several services, most importantly police service. The Metropolitan Council gave the cities a loan and they hired a private consulting firm to examine the financial issues of a possible merger and to project the impact to each city. The cities have discussed the report and continue with individual and joint meetings and retreats to work on issues. Citizens want a slow, careful process and to be kept informed. A steering committee made up of the mayor, one council member and the city administrator or manager from each city has been formed to guide the process.
City administrators from 14 cities located around Lake Minnetonka began informal monthly meetings in 1991 to share ideas and discuss issues. The major issues that emerged were the demand for more and better services, increasing property taxes and taxpayer dissatisfaction with government, and the need to share, be creative, and find cost-effective options for delivering services. The group wrote to the Metropolitan Council and several other groups to seek staff assistance. It would like to conduct a survey of existing agreements and of customer satisfaction and to begin involving the elected officials of each city. As of December 1992 the group had not met in several months.
AMM formed a study group on metropolitan governance. In 1992 it disseminated a report entitled, *Metropolitan Council: Its Role in Regional Governance*. The report contained seven recommendations related to regional governance by the Metropolitan Council. The recommendations concerning the Council were:
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\(^3\) St. Paul: Council of Metropolitan Area Leagues of Women Voters, 1992.
\(^4\) St. Paul: Northwest Ramsey Cooperative Ventures Cities, 1991.
• Reemphasize its visionary role in regional governance.
• Seek more participation from local governments.
• Revive the House of Representative's Metropolitan Affairs Committee as a forum for discussion of metropolitan issues.
• Continue to examine issues of transportation and transit, environment and livability but explore new ways of doing business.
• Redefine and change metropolitan agencies and commissions.
• Directly elect Council members with term limits.
• Revise the election of the Council chair, place daily Council operations under the executive director, and make agency appointments for fixed terms.
CO-OP NORTHWEST
Co-op Northwest illustrates an array of possibilities available to people and agencies working collaboratively. Co-op Northwest is a group of governments and agencies, of which the Metropolitan Council is one, which have come together voluntarily group to focus on mutual problems.
Background
Co-op Northwest is a group of five cities, four school districts, Hennepin County, North Hennepin Community College, North Hennepin Technical College, several community social service agencies and the Metropolitan Council. Originally called the "Five-City Group," the name was changed to reflect its broader makeup. The five participating cities are Brooklyn Center, Brooklyn Park, Crystal, New Hope and Robbinsdale. The school districts are Anoka-Hennepin, Brooklyn Center, Osseo and Robbinsdale. The social services agencies include Community Action for Suburban Hennepin (CASH) and Community Emergency Action Program (CEAP). The catalyst for the group is Northwest Hennepin Human Services Council (NWHHSC), which provides staffing and other resources. Metropolitan Council staff was assigned to work with this project in 1992.
Each member community or other entity sends a representative to participate with Co-op Northwest. These representatives serve on the executive committee, which provides overall leadership for the project. Most of them also serve on one or more of the standing committees of the group, along with other representatives of their communities, districts or agencies.
Mission
The group began meeting in 1991 because the cities recognized a need to deal with several common problems, including an aging housing stock, high rental vacancy rates, rapid increases in the low-income and poverty populations and increasing problems with crime and drugs. Working together on these problems could stretch scarce local resources and share local expertise.
Co-Op Northwest adopted five policies as its mission statement. They are:
- Maintain and enhance commercial and residential property.
- Promote the Northwest suburbs in a unified manner.
- Preserve and promote quality housing opportunities for all income levels in the five-city area.
- Work to integrate supportive service opportunities with neighborhood housing.
- Develop multi-sector approaches to addressing citizens' housing and human services needs.
To carry out the mission, Co-Op Northwest created seven committees or action groups, which report to the Executive Committee. They are:
- Legislative--to enact legislation which will provide resources and tools to enhance and improve housing, human services, education and employment.
- Pilot Projects--to increase capacity to fund and implement pilot projects that address housing, human services and employment. (This was chaired and staffed by a
Metropolitan Council staff person in 1992.)
- **Policies and Programs**--to develop subregional policies and programs for replication and to determine gaps and barriers in programming and policies.
- **Public Relations**--to promote the livability of the Northwest area for all residents, respecting cultural differences.
- **Housing and Redevelopment Authority (HRA) Certificates and Vouchers**--to obtain HRA administrative funds for housing and community planning needs in the five-city area.
- **Community Investment Principles**--to explore ways for private businesses to invest in their communities, such as paying living wages, providing health insurance and child care for employees and investing in other community efforts.
- **Jobs, Training and Education**--to work with local businesses, the Private Industry Council, Hennepin County Jobs and Training [Department], local colleges and cities to develop job and training opportunities and to reduce barriers to training and employment.
**History**
Below are some milestones in the history of Co-op Northwest.
**Summer 1991**
Five cities meet to discuss the need for administrative funds generated from Metropolitan HRA programs in their communities, which they feel should be returned to the communities for housing and related services. Through this discussion, cities recognize the need to work on a variety of housing and human services issues that cross jurisdictional lines.
**August 8, 1991**
A major brainstorming session is held regarding housing and human services issues. Attending in addition to the five cities are the four school districts and local nonprofit housing and human services providers. Common concerns and recommended strategies are identified, including the goal of "creating a subregional model for intersystem collaboration and problem-solving."
**August 28, 1991**
The group hosts the Housing Committee of the Minnesota House of Representatives at Brooklyn Park City Hall. Highlights include a video tour of the area, statistics demonstrating human need, and testimony from local officials.
**December 1991**
The Policy Statement for the group is approved.
**Winter 1992**
NWHHSC receives a capacity-building grant from the Minnesota Housing Finance Agency to support and expand the multi-jurisdictional housing and human services effort.
March 1992 A resolution is drafted for approval in all jurisdictions indicating a commitment to work together. The seven committees or action groups are approved and activated.
Spring 1992 The group is expanded to include Hennepin County Community Services staff and other county offices. Additional community representatives are invited to participate. Plans include incorporating more representation from communities of color, churches, businesses and program participants.
Summer 1992 All of the cities, school districts and Hennepin County pass resolutions of support.
A proposal is submitted to Hennepin County's Jobs and Training Department for a Police Cadet program for lower-income and minority residents. After training, jobs would be available on the police forces of the five cities. Funding for the program is granted.
Co-op Northwest receives a planning grant from the McKnight Foundation for the Enhanced Housing Initiative. The grant is the first for a suburban project and the only one to be used for privately owned housing. The planning funds are used to prepare a second McKnight grant application for funds to implement the housing and services program. This grant also was funded.
Fall 1992 McKnight awards another grant to Co-op Northwest to support the Community Resource Center in Brooklyn Park. This center also will be used for the implementation of the Enhanced Housing Initiative.
Winter 1992 Co-Op Northwest holds a meeting for all participants to plan its 1993 work. People meet in their committees to plan projects and approaches.
Evaluation
Co-Op Northwest has been an active, ongoing group for just over a year. The group has not had a formal evaluation of its activities. The following are informal observations:
- Progress in meeting the goals in the mission statement:
Forums have been held with rental property owners and residents to identify problems and needs. Property owner/manager associations have been formed in Brooklyn Park, Brooklyn Center, and New Hope. Crystal and Robbinsdale also are considering establishing associations. The focus to date has not been on commercial property, but one city working on improvements to a commercial area has consulted the group.
The focus of the public relations effort is to show that the Northwest area has more to offer than just problems. The new Police Cadet program has drawn considerable positive television and print coverage. Additional public information is planned as an ongoing activity of Co-Op Northwest.
The five cities submitted a joint application for housing rehabilitation funds. Only two cities received funding, but the cities felt they would not have been funded on their own. The workshops on landlord and tenant rights and responsibilities emphasized housing quality. Further work on this is planned.
Housing has been a major focus of Co-Op Northwest from the beginning. After interviews with top city and school officials, the leading issue was the need to help the lower-income people living in the five cities' lower-cost apartment complexes. Identification of this need led to the McKnight funding application for the Enhanced Housing Initiative, which involves coordination of housing and services. The initiative will run for three years, and it may be expanded to additional buildings and replicated in other areas.
Work with the Community Resource Center brings together police, parks and recreation, jobs and other resources for the benefit of area residents. The Police Cadet program has the cities, county, and college working together, along with social service agencies. A Cultural Diversity project also brings many participants together. The focus of Co-Op Northwest is on collaboration as a way of improving programs and using resources more wisely.
- Progress in involving the needed participants:
Participation in Co-op Northwest has grown over time. All cities and school districts are consistently active. Hennepin County involvement has grown considerably. North Hennepin Community College has been actively involved in the Police Cadet program. CEAP will be a partner in the Enhanced Housing Initiative, along with Westminster Corporation. The apartment owners/managers groups have been active participants, especially in Brooklyn Park. The Brooklyn Boulevard Business Association has been involved and the chambers of commerce in the area have begun to participate.
Co-Op Northwest has held focus groups to gain input from apartment residents but additional ongoing participation is needed from this population group. Minority representation should be increased also. Participation of area businesses and employers has just begun and needs to be increased. Other "citizens" should be involved also.
The major public participants all have passed resolutions of support for Co-Op Northwest. Considerable staff time has been allotted to the project, particularly by the cities. To date, three cities have allocated funds in their 1993 budgets for administrative support. Additional funds are anticipated.
- Progress in raising issues, identifying problems and devising solutions:
Focus groups frequently are used to raise issues and identify problems in the communities. Extensive data analysis also has been used to spot trends and quantify needs. Involvement of the broad range of participants of Co-Op Northwest often has helped to refine issues and focus solutions.
A good example of this process has been the work that led to the Enhanced Housing Initiative. The effort began with a series of meetings between Metropolitan Council staff and each city and school district in the area. A general problem emerged prominently at almost every one of the meetings: the need to provide assistance and human services for many of the young, lower-income families living in the cities' lower-rent apartment complexes. The general idea was taken to the Pilot Projects
committee and shaped by the many perspectives represented there. It was then used as the basis for the application to the McKnight Foundation, which was also prepared by Council staff working with a committee, resulting in planning and implementation grants. The idea is still evolving as additional groups become involved.
This group has been able to act quickly setting problem solutions into motion. Although many of Co-Op Northwest's participants are governmental units, Co-Op Northwest is not a unit of government. It is more like a nonprofit corporation working on issues one might more likely expect to be handled by government. It is too early to tell whether this relatively low level of bureaucracy can be sustained. So far, it has set a very optimistic, "can-do" tone for the group.
- Progress in reducing the costs of government:
Because of Co-Op Northwest, several cities have joined together for projects including cultural diversity programs, landlord-tenant forums and others. These joint programs have been less expensive than individual programs for each city. However, one of the longer-range goals of Co-Op Northwest is to save money by preventing costly problems in the future. Another goal is to spend money wisely.
It is very difficult to prove that programs that lead to self-sufficiency will pay for themselves in long-term savings in welfare and related costs, as well as cut crime and enhance the local economy. However, Co-Op Northwest will focus its programs on prevention wherever possible, to cut future governmental costs at all levels of government. By working together on these projects, expertise is shared and the costs of individual efforts by each city or district are reduced.
EXECUTIVE SUMMARY OF PAPER ON BARRIERS TO CHANGE
Editor's Note
One of the products of the Council's work on New Ventures in Delivering Government Services will be a paper entitled Improving Government Services: Realities and Possibilities. The paper examines the structure of local government in the region and the services those governments provide; summarizes local officials' and citizens' opinions about government; examines some of the ideas being advanced for changing the way government works; and looks at barriers to implementing change. The Executive Summary of that report is reproduced here, with some minor editing. The report will be published in January 1993.
"When agriculture is fully capitalized and achieves the full efficiency that it is capable of by the year 2000, you can run all of rural Minnesota with 300 people, 75 to raise the crops and the rest to write the reports."
(Garrison Keillor, Prairie Home Companion: The Final Performance)
Citizens of the Metropolitan Area, policymakers, writers and consultants have concerns and opinions about the efficiency and effectiveness of local government. Some think the paperwork and reporting requirements are excessive. Others think government is too big and growing too fast. Still others are looking for ways to "reinvent" or "fix" government to make it more efficient and effective.
Gov. Carlson is a leader in calling for change in government to respond to shifting circumstances. He has urged the Metropolitan Council to bring together local governments and citizens in the Twin Cities Metropolitan Area to find ways to make the public sector more effective. He has suggested that local governments might share resources, cooperate, coordinate, or even consolidate to provide better service at lower cost.
More than 300 local units of government deliver services in the Metropolitan Area in the 14 service areas discussed in this report. In several areas, more than one governmental jurisdiction provides services, suggesting that the overlap in certain functions might bear further examination.
Current expenditures in 1988 totalled approximately $4.3 billion in the Metropolitan Area for all units of government below the state level. The service areas with the largest expenditures were education, $1.6 billion; human services, $668 million; and public safety, $443 million. Current expenditures for the services areas examined increased from $587 per household in 1960 to $5,037 per household in 1988.
This report looks at some of the ways local governments currently are working together to share resources and talents. In approximately half of the local units, more than 2,600 agreements are in effect for all aspects of government functions. The report also summarizes the findings of interviews held with government officials, staff and legislators throughout the region.
One of the most frequent comments from local officials was on mandates from the legislature which require certain actions or prevent local units from exercising local control over their activities. A variety of mandates and specific pieces of legislation describe what local officials work with every day.
The report reviews some of the barriers or obstacles to local governments cooperating more with each other. These include provisions of the Joint Exercise of Powers Act, turf issues or protection of the status quo, special interest groups, state mandates and revenue constraints. Possible solutions offered include:
- rewriting the Joint Powers Act to clarify some of its ambiguities;
- reassigning service roles, restructuring services, encouraging competition directed at efficiency rather than at other levels of government;
- scrapping existing systems and developing new ones;
- separating special interests from legislators for a time during the legislative session and equalizing contributions to legislators from special interest groups and political action committees;
- developing financial incentives for cooperative ventures;
- funding of local mandates by the state;
- focusing on service delivery instead of on compliance with regulations;
- simplifying the permit-seeking requirements;
- streamlining eligibility requirements in human services;
- simplifying funding formulas for schools;
- putting the revenue-raising capacity at the local level and evaluating local government aids and tax-increment financing;
- evaluating equity and purpose of local government aids;
- modifying the Uniform Municipal Contracting Law;
- increasing flexibility in use of undesignated funds; and
- creating acceptance of uniform financial reporting.
The report describes the current systems of cooperation in the Metropolitan Area, the array of mandates affecting local governments and some possible solutions. This report represents one part of the Council efforts to examine government in the region and provide information and ideas for improvement of service.
This report provides a basis for further discussion with community leaders to identify strategies for removing barriers to the improvement of the delivery of public services. The goal is to encourage local innovation and to increase local flexibility in responding to what citizens want and are willing to pay for.
EXECUTIVE SUMMARY OF PAPER ON REDESIGNING PUBLIC SERVICES
Editor's Note
The Executive Summary of a Council paper entitled Redesigning Public Services is reproduced here, with minor editing. This document, to be published in January 1993, is another product of work on the New Ventures project. It was developed by Council staff.
This background paper was written to further discussion on important principles for redesigning public services and to suggest a broad array of alternative approaches for policymakers to consider in a redesign process. The following sections highlight major parts of the paper.
How does government become responsible for public services?
Government gets involved in two ways -- either directing public policy (requiring that certain services be delivered or regulating them) and by providing the services directly. Government takes on these responsibilities for a number of different reasons -- the marketplace does not deliver the service, not all individuals can afford private goods, or because the nature of certain services creates problems the marketplace cannot efficiently or fairly resolve. When considering redesign of public services, it is important to go all the way back to this question of why government gets involved in the first place.
Problems with service delivery -- public or private
There are advantages and disadvantages to the marketplace approach to services and the same is true for public services. Neither is perfect and, in fact, many services in the region are a blend of the two. It is important to understand the strengths and weaknesses of each.
- Private Marketplace
Advantages of the marketplace include: services often are provided at the least cost to society while meeting demands of the public; customers decide what they want and suppliers decide what to provide; and the actions of buyers and sellers distribute income without intervention.
Disadvantages include: goods and services that are jointly used or are not used up are not produced adequately because there is no "market;" there are spillover effects not taken into account (for example, the value of education extends far beyond the individual receiving the education); large capital-intensive services tend to lead to monopolies; and sometimes a lack of information and other flaws cause inefficient and unfair results.
- Government
Government plays a role where markets fail to work efficiently and fairly.
Advantages of government involvement include: government can raise money with taxes and provide services or regulate markets to adjust for market failures, and decisions can be made that reflect political consensus rather than supply-and-demand decisions.
Disadvantages include: loss of "marketplace" efficiency in the allocation of resources; subsidies or the
government provision of services distorts personal choices (business or individual), and government monopolies are not subject to competition.
**A definition of service redesign**
Redesigning public services entails identifying what type of problems create the need for public action and examining how well current service systems work. This does not simply mean looking at different ways to provide the same service, but rather, analyzing underlying problems. Only after this type of examination has taken place can the redesign process begin. Then, either new services can be considered and evaluated, or alternative policies to improve existing services can be assessed and compared. Understanding how alternative policies work to address performance and resource use problems is at the heart of approaches to redesign public service systems. New or redesigned services are intended to help motivate people to restrain costs, demand less of government, make decisions based on the full costs and benefits of public services and more fairly redistribute income.
**How to assess services**
Redesign means assessing services -- current services and proposed redesigned services. The paper uses a set of criteria to illustrate how services can be evaluated. These criteria should be used in any evaluation approach, not just a redesign process. The criteria discussed include: costs of the regulation or service delivered, cost to individuals, availability and variety of choice to individuals receiving the service, service quality, distributional effects (winners/losers), service reliability, feasibility and an assessment of the overall impact of a given approach compared to others.
**Different approaches to service delivery**
The paper then discusses and illustrates a number of different ways to reexamine government services. These are illustrated in the following table.
| SUMMARY OF ALTERNATIVE POLICY APPROACHES |
|------------------------------------------|
| **Marketplace Approaches** | **Nonmarket Approaches** |
| 1. Competition | 3. Oversight |
| deregulation | regulation and monitoring |
| contracting out | requirements |
| intergovernmental agreements | supplying public information |
| franchising | |
| 2. Pricing | 4. Self-Help and Voluntary Groups |
| subsidies | families |
| vouchers | neighborhoods |
| tax incentives | churches |
| user charges or fees | volunteer groups |
Source: Adapted from material prepared by John Brandl.
Summary of major findings
- **Motivations for redesigning public services.** Redesigning public service systems gives policymakers a possible means of cutting costs, increasing efficiency and improving fairness without necessarily raising taxes or trimming services.
- **Redesign is not an all-or-nothing proposition.** By looking at different service activities or responsibilities, it is easier to see that the extent and form of government involvement is not all or nothing, but differs by type of responsibility (directing public policy and delivering services).
- **What redesigning public services means.** Service system redesign involves isolating problems, figuring out their functional causes, developing and assessing alternatives and settling on a policy response.
- **Understanding the rationale for public policy intervention.** The characteristics of certain services cause problems and give government reasons to intervene with public policy. Consideration of policy alternatives should begin with an understanding of the source of policy problems.
- **Assessing services and making comparisons.** Existing service systems and potential candidates for redesigning services all have disadvantages and advantages. Their relative advantages and disadvantages must be assessed and compared.
- **Key points about assessing service systems.** Types of services differ and the relative importance of criteria vary by service. The complex nature of public services often makes it difficult to assess service costs, quality and fairness. Assessing policies should improve the chances of making a good policy decision, but does not guarantee success.
- **Redesign ideas are not new and a few alternative approaches have been extensively used for years.** In a national survey of local governments, about 44 percent of services were planned, funded or supplied through nongovernment policy approaches in 1982. Use of alternative policy approaches was highest for contracting (17 percent of total service responsibilities), followed by intergovernmental agreements (13 percent).
- **Diversity of policy approaches.** The type of service supplied and the local environment need to be carefully considered when assessing alternative policy approaches. Current use of different service approaches may seem fragmented, but this variety reflects different local situations and goals.
- **The impact of redesign.** Although saving money is a major objective of policy alternatives, improving quality may prove to be the more likely outcome resulting from the range of policy alternatives discussed in this paper. No general statement can summarize the success or failure of all redesign options. Evaluations need to be made on a case-by-case basis.
Next steps?
What should the Council do next to help local governments redesign services?
There is no easy, one-step solution to any of the problems facing the region. In redesigning services one must focus on a specific service delivery area. Therefore the New Ventures Advisory Task Force and/or the Council need to pick a service that may benefit from an alternative policy approach and ask what the fundamental goal is behind providing the service. What is the problem and why is government involved?
Use the evaluation criteria in this paper to assess how the services are being delivered. What is happening now and are the services being delivered satisfactorily?
Pay particular attention to final outcomes, not intermediate goals of institutional structures or bureaucracies. Who is benefitting?
Consider the alternative approaches: competition, pricing, oversight and self-help and volunteer groups. Look for examples used elsewhere. What else is possible and are the incentives in the right place?
If these steps are undertaken, then the process of analysis, evaluation and public discussion can proceed and services perhaps can be redesigned effectively. However, as noted above, this may not save money but may lead to better delivery of needed services.
LOCAL OFFICIALS’ GUIDE TO RESOLVING DISPUTES
In its efforts to analyze and document current efforts in cooperation, collaboration and consolidation among units of local government, the Council recognized that the success and cost-efficiency of such collaborations can be aided significantly when a process of mediation is used. As a result, the Council agreed to lend a staff person to the AMM and the State Office of Dispute Resolution to develop a publication to be entitled, *A Local Officials’ Guide to Resolving Disputes*. It is to be a practical guide to the use of mediation services in local and interjurisdictional disputes. The applications of mediation discussed in the handbook also are appropriate to resolving the differences that arise as units of local government fashion new working relationships or agreements for shared services.
This handbook was conceived by and is being developed under the direction of the Dispute Resolution Committee of the AMM. The committee is composed of elected officials, city managers and representatives of mediation service organizations.
Information from interviews held in May and June with city and county officials (appointed and elected), mediation providers and educators was used to develop an outline for the handbook. The guide will have three major sections:
- The first covers the uses of mediation, how the process works, its applicability to the issues of local government, the types of mediation resources available and how local units of government can gain access to these services.
- The second section is made up of chapters containing information of particular interest to important actors in local government: city and county attorneys, elected officials, government managers and front-line staff.
- An appendix includes handouts, forms, resource lists and other practical tools for a unit of government to use or adapt to integrate mediation into its day-to-day practices.
The handbook is to be published by the end of February 1993.
Three important auxiliary activities to encourage use of mediation have been undertaken. They are:
- A network of more than 60 local officials familiar with mediation has been set up. These persons have agreed to assist other local officials who may be considering the use of mediation.
- The AMM has agreed to offer an annual award to recognize cities that have used mediation either to resolve difficult disputes or have applied mediation to collaborative processes.
- Members of the AMM Dispute Resolution Committee are in discussions with the League of Minnesota Cities Insurance Trust (LMCIT), the insurer of most Minnesota cities, to have the use of mediation in a city considered in its risk assessments and to encourage LMTIC to offer a financial incentive for its use.
NEW VENTURES ADVISORY TASK FORCE
The Council's work plan for 1992 recommended, "An advisory committee consisting of local government officials, Council members, and other policy leaders in the community will need to be appointed to help guide the staff and the Council on the work of this project."
Appointment and Charge
In early 1992, letters were sent to government organizations, business leaders and citizen groups asking them to nominate individuals who had an interest in working on this issue. One hundred and two names were submitted to staff and the final 25 individuals, nominated by the Metropolitan Council chair and approved by the Council, were appointed to the Advisory Task Force on New Ventures in Delivering Government Services in April. (See list of members in the Appendix.) The task force, chaired by Larry Donlin, former mayor of Minnetonka held its initial meeting in May. The task force held two-hour monthly meetings from May through August and biweekly meetings in September, October, and November.
The purposes of the advisory task force were "to advise the Council and its staff on innovative ways for local governments to cooperate, collaborate and consolidate in the delivery of governmental service. The task force should also share its opinions on the redesign of service delivery. It should review and make suggestions on ideas and papers prepared by consultants and staff, and formulate recommendations on ways the Council and other entities can proceed to encourage local governments to become more efficient and effective as providers of services to their citizens."
The charges to the group were to:
- advise the Council and its staff on ways to implement the task force's purpose;
- review and comment on draft documents, staff planning efforts and other reports developed by private or public organizations on service delivery initiatives;
- involve other interested individuals and organizations in the discussion of service delivery initiatives; and
- develop recommendations to be taken to the Metropolitan Council to meet the objectives of the project.
Kolderie Presentation
At the June meeting, Ted Kolderie summarized his conclusions from years of examining public service and delivery issues. He posed the following questions: (1) What have we learned about what the problem really is? (2) What other kinds of arrangements than the ones in existence are possible for the public sector? (3) If one of the alternative arrangements were desirable, how would it be implemented?
When government determines that a particular service is desired or needed, he said, it is followed by either-or thinking. That is, either the government will provide the service or it will contract for it.
This precludes questions about alternative "nonservice approaches" to citizens' problems. Kolderie said that the nonservice approach seldom is raised because that is not where the money is (money to be made by the vendor or the service provider). Low-capital, low-cost alternatives to public services have little appeal. The either-or view limits flexibility and creativity.
Kolderie said that little consideration is given to deciding what services government should provide and then deciding who should arrange for or provide them. The assumption is that whatever government decides should be done, it will do also. The *deciding function* (setting policy on what is going to be done or not done, to whom, when, where, how, to what level of service, paid for how, and by whom?) is the essential function of government. This addresses the matter of equity for citizens; it is the essential difference between the private sector and government.
There is a greater potential for changes that would make major differences with less cost to the public if policymakers would focus on how to prevent problems rather than on the provision of remedial services. But that approach works for the consumer rather than the producers; there is little political support to make this change.
The third area Kolderie addressed was how to get these ideas established. He felt the way *not* to do it is to establish quality improvement programs, to manage better, and to establish desired outcomes for services. A better approach is to concentrate on the fundamentals and do them right.
Kolderie warned against thinking that citizen needs must be met by a large organization, especially a public organization. He also warned that as work proceeds on redesign of government services, the objective should be to do it in such a way that it does not put people at risk.
**Task Force Deliberations**
At two meetings of the task force, staff provided information about efforts to gather information regarding barriers to increased cooperation among local government officials and presented a draft report on the topic. Background research included interviewing elected and appointed officials from municipalities, townships, school districts and counties. Task force members offered comments on barriers that might be identified. (See page 31 above for a summary of the document on barriers.) At a later meeting, the advisory group was briefed on the staff paper entitled *Redesigning Public Services*. (See section of this report summarizing that paper, page 33.)
Task force members were given summaries describing the work other groups were or are doing that is pertinent to the New Ventures work. Information on the status and activities of these groups is found elsewhere in this report.
Among the ideas discussed in the meetings was that called "assignment of function," or looking at the appropriate assignment of functions at whatever level of government rather than examining governmental organizational structures. This approach includes examining the optimum size of service areas. Members looked at materials of the national Advisory Council on Intergovernmental Relations (ACIR) having to do with assignment of function. According to that group, the basic criteria for determining the appropriate level of government to which to assign particular functions are: (1) economic efficiency, (2) fiscal equity, (3) political accountability and (4) administrative effectiveness.
The task force discussed the work of the state ACIR and commented that many foreign countries have such a body but there are few examples in this country. They thought it would be appropriate to have a regional ACIR-type forum that would look at issues relating to assignment of function in an open review and would make recommendations on how to improve services. Members indicated that placement of such a body should take into account access to data and other resources. One option would be to house it at the Metropolitan Council.
Members believe that change needs to come from the bottom up rather than from the top down. There are many ways the Council could assist that process through its information base and as a "regional conscience" that keeps issues that effect the economic well being of the region in front of the public. Along with that, the Council needs to develop support for this region as an economic competitor.
Another idea was that the Council collect data on all costs of providing local services, including all state and federal subsidies, and present it in comparative form for citizens' information. This would allow citizens to compare effectiveness of different units of government and call for change if need be.
The task force heard a presentation from staff of the Human Services Department of the Council on a meeting of Council and task force members who were asked to sort and prioritize issues in the human service delivery area that relate to the work of the New Ventures task force. Conclusions from the meeting also would be used in Council's work on revising the Metropolitan Development and Investment Framework.
Task force members also were briefed on an article by Joseph Sensenbrenner, former mayor of Madison, WI, on "total quality management" (TQM). Members encouraged government leaders to find opportunities to introduce these ideas. They also suggested that Council could study the major service chains in 1993.
**Possible Recommendations**
Staff asked the task force to consider recommendations that would begin to address the concerns of the governor, especially to find incentives (and identify disincentives) that would encourage new approaches to service delivery. Staff outlined several approaches the Council could take, including:
- conducting a financial case study of successful consolidation, cooperation or redesign efforts;
- offering technical assistance to help local governments learn about strategies;
- performing a financial analysis to assist local units of government in determine cost savings through service sharing, mergers and service redesign; or
- examining redesign strategies that put the emphasis on service outcomes and achievements for customers and reward those governments that provide the highest level of outcomes for customers.
Task force members said this work might require a long time frame, perhaps five to ten years. In
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5 *Harvard Business Review*, 69:2, March-April 1991, pp. 69-75.
addition, it might require developing a "comprehensive guide plan for metropolitan governance" so all parties understand the fundamental goals.
Other comments included:
- reduce state aids (local government aids and agricultural credit aid);
- explore both consolidation of smaller communities and/or delivery of services and the "deconsolidation" of large government bodies (cities or counties);
- study the competitive bidding process to find ways to improve efficiency and effectiveness;
- look at how programs or services are funded to identify how that process promotes inefficiencies or other negative consequences;
- establish a loan fund for local governments to use for work on developing cooperative services; and
- support efforts and recommendations of other groups working to find better and more efficient ways in which local governments can provide services.
The final recommendations of the New Ventures advisory body are outlined below.
TASK FORCE RECOMMENDATIONS AND CONCLUSIONS
The task force considered several recommendations to forward to the Council. It selected one which members believed the Council had the authority to carry out and also was the logical body to do so.
Background
Between May and November 1992, the Metropolitan Council’s Advisory Task Force on New Ventures in Delivering Government Services reviewed numerous documents and heard presentations by staff and others on the subject of improving government service delivery. The task force was made up of 25 members representing counties, school districts, cities, townships, business and citizen interests. From the beginning of October, the task force worked on recommendations for the Metropolitan Council’s consideration and possible action.
To facilitate the task force’s charge, staff prepared two background papers. One deals broadly with the barriers that inhibit local governments’ ability to work cooperatively with one another in delivering better services at a lower cost to their constituents. The second deals with service redesign and the factors and criteria involved in determining how public services can be reformulated to achieve efficiency and cost effectiveness.
The Advisory Task Force on the New Ventures in Delivering Government Services project recognizes the role of the Metropolitan Council pertaining to issues of governance in the seven-county region. The Council’s mission is to coordinate the orderly and economic development of the region. It serves the region primarily in a planning role, but has some responsibility in regional service delivery, for instance the Metro HRA. The Council also facilitates coordination on issues transcending local government boundaries such as the current 800 MHz trunked radio system for communication among public emergency operations. If the Metropolitan Council is to work on issues of governance in the region, then the scope of responsibilities of the Council needs to be expanded.
The advisory task force concludes that there are no easy answers to issues of governance. In addition, change cannot happen overnight, but rather evolve as a result of focused effort involving the public. In addition, change needs to be a participatory process, with suggestions emanating from all levels within government. Evaluation should be carried out in a uniform process. The task force sees a need for a mechanism that would facilitate change in an orderly, deliberate fashion.
Assumptions
The following assumptions form the foundation for the task force recommendations:
- The changing economic environment in the past decade is exerting pressure on all sectors, including government, to be more cost effective.
- Government is a major part of the economy and must respond as an equal partner with the private sector to the realities of global economic competition.
- Governments are finding it difficult to increase revenues, although the number of citizens who require government services has increased.
- The public expects government to manage resources responsibly. It will choose to tax itself
if it believes more resources are needed. Citizens may resist paying more taxes for expenditures that are not clearly defined or that they do not value.
- Citizens expect government to provide services for the benefit of society.
- A perception exists that governments at all levels have grown proportionately faster than the population.
- Citizens think duplication of effort occurs in different levels of government with possible misuse of tax dollars and little noteworthy improvement.
- Demands for new programs may lead to higher costs and the public will need information in order to make informed choices about desired services.
- Government leaders are aware of citizens' concerns and try to maintain efficient systems. They may be frustrated by circumstances beyond their control.
- Government structures may require redesign to meet changing political and economic environments.
- Change is difficult and slowly accepted. It often is designed at higher levels of government and lower levels must adapt to the best of their abilities.
- Tension exists between those who advocate for local control and those who seek broader solutions.
- Government leaders and employees must reexamine the delivery of services to the public and manage more effectively.
- Factors that work to inhibit change include lack of consensus on issues, dispersion of power, limited control, specialization and powerful, narrowly-focused interest groups. Many of these factors also are part of the strength of a democratic system.
- Mandates and rules imposed on local government limit or prohibit their ability to operate more efficiently. However, mandates often reflect legislative intent.
- Mismatches often exist between local governments' ability to raise revenue and the need or desire of constituents for services.
**Recommendations**
The Advisory Task Force on New Ventures in Delivering Government Services recommends to the Metropolitan Council the following:
- That a Metropolitan Advisory Commission on Intergovernmental Relations (MACIR) be created and serve as an advisory body to the Metropolitan Council and the legislature. This commission would be appointed by the governor and would consist of nine members. These
members would represent each level of government in the metropolitan area as well as the public in general. Members would be selected from a list of candidates submitted by professional and other organizations of local governments and the general public. The majority of appointees will represent local governments.
The purposes of the MACIR would be to:
- Serve as a neutral body to resolve issues relating to government redesign.
- Address issues related to local governance in the metropolitan region from a systemic perspective.
- Recommend to the Metropolitan Council and the legislature ways to resolve issues of government effectiveness, efficiency and accountability.
- Review pending legislation and make recommendations to the legislature and the Metropolitan Council, specifically regarding potential costs to local governments.
The commission would undertake the following:
- Create a body of information to facilitate changes in providing government services.
- Work with other interested groups to achieve the collection of standardized information that would allow citizens to make better choices in government services.
- Develop a program of financial incentives to assist local governments in the process of cooperation, consolidation and decentralization.
- Draft legislation as necessary to help achieve the objectives of the commission.
- Undertake several studies that would support the objectives of the commission, including:
- Share information with, and support the efforts of, the Citizens League and other groups working in the area of intergovernmental relations.
- Work with other jurisdictions, including the legislature, to achieve additional outcomes to improve government services.
STAFF RECOMMENDATIONS
The staff of the New Ventures program developed a series of recommendations based on discussions that occurred at the task force meetings. The recommendations were then rated for intensity of staff effort and the impact or visibility each would create in the Metro Area.
Estimates of Impact and Effort
- **High impact/High effort**
- Set aside three to five people who will work with local governments on shared services, thinking differently, etc. Keep track of estimated savings and help them think about entrepreneurial techniques and how to use total quality management.
- Initiate a pilot project on service redesign. This can be done by working with a local government or by developing our own project. For example, redesign service in one of the eleven HIF categories. The Council could use a computer software program such as the one at the University of Minnesota.
- Have staff analyze the total cost of local government, applying on a percentage basis, the local government aid, HACA, highway aid, welfare aid, etc. so that people know the total cost of each service. A report card will then be published on the true cost of local government service. The purpose is to tell people what services really costs so they may want to make changes.
- Streamline activities with the other regional agencies. In particular, look into purchasing and other services on a joint basis.
- Have the Council staff work with the English Audit Commission and local governments to set up a way to measure the cost of each local government service. Collect the information and produce a report card among the different units of government. This is at least a two year project. An alternative would be to assist a local government as it tries to measure a service outcome. This alternative is not very threatening to local governments.
- **High impact/Low effort**
- Hold a summit meeting of thinkers, legislators, governor's office staff, and media to develop and put a plan into action to get local governments to think and spend differently.
- The Council will work to change the state local aid formula to create incentives for local government to operate more efficiently or to merge their services.
- Introduce legislation to reduce the number of governmental units in the seven county area, e.g. reduce from seven counties to two and have the counties offer a menu of services for local selection.
• **Low impact/High effort**
• Set aside $100,000 for low interest loans to local governments to plan and implement savings and shared services. Keep track of estimated savings.
• Analyze which small cities, townships, or school districts could be consolidated. Send staff out to work with elected officials, appointed officials, media, and the community to bring about consolidation and work out problems.
• Set up a facilities team in the Council to review and help all local governments to find or build facilities that make sense, can be shared, etc. Start with schools because it is a big savings area. Ignore boundaries in doing so.
• Review each of the eleven HIF categories and point out where there are overlaps, gaps, and where the total system does not get the result wanted. After each category is analyzed, set up a team to work with the agencies involved to try and get changes in redundancy, help people rethink the need, and develop a new system.
• **Low impact/Low effort**
• Keep the Council’s reference library up to date and send letters describing ways to save to all local governments every two weeks. Follow up on requests for information and when something is implemented, supply the cost savings data to the governor. We should follow up on all inquiries for assistance.
• Develop a legislative program to cut barriers and then work with local governments to make changes when barriers are gone.
• Maintain staff liaison with other groups who are also examining issues of government efficiency and redesign.
APPENDIX
New Ventures in Delivering Government Services
Advisory Task Force 1992
Babak Armajani
Mike Mueller
Bill Barnhart
Ann Mulholland
Gene Bealka
Steve Peaslee
Larry Donlin, Chairperson
Neil Peterson
Evelyn Fischer
Jim Quinlan
Magda Fowlston
Victoria Reid
Dennis Hegberg
Lois Van Dyck
Cheryl Hobbs
Carolyn Voss
Verne Johnson
Janet Wendt
Gloria Kumagai
Lyle Wray
Lillian Warren Lazenberry
Susan Anderson, Council Liaison
Richard Maas
Paul McCarron
Kenneth Morris
(1) 2008年1月1日以后，对在境内销售货物或者提供加工、修理修配劳务以及进口货物的单位和个人，除本条第（二）项规定外，不再征收增值税。
(2) 对单位和个人销售自己使用过的固定资产，按照简易办法依照4%征收率减半征收增值税。
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): A software application that provides services for creating, maintaining, and managing databases.
5. Encryption: The process of converting information into a coded form to prevent unauthorized access.
6. Hashing: A technique for mapping data of arbitrary size to fixed-size values.
7. Interface: A boundary between two systems or components that allows them to communicate with each other.
8. Object-Oriented Programming (OOP): A programming paradigm that uses objects to represent real-world entities and their interactions.
9. Protocol: A set of rules and procedures for communication between different systems or devices.
10. Query: A request for information from a database.
11. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
12. Software: A collection of instructions that can be executed by a computer to perform specific tasks.
13. System: A collection of interrelated components that work together to achieve a common goal.
14. User Interface (UI): The part of a computer program that interacts with the user, allowing them to input commands and receive feedback.
15. Virtual Machine (VM): A software implementation of a computer system that runs on top of a physical machine.
These terms are fundamental to understanding the concepts and practices in computer science, and they are widely used in various fields such as software development, database management, security, and networking. |
General Information
Purpose of the report
The new Wikimedia Funds strategy encourages a form of learning and evaluation through reporting that is intended to encourage in-depth reflection on what was learned as a result of the processes and outcomes of your work. The focus is on documenting the learning in your reports, and then taking time to share and reflect together as thought partners - between Grantees, Foundation, and Regional Committees. Hopefully, reporting will serve as a tool for learning together, our goal is a collective and iterative learning and evaluation process that allows us all to tell a fuller story of your work and communicate it to others.
What might you be asking?
Q: But if the spaces are reduced, how am I going to express the full story of my work?
R: With a common set of questions and answer formats in the Fluxx portal, we aim to gather this learning and evaluation in a way that helps us categorise the information and aggregate data, both quantitative (the numbers) and qualitative (the descriptions/learning/perceptions, etc). We hope that this aggregated information is returned to you in a way that is useful, not only for reflecting on your work but also about grantees' work as regional and global collectives.
It is important to note that the reporting form, as with the application form: provides multiple spaces to add additional documents in diverse formats (images, dashboards, documents, videos, etc). Add anything that helps complement the main body of the reporting. will improve over time based on your feedback. This is an iterative process. We will be reflecting
with you to see if this format requires any changes to better capture information and learning.
**Q: How do numerical metrics support the focus on learning and metrics?**
R: Quantitative data (the numbers) are important indicators to get a wider picture of some of the outcomes of grantee work. With a more structured registration and analysis of this data across all grantees, we can, for instance, aggregate metrics across regions, thematic issues, Wikimedia projects, types of organisations, and movement-wide tendencies. We hope that over time we will develop a better understanding of these numbers that will generate useful insight and perspective into our movement.
However, numbers alone do not tell the complete story of why things happened, what processes worked or didn’t work, and what impact we have on participants’ perceptions, and levels of engagement. Also, by some metrics, work that is important for the movement might generate small numbers, despite large efforts, innovations, and outcomes. Documenting this will be very important to give these numbers (large and small) context and value, and to help us develop better ways of measuring what we think is most important.
**Q: Ok, but what if I didn’t have time or capacity to gather a lot of qualitative data to answer these questions or do “in depth” learning?**
R: Don’t worry, this is a process for us all! In your application, you asked some very interesting learning questions about your work. Take some time to reflect with your team around these. You may have gathered more information than you think! If you did manage to apply some qualitative tools, such as surveys, interviews, focus groups, and storytelling, that is also great! If you didn’t, take this reporting opportunity to reflect if this would be needed in future proposals and how you might consider these in your budget, team, and skills development.
**Q: What if I would like to suggest changes to this format in the future?**
R: Great, as with the application process, the Community Resources team will be collecting feedback and will create spaces to discuss any future adjustments. This is all about learning, iterating, and adapting together.
**Technical note:**
This form is for organizations receiving Wikimedia Community Funds (General Support) or Wikimedia Alliances Funds to report on their mid-term learning and results. Please reach out to your regional program officer in the Community Resources team if you have any doubts or need support. Following this report, the regional program officer will invite you to a conversation where you will collectively reflect on your work, learning, and any interesting areas to support.
**Privacy note:** All responses except applicant and organization details, will be automatically shared publicly on Meta-Wiki even in the draft status. Please do not add any confidential or sensitive information to your responses. Additionally, all uploaded documents with **Story or impact document**, **Financial report**, **Evaluation document**, and **Other public document** labels will be automatically shared publicly. Please do not upload any confidential files with these labels. Please see the Application Privacy Statement for more information.
**Due At:** 15/1/2023
**Approved At:** 23/8/2023
**Funding program:** Wikimedia Community Fund
| Name of Organization | Wikimedia Norge |
|----------------------|----------------|
| Name of Individual or Primary Contact | Elisabeth Carrera |
| Grant Application Type | General Support Fund (2020-23) |
| Title of Proposal | Knowledge Equity: Supporting equity on Wikimedia projects |
| Objectives of Proposal | == Track one: Supporting the local community of Wikimedians and Wikipedians == In our local community support work, we have well-established programs for dispersing access to closed sources, press accreditation, travel grants and general-purpose microgrants, as well as organizing online meet-ups and workshops for volunteers. The Norwegian Wikipedia communities have expressed a wish for more in-person wiki meet-ups after COVID, so we will also try to facilitate that from our end too – both by hosting meet-ups ourselves, and supporting community members who wish to host meet-ups on their own initiative. In addition to local meet-ups, we will also continue to host workshops/training sessions for experienced Wikimedians to expand their skills and toolsets. We will also look into creating (or funding the creation of) Wikipedia editing training videos in Norwegian, which is something that has been requested in the community for some time. We will also establish a more organized system for lending equipment that WMNO owns. We already own some equipment (like cameras, microphones, computers) that can be borrowed free from charge by community members, but it’s not easily discoverable, so that’s something we plan on fixing. == Track two: Knowledge Equity in Norway == As for our work with knowledge equity in Norway, we will maintain and further develop the existing partnerships we have with several institutions; we will go into more detail about these partnerships in point 14.1 further down, but some examples include: * Our Women in Red program in collaboration with Oslo Metropolitan University (OsloMet). Every year, a group of students from OsloMet’s library and information technology studies learn to edit Wikipedia and search the digital archives of the National Library of Norway. They write biographies on women, based on lists curated by GLAM partners, such as the National Library of Norway and National Museum. * Our collaboration with the Norwegian Archive for Queer History, especially during 2022, which is the national "queer culture year" in Norway, celebrating the 50th anniversary of the abolishing of the law against sex between men. * An ongoing collaboration with the National Archives of Norway and the Sámi Archive to bring Sámi archival material to the Wikimedia projects (primarily Wikimedia Commons). == Track Three: Knowledge Equity Internationally == For the Language Diversity Hub work, the main activities we will do in 2022 are covered in a separate MSIG grant proposal: https://meta.wikimedia.org/wiki/Grants:Project/Rapid/WMNO/Language_Diversity_Hub, which was accepted in March 2022 and will run from May till November/December 2022. However, that grant only covers that project; on top of that, we will continue to hold meetings with the Language Diversity Hub steering committee, do more general outreach to the wider Wikimedia language diversity community, and attend relevant conferences and events both within the Wikimedia movement and outside. == Communication and information work == For all our tracks of work, we aim to have an increased focus on information work. We use newsletters, our own blog, the Diff blog, YouTube-videos and social media to talk about our projects, our partners and news related to our work. The goal is to engage and create awareness among existing and potential contributors, make our partnerships visible and our work known to a wider audience. |
1. Briefly describe how your strategies and activities proposed were implemented and if any changes to what was proposed are worth highlighting?
Our work can be divided into three tracks: 1) Supporting the local community of Wikimedians and Wikipedians, 2) Knowledge equity in Norway and 3) Knowledge equity internationally. This autumn we focused mainly on tracks 1) and 3). In addition, our Board of Directors worked on revising our organisational goals and objectives. A Strategic Plan 2023-2028 has been formulated and well anchored amongst our members. Our Executive Director is on leave from May 2022 through March 2023, and having an interim ED gave us the opportunity to let a fresh pair of eyes revise our workflow and staff resource management.
Within track 1) we have opened up more lines of informal communication. Wiki Meetups have been organised regularly for years. We have now introduced an additional monthly Wiki Lunch Break. Either with an announced topic or simply as a social get-together. We have also started a monthly online training session aimed at Wikipedia novices: Wikipedia Kickstart (https://no.wikipedia.org/wiki/Wikipedia:Startthjelp).
Track 2) held two initiatives that weren’t included in our program proposal. With the help of jury members from three non-profits we organised a national Wiki Loves Monuments campaign. Our second «added value» was to ensure project funding to translate MediaWiki and the Wikipedia apps (iOS and Android) into Northern Sámi. The work will be completed in spring 2023.
Track 3), the most staff-intensive track, was our work in the Wikimedia Language Diversity Hub and its research project about new Wikipedia editions and their communities. This important work is aligned with our long-standing efforts to support under-represented or indigenous languages, with our main focus of course being the Sámi languages.
Our Annual Report 2022 provides a good snapshot of our status quo halfway through this funding period, and it tells our program stories in more detail than this report would have allowed.
2. Were there any strategies or approaches that you feel are being effective in achieving your goals?
In our program proposal we stated that we wanted to explore which communication methods or approaches that could work better for us. In the last quarter of 2022 we stepped up our communications work, and as a result our social media reach and our earned media coverage boomed. No magic formula was needed, it was just a matter of devoting staff time to basic, professional PR and communications work. To achieve our goals, particularly within tracks one (Supporting the local community of Wikimedians and Wikipedians) and two (Knowledge Equity in Norway), we need to create enthusiasm and support for our work. A continued focus on communications work is crucial to our success, and we are currently working on how to improve the information architecture of our wiki (https://no.wikimedia.org/wiki/) and our website (https://www.wikimedia.no).
3. What challenges or obstacles have you encountered so far?
We have the opportunity to work more closely with contributors on national Wikimedia projects. More volunteers can be included in our activities as organisers, mentors or trainers. It is, however, challenging that there has been a certain level of distrust or alienation between part of the volunteer community and the WMNO board and administration. Our efforts this funding period to open up more lines of informal communication seem to have a positive effect on this. It is important to bear in mind that the volunteer contributors are the core of the Wikimedia projects, and not try to oversell the impact our chapter’s professional efforts have on the Norwegian and Sámi Wikimedia projects. Our community outreach efforts need to be positive and engaging, with a humble approach.
Sometimes it’s hard to focus our staff time and attention on prioritised tasks and projects, and actively measure and evaluate our performance. In our day-to-day operations we need to encourage each member of staff to monitor their areas of responsibility more closely. This
systematic approach should be applied to our training activities and our communications work in particular.
4. Please describe how different communities are participating and being informed about your work.
In the past, quite a few of our efforts to engage with potential contributors/members, the general public and the national Wiki community have gone unnoticed. The current upscaling of our communications work will improve our reach, and hopefully that will be reflected in our metrics for the second half of this funding period. Community participation is described in our Annual Report 2022, and details about how they're being informed can be found in the section "Day-to-day operations".
5. Please share reflections on how your efforts are helping to engage participants and/or build content, particularly for underrepresented groups:
In line with our new Strategic Plan 2023-2028, we are taking measures to try to counter the gender gap amongst contributors on the Norwegian and Northern Sámi Wikipedias. Currently, less than 5% of the administrators on Wikipedia in Bokmål are women, and there are no female mentors. The number of administrators on Nynorsk and Northern Sámi Wikipedias is very low, and only three of them are women. Those two Wikipedias don't have any mentors, male or female. The last few years our focus has been to bridge the content gender gap. It's time to also work on how to diversify who contributes to that content. If we can grow the number of female administrators and mentors, they can act as role models that might up the total number of female Wikipedians. The current upscaling of our communications work can help us grow the number of contributors and the content they produce, not least within the Sámi community.
As part of our efforts to strengthen Sámi language content in the Wikimedia projects we have previously worked mainly on content creation or uploads. Hopefully, our current projects to translate MediaWiki and the Wikipedia apps to Northern Sámi, combined with efforts to recruit contributors, will stimulate long-term growth. The translation projects will make it easier to translate other Sámi language versions, such as Inari Sámi, at a later stage.
6. In your application, you outlined your learning priorities. What have you learned so far about these areas during this period?
We wanted to use our work with Sámi content as a model for our international efforts to support small language communities. The Northern Sámi Wikipedia was started as early as 2004, but it's far from a mature project. The editing activity level and the number of contributors is now so low we need to take firm steps and try to make changes. Perhaps we will have to shift our focus in the Language Diversity Hub: How can we learn from small language communities that do better than us in their efforts to recruit, train and retain contributors?
With the Language Diversity Hub we also learned that it was unfortunate to take on the responsibility as fiscal sponsor for a project at a time when we had no Executive Director. Lack of financial management and unclear definitions of volunteers versus contractors caused time-consuming challenges for our accounting and tax responsibilities.
On the positive side, the hub work yet again confirmed the value of joint capacity building for small language communities within the Wikimedia projects.
When it comes to our communications work we have learned that we can easily reach a much wider audience than before. That can help us market our community outreach activities better, and to recruit members. Also, some of our community support schemes, such as micro Wiki grants and the Wiki Library, have failed to benefit more than a handful of Wikimedians. By evaluating and modifying these schemes we can distribute our resources more wisely.
7. What are the next steps and opportunities you'll be focusing on for the second half of your work?
We will step up our efforts to recruit, train and retain contributors to Wikimedia projects and WMNO members, not least within the Sámi community. A more visible public profile can help us find top-level strategic partners within GLAM and the education sector, so that we can set up a Wiki education program with a wide reach. Internationally, we aim to be a facilitator as the Language Diversity Hub starts to implement measures to strengthen underrepresented languages in the Wikimedia projects.
**Part 2: Metrics**
**Important note:** Remember reporting “Results (outcomes)” can be both quantitative (numbers/percentages) or qualitative (describing key insights and learning, good practices, perceptions, experiences, and impact on participants). When Reporting qualitative results you can describe outcomes in many different ways. This can be in a documented report on key findings, stories of case studies, images, or other audiovisual ways of documenting these results, etc).
---
**8a. View summary of main open and additional metrics data**
**Main Open Metrics (1):**
Feedback from participants on effective strategies for attracting and retaining contributors
We intend to consistently send out standardized surveys to event and course participants on what their experience was like, asking about their motivations to join the event, and how much they got out of it – and how they plan to use what they’ve learned. Our target is to send out surveys to all participants of such events.
| Target | Results | Comments | Methodology |
|--------|---------|----------|-------------|
| | 0 | Feedback surveys after events and courses have not yet been introduced. | |
**Main Open Metrics (2):**
Diversity of participants brought in by grantees
With this metric we want to find out how many language versions of Wikimedia projects we work with through our international and national work. We will only focus on language diversity for this metric, as other diversity markers (such as gender or orientation) are more sensitive to measure. This metric will be very interesting to follow up for the future, to monitor the global reach of the Language Diversity Hub. Our target is to involve speakers of at least 20 different languages in this work.
| Target | Results | Comments | Methodology |
|--------|---------|----------|-------------|
| 20 | 16 | The first half of this funding period the Language Diversity Hub worked with 13 different language versions of Wikipedia. Nationally, we worked with Wikimedia projects in Norwegian (Bokmål and Nynorsk) and Northern Sámi. One of our staff, in his spare-time, was involved in or contributed to additional language versions, particularly in the Wikimedia Incubator. | |
**Main Open Metrics (3):**
Number of new WMNO members
It was decided during the general assembly 2022 that we should focus more on getting new members to the organization, in order to have a more solid membership base to draw input and talent from. The board will put together a committee that will focus on this, with staff support.
| Target | Results | Comments | Methodology |
|--------|---------|----------|-------------|
| 70 | 4 | This autumn and winter our members and board carved out a strategy to recruit and retain more members, but the continuous work on membership follow-up and communications has to be made a higher priority for the administration. We have made a start on improving our administrative systems and routines, as well as our general outreach efforts, but there's still a lot of work to be done. |
| --- | --- | --- |
**Main Open Metrics (4):**
| Target | Results | Comments | Methodology |
| --- | --- | --- | --- |
**Main Open Metrics (5):**
| Target | Results | Comments | Methodology |
| --- | --- | --- | --- |
**editors that continue to participate/retained after activities**
| Target | Results | Comments | Methodology |
| --- | --- | --- | --- |
**organizers that continue to participate/retained after activities**
| Target | Results | Comments | Methodology |
| --- | --- | --- | --- |
**strategic partnerships that contribute to longer term growth, diversity and sustainability**
Like we said above, we are planning to sustain the existing major partnerships we have nationally, but also to expand internationally with the Language Diversity Hub work. The target of 10 reflects the number of partners we expect to work closely with for various projects, but it may turn out that this number is too low.
| Target | Results | Comments | Methodology |
| --- | --- | --- | --- |
| 10 | 2 | Strengthening our strategic partnerships is an important part of our Strategic Plan 2023-2028. We want a shift from lower level cooperations on for example content uploads or training activities to long-term strategic partnerships at managerial level, particularly within GLAM and the educational sector. This autumn and winter we have completed an image upload project with one GLAM partner, three nonprofits were represented in our Wiki Loves Monuments jury, we organised an activity with a non-profit, and we were awarded grants from one charity and two public institutions. Yet it would be stretching it to name any of these strategic partners. In our language diversity work we have, however, had two strong strategic |
feedback from participants on effective strategies for attracting and retaining content contributors per project
(Used as a main metric)
| Target | Results | Comments | Methodology |
|--------|---------|----------|-------------|
diversity of participants brought in by grantees
(Used as a main metric)
| Target | Results | Comments | Methodology |
|--------|---------|----------|-------------|
number of people reached through social media publications
This number includes readers of blog posts, views on Facebook posts, YouTube video views, Instagram likes and Twitter interactions.
| Target | Results | Comments | Methodology |
|--------|---------|---------------------------------------------------------------------------|-------------|
| 12000 | 30835 | This number is, unfortunately, a messy mix of parameters that aren't comparable. The total sum doesn't say much, but if we break it down it makes slightly more sense: Website visitors ("readers of blog posts") 3,926, Facebook reach ("views") 26,126, YouTube plays (not views) 550, Instagram likes 155, Twitter interactions 78. For a better understanding of our communications efforts, please refer to our Annual Report 2022. | |
activities developed
| Target | Results | Comments | Methodology |
|--------|---------|----------|-------------|
volunteer hours
| Target | Results | Comments | Methodology |
|--------|---------|----------|-------------|
▼ 8b. View summary of additional core metrics data
Participants
| Target | Results | Comments | Methodology |
|--------|---------|--------------------------------------------------------------------------|--------------------------------------------------|
| 1000 | 151 | The number of participants includes only those that took part in activities hosted or organised by Wikimedia Norge (staff and volunteers), and not by independent volunteers from the Norwegian Wiki community in general. The activities were: 3 Wiki Lunch Breaks, WikiNobel, 1 | Manual counting, various edit counters, dashboards and the UKBot tool. |
| Target | Results | Comments | Methodology |
|--------|---------|--------------------------------------------------------------------------|--------------------------------------------------|
| 250 | 102 | Most were returning editors. There were only two that we know for sure were newly registered users due to our efforts. | Manual counting, various edit counters, dashboards and the UKBot tool. |
**Organizers**
| Target | Results | Comments | Methodology |
|--------|---------|--------------------------------------------------------------------------|-------------|
| 20 | 14 | We have counted the number of individuals involved. Some of them organised or contributed to more than one activity. | Manual counting. |
**Content contributions to Wikimedia Project (1)**
*Wikipedia*
| Target | Results | Comments | Methodology |
|--------|---------|--------------------------------------------------------------------------|-------------|
| 7000 | 565 | July-December 2022 we generated 565 article edits or new articles on the two Norwegian, the Northern Sámi or the Inari Sámi Wikipedias. The content was generated as part of two editing competitions. | The UKBot tool. |
**Content contributions to Wikimedia Project (2)**
*Wikimedia Commons*
| Target | Results | Comments | Methodology |
|--------|---------|--------------------------------------------------------------------------|-------------|
| 5000 | 556 | Images were uploaded as part of Wiki Loves Monuments and our project to add images from The National Archives' collection "The Reindeer Pastures Commission of 1913". | |
**Content contributions to Wikimedia Project (3)**
*Wikidata*
| Target | Results | Comments | Methodology |
|--------|---------|--------------------------------------------------------------------------|-------------|
| 7000 | 0 | Although Wikimedia Norge organised two workshops to celebrate the Wikidata 10th anniversary, Wikidata content generation after the events was not measured. | |
9. Are you having any difficulties collecting data to measure your results?
Our difficulties have more to do with how we organise our work, rather than the tools available to collect data. We need to turn data collection and analysis into an ongoing process. Currently, some of our results are measured only twice a year. The data is used to file reports, but not sufficiently to help us understand the impact, or lack of impact, that our work has on the Wikimedia projects.
10. Are you collaborating and sharing learning with Wikimedia affiliates or community members?
Yes
10a. Please describe how you have already shared them and if you would like to do more sharing, and if so how?:
We try to learn and share whenever we interact with Wikimedia affiliates and community members, whether as part of our work in the Wikimedia Language Diversity Hub, in Wikimedia Europe or in the affiliates' regular Executive Directors' video call. Also, our staff and volunteers have a wide network in Norway and abroad, where experiences and results are openly shared. We communicate on our website, in our social media channels, in newsletters, at events and in the national news media. Occasionally we publish blog posts on the Wikimedia Diff.
11. Documentation of your work process, story, and impact.
11a. Below there is a section to upload files, e.g. videos, sound files, images (photos and infographics, communications materials, blog posts, compelling quotes, social media posts, etc.). This can be anything that would be useful to understand and show your learning and results to date (e.g., training material, dashboards, presentations, communications material, training material, etc).
Please note: If you upload a Story, impact, or resource document to Fluxx, put *Story or impact document*, *Resource document*, or *Other public document* as the file label. All files with these labels will be automatically uploaded to Google Drive and publicly shared on Meta-Wiki. If you do not want your file to be uploaded to Google services, use your preferred service and indicate the public link below.
11b. Below is an additional field to type in link URLs. You can include any monitoring tool links (dashboards, etc), surveys, training materials, presentations, and other URLs.
11A. UPLOAD DOCUMENTS AND FILES
11b. Please add any URLs for your work process, story, and impact.
Our Annual Report 2022 gives a good overview of our activities, general operations and results:
https://upload.wikimedia.org/wikimedia/no/9/92/Annual_Report_2022.pdf
Our new Strategic Plan 2023-2028 shows our priorities moving forward:
https://no.wikimedia.org/wiki/Årsmøte_2023/Strategiplan_2023–2028/en
Part 3: Financial reporting and compliance
12. Please state the total amount spent in your local currency. $1,353,444.00
13. Local currency type. Select from local currency list. NOK
14. Please report the funds received and spending in the currency of your fund. We recommend you use the template provided or do this based on any other format you used to present your initial budget. Please either upload your financial report file, or provide a link to it. If you use Google Sheets please remember to provide the link and share access with us.
Please note: If you upload a Financial document to Fluxx, put Financial document as the file label. All files with this label will be automatically uploaded to Google Drive and publicly shared on Meta-Wiki. If you do not want your file to be uploaded to Google services, use your preferred service and indicate the public link below.
14A. UPLOAD FINANCIAL DOCUMENTS.
14b. Provide a link to your midpoint financial report file.
https://upload.wikimedia.org/wikimedia/no/1/14/Regnskapsrapport_2._halvaar_2022.pdf
15. Based on your implementation and learning to date, do you have any plans to make changes to the budget spending? Yes
15a. Please provide an explanation on how you hope to adjust this.
Our biggest cost is payroll expenses, and the 2.8 positions in our administration constituted 72% of our total operating expenses July-December 2022. Page 2 of our financial report shows that 73% of our payroll expenses were tied to the three thematic tracks of our work. In order to qualify for larger-scale national funding we would have to gain traction as a free knowledge organisation with a highly professional administration and a more visible public profile. Our short-term payroll expenses are likely to stay on budget, but we may need to shift some of our staff resources from the three tracks to general admin and communications work.
We moved office in December 2022, which means that our rent and cleaning expenses for this funding period will be about NOK 100,000 lower than budgeted. Unfortunately, these savings will probably not be enough to counter galloping inflation and long-term wage growth.
16. We’d love to hear any thoughts you have on how the experience of being a grantee has been so far.
As a Norwegian members' organisation a lot of our planning and reporting has to follow the fiscal year (January-December). This, of course, is out of synch with the grant proposal and reporting workflow. So, in some respects, our admin workload is double. That said, the Wikimedia Foundation Program Officer has been very supportive of our needs and challenges, particularly now that we have an interim Executive Director.
For the future, if we structure our proposals better, reporting would probably be easier. Also, we need to work on which metrics we collect and analyse. We want to make learning and sharing more of an on-going process.
Predictable application and reporting requirements are important to us. Also, it would be helpful to have a more flexible and intuitive tool than Fluxx. On the positive side, the questions asked in the midterm report invite grantees to share their unique experiences. Thank you for the opportunity to share, as we do our best to implement our plans and reach our goals for this funding period. Thank you for taking the time to share all your learning and reflections. We look forward to our conversation so that we can learn more at this important stage of your work and find the best ways to support the months to come! |
Active Segregation Dynamics in the Living Cell
Ajay Bansal, Amit Das\textsuperscript{†}, and Madan Rao\textsuperscript{*}
Simons Centre for the Study of Living Machines,
National Centre for Biological Sciences (TIFR), Bellary Road, Bangalore 560065, India
\textsuperscript{†} Present address: Department of Physics, Northeastern University, MA 02115, USA
In this paper, we bring together our efforts in identifying and understanding nonequilibrium phase segregation driven by active processes in the living cell, with special focus on the segregation of cell membrane components driven by active contractile stresses arising from cortical actomyosin. This also has implications for active segregation dynamics in membraneless regions within the cytoplasm and nucleus (3d). We formulate an active version of the Flory-Huggins theory that incorporates a contribution from fluctuating active stresses. Apart from knitting together some of our past theoretical work in a comprehensive narrative, we highlight some new results, and establish a correspondence with recent studies on Active Model B/B+. We point to the many unusual aspects of the dynamics of active phase segregation, such as (i) anomalous growth dynamics, (ii) coarsening accompanied by propulsion and coalescence of domains that exhibit nonreciprocal effects, (iii) segregation into mesoscale domains, (iv) emergence of a nonequilibrium phase segregated steady state characterised by strong macroscopic fluctuations (fluctuation dominated phase ordering (FDPO)), and (v) mesoscale segregation even above the equilibrium $T_c$. Apart from its implications for actively driven segregation of binary fluids, these ideas are at the heart of an \textit{Active Emulsion} description of the lateral organisation of molecules on the plasma membrane of living cells, whose full molecular elaboration appears elsewhere.
\textsuperscript{*} firstname.lastname@example.org
I. INTRODUCTION
The cell is an organised collection of interacting biomolecules and ions in a highly viscous aqueous medium that is maintained out-of-equilibrium [1] by active stresses and fluxes [2]. The active forces that drive this organisation, maintain the cellular system in a nonequilibrium steady state. This molecular organisation and segregation at different scales is crucial for cellular function and to all processes of life. Here, we will discuss specific nonequilibrium mechanisms governing the dynamics of segregation of molecular composition within the cell.
A striking example is the molecular organisation at the cell membrane at physiological temperatures [3, 4]. The components of the cell membrane are subject to fluctuating active contractile stresses from the thin cortical layer of actomyosin that adjoins it [5, 6] (Fig. 1). We have proposed that these active stresses drive contractile flows that give rise to a lateral (2d) organisation of multiple species of lipids and proteins over different scales [6–8]. This nonequilibrium organisation finds experimental support from a variety of high resolution studies such as FRET [6, 7], super-resolution microscopy [9] and EM [10]. More recently we have investigated how such nonequilibrium active stresses can give rise to a novel kind of mesoscopic phase segregation on the cell membrane at physiological temperatures, which is larger than the putative equilibrium liquid-liquid phase transition temperature [11, 12]. In addition to such motor-cytoskeleton complexes, localised chemical reactions at the cell surface described by reaction-diffusion-advection equations, can also generate mechanical or chemical stresses (via a nonequilibrium chemical potential) that may drive mesoscale segregation [13, 14].
Similarly, stress granules [15, 16] and P-bodies [17], belong to a growing class of membraneless organizations of specific biopolymers and proteins in the form of liquid-liquid condensates in the cell interior (Fig. 1). While a variety of equilibrium mechanisms have been proposed for these assemblies (see [18] for a recent review), there have been recent suggestions that some of these condensates could be 3d realisations of active segregation [19].
In this paper, we combine some of our earlier studies on the active organisation and segregation of cell membrane composition [6, 13, 20, 21], with newer insights from our [11, 12] and other studies [26, 27], to contribute to the general understanding of the dynamics of nonequilibrium phase segregation driven by activity. In doing so, we will highlight those aspects of the active segregation dynamics that are fundamentally different from equilibrium phase segregation. For specificity, we will focus on the segregation of lipids on the plasma membrane of living cells, but our formalism has a more general scope.
Giant unilamellar vesicles (GUV) with multi-component lipids, e.g., DOPC+SM+Cholesterol, and giant plasma membrane vesicles (GPMV) undergo an equilibrium liquid order–liquid disorder phase transition when quenched
to sufficiently low temperatures, $T_c = 24.6^\circ C$ for DOPC+SM+Cholesterol [22] and $T_c$ is typically below $25^\circ C$ for GPMV [23]. Reference [23] emphasizes that at $37^\circ C$, the GPMV membranes are almost entirely in the mixed, homogeneous phase. Studies on the dynamics of coarsening of the lipid domains at $T < T_c$, subsequent to the initial linearly unstable growth regime, confirm the standard Cahn-Hilliard growth $R(t) \sim t^{1/3}$ driven by chemical potential gradients, with a prefactor that depends on the interfacial tension. Our understanding of the physics of coarsening in these few-component “artificial” lipid systems is quite mature and summarized in the classic review of [24].
On the other hand, the physics of segregation in the cell membrane differs fundamentally from that in artificial GUVs and GPMVs, because the cell membrane is additionally subject to a variety of nonequilibrium forces, primarily fluctuating active contractile stresses arising from a dynamic actomyosin cortex [8, 25]. This has been the subject of discussion in several papers written over the years [6, 7, 12, 13, 20, 21] and revisited in the current paper. We will see that activity drives the system to a nonequilibrium steady state with distinct features both in the dynamical approach to the steady state and the nature of fluctuations in the steady state. These features depend on how activity enters into the dynamics of coarsening: specifically, on whether the segregating components act as passive scalars (that do not affect the agencies of activity, i.e., actomyosin) or active scalars (that act back on the agencies of activity). This classification was introduced in [6, 8, 13] and the analysis of active scalars initiated in [21]. More fundamentally, as has been highlighted in [26, 27], we will see that it is the breaking of time reversal symmetry (TRS) at the microscopic level that is at the root of the profound differences between active and equilibrium phase segregation.
In earlier studies, we have investigated the effects of fluctuating active stresses on the dynamics of clustering using the equations of active hydrodynamics [6, 20, 21] and agent-based brownian dynamics simulations [13, 28]. In [11, 12], we have studied the active segregation using a description based on a kinetic Master equation, which we solve by Monte Carlo simulations. Finally, in [21], we have looked at the clustering of active advective scalars using an active hydrodynamics approach. In this paper we formulate a new approach based on a time dependent Landau-Ginzburg dynamics starting from an active version of the Flory-Huggins theory [29], to study a hierarchy of active segregation models for a binary fluid (lipids) subject to active contractile stresses. We also report some new results on the relevance of active noise in the dynamics of coarsening using the kinetic Master equation approach.
II. ACTIVE FLORY-HUGGINS THEORY
Consider a 2D surface (cell membrane) comprising two molecular components A (lo-lipids) and B (ld-lipids), whose areal densities are denoted by $\rho_A$ and $\rho_B$. A simple free energy functional describing its equilibrium configurations is given by,
$$F[\rho_A, \rho_B] = \int \sum_{\alpha, \beta \in A, B} \rho_\alpha(r)v_{\alpha \beta}(r - r')\rho_\beta(r') \, dr \, dr' + T \int \sum_{\alpha \in A, B} [\rho_\alpha(r)\ln \rho_\alpha(r) - \rho_\alpha(r)] \, dr$$
(1)
where $v_{\alpha \beta}(r - r')$ is the non-local 2-body interaction. For short-range interactions, one can expand it locally to obtain,
$$F[\rho_A, \rho_B] = \frac{1}{2} \int \left(v_{\alpha \beta} \rho_\alpha \rho_\beta + c_{\alpha \beta} \nabla \rho_\alpha \nabla \rho_\beta\right) \, dr + T \int \sum_{\alpha \in A, B} [\rho_\alpha(r)\ln \rho_\alpha(r) - \rho_\alpha(r)] \, dr + \ldots$$
(2)
It is convenient to express this as a Flory-Huggins free energy functional [29], written in terms of the volume fraction of component A, $\phi = \rho_A/\rho$, together with $\rho = \rho_A + \rho_B$, which we take to be incompressible,
$$F[\phi] = T \int \left(- \chi(T, \rho) \phi^2 + \kappa(T, \rho) (\nabla \phi)^2 + \mu(T, \rho) \phi + \phi \ln \phi + (1 - \phi) \ln(1 - \phi) + \ldots\right) \, dr$$
(3)
where $\chi(T, \rho) = \frac{(2v_{AB} - v_{AA} - v_{BB})}{2T}$, $\mu(T, \rho) = \frac{(v_{AB} - v_{BB})}{T}$ and $\kappa(T, \rho) = \frac{c_{AA} + c_{BB} - 2c_{AB}}{2T}$.
We now describe the dynamics of segregation in terms of the hydrodynamic variables – the volume fraction $\phi$ and the individual velocities $\mathbf{v}_\alpha$, where the barycentric hydrodynamic velocity,
$$\mathbf{v} = \phi \mathbf{v}_A + (1 - \phi) \mathbf{v}_B$$
(4)
is incompressible, $\nabla \cdot \mathbf{v} = 0$. The volume fraction $\phi$ of component A, obeys the usual continuity equation,
$$\frac{\partial \phi}{\partial t} = -\nabla \cdot (\phi \mathbf{v}_A) = \nabla \cdot ((1 - \phi) \mathbf{v}_B)$$
(5)
The dynamics of the velocities $\mathbf{v}_\alpha$ is driven by exchange between the species and local stresses acting on the individual species [30]; assuming stationary flows,
$$\gamma(\mathbf{v}_A - \mathbf{v}_B) = -\frac{1}{2} \nabla \cdot \mathbf{\Pi}_A + \nabla \cdot \mathbf{\Sigma}_A + \phi \nabla p$$
(6)
$$-\gamma(\mathbf{v}_A - \mathbf{v}_B) = -\frac{1}{2} \nabla \cdot \mathbf{\Pi}_B + \nabla \cdot \mathbf{\Sigma}_B + (1 - \phi) \nabla p$$
(7)
where the osmotic pressure is partitioned between the two components,
\[
\nabla \cdot \Pi_A = \phi \nabla \frac{\delta F}{\delta \phi},
\]
(similarly \( \Pi_B \)) derivable from the Flory-Huggins free energy Eq. 3 and the total stress tensor \( \Sigma \) is partitioned between the two components \( \Sigma_\alpha \) [30], a combination of dissipative and active stresses. The hydrodynamic pressure \( p \) can be eliminated by using the incompressibility condition on the hydrodynamic velocity \( v \).
The stress tensor \( \Sigma_\alpha \) for the two component fluid membrane subject to active contractile stresses arising from a coupling of cortical actomyosin to component A alone, is given by,
\[
\Sigma_\alpha = \Sigma_\alpha^{(diss)} + \Sigma^{(act)} \delta_{\alpha,A}
\]
\[
\Sigma_\alpha^{(diss)} = \eta_\alpha^{(s)} (\nabla v_\alpha + (v_\alpha)^T) + \eta_\alpha^{(b)} (\nabla \cdot v_\alpha) \mathbb{1}
\]
\[
\Sigma^{(act)} = \zeta_1 (\rho_m, c) \mathbf{n} \mathbf{n} + \zeta_2 (\rho_m, c) \mathbb{1}
\]
where, the dissipative stress \( \Sigma_\alpha^{(diss)} \) is written in terms of the shear and bulk viscous stresses of the individual components, and the active stress \( \Sigma^{(act)} \), with \( \zeta_1 \) and \( \zeta_2 \) being negative for contractile stresses, is expressed in terms of the density of myosin \( \rho_m \) and the density \( c \) and polarization \( n \) of actin filaments in the actomyosin cortex, for which we need to provide the dynamical equations [6, 21]. Since the dense actomyosin cortex is a momentum sink, one must in principle include a TRS violating contribution proportional to \( \rho_m \mathbf{n} \) to the right hand side of Eq. 6. These, together with Eqs. 4-11, will form a closed set of equations that describe the segregation of a 2-component fluid membrane subject to active stresses.
One could imagine that the inter-particle interaction between the A-components could be modulated by the presence of a third component which is driven by the active contractile stresses. For instance, as shown in [11], the lower leaflet PS is such a component, but it could as well be the myosin density \( \rho_m \). This would lead to a change in the local interaction parameter \( \chi(r) = \chi_0(T) - \chi_1(T) \rho_m(r) \), which would have the effect of locally enhancing the tendency for the A-component to segregate, if myosin \( (\rho_m) \) or PS were to accumulate.
In what follows, we will ignore the hydrodynamic velocity \( v \) in the overdamped dynamics of the 2d membrane embedded in 3d; this allows us to eliminate the pressure \( p \) to get,
\[
v_A - v_B = \frac{(1 - \phi)}{\gamma} \left[ -\nabla \cdot \Pi - \frac{\phi}{1 - \phi} \nabla \cdot \Sigma_B + \nabla \cdot \Sigma_A + \Gamma \rho_m \mathbf{n} \right].
\]
It is convenient to go from the Active Flory-Huggins theory outlined above to an active Landau-Ginzburg formalism, written in terms of the segregation order parameter \( \Phi = 2\phi - 1 \), leading to the dynamical equation,
\[
\frac{\partial \Phi}{\partial t} = \nabla \cdot \left( M(\Phi) \nabla \frac{\delta F}{\delta \Phi} - \frac{M(\Phi)}{(1 + \Phi)} \left[ \nabla \cdot \Sigma_A - \Gamma \rho_m \mathbf{n} \right] \right)
\]
where we expect the relative exchange mobility \( M \) between the two components to be proportional to \( (1 - \Phi)(1 + \Phi) \). This reduces to the standard Model B dynamics [31] in the absence of active stresses.
When the dynamics of \( \Phi \) depends on the agencies of the active stress, but not vice versa, these set of equations describe the segregation of a passive scalar driven by fluctuating contractile active stresses. On the other hand, when the agencies of the active stress in turn depend on \( \Phi \), the resulting set of equations describe the segregation of an active scalar driven by fluctuating contractile active stresses. In Section III, we will take up the active segregation of passive scalars, while in Section IV, we will briefly discuss active segregation of active scalars, and show its relation to recent work on Active Models B and B+ [26, 27].
### III. ACTIVE LANDAU-GINZBURG MODELS FOR SEGREGATION OF PASSIVE SCALARS
The Active Flory-Huggins theory outlined above offers a systematic framework to arrive at a hierarchy of active Landau-Ginzburg models, each of which highlights a different aspect of the influence of activity on segregation dynamics. Starting with the full dynamical theory in \( \Phi \) and \( \rho_m, c, n \) (actomyosin variables), we systematically prune variables by declaring them to be “fast” – this implies that the theories higher up in the hierarchy contain all the features of those lower down.
#### A. Active Landau-Ginzburg Model 1
The dynamical equations for actin and myosin aggregates in the 2d cortex follow from [6, 21] and many other sources, e.g., see [2] for the early references. These equations include contributions from active translational and rotational
currents which in turn arise from active forces and torques. The concentration of actin concentration obeys a continuity equation, \( \partial_t c = -\nabla \cdot J_c \), with an actin current given by
\[
J_c = -D_c \nabla c + c \gamma \nabla \cdot \Sigma^{(act)} + v_0(\rho_m) c n
\]
where the first term is the diffusive flux with diffusion matrix \( D_c \), the second term is the active flux derived from active stress with active translational mobility \( \gamma \), and the last term is the flux from the active “body force” (a TRS violating term that is present because the cortex dissipates momentum via friction).
The dynamics of the density of myosin aggregates has similar contributions to the flux, and in addition, includes a turnover from binding (\( k_b \)) – unbinding (\( k_u \)),
\[
\partial_t \rho_m = -\nabla \cdot \left( -D_m \nabla \rho_m + L \nabla \cdot \Sigma^{(act)} + v_0(\rho_m) \rho_m n \right) + k_b(c) - k_u(\rho_m)
\]
The dynamics of the polarization of the active actin filaments is given by
\[
D_t n = K_1 \nabla^2 n + K_2 \nabla (\nabla \cdot n) + \zeta \nabla \cdot \Sigma^{(act)} + (a(c - \bar{c}) - b|n|^2) n
\]
where the differential operator \( D_t \) includes the active self-advection [2, 32], \( K_1 \) and \( K_2 \) are the Frank coefficients associated with splay and bend distortions, respectively, which in principle can depend on \( \rho_m \), and the last term in the bracket ensures that the magnitude of \( |n| = 1 \), with \( \bar{c} \), being the Onsager concentration of the polar filaments above which they become orientationally ordered [33].
The cortical fluid adjacent to the PM does not display global orientational order (dilute regime [29]), even so, the active contractile stress fluctuations can drive large concentration fluctuations, such that locally \( c(r, t) > \bar{c} \), leading to patterning instabilities which gets positively reinforced due to contractility. Following [21], we highlight 3 cases –
- When the active forces are larger than the active torques, the contractile stresses spontaneously create compact polar patterns that are motile (Fig. 2(a)). The size of the polar cluster is set by the interplay between filament diffusion and the contractile active force. The advection term \( v_0 \) distorts the shape of the cluster from circularity. It also sets the motility speed of the apolar cluster, which also depends on the asymmetric profile of actin and myosin in the cluster. The typical distance between these polar asters is given by the fastest growing mode \( k_{dst}^{-1} \sim 1/\sqrt{\zeta} \). These compact contractile clusters of actin and myosin moving with a fixed speed correspond to travelling pulse solutions [21].
- When the active torques are larger than the active forces, the contractile splay instabilities give rise to compact apolar clusters that are stationary (Fig. 2(b)). The size of the apolar cluster is again set by the interplay between filament diffusion and the contractile active force.
- When the active force is comparable to the active torque, there is a spontaneous instability to the formation of spiral asters that rotate with a local angular frequency proportional to \( v_0 n_\theta(r) \) (Fig. 2(c)).
This patterning of concentration and orientation of actomyosin happens over a time scale \( 1/\zeta \), with a fast build up of localised contractile stress that draws in other filaments as well as other neighbouring clusters leading to coalescence.
What effect does this spontaneous formation of contractile clusters have on the segregation dynamics of membrane components that interact with it? From Eq. 13, it is easy to see that this fast buildup of the active stress and the concomitant travelling pulse contributes to a driving force for the segregation and growth of the A component. This can be seen even at \( T > T_c \), from a simple stability analysis about the homogeneous phase.
We perform a preliminary numerical analysis of Eqs. 14-16 and Eq. 13 on a 2d grid, with parameters that lead to either polar or apolar clusters. Figures 2(d) and 2(e) represent snapshots of the segregation order parameter \( \Phi \) profile for a symmetric mixture A-B, starting from the homogeneous phase, when \( T > T_c \) and \( T < T_c \), respectively. Our numerical study confirms the instability towards segregation even when \( T > T_c \). Unlike the equilibrium segregation of symmetric mixtures, where one expects to see an evolving bicontinuous domain configuration, here we see the evolution of mesoscale domains, a consequence of the active terms in Eq. 13 that break the \( \Phi \rightarrow -\Phi \) symmetry.
Figure 2(f) shows snapshots of the order parameter \( \Phi \) profile, following a quench into the polar cluster phase. This shows the propulsive movement of domains of component A, and the phoretic reorientation of the direction of propulsion of one of the domains prior to coalescence. This nonreciprocal long-range sensing and rapid coalescence of domains is a unique feature of the TRS violating active segregation dynamics [21, 34–38]. The TRS violation can be traced to the polarization \( n \), which is not a gradient of a scalar. Such nonreciprocal effects of domain propulsion and growth would eventually lead to anomalous growth of domains. The details of this coarsening dynamics and the influence of nonreciprocity on growth laws will be taken up later.
The segregation observed here bears some resemblance to the physics of motility-induced phase segregation (MIPS) [39]. The segregation of the passive scalars is driven by contractile flows into the core of the apolar clusters, where the density of the A-component gets larger. The mobility that multiplies the active part of the current in Eq. 13, is \( \Phi \) dependent and gets smaller as \( \Phi \) increases (i.e., as the concentration of the A-component increases).
FIG. 2: (a-c) Contractile clusters with definite filament orientation (arrows) and concentration profiles (heat map) emerge as an instability of the homogeneous, isotropic state by numerically solving Eqs. 14–16 on a 2d grid for different values of the Frank coefficients $K$ and active parameter $\zeta$: (a) moving Polar cluster ($K = 3$, $\zeta = 30$), (b) stationary Apolar cluster ($K = 1$, $\zeta = 30$) and (c) rotating Spiral cluster ($K = 1$, $\zeta = 10$). (d-e) Coarsening dynamics driven by active contractile stresses at (d) $T > T_c$ and (e) $T < T_c$. (d) Spatial map of segregation parameter $\Phi$ (colour bar) shows coarsening of a symmetric mixture of A and B at $T/T_c = 1.12$, starting from a homogeneous state at $t = 0$ leading to the formation of mesoscale domains of the A-component at late times ($t = 300$). (e) Spatial map of $\Phi$ at $T/T_c = 0.84$, shows coarsening into mesoscale domains of the A-component at late times ($t = 300$). (f) Phase segregated domains at $T > T_c$ showing non-reciprocal features in the dynamics of propulsion and growth, in the regime which seeds polar clusters. Nonreciprocity is apparent during the propulsive movement of domains of component A (arrows), which shows a phoretic reorientation of the direction of propulsion of one of the domains prior to coalescence. The length and time scales are set by the filament translational and rotational diffusion coefficients [21].
B. Active Landau-Ginzburg Model 2
So far we have taken both the actomyosin dynamics and the dynamics of segregation to be deterministic. We now look at the effects of noise, both thermal and active, which are inevitably present. Thermal noise that appears additively in Eq.13 is known to be irrelevant in the coarsening dynamics, save for a finite renormalization of the interfacial tension [24]. What about active contributions to the noise, which arises as a consequence of stochastic turnover of actomyosin?
To address this, we note that since the dynamics of the contractile agents is fast in the regime of high activity, it is useful to construct coarse-grained quantities, the scalar density and polarity of the compact contractile regions $\Omega$,
$$\psi = - \int_{\Omega} c\rho_m \nabla \cdot \mathbf{n}$$
$$\mathbf{p} = \int_{\Omega} c\mathbf{n}$$ (17)
In the limit of strong contractility $\zeta$, the compact contractile clusters are apolar, and can be described by the coarse-grained field $\psi$ alone. The apolar cluster is described by a local orientation field that points radially inward $\mathbf{n} \propto -\hat{\mathbf{r}}$ (Fig. 2a) [6, 20, 21]. This leads to an active \textit{contractile} stress whose explicit form appears in the dynamics of $\Phi$ (Eq. 13). We include the effects of athermal noise in the dynamics of the coarse-grained field $\dot{\psi} - \dot{\psi} = k_+ - k_- (\Sigma^{(act)}) \psi$ – where the (stress dependent) turnover of actomyosin is represented by a Poisson birth-death process [6, 13, 40].
In [11, 12], we study this stochastic dynamics of active segregation using a kinetic Monte Carlo method. In [12] we describe the active segregation in the simplest 2-component system in 2d driven by fluctuating active contractile stresses which captures the essential physics. The dynamics of the membrane components, subject to both equilibrium and active forces, are described in terms of a Master equation for the time evolution of the probability distribution, $P(\{X^a_n\}, \{x_a\}, t)$, where $\mathbf{x}_a, a = 1, \ldots n$, denotes the positions of the compact apolar clusters. We solve the Master equation using a kinetic Monte Carlo approach, where we specify the updates for the positions $\{X^a_n\}$ of the membrane components and placement $\{x_a\}$ of the active stress events. While the equilibrium exchange transitions obey detailed balance, the advective moves on the A-component within the contractile regions and the birth-death moves of the contractile regions do not (details in [11, 12]).
In [11] we have generalised this theoretical framework to describe the active segregation in a 5-component asymmetric bilayer containing $lo$ components, $ld$ components and inner leaflet PS. We show that it is the combination of actomyosin derived active contractile stresses and PS-mediated transbilayer coupling that drives the active segregation of the $lo$ components. These predictions have been verified in high-resolution fluorescence-based experiments [11].
Figure 3 summarizes our results for the nature of the active phase segregation. We first note that as in Sect. III B, even when $T > T_c$, an initial homogeneous state of a symmetric mixture of A and B, evolves to a state with mesoscale segregated domains of A at late times (Fig. 3(a)). The instability of the homogeneous phase is driven by the apolar contractile clusters whose rapid turnover ensures that the segregation occurs over a large expanse of space. Similarly, Fig. 3(b) shows snapshots of the coarsening dynamics when $T < T_c$; here too, instead of the usual bicontinuous domains seen during equilibrium segregation, one sees mesoscale domains of the A component. In Fig. 3(c), we find that the fluctuating active stresses completely destabilise an initial prepared fully segregated configuration at $T < T_c$.
In contrast to equilibrium segregation dynamics where the dominant fluctuations are restricted to the interface, here the fluctuating active contractile stresses ensure that the fluctuations in the bulk too are significant. This is what drives the interface to be diffuse rather than sharp (as expected in equilibrium segregation) and the bulk to exhibit strong macroscopic fluctuations leading to breakup and re-formation of macroscopic structures. The interface dynamics is studied by looking at the behaviour of the dynamical structure factor $S(k) = \langle \Phi(\mathbf{k}, t)\Phi(-\mathbf{k}, t) \rangle$ at large $k$ (small length scales). For sharp interfaces, $S(k) \sim k^{-3}$; this Porod behaviour characterises the growing domains during equilibrium segregation [24]. In contrast, active coarsening dynamics shows departures from Porod behavior; the domains have diffuse interfaces and low interfacial tension.
On the other hand, bulk statistical quantities such as the integrated order parameter and domain size $R(t)$, show periods of quiescence followed by large changes over very short times (Fig. 3(d)). This leads to intermittency in the steady state, a feature exhibited by many driven nonequilibrium systems such as turbulence; the fluctuating active stresses playing the role of stirring. Intermittency, the sudden precipitous drops and rise of $R(t)$ in the active steady state, is captured by measuring the time dependent kurtosis of $R(t)$ (scaled fourth moment), which shows a divergence as $t \to 0$ (Fig. 3(e)). As a result, the steady state exhibits a continual breakup and reformation of macroscopically large structures.
A striking implication of our results is that in contrast to equilibrium coarsening dynamics, where thermal fluctuations are irrelevant in the renormalization group sense [24], in active coarsening dynamics, active stress fluctuations, parametrised by an active temperature related to the birth-death rates that drive the system to a distinct nonequilibrium steady state characterised by large macroscopic fluctuations (FDPO), are relevant. This fluctuation dominated phase ordering (FDPO), is studied in great detail in [12] where we discuss its relation with other nonequilibrium models. Activity destroys the very large domains obtained in equilibrium phase segregation and makes them more dynamic and intermittent.
FIG. 3: Coarsening dynamics driven by fluctuating active contractile stresses at $T > T_c$ ($T/T_c = 1.06$) and $T < T_c$ ($T/T_c = 0.7$) obtained using a kinetic Monte Carlo simulation for a symmetric mixture of A and B described in the text. Results shown here are for the same set of activity parameters - fraction of 2d space under the influence of active stresses is 0.3, correlation length and time of active stresses is $\xi = 4$ and $\tau^{-1} = 0.13$ in units of particle size and particle diffusion rate, respectively. (a) Spatial map of segregation parameter $\Phi$ (colour bar) shows coarsening at $T/T_c = 1.06$, starting from a homogeneous state at $t = 0$ to the formation of mesoscale domains of the A-component (red) at late times ($t \sim 10^5$ MCS). (b) Spatial map of $\Phi$ when $T/T_c = 0.7$, also shows coarsening into finite domains of the A-component at $t = 1000$. (c) The fluctuating active stresses destabilise the fully segregated initial state at $T/T_c = 0.7$, leading to the formation of mesoscale domains of the A-component. The nonequilibrium steady state obtained at late times is accompanied by large macroscopic fluctuations of a variety of statistical quantities. (d) The time series of the domain size $R(t)$ obtained from the first zero of the correlation function $g(r)$ starting from the homogeneous state. The domain growth during equilibrium segregation at $T/T_c = 0.7$ is consistent with $R(t) \sim t^{0.35}$ [12]. For the active segregation at $T > T_c$, domain size appears to grow as $R \sim t^{0.35}$ before saturating to a finite value at steady state. The fluctuations of the domain size in the steady state are large and abrupt, and correspond to large domains suddenly breaking up into smaller ones. (e) The large and abrupt macroscopic fluctuations of the domains is a hallmark of a phase *instability*, which can be seen up as a divergence of the fourth order macroscopic $\langle \xi^4 \rangle$ ($4^{th}$-moment of the domain size) as $t \to 0$ (in contrast, $\langle \xi^4 \rangle \sim 3$ during equilibrium segregation). The large macroscopic fluctuations that characterise this nonequilibrium steady state is an example of fluctuation dominated phase ordering (FDPO) [12].
IV. ACTIVE SCALARS = ACTIVE MODEL B/B+
Cell membrane molecules such as GPI-anchored proteins do not influence the dynamics of cortical actomyosin, and so it is appropriate to describe their actomyosin-dependent segregation using the active segregation models in Sect.III [6–9, 11]. However, many signalling membrane proteins such as Integrin [9] and Cadherin, or even myosin as studied in [21], can locally modulate the active stresses - these behave as *active scalars*.
Thus taking component A to be an active scalar, we need to propose a dependence of the active contractile stresses on the segregation parameter $\Phi$. There are three distinct ways to do this:
(i) We take $\Sigma^{(act)}$ to be purely isotropic and a function of $\Phi$ alone; it then contributes to the active renormalization of the osmotic pressure $\Pi^{(act)}(\Phi)$ [13]. The effect would be indistinguishable from equilibrium segregation but for a shift in the critical temperature, leading to the formation of segregated domains when $T$ is greater than the equilibrium transition temperature $T_c$ (as in Sect.III B).
(ii) We take $\Sigma^{(act)}$ to be isotropic, but now a function of $\Phi$ and $\nabla \Phi$, i.e. in addition to the above, the active osmotic pressure has, to lowest order, a contribution from $\Pi^{(act)}(\Phi, \nabla \Phi) \propto (\nabla \Phi)^2$. This would lead to a coarsening dynamics,
$$\frac{\partial \Phi}{\partial t} = \nabla \cdot \left( M \nabla \frac{\delta F}{\delta \Phi} + M \lambda \nabla (\nabla \Phi)^2 \right)$$
which could be interpreted as arising from an active renormalisation of chemical potential,
$$\mu = \frac{\delta F}{\delta \Phi} + \lambda (\nabla \Phi)^2.$$
This is equivalent to the so-called Active Model B [26] and breaks TRS.
(iii) We now take the active contractile stress to be a general anistropic tensor of the form $\Sigma^{(act)} \propto -\zeta \Delta \mu \ n \ n$ [2, 41]. On symmetry considerations, the influence of the segregation order parameter $\Phi$ on activity is given by a phoretic contribution $n \propto \nabla \Phi$ (as appears in [21]) corresponding to an contractile stress $\Sigma^{(act)} \propto \nabla \Phi \nabla \Phi$. Conversely, a local patterning of the polarisation $n$ generates irreversible fluxes of the order parameter $\Phi$. This leads to a coarsening dynamics of the form,
$$\frac{\partial \Phi}{\partial t} = \nabla \cdot \left( M(\Phi) \nabla \frac{\delta F}{\delta \Phi} + L \nabla \cdot (\nabla \Phi \nabla \Phi) \right)$$
This is not a mere change in the chemical potential, but a renormalization of the current vector,
$$J = M \nabla \mu + L \nabla \cdot (\nabla \Phi \nabla \Phi)$$
equivalent to the TRS violating Active Model B+ dynamics [27].
A detailed study of the dynamics of coarsening that shows striking nonreciprocal effects mediated through a long range wake in $\Phi$, similar to that described in [38], will appear later.
V. DISCUSSION
In this paper, we have described a framework to study nonequilibrium phase segregation in a binary mixture driven by active contractile stresses using an active version of the Flory-Huggins formalism. Though our description is more general, here we focus on compositional segregation in the plasma membrane, where several studies [6–10] have shown that one of the primary driving forces behind lateral segregation of composition, both lipids and proteins, at the cell surface at physiological temperatures, is the nonequilibrium active contractile stresses from the actomyosin cortex adjoining it. In applying our general formalism to this context, we have brought together some of our past theoretical work on active clustering and segregation of passive and active scalars [6, 12, 13, 20, 21].
In this paper, we have used both a hydrodynamic approach [6, 20, 21] and a kinetic Monte Carlo simulation [12]. The most striking results are (i) instability to segregation even at $T > T_c$, (ii) segregation into mesoscopic domains for symmetric binary mixtures even when $T < T_c$, (iii) nonequilibrium segregated state characterised by macroscopic and abrupt fluctuations, (iv) propulsion and nonreciprocal features enroute to domain coalescence in systems where frictional dissipation dominates, and (v) fuzzy domain interfaces suggesting low interfacial tension. These studies have culminated in a recent proposal of an *Active emulsion* [11] as a description of the mesoscale organisation of lipids on the cell membrane at physiological temperatures, much larger than the putative equilibrium liquid-order phase transition temperature, and contingent on both actomyosin activity and a (lower leaflet) PS-mediated transbilayer coupling. The generality of our theoretical approach suggests that such *Active emulsions* could be a general description of mesoscale segregation in actively driven binary fluids and of mesoscale organisation of molecules driven by a combination of nonequilibrium stresses and thermodynamic forces, in a variety of cellular contexts. Its immediate implications for local composition control in the cell make this viewpoint compelling.
ACKNOWLEDGEMENTS
We would like to acknowledge the tremendous contribution of many past students and postdocs, in particular, K. Govrishankar, K. Husain, A. Chaudhuri, B. Bhattacharya and A. Polley, whose work over the years has culminated in our current proposal of active emulsions described here and in [11]. We would also to thank our experimental colleagues, S. Mayor, and S. Saha, with whom we have had years of active collaborations. We thank S. Ramaswamy for discussions on the manuscript. We acknowledge support from the Department of Atomic Energy (India), under project no. RTI4006, and the Simons Foundation (Grant No. 287975), and computational facilities at NCBS. AD acknowledges support from the Centre for Theoretical Biological Physics at Northeastern University and the Discovery Cluster at Northeastern University. MR acknowledges the award of JC Bose Fellowship from SERB-DST, India.
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Law Abroad
Comparative law takes off.
Page 8.
In this issue is a feature article on the international and comparative law experiences of four members of the Wake Forest law faculty. I thought it might be useful to discuss their endeavors in the context of the school’s entire program.
In 1949, Justice Robert Jackson, summarizing developments in the law with respect to the commerce clause power, wrote, “Our economic unit is the nation.” In today’s era of free trade, it might well be said that our economic unit is the world.
Television and technology have shrunk the world. Imports and exports have become central to the daily economic lives of Americans. Lawyers, regardless of their location, routinely have local clients asking legal questions about suppliers or buyers in foreign countries.
While not purporting to train international law specialists, Wake Forest School of Law has recognized that lawyers in the twenty-first century will become increasingly involved in such matters. We teach courses in Public International Law, International Business Transactions, International Tax, International Civil Litigation, European Community Law, Admiralty and Maritime Law, Immigration Law, and a survey course in Comparative Law.
In addition to preparing our graduates to answer questions from clients in the world economic community, comparative law courses add another strength to our program. I am convinced that lawyers who understand the policies behind substantive legal doctrines win arguments that other lawyers do not. This is especially true in cases of first impression or in cases on the margin of developing fields of law. Comparing the development of legal issues in any substantive area with the law of other countries deepens the understanding of our own doctrines and helps better prepare future American practitioners.
To enrich the comparative and international law curriculum in Winston-Salem, we have two summer overseas programs, one in London and one in Venice. In both locations, Wake Forest University owns facilities in which undergraduate programs are held during the academic year. The law school has month-long programs involving two faculty members and fifteen to twenty students in each location. Courses offered in the past few years include History of the Common Law and comparative courses in family law, business organizations, labor and employment law, taxation, commercial law, administrative law, creditors’ rights, and criminal law. Students also meet with distinguished foreign lawyers, jurists, and academics and make field trips to courts and other legal institutions. The Venice program is held in cooperation with the universities of Venice and Ferrara and includes the participation of Italian law students and Professor Laura Forlati of the University of Venice.
To strengthen the J.D. program in comparative law perspectives for those who cannot take advantage of our foreign summer programs, we are beginning an LL.M. program in American Law for Foreign Law Graduates. The program, which will begin this coming year, will annually bring to Winston-Salem four to eight graduates of foreign law schools. Wake Forest law students will benefit from having foreign-trained lawyers in their classes who can provide additional insights regarding approaches to legal issues.
The School of Law also maintains a number of extracurricular programs with lawyers and professors from other countries. Under an ABA “sister school” program, the school has an ongoing relationship with Janus Pannonius University in Pecs, Hungary. The associate dean of that school has twice visited Wake Forest, and Professor Don Castleman and I have both visited Pecs. A number of lawyers and law professors from other countries have visited us in the last several years, most recently, a professor of criminal law from the University of Kiev in Ukraine.
The law school’s foreign endeavors are part of a larger, important globalization initiative of Wake Forest University. The law school is not neglecting traditional courses, nor is it specializing in international or comparative law. But in the best traditions of a liberal arts legal program, the international and comparative law components of our curriculum will better prepare our graduates to think like lawyers in the twenty-first century.
Robert K. Walsh
Dean
**FEATURE**
**Abroad View**
*by David Fyten*
Understanding foreign legal systems can enrich lawyers’ appreciation and practice of their own. The School of Law is devoting increased attention to comparative law as a result.
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**FEATURE**
**Tough Questions, Hard Choices**
*by Mark A. Hall*
Health-care rationing is coming. Will we be rational in preparing for its arrival?
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**DEPARTMENTS**
- **Dean’s Column**
- **Briefs**
- **Alumni Notes**
- **Alumni Profile**
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*Wake Forest Jurist* is published twice a year in December and June by the Wake Forest University School of Law. All rights reserved. The views expressed herein do not necessarily reflect those of Wake Forest University School of Law.
Send classnotes to Joshua Else, P.O. Box 7422, Winston-Salem, NC 27109-7422. Send letters to the editor and other correspondence to *Wake Forest Jurist*, P.O. Box 7205, Winston-Salem, NC 27109-7205.
Send alumni address changes to Alumni Records, P.O. Box 7227, Winston-Salem, NC 27109-7227. Send all other address changes to P.O. Box 7206, Winston-Salem, NC 27109-7206.
Cover illustration by Timothy Cook
Productive
Publishing ranking shows law school faculty striking ideal balance between scholarship and teaching.
Wake Forest School of Law has garnered some respectable rankings in a survey conducted by the Chicago-Kent Law Review which examined the productivity of 178 ABA-accredited law school faculties.
The survey, published in late 1995, was based in part on citations in the leading law reviews over the five-year period from 1988 to 1992. The faculty of Wake Forest School of Law was given the nod as one of the more productive faculties in the nation, ranking thirty-ninth in articles published in the top ten law reviews and fortieth in articles published in the top twenty law reviews. An overall ranking placed Wake Forest as the forty-second most prolific law school faculty in law review publications.
The survey authors counted articles, essays, and reviews published by a professor, associate professor, or assistant professor, and took into account the average number of faculty at each school to establish a base of potential publishers.
What the survey did not include was the number of casebooks and other law texts published by faculty here—something that Dean Robert K. Walsh believes would have led to a much higher ranking. More than a half a dozen faculty have either published books or are under contract to do so, said Walsh. Among them are casebooks or treatises on land use regulation, health care law, taxation, criminal procedures, corporate law, library science, and constitutional law. Four faculty members will publish books on North Carolina law in the coming months as well.
“All of this has been achieved without taking away from the importance of teaching,” Walsh says. “Indeed the great number of casebooks by our faculty will result in many of them being ‘teachers of law teachers.’”
Thomas M. Steele, a professor of law and director of the Worrell Professional Center Library, says the ranking is a good indication that the faculty, while certainly productive in scholarship, is also in balance.
“One could certainly say that if we were writing a great deal more we might be detracting from our teaching,” says Steele, who has had several books published in the past few years and is in the process of writing two more. “But I’d say we’re very close to the proper balance. We really are striving for, and I think have done an effective job of accomplishing, the goals of Wake Forest and in reaching for that teacher-scholar ideal.”
A survey by the Princeton Review would appear to back up Steele’s notions about reaching the teacher-scholar ideal. In a survey on student satisfaction, the review ranked the Wake Forest School of Law in the top 11 percent of 178 law schools surveyed.
Core commander
As Worrell Professional Center Library director, Thomas Steele is at the law school’s nerve center.
Ask a legal scholar what lies at the heart of a law school and you’re likely to hear three simple words: the law library. Outside of the classroom, a law school’s library is perhaps the most defining element of a school, a nerve center that supplies professor and student alike with access to indispensable information on all things legal. Such is certainly the case at the Wake Forest’s Worrell Professional Center Library, which is unique in that it serves not only the Wake Forest School of Law but also the Babcock Graduate School of Management.
As would be expected, it’s a place quietly buzzing with activity, brimming with books, and bristling with the latest hardware. And at the heart of it all is its director, Thomas M. Steele, who, along with a staff of seventeen, keeps it all running smoothly.
Steele’s office—a study in organized chaos—is perhaps indicative of the tremendous behind-the-scenes effort that it takes to keep a law library functioning. If the folders, books, magazines, newspaper clippings, and loose papers stacked more than a foot high on Steele’s desk tell a story, it is that Steele is a very busy man.
Beyond his responsibilities at the library, he teaches several law courses, writes prolifically, and somewhere finds time to serve as executive director of Scribes, the American Society of Writers on Legal Subjects. Early this summer he’ll be at Wake Forest’s Worrell House in London teaching a course on English Legal History and Institutions.
School of Law Dean Robert K. Walsh praises Steele as something of a jack-of-all-trades. “I think that Tom is a man of many parts—a Renaissance person, really,” Walsh says. “In addition to being nationally acclaimed and respected among law librarians, he’s also a respected law faculty member and leader. If you want information on any subject under the sun—not just law, but anything—Tom can find it. He’s sort of like a personal internet.”
In an article he wrote for the North Carolina State Bar Quarterly last fall, Steele noted there’s a myth about law librarianship, that it is “somehow a sedate, stressless profession.” He notes that, “nothing could be further from the truth.”
Steele shrugs off the hectic pace as “just part of the job” and credits his parents with instilling in him the value of a job well done. It’s a work ethic that has served him well throughout his career.
After earning his undergraduate degree at Oklahoma State in 1969 and beginning his graduate studies in Chinese history, Steele was drafted into the Army, where he was an M.P. at the U.S. Military Academy at West Point. From there he pondered going on to getting a Ph.D. in history, a subject he truly loves. But an abundance of history doctorates at the time (“about 15 Ph.D.s for every opening,” as Steele recalls) convinced him to consider other options. His father was an accountant and had just completed a law degree, so Steele decided that “maybe library science and law offered a better avenue for me.”
He completed his masters in library science at the University of Oregon and his juris doctorate at the University of Texas School of Law, where he had the opportunity to work under one of the country’s leading law librarians, Roy Mersky. “That was really a learning experience for me,” Steele says. “Mersky was one of the most highly respected people in the field, and he taught me a lot about the right way to run a library.”
He took that experience and parlayed it into positions at the law libraries at Southern Methodist University, Franklin Pierce College in New Hampshire, and the University of Mississippi before coming to Wake Forest in 1985. When he arrived here the law school and library were housed in what is now Carswell Hall. Soon came the arduous task of moving to the newly constructed Professional Center Library—no easy feat, given that he had two weeks to move more than 150,000 volumes and roomfuls of equipment. “Of course it was during finals week, so we had to be quiet, too,” Steele laughs. Nonetheless, the move came in under budget and was finished ahead of time, illustrative of the way he gets things done. So unique was the experience, he ultimately wrote a book.
CONTINUED ON PAGE 4
National Trial Team excels
The Wake Forest University School of Law National Trial Team advanced to the semifinals of the national trial competition in Houston after winning the Southeastern regional competition in March.
The team won three preliminary trials at the national competition, beating Stetson University to advance to the final eight. Team members were Danielle Thompson, David Upchurch, Mark Boynton, Stephanie Reese, Leslie Godby, George Holding, Susan Serad, and Michael Lee.
Adjunct professor Stephen Berlin has coached the team for five years, and said making it to the final eight is an accomplishment in itself. “You’re going against some very good teams from all around the country, so I think we did very well,” he said.
School hosts Jessup competition
The Wake Forest Society of International Law and the Wake Forest Moot Court Board co-sponsored the East Regional Finals of the Jessup International Moot Court competition in February.
Ten teams from law schools in five states came to the Worrell Professional Center for the event. Wake Forest School of Law was selected from several law schools who had asked to host the event.
Tom Steele
Continued from page 3
on planning and executing a law library move.
He calls the combined law and management library an enormous improvement. “The Professional Center Library gives the students a real sense of place in the community,” he says. “Architecturally it’s very inviting to the students, and they feel the building is theirs. I think it’s really been a success in those terms.”
Among the day-to-day jobs that Steele and his staff oversee are the procurement of new law texts, answering reference questions, assisting faculty in planning research projects, teaching research, and, perhaps the most challenging, dealing with the onslaught of new technology that is rapidly changing law librarianship.
“What we have today is a highly complex environment for gathering legal information,” Steele says. “The combination of resources available today is incredible, and the difficulty is in teaching people to use them.”
But he stresses that teaching is the library’s number one goal. “Although we are a library, we’re really in the business of one-on-one education. That’s one way we differ from other libraries. We’re here to teach people, not just feed them information.”
Seeing the forest
Robin Hood ‘trial’ instills appreciation for law in elementary school students.
More than fifty Wake Forest law students visited local elementary schools in February to put Robin Hood on trial—an unusual approach to teaching third-, fourth-, and fifth-grade students about the legal system.
Sponsored by PILO—the Public Interest Law Organization—the mock trials were the idea of Diana Puknys (IL), who said the organization wanted to find a way to get involved in the Winston-Salem community. “We thought it would be a great opportunity to go into the schools and show the students what law is about,” she says. “There’s become this prejudice and fear of the law, especially in underprivileged neighborhoods, and we wanted to show the kids that law is a good thing and that justice does work.”
What Puknys and other law students came up with was a trial based loosely on the legend of Robin Hood, where law students played the parts of judge, defense attorney, prosecutor, Sheriff of Nottingham, and Robin Hood and elementary school students played bailiffs, witnesses, and jurors. The elementary school students were responsible for listening to the facts of the case and issuing a verdict.
About 350 elementary school students at two schools took part in or observed the trial. “The kids were absolutely terrific,” says Puknys. “They asked a lot of intelligent questions, very insightful questions.” She says it was encouraging to see, after one of the mock trials, a teacher ask the kids how many of them wanted to become lawyers. “About 75 percent of them said they did,” she reports.
While providing an informative and entertaining trial, Puknys says PILO wanted to leave the children with the message that the legal system works and that breaking the law is never the right thing to do—even if it seems justified.
Faculty notes
It’s been a busy and productive year for the Wake Forest law faculty. Some of the highlights:
Carol Anderson’s book, *North Carolina Trial Practice*, was published by The Michie Company this spring. She also is serving this year as vice president of the Forsyth County Bar Association.
Marion Benfeld has been appointed to chair a subcommittee on consumer issues of the National Conference of Commissioners on Uniform State Laws Article 9 Drafting Committee.
Rhoda Billings is a co-vice chair of the Commission on the Future of Justice and the Courts in North Carolina. She also is a vice president of the National Conference of Commissioners on Uniform State Laws.
Don R. Castileman is the current chair and president of the Bethesda Center for the Homeless. He also chaired a panel discussion on computer technology in legal education at the annual meeting of the Southeastern Association of American Law Schools.
Butch Covington is serving as the law school’s representative on the North Carolina General Statutes Commission.
Michael Curtis has in recent months published several law review articles dealing with free speech and defamation, as well as an historical piece on Albion Turgree, Mr. Plessy’s lawyer in the landmark Supreme Court decision *Plessy v. Ferguson*. His articles have appeared in the *Northwestern University Law Review*, *The William and Mary Bill of Rights Journal*, the *Wake Forest Law Review*, and *Constitutional Commentary*.
Miles Foy chaired the Wake Forest Symposium on Presidential Disability and the Twenty-Fifth Amendment. The symposium’s proceedings have since appeared on C-Span.
Sue Grebelinger published an article titled “The Role of Workplace Hostility in Determining Prospective Remedies for Employment Discrimination” in the March 1996 issue of the *University of Illinois Law Review*.
Mark Hall’s book, *Making Medical Spending Decisions*, will be published later this year by the Oxford University Press (see article on page 12). He also is the general editor for a treatise titled Health Care Corporate Law.
Buddy Herring is a member of the North Carolina Board of Legal Specialization. He also is co-chair of the North Carolina Bar Association Family Law Section’s Subcommittee on Alimony.
David Logan’s new book, *North Carolina Torts*, will be published by The Carolina Academic Press this summer. He also published an article in *The William & Mary Law Review* titled “Of ‘Sloppy Journalism’, ‘Corporate Tyranny’ and Mea Culpas: The Curious Case of Moldae v. New York Times.”
Kate Mewhinney currently serves on the board of directors of the National Academy of Elder Law Attorneys.
Joel Newman spent the Fall 1995 semester as a Fulbright Lecturer at Xiamen University in the People’s Republic of China. While at Xiamen, he also presented papers at several other Chinese universities (see article on page 8).
Steve Nickles was a co-author of a new bankruptcy textbook, *Business Reorganization in Bankruptcy*, published this year by West Publishing Company.
Alan Palmiter is working towards completion of a major new corporation hornbook for West Publishing Company, as well as a student text on securities regulation for Little, Brown and Company.
Wilson Parker has published an article on employment law in the *Iowa Law Review*.
Suzanne Reynolds spearheaded the creation and operation of a new law student volunteer program, the Domestic Violence Advocacy Center, which provides assistance and advice to victims of domestic violence. She also is at work on the second volume of her treatise on North Carolina family law.
Pat Roberts is chairing the Donative Transfers Section of the Association of American Law Schools and is serving on the Council of the North Carolina Bar Association’s Estate Planning Section.
Tom Roberts published an article titled “Ripeness and... CONTINUED ON PAGE 6
Symposium focuses on commercial arbitration
The Wake Forest Law Review sponsored a one-day business law symposium on commercial arbitration in March which featured several nationally known experts on the subject.
Speakers included William K. Slate II, president and chief executive officer of the American Arbitration Association, and Karen Kupersmith, senior counsel in the arbitration department of the New York Stock Exchange.
Stephen Harford, associate professor of management and dispute resolution at Wake Forest’s Babcock Graduate School of Business, opened the symposium with a discussion of the Supreme Court’s most recent opinions on the subject of arbitration under the Federal Arbitration Act. Other speakers addressed the role of arbitration in medical malpractice, discrimination, and securities litigation.
Law Review editors Heather Haase, Bruce Miller, and Jeffrey Miller organized the symposium.
Trial techniques
The American Trial Lawyers Association joined the North Carolina Academy of Trial Lawyers in sponsoring a program on trial advocacy at the School of Law in February.
The program, “Being the Best, From the Best: Trial Techniques for the New Lawyer,” was open to students, faculty, and practicing attorneys. Leading the program were North Carolina attorneys Karen Boyle, Wade E. Byrd, Charles L. Becton, and Douglas B. Abrams.
Faculty notes
Margaret Taylor’s article, “Detained Aliens Challenging Conditions of Confinement and the Porous Border of the Plenary Power Doctrine” was published last fall by the Hastings Constitutional Law Quarterly. She also was an invited speaker in a roundtable discussion, and consulted with the U.S. Commission on Immigration Reform, on detention policies for excludable and deportable aliens in April.
George Walker is chair of the International Law and Practice Section of the North Carolina Bar Association. He also presented a paper last fall at the Naval War College on “Oceans’ Law, the Maritime Environment, and the Law of Naval Warfare.”
As chair of the American Bar Association Standards Review Committee, Dean Robert K. Walsh has been in charge of a major project to completely revise the standards and interpretations governing ABA accreditation for the first time in more than twenty years. He also is a member of the governing council of the ABA Section on Legal Education and Admissions to the Bar.
Ron Wright was this year’s recipient of the Joseph C. Branch Excellence in Teaching Award. He also published several articles, dealing with topics such as congressional grants of immunity and criminal sentencing guidelines, in the Minnesota Law Review, the Wake Forest Law Review, and the Federal Sentencing Reporter.
Simone Rose’s article on the antidilution doctrine as it is used in intellectual property practice will appear this fall in the Florida Law Review.
Richard Schneider’s piece, “John Hazard in Moscow: 1934-1937,” was recently published in the International Practitioner’s Notebook. He also has done extensive work for the Lawyers Committee for Human Rights.
David Shores’ article, “Law, Facts and Market Realities in Antitrust Cases after Brooke and Kodak,” was published in the Southern Methodist University Law Review.
Tom Steele co-authored, with Mary Lou Corbett, Guide to North Carolina Legal and Legal-Related Materials, published by the American Association of Law Libraries.
Associate Dean James Taylor has been named president of the Board of Trustees of the Air Force Judge Advocate General (JAG) School Foundation.
Forum Selection in Fifth Amendment Takings Litigation” in the Journal of Land Use and Environmental Law. He also is co-chair of the Land Use Litigation Subcommittee of the Land Use Committee of the ABA’s Section of State and Local Government Law.
Charles Rose was awarded the Jurist Excellence in Teaching Award for 1996.
Upholding the law
Centennial graduating class told to treat profession as public service first.
It was 100 years ago that Wake Forest School of Law graduated its first students, and in the intervening century the legal profession has changed mightily—and not always for the better. So observed Burley B. Mitchell Jr., Chief Justice of the North Carolina Supreme Court, in his address to the Class of 1996 during the traditional hooding ceremony May 19.
What has changed in recent years, Mitchell noted, is not so much the profession but the perception of the profession. "The public has little faith in the legal profession or other institutions in this society," Mitchell told the students. "I urge you to treat your profession as, first and foremost, a public service—a public service by which you serve humanity, and coincidentally make a good living."
Among the 156 members of this year's class were two who graduated *magna cum laude* and fourteen who graduated *cum laude*. Graduating *magna cum laude* were Mark Christopher Lehberg and Barry Ford Robertson Jr. Graduating *cum laude* were John Barnwell Anderson, Craig Robert Baldauf, Neil Matthew Day, Kerrie Vaughan Forbes, Adam Timothy Frost, Darren T. Hovarth, Daniel R. Johnston, George William Joyner III, James Robert Langdon, Allison Kaye Overbay, Amy Elisabeth Rickner, Jeffrey A. Sanborn, Michael Leo Schenk, and Michael Elliot Turner.
Wake Forest School of Law graduates James W. Mason (JD '38) and Hiram H. Ward (JD '50) received honorary degrees, the first time in the law school's history that two alumni have received honorary degrees at one commencement ceremony.
Mason, who was awarded Wake Forest's highest honor for distinguished service, the Medallion of Merit, in 1980, has served as a Wake Forest trustee since 1961. He was a North Carolina state senator from 1957 to 1959 and is a former chair of the Baptist State Convention's Council on Christian Higher Education. He previously was awarded the Distinguished Service Award from the School of Law.
Ward, Senior Judge of the Middle District of North Carolina, has served on the federal bench since his appointment by President Nixon in 1972. A decorated veteran of World War II, he received the School of Law's Outstanding Alumnus Award in 1980 and 1989 and the prestigious Liberty Bell from the North Carolina Bar Association in 1994.
It is said that to know others well, you must know yourself. The reverse could be said of the law. To fathom their own laws and legal system, American lawyers would do well to plumb those of other countries.
Until not very long ago, international transactions were mainly the province of large firms in coastal cities. Today, it is exceptional when a firm of even modest size anywhere in the United States has not had some dealings in other nations. Law schools are recognizing the need to help prepare their students for the foreign practice they’ll be called upon increasingly to do by incorporating elements of international law and the laws of foreign countries and political or economic unions into their curricula.
Beyond this, Wake Forest School of Law is giving greater attention to comparative law—the contrasting of other countries’ legal systems with America’s—to broaden its students’ understanding of the policies behind our laws and the directions those policies are heading.
The law school has four-week summer comparative law programs in London and Venice. In each, two faculty members teach legal aspects from a comparative standpoint. This summer, for example, Suzanne Reynolds will teach comparative family law in London and Ronald F. Wright Jr. and Richard S. Schneider will teach comparative administrative and environmental law, respectively, in Venice. Besides benefiting the students educationally, the programs enhance faculty participants’ facility with comparative law issues, which they can apply in their courses at Wake Forest.
Although Wake Forest students comprise the London program exclusively, they are joined in Venice by Italian law students. The
Left to right: Joel S. Newman, Don R. Castleman, Richard S. Schneider and Alan Palmiter.
By David Fyten
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opportunity to mingle with students from other countries is part of the impetus behind a new graduate program in American law for foreign students which will be launched at the School of Law this fall. Each year, as many as eight foreign law graduates will spend a year at Wake Forest gaining exposure to the American legal system and the American way of thinking about legal problems. Wake Forest students will benefit from having foreign-trained lawyers in their midst who will give them additional insights regarding legal problems and approaches to legal issues.
Providing a comparative law outlook in a variety of courses throughout the curriculum is a goal of Dean Robert K. Walsh. “I am convinced that lawyers who understand the policies behind substantive legal doctrine win arguments in court on those legal questions in cases of first impression or those on the margin of the development of that legal area,” he says. “Comparing the development of legal issues in criminal law, torts, or any substantive area with the law of other countries deepens the understanding of our own doctrines and helps better prepare future practitioners.”
To enrich the faculty’s expertise in international and comparative law, the school hired Schneider in fall 1992. He teaches, among other topics, international business transactions, and he is preparing a survey course in comparative law.
Schneider has been fascinated with Russia since boyhood. He majored in Russian in college, and after graduating in 1976 he spent a semester in Leningrad (now St. Petersburg). But then he enrolled in law school, and he assumed he would practice domestic law, with his interest in Russia little more than, as he puts it, an “appendage.”
His law practice became international through four years of service with a New York firm with an office in Brussels. Then, in 1988, Soviet leader Mikhail Gorbachev extended the Joint Venture Law which opened his country to greater Western investment. Soon Schneider was shuttling back and forth between New York and Moscow working on deals for Pan American, Sheraton, and other corporations as well as representing Russians in their dealings in the U.S.
Eventually he tired of the incessant travel and opted for a teaching career. But that didn’t halt his work abroad. In the summers of 1993 and 1994, he taught business and investment law to Russian and American students in Moscow under the auspices of Yeshiva University’s Cardozo Law School summer program. He also writes the Russia portion of the Lawyers Committee for Human Rights’ annual critiques of U.S. State Department reports on human rights conditions in other countries.
“The thing to keep in mind is that Russians have only recently emerged from three generations of socialism in which law was completely irrelevant or observed only in the breach,” he says. “They were not used to structuring business transactions within the law and were unfamiliar with basic concepts like loans and limited liability.
“They also are very inflexible with regard to the law,” he continues. “If the law says, no, you can’t do something, for Russians, that’s the end of the matter. For us, of course, it’s only the beginning. Teaching [Russians] has given me insight into a different way of lawyering.”
Schneider also benefited from his exposure to civil law in Brussels—benefits he now shares with his Wake Forest students. “In civil law transactions, lawyers don’t look at precedents, they write much shorter contracts, and they serve an ancillary role—all of which, of course, are quite different than our [common law] system,” he says. “Today, when I teach my international business class or my European Union class, I’m able to convey in an immediate way a very different way of looking at and dealing with the law.”
“An understanding of civil law is very important to American lawyers and law students today,” he adds. “It’s almost impossible to avoid it now.”
A number of other faculty members have practiced or taught abroad in recent years, enriching their personal and professional lives and class discussions.
The former Soviet bloc also is familiar territory to Professor Don R. Castleman. In spring 1992, he was invited to participate in the American Bar Association’s Central and Eastern European Law Initiative (CEELI), a program designed to instill Western influence in legal education in eastern European countries as they emerged from Communist systems. He spent five weeks at the Janus Pannonius Institute in Pecs, Hungary, then five weeks at the International Business School in Moscow lecturing on American corporate and criminal law before wrapping up his trip with a three-week stint at the University of Tartu in Estonia promoting the program. He returned to Russia for three weeks in 1993, and he has taught in the summer program in London as well.
In Hungary Castleman taught young people who for the most part were uncertain about their future. In Moscow he taught mostly older people of mixed nationality—entrepreneurs, employees of companies being privatized, members of wealthy families—the mechanics of setting up corporations.
Castleman characterized both legal systems as steeped in the “arbitrary, personal exercise of power.” Lawyers are agents not of their clients, but of the law and the state.
“It gives you a clarity—lets you put things in real focus,” he says of exposure to foreign systems. “I got my clearest understanding of the uniqueness of our Constitution in an all-night debate on a train with a Chinese man. I had a very hard time helping him understand the concept of the rights of the individual versus the common good, and how our Bill of Rights protects the individual from the tyranny of the majority.
“But in Russia and Hungary I came to see the weaknesses as well as strengths of our own system,” he continues. “In criminal cases we haven’t quite figured out yet how to temper the right of the individual with the need to protect the majority from predators. As a society we do need to have a little more ability to detect and deter crime.”
Professor Joel S. Newman spent this past fall in an even more distant location—the Chinese coastal city of Xiamen. Even the longest journey begins with a single step, and his began in a restaurant near Wake Forest’s campus.
Newman, a tax specialist, had been interested in teaching in China under a Fulbright Fellowship program for more than a decade. “I know a Chinese person who worked at a takeout restaurant [in Winston-Salem],” he says. “I was telling her about the program one day when this guy who was eating there chimed in, ‘You really ought to go to Beijing.’ It turned out he was a physics graduate student, and he was able to get me an invitation.”
Newman was assigned to Xiamen University, where he taught two courses—taxation of international transactions and legal ethics—to third-year students. In China, as in virtually every country outside the U.S. and Canada, the study of law is an undergraduate discipline.
“The Chinese view of law is a lot different from our own,” says Newman. “Their presumption is a lot closer to guilty until proven innocent. The mark of a good criminal court judge in China is one who decides the case before trial. Lawyers and the public do not have access to cases, but the judges do. It sounds a lot like secret law, but as a civil law country, China doesn’t care about cases, it cares about statutes.”
Newman learned the extent to which the Chinese value group harmony over self-interest when he administered an exercise he conducts in his Wake Forest classes. He turned the class into a hypothetical law firm and led a meeting at which the members discussed changing the firm’s compensation system from seniority to productivity.
“It’s been my experience [at Wake Forest] that if the students really get into their roles the firm will break up,” he says. “In my Chinese class the meeting was very lively; people got angry—but the firm didn’t break up. The majority sentiment seemed to be, ‘These are my friends and coworkers, I can’t leave them.’ Chinese college students are grouped according to discipline. Everybody lives in the same dorm, they wear uniforms, and the third- and fourth-year students are drill instructors for the first-year students. They’re a family. In later life if one is a lawyer and another is a judge, they’ll do favors for each other.”
Perhaps no other Wake Forest law faculty member has more of an international background than Professor Alan R. Palmeter. The son of lay missionaries, he was born in India and spent his childhood in various parts of Central and South America. After college he taught math for two years in Colombia, and after law school he joined a Washington, D.C., firm which had offices in five countries. Since coming to Wake Forest in 1986, the business law specialist has gone to Colombia every year, and he has taught two summers in the Venice program.
Palmeter’s most extensive stint in Colombia while he has been at Wake Forest was in fall 1994, when he taught at three universities and gave lectures on U.S. corporate law under a Fulbright Scholarship.
“Corporate law is a great area for contrasts,” he says. “U.S. corporate law is far more liberal, more facilitative. It assumes the goodwill of the parties and imposes significant penalties for those who abuse this confidence. Colombian law, on the other hand, is far more formal and regulatory. It assumes dishonesty and bad faith and regulates transactions at their inception. Penalties are far more difficult to enforce.”
According to Palmeter, Colombia’s system inhibits its economy with a lot of government-imposed costs. To become more competitive in the global marketplace, Colombia, like many countries, is trying to liberalize its business laws—to, as Palmeter puts it, “out-America America” with an open, free-market system that may swing too far the other way.
“I came away with a much greater appreciation of our court system, which is an effective last defense against corruption and evil-heartedness,” he says. “Colombia hasn’t developed institutions of the same quality and integrity.”
Palmeter says the study of comparative law “broadens students’ understanding of the world and prepares them for the non-U.S. experiences that are washing on our shores and pushing down barriers.” American legal education, he says, “never has been riper” for it—“both because the soil in which we plant our seeds, the students, are coming to us with much greater interest, and because many of us [faculty members] are prepared to plant those seeds.”
Palmeter is especially enthusiastic about the new graduate program in American law for foreign students. “It will enable [participants] to take back the American perspective to their own countries,” he says. “But in some respects, it will benefit us even more. We teachers will gain different perspectives, and our students will be able to learn from and share with their international counterparts.
“Above all, it will sharpen and deepen our students’ understanding and appreciation of their own system,” he adds. “Despite all the jokes, America values its lawyers and legal system more than any other country in the world.”
Tough Questions, Hard Choices
by Mark A. Hall
Whether health care should be rationed no longer is the question. Now we must ask ourselves what should be rationed, when and where, and for whom, by whom, and how.
When we are ill, we desperately want our doctors to do everything within their power to heal us, regardless of the costs. Medical technology has advanced so far, however, that literal adherence to this credo for every human frailty would consume most of our country’s entire economic output, causing economic collapse. Bringing our massive medical prowess to bear on every physical and mental deficiency would mean treating each person’s occasional insomnia, periodic lethargy, seasonal allergies, and minor aches and pains as if they were life-threatening illnesses. This is obviously hyperbole, but it illustrates what it would mean to take seriously the sentiment that nothing is more valuable than one’s health and thus cost should be no object when it comes to medical care.
Stopping short of this absurd state of affairs requires some sacrifice of marginal medical benefit in favor of other social needs. Someone, somewhere must decide which items of potential medical benefit are not worth the cost.
Making these medical spending decisions is discussed in various terms, the most alarming of which is health care “rationing.” In order to avoid drawing the fire of those who oppose any use of this term, discussion of these issues sometimes leans toward the more neutral terminology of resource allocation or spending decisions. Using the emotionally charged “R” word in this life-and-death context can polarize discussion and hamper rational analysis as seen during the national debate over President Clinton’s sweeping proposals for health care reform. President Clinton adamantly asserted that his reforms would not cause rationing, a claim that was sharply disputed by his critics. Despite their bitter clash, both sides were in tacit agreement that it is desirable and feasible to avoid any health care rationing.
Some respected policy analysts from academic and medical circles also dispute my axiomatic starting premise that rationing is inevitable. Instead, they argue that all our health-care needs could be affordably met if we eliminated the large portion of “unnecessary” care that bloats the present health care budget. This position is conceptually confused and empirically wrong. Conceptual confusion springs from the misunderstanding or misuse of the term “medically necessary.” Using “need” to set limits on spending contradicts the fundamental trait of human psychology that our needs are shaped by our wants, which are themselves shaped by available resources. What is possible is desired, and our wants become our needs. Therefore, over the long run, need is more descriptive of how we actually spend money than it is prescriptive of how money should be spent.
As interpreted in practice, “medically necessary” lacks sufficient independent meaning to set a solid limit on how we spend health care resources. Few current expenditures are so devoid of any plausible medical benefit that they could be eliminated solely on the basis of being entirely unnecessary. Consider, for example—after the development of X-ray machines costing $100,000 each, followed by CAT scanners that cost $1 million, and magnetic resonance imagers at a cost of $3 million—whether there is now a widespread need for PET scanners (positive emission tomographs) which approach $10 million each. They are remarkable diagnostic machines that reveal detailed information about chemical brain activity. Clearly, every hospital should have at least one. Although not all medical spending entails such high-tech advances, most of it is for something that is plausibly superior to a cheaper alternative. Very little can be confidently eliminated as wholly unnecessary.
Suppose this were not the case, though. Suppose we could trim a thick layer of fat off of the bulging physique of medical enterprise. We still would not control medical inflation over the long run without some form of rationing. Eliminating unnecessary care does not provide lasting relief because it is only a one-time savings that is quickly engulfed by the inevitable progress of medical advances.
It is sometimes thought that medical advances will eventually reduce medical spending by making people fundamentally healthier, but this assumption is equally flawed. Medical needs are inherently limitless because aging and illness are a permanent feature of the human condition. Much beneficial medical care results in people living to an older age where they are more frail and succumb to more chronic and expensive diseases. This does not mean we should suppress these innovations, only that the drive to conquer all forms of illness is ultimately doomed to failure. The course of history over this century demonstrates that, as medicine advances, so do both medical needs and medical spending.
For these various reasons, most policy analysts recognize that rationing in some form is desirable and inevitable. We have always rationed health care resources on a massive scale, but we have done so according to irrational and unjust principles. We ration health care by denying it to those individuals who lack insurance either because their employer does not provide it or because their level of poverty has not yet fallen to the desperate level required for Medicaid eligibility. At the same time, we heavily subsidize health insurance for the upper and middle classes through a regressive tax policy that excludes from an employee’s income the value of insurance premiums contributed by employers. Moreover, for those who are fully insured, we devote vast resources to save lives and restore health once an illness or accident occurs, but we
spend only microscopic amounts in comparison on basic safety, health education, and health prevention measures. Medical care is also rationed when insurance benefits are limited for mental health, dental, and nursing home services.
The haphazard and unprincipled basis on which rationing presently occurs effectively rebuts another argument raised by critics of rationing, namely, that rationing should occur only under numerous, morally demanding conditions that do not exist and likely never will. Utopian demands ignore the fact that any systematically thought-out rationing scheme, however flawed, is far superior to the thoughtless and inhumane way in which many uninsured people are now treated. A more considered form of resource allocation is the first step, not the last, toward social equity and broad-based reform.
**Asking the Right Questions**
Let us begin by asking how, where, and by whom does rationing occur. Medical spending decisions are made at three different levels.
At the macro or global level, society must decide, whether purposefully or by default, how much of its resources to devote to the medical enterprise. At present, the U.S. devotes about 14 percent of its total economic output to medicine; although there is no way to know for certain what is the correct level of total spending, there is broad consensus that the U.S. spends far more than it should for what it receives.
What we get for what we spend raises the second, intermediate level of resource allocation. Total medical spending must be allocated among preventive versus curative versus palliative treatment, and between acute versus chronic ailments. Total spending also must be allocated among mental versus physical, cardiovascular versus endocrinology, and countless other subdivisions within medical practice. Here too, there is undeniable evidence of misallocation. Most policy analysts believe we spend far too little of our medical budget on preventative care, and many believe that those who suffer from chronic ailments are neglected in favor of either futile or wasteful attempts at curing acute illness.
The third level consists of the microscopic treatment decisions made at the bedside level. Which patient receives which scarce organ for a life-saving transplant is the most dramatic example, but micro-level rationing also includes more mundane questions such as when to use generic versus expensive antibiotics, whether an MRI scan is advisable, and whether a patient without insurance must be treated. Here too, misallocation is easy to spot. Many individual items of care are massively overprescribed for those with insurance. According to some studies, almost half the coronary bypasses, the majority of Caesarean sections, and a significant proportion of many other procedures are unnecessary or of questionable value. Meanwhile, more than 40 million Americans lack insurance at any point in time and so their access to basic care is severely hampered. Even more disturbing, there is strong evidence that patients with equivalent insurance and similar health conditions receive different treatment according to their race and socioeconomic status.
These three levels of rationing are not hermetically divided. They blend into and influence each other in a disorderly, interconnected pattern that is not at all easy to demarcate or disentangle. Accordingly, this summary does not provide much insight
Many believe that those who suffer from chronic ailments are neglected in favor of either futile or wasteful attempts at curing acute illness.
into how spending decisions are actually made. Understanding the nitty gritty of how health care is rationed requires us to look at the institutions and processes in society that control the critical decisions at each of these levels, and ask what are their attractive features and ugly flaws? These questions remain important regardless of the overall structure of a health care financing and delivery system. Whether it is regulatory or competitive, public or private, we are plagued by two basic issues: (1) who should decide what care is not worth the costs, and (2) what criteria of benefit should be used to make this determination?
The second of these problems is the one that has received more attention to date. Numerous volumes have been written on questions such as whether the short supply of transplantable organs should be distributed based simply on random draw or who has been waiting the longest, or instead based on elaborate concepts of medical need or medical benefit. This literature also gives extensive thought to routine medical technologies. It explores whether medical resources generally should be rationed according to age or instead according to some more quantitative formula for effectiveness or value. Others before me have debated at length whether medical benefits should be defined by the number of lives saved, the length of life, the quality of life, or some more intermediate goal such as diagnostic certainty, and whether judgments about people’s social worth can be prevented from tainting these concepts.
These are tremendously fascinating and important questions deserving of continuing inquiry, but they avoid what I see as a more fundamental question: Who should be the rationing decision maker? Medical spending decisions can be made through three fundamentally different mechanisms. Cost-sensitive treatment decisions can be made by patients, by physicians, or by third parties—primarily private and governmental insurers but also various regulatory or review organizations. Elsewhere in our economy, cost/benefit trade-offs are usually made through the purchasing decisions of individual consumers. For example, nutrition resources are allocated at both the macro and micro levels through the aggregation of countless individual decisions of how much food to buy, of what quality, and from what source. This simple market mechanism is not generally available or desirable for health care because of the unpredictability of illness and the complexities of medical judgment. We purchase insurance rather than pay out of pocket because we want to protect ourselves from the uncertain costs of health care and the anxiety of making spending decisions under the strain of serious illness. Moreover, even without insurance, patients make few of their medical decisions themselves because the complexity of treatment compels them to delegate extensive authority to their doctors. Therefore, most medical spending decisions are necessarily made through the agency of insurance and the agency of physicians.
Insurers, either private or governmental, can make medical spending decisions through cost-sensitive rules about what treatment they will pay for. Until recently, this has seldom happened, but in 1994 Oregon became the first state to attempt explicit rule-based rationing for all of medicine. Oregon ranked over 600 condition-treatment pairings (e.g. surgery for appendicitis) according to their medical effectiveness, for purposes of allocating limited Medicaid funding. Elsewhere in this country, efforts are under way to develop a host of much more detailed and nuanced clinical practice guidelines, which could also serve as rule-based
Patients make few of their medical decisions themselves because the complexity of treatment compels them to delegate extensive authority to their doctors.
tools for third-party resource allocation. In addition to insurers’ payment rules, spending decisions can be imposed by other parties who are similarly outside the doctor-patient relationship. Courts, citizen groups or other ideal democratic processes, and physician administrators who review the work of treating doctors are each able to set limits or give directions on how medical resources are spent. All of these alternatives are deeply flawed because medical practice can never be adequately reduced to a set of prescriptive rules. The complex, uncertain, highly variable, and humane aspects of medicine demand that some substantial role be preserved for physician discretion.
Authorizing physicians to incorporate cost considerations into their clinical judgment is also highly controversial, however. Bedside rationing fundamentally compromises physicians’ role-based ethic, which traditionally requires doctors to provide all care that offers any benefit, regardless of its cost. Physician bedside rationing is rendered even more controversial by the use of financial incentives to motivate doctors’ performance. Nevertheless, I contend that patients should be allowed to authorize their doctors to make cost/benefit trade-off decisions on their behalf at the bedside. This is more attractive than centralized, rule-based rationing because it individualizes spending decisions to the circumstances of each patient, and it operates through professional incentives rather than bureaucratic authority.
This controversial role for physicians is allowable, however, only if patients in fact consent to the role. The gist of my position is that subscribers are bound by the choices made when they knowingly and freely select an insurance plan with a particular mix of resource allocation systems, whether under a public program or in a private market. But most of us are never told about rationing decisions, much less who makes them, nor are we given any choice over these matters. In my recent work, I have argued that we urgently need to remedy these defects in consumer choice by moving toward a system for insurance selection known as “managed competition.” This structure was at the heart of both President Clinton’s rejected 1993 plan and several of its contenders, and it is at the heart of the Medicare reforms recently crafted by Republican legislators. Some version of managed competition already exists for most very large private employers, many government employees, and several state Medicaid programs (e.g., Arizona and Tennessee).
Regardless of whether society ultimately prefers market or government systems in general, it must decide in what circumstances patients, doctors, or various outsiders are best positioned to make medical spending decisions. Society certainly should not make this choice solely according to the analytical musings of an academic lawyer, nor could it very well do so, for I have failed to give any definite answer to these inquiries. My purpose is not to settle this debate, only to lay the groundwork for further thought by exposing the subtleties and complexities contained in these imperfect options. My objective will be met if the reader is convinced to avoid the attraction of absolutist taboos and simplistic solutions and instead is motivated to give this intractable problem hard thought that spawns creative ideas, if not permanent solutions.
Mark A. Hall is a professor of law and public health at Wake Forest University with primary appointments at the School of Law and the Bowman Gray School of Medicine. He also teaches at the Babcock Graduate School of Management. The preceding is based on the first chapter of his book, Making Medical Spending Decisions, which will be published later this year by Oxford University Press.
Friends honor Fred B. Helms, oldest living law school grad
Friends of distinguished alumnus Fred B. Helms (JD ‘23), the oldest living graduate of the School of Law, helped him celebrate his 100th birthday in April by supporting a scholarship in his name.
Twelve friends made gifts to the Fred B. Helms Scholarship Fund in the law school in honor of his birthday. The scholarship, established in 1982, is awarded annually to a student demonstrating financial need and scholarship with preference given to a North Carolinian.
Helms opened his own law office in Charlotte in 1992 and built that firm, now Smith Helms Mulliss & Moore, into one of the largest and most distinguished in the state. He served as a judge and a county judge in the 1920s, fought political corruption in the thirties, and was president of the N.C. State Bar in the forties. He led numerous civic, political, and religious causes and organizations in Charlotte throughout the years.
Helms received the Distinguished Alumnus Award from Wake Forest in 1971 and served on the Law Board of Visitors in the 1970s.
Those making gifts in honor of Helms were: Francis I. Parker, Martha Gullick Taylor, Ethel H. McMillan, Jane Stewart Thomas, Patricia J. Lookabill, Mr. and Mrs. Ray A. McMillan, Mr. and Mrs. B. Bernard Burns Jr., Kenneth C. Day, Mr. and Mrs. W. H. Melton Jr., Rebecca E. Edwards, Beulah Hill, and James Sweat.
Hugh M. Wilson of Lenoir, NC, is serving a second term as chair of the Board of Trustees of Caldwell Community College.
Edward Knox of Charlotte has gained national certification with the National Board of Trial Advocacy with Board Certification of Civil Trial Attorneys.
Carroll Franklin Gardner (BA ‘58) of Mount Airy, NC, has been elected a councilor to the North Carolina State Bar.
Donald K. Tisdale and three partners have formed the law firm Tisdale, Grace, Menefee & Costner in Winston-Salem.
Moyressa H. Schoonmaker (BA ‘62) of Winston-Salem, has received NC Equity’s Carpathian Award for Personal Advocacy.
Thomas Thorton has joined the firm of Adams, Kleemeier, Hagan, Hannah & Fouts in Greensboro, NC. He will continue his practice in construction law, commercial law, business transactions, litigation, collections, and debtor-creditor relations.
The firm of Lewis and Daggett in Winston-Salem, owned by Michael Lewis (BA ‘67) and David Daggett (JD ‘85), received the Jake Alexander Award from the Governor’s Highway Safety Program. The award recognized the firm’s six-year promotion of drug and alcohol-free prom nights.
Sidney Eagles Jr. (BA ‘61) of Raleigh, NC, received a presidential award from the Wake County Bar Association for extraordinary service to the bar and the community.
Richard Howington (BA ‘66) of Winston-Salem has co-authored a chapter on physician group practices in Little Brown’s new Health Care Corporate Law series.
Kenneth D. Knight was elected a councilor to the North Carolina State Bar.
John Martin spoke at an NCBA gathering on insurance coverage for punitive damages and international torts in Raleigh, NC. He is with the firm of Ward and Smith in Greenville, NC.
Catherine Biggs Arrowood of Raleigh, NC, has been inducted into the Wake County YWCA’s Academy of Women. She is a partner with Parker, Poe, Adams & Bernstein.
Keith Clark of Franklin, NC, has been elected to the Southwestern Community College Foundation board.
Michael A. Grace and three partners have formed the law firm Tisdale, Grace, Menefee & Costner in Winston-Salem.
H. Terry Hutchens of Fayetteville, NC, is the new chair of the local Chamber of Commerce.
Steven Little is mayor pro tem of Marion, NC.
Joseph Stroud has joined the Jacksonville, NC, office of Beswick, Coyne, Erwin & Taylor.
Daniel Mercer of Pennsauken, NJ, has joined the Burlington County Bank of Burlington, NJ, as legal counsel and compliance officer.
Gene Pridgen (MBA ‘75) is a partner with Kennedy Covington in Charlotte.
Robert Sharpe has been appointed senior vice president and general counsel of RJR Nabisco.
1979
Bruce Mitchell DiCicco is a sole practitioner in New York City, specializing in estate planning.
A. Grant Whitney Jr. (BA ‘76) has been re-elected to the executive committee of the North Carolina Land Title Association. He is a partner in the firm of Parker, Poe, Adams & Bernstein in Charlotte.
John B. Yorke has been appointed vice president, corporate general counsel and secretary of Integon Corporation in Winston-Salem.
1980
Ernie Murray has become a principal in the firm Baker, Jenkins, Jones & Daly in Rocky Mount, NC.
1981
Henry Mangum has joined the firm of Adams, Kleemeier, Hagan, Hannah & Fouts in Greensboro, NC. His practice is concentrated in the areas of business transactions and taxation matters.
1982
Kevin Condon of Fairfield, CT, has been promoted to general counsel and secretary of ACI Holdings Inc. of Stamford, CT.
Earl F. Wall (BA ‘79) has joined Triad Guaranty Insurance Corp. in Winston-Salem as vice president and general counsel.
1983
Michael Dodson is a civil trial attorney with the Office of the City Attorney in San Jose, CA.
Michael Doran has formed the firm Inge and Doran with a partner in Salisbury, NC. He concentrates on personal injury and business and estate litigation.
John Motsinger of Winston-Salem, is a practitioner member of the Academy of Family Mediators.
1984
Deborah Burgin of Rutherfordton, NC, was named Law Enforcement Judge of the Year in the region which covers Cleveland, Rutherford, Polk and McDowell counties in North Carolina.
Karen Duke has been named vice president of legal services and general counsel of the Board of Trustees at Promina Health System in Atlanta, GA.
1985
John Clley of Newton, NC, has been appointed by Governor Jim Hunt to a four-year term on the Employment Security Commission of North Carolina.
Nancy Paschall (BA ‘82) of Gastonia, NC, has been appointed by the American Red Cross as vice chair of field service for her local district.
Randy Sharpe of Hickory, NC, received the Clara Barton Honor Award for voluntary leadership from the state chapter of the American Red Cross.
1986
James E. Meadows spoke at two computer law seminars in March, lecturing on recent telecommunications law developments, at the Practicing Law Institute program in New York City, and the CLE International seminar in Denver. He is a partner with Hicks, Maloof & Campbell in Atlanta, GA.
Richard H. Moore has been appointed secretary of the North Carolina Department of Crime Control and Public Safety in Raleigh, NC.
1987
Marguerite Bateman is the assistant general counsel for the Investment Company Institute in Washington, D.C. She lives with her husband and two daughters in Alexandria, Va.
Lisa S. Costner and three partners have formed the law firm Tisdale, Grace, Menefee & Costner in Winston-Salem.
Law fund tops $380,000
As of May 1, $380,000 had been raised for the 1995-96 Law Fund. All funds raised above the $300,000 mark go directly to student scholarships.
Parents’ Campaign succeeds
The annual Parents’ Campaign has reached its goal of $25,000. John and Priscilla Trinder of Virginia Beach, Virginia, who chaired this year’s campaign, announced that $27,110 has been received as of April 4. This is a 25 percent increase over last year’s campaign.
Class of 1996 challenge
Mike Wells (JD ‘74), a member of the Law Alumni Council, has issued a challenge to his fellow council members to join him in raising $4,000 in honor of the Class of 1996. The purpose of this fundraising effort was to allow the 160 new alumni to become “Partners.” A new graduate is recognized as a member of the Partners program with a gift of $25 or more to the Law Fund. The Class of 1996 will be included on the Partners Honor Roll and invited to the Partners Banquet which annually recognizes all donors of $250 or more to the School of Law.
Firm commitment
The 1996 Firm Representative Program kicked off this spring. Seventy-six firms with four or more Wake Forest graduates were invited to participate in this program which recognizes firms with 100 percent alumni participation in the Law Fund. This is the third consecutive year the Office of Law Alumni and Development has offered this program. Participation increased in 1995 by 50 percent over 1994.
Russ Schumacher is with the firm of Rand, Algeier, Tosti & Woodruff in Morristown, NJ. His practice focuses on school law and labor negotiations in representing public school districts.
Joshua Else (BA ’93) has been named to lead the School of Law’s alumni and development program.
Else’s appointment as law development officer is effective July 1. He succeeds Ashley A. Flynn, director of law alumni and development, who relocated to Lynchburg, Virginia, after getting married in June.
Since graduating from Wake Forest with a political science major, Else has worked in newspaper advertising sales. A native of Erie, Pennsylvania, he spent the last year earning a teaching certificate in secondary education and working toward his master’s in education at Gannon University in Erie.
Fourteen law school graduates were admitted to the bar of the U.S. Supreme Court and were treated to a private breakfast with most of the justices during a visit to Washington, D.C., on May 13. Dean Robert K. Walsh made the motion to admit the group in the Supreme Court chambers. Those admitted were: P. C. Barwick Jr. (BA ’58, JD ’60); Kenneth G. Carroll (BA ’82, JD ’85); W. Russell Duke Jr. (BA ’70, JD ’74); Walter G. Holton Jr. (JD ’84); H. Edward Knox (JD ’63); Frances S. Knox (JD ’91); John D. Madden (JD ’83); Frank P. Meadows Jr. (JD ’56); Carl F. Parrish (JD ’74); Sandy G. Patterson (BA ’74, JD ’77); Mary M. Pope (JD ’77); James L. Swisher (BA ’61, JD ’62); and Donald M. VonCannon (BA ’67, JD ’71).
Karen Lea McBride is a securities associate at Shefsky, Froelich and Devine Ltd. in Chicago, IL.
Brent C. Shaffer (BA ’84) has joined the law firm of Young, Conway, Stargatt & Taylor in Wilmington, DE. He is a member of the Delaware and Maryland Bar and is practicing commercial real estate law.
Charles Vinicombe is a litigation partner in the firm Drinker, Biddle & Reath in Princeton, NJ. He also is an adjunct member of Seton Hall University Law School.
Rodney Davis has become a member in the firm of McCoy, Weaver, Wiggins, Cleveland & Raper in Fayetteville, NC.
Steven Rowe (BA ’85) has been named a partner with Poyner & Spruill in Rocky Mount, NC.
Robin Shea has become a member of Constangy, Brooks & Smith in Winston-Salem.
Wilson H. Oldhouser and two partners have formed the firm Naka, Huttar & Oldhouser in Baltimore, MD.
James Bryan, of Greensboro, NC, has been named a partner at Adams, Kleemeier, Hagan, Hannah & Fouts.
Vicki Goldstein has become a partner of the firm Godfrey, Jacobs, Porter and Goldstein in Winston-Salem. She was recently elected president of the Forsyth County Women Attorney’s Association.
Dean Hollandsworth is the staff attorney for the Randolph County Department of Social Services in Asheboro, NC. He is serving a second term as judge advocate for the North Carolina District East Civitans.
George Holodick has become a shareholder in the firm Blanco, Tackaberry, Combs & Matamoros. He concentrates in the areas of commercial real estate, commercial finance and long-term health care.
Katherine O’Connor Sommers is a publisher for Lawyers Cooperative Publishing in Raleigh, NC.
William Toole of Charlotte has been named to the Pollution Prevention Advisory Board. He is an attorney with Robinson, Bradshaw & Hinson.
Andy Avram (BA ’82) has been named a partner in the firm of Cranfill, Sumner & Hartzog in Charlotte.
Kenneth Carlson of Winston-Salem has been named a shareholder in Edwards, Ballard, Clark and Barrett.
Mark Filburn is a partner with Shepard, Filburn & Goodblatt in Orlando, FL.
Nils Gerber (BA ’87) has opened his own law office in Winston-Salem. His new practice will emphasize criminal and civil litigation.
David Hall is a partner at Hutchins, Doughton & Moore in Winston-Salem. He concentrates in the area of litigation.
David W. Johnson is a new associate with Rubinstein & Perry in Los Angeles, CA.
Luther Starling of Clinton, NC, has been named to the local board of First Citizens Bank.
Scott Tufts of Asheville, NC, has become a partner in the firm Van Winkle, Buck, Wall, Starnes and Davis.
Grady Crosby has joined the legal department at Sara Lee Corporation in Winston-Salem.
Jeffrey S. White is with Allen, Dyer, Doppelt, Franjola & Milbrath in Orlando, FL.
Walker Lee Allen of Greenville, NC, is an assistant district attorney in Pitt County.
Kenneth Haywood has established his own law practice in Raleigh, NC. His areas of concentration include personal injury, contract litigation and residential/commercial real estate.
Frank G. LaPrade III of Richmond, VA, has joined Capital One Financial Corporation as assistant general counsel.
Lisa Angel has been elected president of The Women’s Center for Wake County. She is a divorce attorney with The
Rosen Law Firm in Raleigh, NC.
**Scott Bennett** (BA ’89, MBA ’93) is a litigator with Leitner, Warner & Moffitt in Chattanooga, TN.
**Janis A. Escallier** is a law clerk for The Honorable John A. Sweeney in Mt. Holly, NJ.
**Ashley Beck Gentry** is an associate with the O’Neil Law Firm in Myrtle Beach, SC.
**Paul Goodson** is an associate with the law offices of Deborah Maury in Greensboro, NC.
**Kate Harris** is an attorney with Family Dollar Stores, Inc. in Charlotte, NC.
**Tom Klein** is an attorney adviser with the U.S. Tax Court and lives in McLean, VA.
**John Overfield** has joined the law firm of Smith Follin & James in Greensboro, NC.
**Kris Parks** is a staff attorney with North Carolina Prisoner Legal Services in Raleigh, NC.
**Barbara Sherman** (BA ’92) has become an associate at Kennedy, Covington, Lobdell & Hickman in Charlotte. She is a member of the firm’s real estate department.
**Michael Barry Stein** is an attorney with the Lamb Law Offices in Shelby, NC.
**Neal Cook** is an associate with Parker Poe Adams & Bernstein in Raleigh, NC.
**Deanna Davis** is employed by The Sanford Law Firm in Raleigh, NC.
**Scott Dickinson** is an associate with Alston & Bird in Atlanta, GA.
**Nathan Duggins** has become an associate in the firm of Herrin & Morano in Greenville, NC.
**JD/MBA**
**Sharon Hice Lowe** (’84) is an attorney with P. M. Sharpe in Mount Airy, NC.
**Cliff Britt** (’86) is a partner with Robinson, Maready, Lawing & Comerford in Winston-Salem.
**Robert W. Morris** (’86) is a vice president and trust officer at BB&T in Charlotte.
**Powell Peters** (’86) is in the firm of Wolcott, Rivers, Wheary, Basnight & Kelly in Virginia Beach, VA.
**Blm Tudor** (’86) is a director with Floyd & Tudor in Nashville, TN.
**Eugene C. Priggen** (MBA ’75, JD ’78) Charlotte, North Carolina
**James R. VanCamp** (JD ’65) Carthage, North Carolina
**Ranlet S. Willingham** (JD ’89) Winston–Salem, North Carolina
**New Members:**
**Charles Buxt**
Winston–Salem, North Carolina
**Michael A. Grace** (JD ’77)
Winston–Salem, North Carolina
**Bill McBride**
Tampa, Florida
**Kenneth A. Moser** (BA ’65, JD ’68)
Winston–Salem, North Carolina
**George D. Kimberly Jr.** (BA ’84, JD ’87)
Greensboro, North Carolina
**Jennifer R. Lynch** (JD ’88)
High Point, North Carolina
**R. William McCauless** (JD ’82)
Salisbury, North Carolina
**John F. Morrow** (JD ’82)
Winston–Salem, North Carolina
**T. Lawrence Pollard** (JD ’74)
Durham, North Carolina
**Lesley G. Powell** (’77, JD ’83)
Richmond, Virginia
**Emily W. Streett** (BA ’83, JD ’87)
Washington, D.C.
**Larry T. Wilson** (JD ’89)
Wilmington, North Carolina
**New Officers:**
**M. Daniel McGinn** (BA ’64, JD ’67)
1996–97 President
Greensboro, North Carolina
**Albert R. Bell Jr.** (JD ’75)
President-Elect
New Bern, North Carolina
**New Members:**
**Stephen R. Berlin** (BA ’81, JD ’84)
Winston–Salem, North Carolina
**Grady L. Crossy** (JD ’91)
Winston–Salem, North Carolina
**Donald A. Donadio** (BA ’65, JD ’67)
Raleigh, North Carolina
**Mark L. Drew** (BS ’83, JD ’88)
Birmingham, Alabama
**Deborah Long Edwards** (’87) is an attorney with Continental General Tire, Inc. in Charlotte.
**John Griffing** (JD ’87, MBA ’88) is an attorney with Alala, Mullen, Holland & Cooper in Charlotte.
**Alumni News**
Ken Moser (JD '68), right, past president of the Law Alumni Council, presents Dean Robert K. Walsh with a framed honor roll recognizing alumni who made contributions to the 1994-95 Law Alumni Challenge in honor of the school's centennial.
Bill Toole ('89) is an attorney with Robinson, Bradshaw & Hinson in Charlotte.
Lee Garber Jr. ('90) is director of recruiting at Merritt, Hawkins & Associates in Irving, TX.
Mark Conger ('91) is an attorney with Petree Stockton in Winston-Salem.
Mike Crews ('91) is assistant vice president of development at Colombia/HCA Healthcare Corporation in Dallas, TX.
Matt Beagle ('91) is an account executive at Pennsylvania House Furniture Company in Westlake, OH.
Clayton Doron Morgan ('91) is an attorney with Smith, Debnam, Hibbert & Pahl in Raleigh, NC.
Jeff Whittle ('91) is a patent attorney with Bell, Seltzer, Park & Gibson in Charlotte.
Jon Myers ('92) is a self-employed attorney in Lexington, NC.
Caryn Marie Chittenden ('93) is an associate attorney with Blair, Conaway, Bograd & Martin in Charlotte.
Ken Hunt ('93) is marketing manager at Sara Lee Knit Products in Winston-Salem.
John Whitfield Wilks ('93) is an attorney with Johnston, Taylor, Allison & Hord in Charlotte.
Haywood Barnes ('94) is an attorney with Carruthers & Roth in Greensboro, NC.
Brian Petula (JD/MBA '94) has joined Farr Associates in Greensboro, NC, as a director of planning and development. His duties include public relations and new product development.
**Marriages**
Russ Schumacher (JD '86) and Judy Ferguson. 7/29/94
Katherine O'Connor (JD '89) and Larry Sommers. 10/94
Walker Lee Allen (JD '92) and Allison Belrose. 10/28/95
Sally Graham (JD '93) and Joe Helweg (JD '94). 7/20/93
Ashley Beck (JD '95) and Chris Gentry. 5/27/95
**Births**
Randolph M. James (JD '81) and Sue C. James, Winston-Salem; daughter, Elizabeth Cagle James. 4/10/96
Members of the Law Alumni Council hosted a reception for third-year students in February. Enjoying the reception were (left): Rice Dunham (JD/MBA '96), Kathy Brown (JD '96) and LAC member John Madden (JD '83) of Raleigh, NC; and (above): Michael Schenk (JD '96) and LAC member Annie Stone (JD '59) of Emerald Isle, NC.
Law Homecoming Weekend 1996
October 4 - 5
Tentative Schedule:
Friday, October 4
Partners’ Banquet
6:30 p.m.
Bermuda Run Country Club
Saturday, October 5
Pre-game Reception
4:30 p.m.
Piccolo Park, Groves Stadium
6:30 p.m.
Wake Forest vs. UNC-Chapel Hill
Class Contacts For Special Reunion Events:
1961
Leon Corbett
(910) 759-6101
1966
Jim Williams
(910) 373-8850
1971
Gary Tash
(910) 760-1400
1986
Cliff Britt
(910) 631-8500
Hotel Information:
Holiday Inn
University Parkway
910-723-2911
Courtyard By Marriott
University Parkway
910-727-1277
Please specify that you are with the Law Alumni Block
For more information, call the Office of Law Alumni and Development 1-800-752-8570.
Cliff Britt (JD ’86) (top) and Gary Tash (JD ’71) (bottom) are chairing their classes’ reunion planning committees. The committees met on campus in March to plan events for Law Homecoming Weekend October 4-5.
Class act
Twenty members of the Class of 1965 gathered for a twentieth reunion celebration in Pinehurst, North Carolina, in November.
James R. VanCamp and William B. Crews, both attorneys in Moore County, co-chaired the reunion.
“Our was a very small class [fifty students] and a closely knit group, and we knew each other well and were friends,” said Crews. “Many of us have kept in touch through the years.”
VanCamp remembered that their years at the law school were marked by several historical events, including the Cuban Missile Crisis, the assassination of President John F. Kennedy, and the escalating war in Vietnam.
“The facts put us together,” VanCamp said. “We were a group of individualists and rebels who were united by this extraordinary chemistry.”
Among the most well-known members of the class are Leo Daughtry of Smithfield, North Carolina, the majority leader in the North Carolina House of Representatives; John Oronario of New Haven, Connecticut, a member of the Connecticut legislature; Jack Thompson of Fayetteville, North Carolina, a Superior Court judge; and Warren Sparrow of Winston-Salem, a former district attorney for Forsyth County.
Class of 1965 members attending the reunion were (front row, left to right) Billie Poole, Jack Thompson, Robert Porter, William Treborrow, Alfred Oronario, and Jeff Bruton; (back row, left to right) John Morrow, Jimmy Barnhill, Henri Mazzoli, Clyde Wootton, Raymond Alexander, Warren Sparrow, James VanCamp, William Crews, Larry Ford, James Walker, Terry Hutchins, and Russell Dement.
Michael Dodson (JD ’83) and Suzanne Dodson, San Jose, CA: son, Samuel. 7/25/95
Robert A. J. Lang (JD ’84) and Whitney Smith Lang, Winston-Salem: son, Justin Hine. 7/6/95
Robert “Bucky” Saraga (JD ’86) and Nanette Saraga, Boca Raton, FL: son, Andrew Blake 11/21/95
Anthony Ehler (JD ’87) and Gina Ross Ehler, Columbus, OH: son, Patrick Alexander. 7/8/94
Peter Lane (JD ’87) and Katrina Lane (JD ’90), Rutherfordton, NC: son, Spencer McCavley. 7/17/95
Karen Lea McBryde (JD ’87) and J.P. McBryde, Chicago, IL: son, Rostan. 6/20/95
Mark Filburn (JD ’90) and Maureen Filburn, Orlando, FL: daughter, Lauren Marie. 5/17/95
Anne Hogewood (JD ’90) and Lee Hogewood (JD ’90), Charlotte, NC: son, Sarah Anne. 3/21/96
Jennifer Martin Wagoner (JD ’90) and David Wagoner (JD ’90), Charlottesville, VA: daughter, Caroline Grace. 10/29/95
Carolyn Wilson (JD ’90) and Todd Poston, Raleigh, NC: son, Robert Laurence. 4/5/95
Jeff Wigington (JD ’92) and Lyn Wigington, Corpus Christi, TX: daughter, Ella Barbara. 9/12/95
Deaths
Leon Dudley Smith (JD ’33) Dec. 23, 1995, Elizabethtown, NC.
Joseph D. Blythe (JD ’36) Harrillsville, NC.
Hamilton H. Hobgood (JD ’41) Nov. 15, 1995, Louisburg, NC. As a North Carolina Superior Court Judge from 1955-1979, he was known for his no-nonsense style, running his courtroom with a firm hand. He continued to serve as a special judge for years after his retirement. He served two terms in the North Carolina Senate, in 1951 and in 1953, and was a frequent teacher at Louisburg College and at the Institute of Government. He received the Outstanding Alumni Service Award from the Jurist in 1978.
Robert Henry Cowen (JD ’42) Nov. 6, 1995, Williamston, NC.
D. K. Stewart (JD ’50) Nov. 4, 1995, Dunn, NC.
Angelo Anest Coutras (JD ’57) February 5, 1996, Jacksonville, FL.
Albert James Post (BS ’62, JD ’64) Reidsville, NC.
John Bost III (JD ’67) Jan. 8, 1996, Lenoir, NC.
David M. Furr (’80, JD ’82) is a lawyer with a client in the fast lane. As NASCAR star Dale Earnhardt’s attorney, he helps oversee the business interests of a seven-time Winston Cup champion and his multimillion dollar enterprises.
Furr’s own career could be described as on the fast track. It certainly has accelerated quickly from a decade ago, when he knew little about big-time stock-car racing and even less about Dale Earnhardt. Now, he is shifting into high gear with formation of a company devoted to managing the careers of other professional athletes.
All this might seem slightly incongruous for a tax attorney. It all started in 1986, when Furr got a call from Earnhardt’s accountant on a tax matter. “I hadn’t followed stock-car racing, and I hardly knew who he [Earnhardt] was,” Furr recalls. But one thing led to another, and soon he was representing the legal interests of the driver they call The Intimidator.
In 1992, Donald G. Hawk Jr. took over Earnhardt’s business affairs as president of Dale Earnhardt Inc., upon the death of his first racing client, Alan Kulwicki. Since then, Hawk and Furr have screened and made recommendations on the thousands of endorsement offers Earnhardt receives every year.
“Principally what I do is licensing,” says Furr, a partner in the firm of Gray, Layton, Drum, Kersh, Solomon, Signon & Furr with offices in Gastonia and Charlotte. “The world wants to license Dale Earnhardt.”
Indeed. Through Sports Image, Inc., the merchandising subsidiary of Dale Earnhardt Inc., fans of The Man in Black can buy scores of items ranging from key chains to a $6,500 leather jacket. Especially popular are special-edition model racing cars that sell for $35 and up and quickly accelerate in value as collectibles. A model of the red, white, and blue car Earnhardt will drive in the Winston Select race honoring the Olympics sold out before it was manufactured.
Earnhardt also has long-term relationship contracts with General Motors and Mr. Goodwrench as well as deals to endorse products ranging from credit cards and long-distance phone services to cereals and soft drinks. It all adds up to a generous slice of the lucrative NASCAR retail pie, estimated to grow from $500 million today to more than $1 billion by 1998. Small wonder that Forbes magazine, in its most recent listing of professional-athlete endorsement incomes, ranks Earnhardt sixth. ESPN recently reported that Earnhardt, Arnold Palmer, and Michael Jordan earn the most from endorsements of all professional athletes.
But for every deal Furr and Hawk cut for Earnhardt, they leave dozens more on the table. “Our goal always is to do what is good for Dale and the sport,” says Furr, who has been an adjunct professor of tax law at the law school since 1989. “We turned down a $1 million deal because it wasn’t right.”
With several huge new super tracks built or planned, the sport’s increasing popularity among the affluent, and the growing popularity of truck racing, NASCAR’s pace keeps picking up. But Furr isn’t content to go on cruise control. He has registered as a player agent with the NFL and NBA and formed—with partners including Hawk and former Wake Forest basketball player Marc Blucas—Sports Prism International, a firm specializing in managing the careers of professional athletes.
“Right now,” Furr says, “we’re just drafting in the fast lane.”
Comparative Law
Also in this issue:
Health-care rationing
Productive faculty
Fast-track attorney |
INTERNATIONAL STUDENT HOUSING
A dormitory built in 2002, is located at Raatuse 22 (10 min walk from the university main building, 5 min to the city main square). Each residence unit consists of 3 double study-bedrooms, with a shared kitchen and bathroom. Bedrooms will have basic furniture and bedding (no pillow). Kitchen is not supplied with cookware or utensils.
Services available:
• Washing and drying facilities
• Café
• Video rental
• Internet connection
• Car parking
SPORTS AT THE UNIVERSITY OF TARTU
The activities are held for both amateur and professional teams with instruction by the Academic Sports Club of the University of Tartu. Sports available during the semester usually include aerobics, badminton, basketball, body building, fitness, boxing, football, gymnastics, karate, alpinism, powerlifting, tennis, volleyball etc.
Sports Facilities:
• stadium and gym, located next to the sports hall (Staadioni St. 21).
• tennis-court, located in Toomemägi (Baeri St. 6).
• gyms for wrestling, gymnastics and general purpose (Lai St. 37).
• rowing, located at Emajõe rowing base (Ranna tee 1)
• AURA swimming pool (city health center)
UNIVERSITY LIBRARY
• Oldest and biggest library in Estonia
• Most universal and comprehensive research library
• Over 3 million books in inventory
• Interlibrary and international book rentals available
• Wireless Internet
• Computer labs
• Laptops for rent (for use in the library)
• Copy, print, scan services
• Book restoration and binding
• Consultants, training and help desk
MEALS
Most Faculties and study buildings have a small cafeteria where basic meals can be purchased at about $3-4. Student dorms are equipped with kitchens, with one kitchen for each 3-room unit. Besides that the city of Tartu offers numerous options for eating inexpensively and quickly, count on $3-4 for a generous portion hot meal. Students should plan on spending $250-300 a month on food.
CULTURE AND TOURISM
During the semester international students will get e-mails with invitations for various events and trip offers that will help them to get to know Estonia, Estonians, some other cultures and make the most of their time in Tartu.
Spring 2007 sample program:
Trips:
• Cottage Weekend as a get together for new international students offering excursion over South-Estonia. Program includes Visit to Sangaste Castle, enjoying two Finnish saunas, a smoke sauna and a unique tree-climbing track (not included in price). 400 EEK ($35) price includes meals and a cosy sleeping place in Sokka.
• Pearls of North-West Russia (trip to Pechory, Izborsk, Pskov, Novgorod, St Petersburg). Price 2500 – 3000 EEK ($220–260) includes transportation, accommodation in twin rooms in three star hotels, board, excursions and sightseeing according to the program, guide and group leader service in English. Museums in St Petersburg cost extra.
• Estonian Tourist Board more tourism options from www.tartu.ee, www.visittartu.com
Events:
• FilmShow at EuroCollege every Wednesday.
• Student Days – program with over 200 events provides fun things to see and do: Night Song Festival, Beach Aerobics, Student Fair, Rubber Boat Race, Self-made Aircraft Contest etc.
• International Food Fest is a chance to present national food and drinks from a home country and to try ones from other countries.
• International guest lecturers in different fields (50+ each semester)
• Tandem, a language learning project that brings people together to teach one-another language they know.
• Carousel of Cultures Market allows people to represent their own country in the huge tent at the Town Hall Square. Last year Poles organised a potato peeling contest, Germans made a football shooting contest, Italians gave out pasta, etc.
INTERNATIONAL STUDENTS SPEAK ABOUT THEIR EXPERIENCE IN TARTU
I really enjoyed my five months’ stay in Tartu and at the University of Tartu. I met many people from all over the world and made new good friends. It was an experience I will always remember, even when I am old! Tartu is a small but very nice and peaceful city where every student has a great time. There are always many events taking place. If you want to study in a good university and have fun in the same time, Tartu is the best choice for you!
Karine Clause,
ESC TROYES, FRANCE
Life here went beyond my expectations. Estonia turned out to be a very advanced technological society, with free wireless Internet in places where you would not expect to find it, e-banking and other services, even in public sector. While Tartu is an academic capital of Estonia, I also found it to be very friendly and lively, compact and easy to get around.
Minna Mero,
UT MEDICINE DEGREE STUDENT, FINLAND
It is a unique experience that I have gained here and I would recommend studying at the University of Tartu to anyone. I did not know much about Estonia and Tartu before coming here. The university provided me with information about accommodation and courses before I arrived here. Also, there was an Orientation Course just after my arrival to Tartu, which helped a lot.
Naoki Takemura,
WASEDA UNIVERSITY, JAPAN
UNIVERSITY OF TARTU
study in Estonia
• Degree
• Semester
• Summer
ESTONIA
Population: 1,3 million
Language: Estonian
Climate: mild continental, with warm summer and snowy winter
Parliamentary Republic
EU and NATO member
• Most dynamic of new EU-member states
• High standards of living, with lower costs than other EU countries
• Enchanting nature, low risk of natural disasters and terrorism
• Easy access to major cities in Europe and Russia
TARTU
Tartu: academic capital of Estonia
Population: 100 000, second largest in Estonia
Environment: diverse, attractive, child friendly
• Neoclassical old town, picturesque area
• Abundant parks, bike and walking paths, river
• Art galleries, museums, theatres
• English, German, Finnish, Russian spoken widely
City of good thoughts that feels like one big campus
www.ut.ee www.visitestonia.com www.visittartu.com
**MASTER’S DEGREE PROGRAMS**
www.ut.ee/studentoffice/studies/ma/english
- **Baltic Studies - Master of Arts in Social Sciences**
Interdisciplinary program with integrated curriculum on issues related to the Baltic Sea Region, options to specialize in: Baltic Studies, Media and Communication, Business Administration.
- **Financial and Actuarial Mathematics - Master of Science in Natural Sciences**
Prepares specialists in quantitative methods of risk assessment and hedging for the financial sector, banking and insurance companies.
- **Applied Measurement Science - Master of Science in Engineering**
Interdisciplinary program preparing specialists for quality assurance laboratories and accreditation agencies in various industries, with focus on physical and chemical measurements, metrology and related legal and economic issues.
- **Languages and Literature - Master of Arts in Humanities**
Estonian and Finno-Ugric Linguistics (in Estonian), Russian and Slavonic Philology (in Russian), German Language and Literature (in German), English Language and Literature (in English), Romance Languages and Literature (French and Spanish), Scandinavian Languages and Literature.
**SEMESTER STUDY ABROAD PROGRAMS**
www.ut.ee/studentoffice/shortterm
- **Baltic Studies, autumn and/or spring**
Introduces international students to distinctive features of Baltic history, culture, politics, society and economy.
- **Prometheus: Transition Studies, autumn and/or spring**
Focuses on transition experiences and current developments in Central and Eastern Europe and Russia, combining the perspectives of political science, economics and legal studies.
- **Law: Transitional Societies – Creation of the Rule of Law Society, autumn only**
Dynamic aspects of transitions carried out in Estonia, transforming it from a communist republic of the former Soviet Union to a democratic society rooted in the EU and founded on the rule of law.
- **Russian Studies, autumn and/or spring**
Courses in Russian language, literature, culture and history, instructed in English and Russian (depending on semester), sufficient command of the Russian language is required (B1 or TOEFL-1).
- **Ancient Near Eastern Philology and Cultures, autumn and/or spring**
Broadening understanding of the Old Testament for students interested in the field of Ancient Near Eastern studies and old Semitic languages and dialects.
**ERASMUS MUNDUS JOINT MASTER PROGRAMS**
- NordSecMob: Security and Mobile Computing - Master of Science
- International Masters in Economy, State and Society (IMESS)
**DISTANCE LEARNING JOINT MASTER PROGRAM**
- Lifelong Learning for Regional Development
**INTERNATIONAL SUMMER UNIVERSITY**
www.isu.ut.ee firstname.lastname@example.org
- **Social Sciences:**
European Integration and Russian Foreign Policy, 6 ECTS
- International position of the Baltic states
- Russian foreign policy
- European integration and the challenge of enlargement
- **Global Business from the Local (CEEC/Baltic) Perspective, 6 ECTS**
- What makes CEE countries so different?
- How to Make Business in Estonia and in the Baltics?
- European Dimension
- **Procedures in European International Courts, 6 ECTS**
- Procedure in the European Court of Justice
- New Developments in the Law of the European Union Internal Market
- Procedure in the European Court of Human Rights
- **Foreign Languages:**
- Estonian for English and Finnish speakers (levels: elementary to advanced)
- Russian for English speakers (Business Russian, Practical Russian elementary to intermediate level)
**PRACTICAL INFORMATION**
www.ut.ee/studentoffice
- **Academic credits**
European Credit Transfer System (ECTS)
- **Accreditation**
by Estonian Ministry of Education and Research
- **Exchange**
Over 300 exchange agreements with partner universities in Europe and around the world
- **Accommodation**
8 modern student dorms
double rooms from € 100 / month
www.kyla.ee
- **Tuition**
Varies by program (€ 1600 – 4000 / year), please consult the website
- **Scholarships**
Several scholarships and scholarship resources listed on the web
- **Student support system**
Student office, counseling, social services, health care, sports, etc.
- **Living expenses**
€ 500 – 700 / month
- **Language**
English, some courses in Estonian
- **Transportation**
Public transport, car rental, taxi, bicycle, walking
- **Visa**
Please check the website of the Embassy of Estonia in your country
Unique program in Europe
Master of Science in Engineering – Applied Measurement Science
Learn from the leading Estonian and European experts:
- Physical and chemical measurements
- Quality systems
- Economic and legal aspects
- Internship
- Instruction in English
- International teaching staff
- Program duration – 2 years
- Possibility of credit transfer
Excellent international career prospects:
- R&D departments of major companies
- Chemical industry labs
- Pharmaceutical industry labs
- Health and environmental protection agencies
- Food processing and manufacturing quality assurance labs
- Certification, standardization and accreditation authorities
- National Centers and Institutes of Metrology
- Academic career and PhD studies
Coordinating member of the international consortium “Measurement Science in Chemistry” recently awarded the “Chemistry Euromaster” quality label
Merit Huopolainen
MSc student at UT Institute of Chemistry
The high quality of education at the University of Tartu and practical experience I gained through internship have enabled me to get a job already in the second year of my master studies here. I now work for the Food Monitoring Laboratory of Estonian Health Protection Inspectorate.
Erko Jakobson
PhD student at UT Institute of Physics
UT Testing Centre provides calibration and measurement services to industry enterprises and has regular contacts with laboratories around Europe. I believe I get first-class hands-on education here and have great career opportunities.
Who should apply to the program:
- Graduates with Bachelor’s degrees in physics, chemistry, materials science, natural sciences, engineering, technology or medicine.
- Practitioners in analysis and measurement laboratories who are facing the fast development of analytical methods and new regulations (Quality systems, ISO 17025 accreditation, etc.).
- Personnel of laboratories, accreditation, certification and inspection agencies.
- Quality managers in various industries.
General admission requirements:
- Bachelor’s degree (or equivalent) in the field of exact or natural sciences, technology, engineering or medicine.
- Applicants must have completed 18 ECTS in physics or chemistry in prior learning periods (minimum eligibility requirement for application is 60% of the maximum grade available).
- English language requirement: International applicants for whom English is not a native language need to provide proof of English language proficiency. One of the following is accepted: TOEFL 550 or higher (computer based–213, internet based-79/80); IELTS 6.5; Cambridge Certificate of Proficiency in English – C; Cambridge Certificate in Advanced English – B.
NB! Before applying please check for current information at www.ut.ee/studentoffice/studies/ma/english
Application process:
1. Download the appropriate application forms from www.ut.ee/64491 or request them from email@example.com
2. Mail the application with all the necessary documents by indicated deadline to: International Student Service, University of Tartu, Ülikooli 18, Tartu 50090, ESTONIA
Documents to be submitted:
- application form for Master’s studies;
- application form for assessing prior learning;
- copy of the Bachelor’s diploma (or highest preceding study level) and diploma supplement (transcript/mark sheet) in the original language (a copy certified by the educational institution issuing the document or a notarised copy);
- official translation of the diploma and diploma supplement (transcript/mark sheet) into English, translation certified;
- certified copy of the upper secondary school certificate and a list with grades (non-EU applicants only);
- official translation of the upper secondary school certificate and a list with grades into English, translation certified (non-EU applicants only);
- official test results of English language proficiency;
- copy of the valid identification document;
- CV (for applicants requesting recognition of prior work experience).
All applicants will receive a confirmation upon receipt of their application and its status. Complete applications will be considered by the Admission Commission and students accepted to the program will be notified of their admission immediately (no later than June 15).
NB! Before applying please check for current information at www.ut.ee/studentoffice/studies/ma/english
Application deadline:
- May 1 - non EU applicants
- June 1 - EU applicants
Curriculum structure:
| Course | Credits |
|-------------------------------|---------|
| Compulsory module | 45 ECTS |
| Elective courses | 30 ECTS |
| Optional subjects | 6 ECTS |
| Practical placement | 9 ECTS |
| Master’s thesis | 30 ECTS |
| **TOTAL** | **120 ECTS** |
Compulsory courses:
- General Metrology
- Metrology in Chemistry
- Practical Physical Measurements
- Mathematical Statistics for Measurements
- Practical Chemical Analysis Methods
- Quality Systems
- Lab Classes in Practical Physical Measurements and Calibrations
- Lab Classes in Chemical Analysis and Metrology in Chemistry
Elective courses:
- Materials Testing
- Structural Analysis
- Biochemical Measurements
- Measurements and the Law
- Economic Aspects of Measurements
- Environment and the Measurements
- Electrochemical Measurement and Analysis Methods
Language of instruction: English
Program duration: 2 years
- possibility of credit transfer is available to graduates with a 4-year Bachelor’s diploma or equivalent;
- recognition of prior work experience is available to applicants with substantial work experience in the field.
Internship:
During the program students will be placed in companies and laboratories like Metrosert AS, Estiko AS, Mayeri Industries AS, Laboratories of the Estonian Health Protection Inspectorate, Estonian Veterinary and Food Laboratories, State Agency of Medicines, Estonian Accreditation Centre. Internships last 4-6 weeks and are intended for participants to gain practical experience.
Tuition fees and scholarships:
Students admitted in the Autumn 2008 will pay NO TUITION FEE for the whole two year program. Their studies will be financed through a special project of the Estonian Ministry of Education and Research. In addition, a STIPEND of 2550 EUR/year will be granted to several students with the best academic standing. Regular program fee is 4430 EUR/year and covers tuition, teaching materials, supervision and advising of thesis preparation.
Teaching staff:
Lectures and courses in the program are delivered by some of the leading Estonian and European experts: prof. Ivo Leito, Estonian national representative at EUROMET-MetChem; prof. Paul De Bièvre, Editor-in-chief of Accreditation and Quality Assurance Journal; prof. Nineta Majcen, Director of the Slovenian National Metrology Institute; prof. Philip Taylor, Head of the Isotope Measurements Unit of the IRMM.
To get more information:
- Program: www.ut.ee/ams
- University of Tartu: www.ut.ee
- Admissions: www.ut.ee/studentoffice
- Tartu: www.visittartu.com.
- Estonia: www.visitestonia.com
Address for inquiries:
Ivo Leito, Professor, PhD
Institute of Chemistry
University of Tartu
Jakobi 2, 51014 Tartu, Estonia
Telephone +372 737 5259
firstname.lastname@example.org
International Student Service
University of Tartu
Ülikooli 18, 50090 Tartu, Estonia
Telephone +(372) 737 6109
Fax +(372) 737 5153
email@example.com
University of Tartu
Founded in 1632
11 faculties, 6 colleges
18 000 students
600 international students
Public University
Member of Coimbra Group, Utrecht Network, EUA
Tartu
Tartu: academic capital of Estonia
Population: 100 000, second largest in Estonia
Environment: diverse, attractive, child friendly
- Neoclassical old town, picturesque area
- Abundant parks, bike and walking paths, river
- Art galleries, museums, theatres
- English, German, Finnish, Russian spoken widely
Estonia
Population: 1.3 million
Language: Estonian
Climate: mild continental, with warm summer and snowy winter
Parliamentary republic, EU and NATO member
- Most dynamic of new EU-member states
- High standards of living, with lower costs than other EU countries
- Enchanting nature, low risk of natural disasters and terrorism
- Easy access to major cities in Europe and Russia
City of good thoughts that feels like one big campus
www.ut.ee www.visitestonia.com www.visittartu.com
**SEMESTER COURSES**
firstname.lastname@example.org
**Intensive Estonian Language Program (instruction in English), academic year**
Autumn semester: 20 lessons (45 min) per week, 30 ECTS
Spring semester: continuation course, 12–14 lessons (45 min) per week, 21–24 ECTS
The course is intended for beginners. Estonian grammar is contrasted with English grammar. Oral skills in simulated everyday situations and grammar are practiced so that the participants could face life in this country. Completion of the course will provide the learner with elementary level of Estonian.
**Intensive Estonian Language Program (instruction in Russian), academic year**
Autumn semester: 20 lessons (45 min) per week, 30 ECTS
Spring semester: continuation course, 20 lessons (45 min) per week, 30 ECTS
The course is foremost intended for students with existing pre-intermediate level of Estonian. The course is focused on four skills: speaking, reading, listening and writing. After successful completion of the course the learners are expected to acquire an intermediate level of Estonian with a capability of taking part in University studies in Estonian.
**Intensive Estonian Language Program (instruction in Finnish)**
Autumn semester only: beginners course, 20 lessons (45 min) per week, 30 ECTS
The course is intended for the beginners and it starts with an introduction into Estonian. Oral skills in simulated everyday situations and grammar are practiced so that the participants could face life in this country. Not focused on specialist vocabulary. Still, general texts on history, politics, medicine and culture are dealt with during the second half of the autumn semester. Daily papers in Estonian are also included. After a successful completion of the course the learner is supposed to master the (lower) intermediate level of Estonian and be able to major in the chosen speciality.
**Estonian Non-Intensive Course (instruction in English), academic year**
Autumn or spring semester: beginners course, 6 lessons (45 min) per week, 9 ECTS
Spring semester: continuation course, 4 lessons (45 min) per week, 6 ECTS
The course is intended for beginners with knowledge of English. Estonian grammar is contrasted with English grammar as. English is also used to work with texts. Focus is placed on oral skills in simulated everyday situations and basic grammar. The continuation course is intended for students who have completed the beginners course. At the completion of the course the participant has an idea of the structure of Estonian and elementary knowledge of the language grammar and vocabulary, and should communicate in everyday situations.
**Russian for Beginners (Step by Step I, level A1, instruction in English)**
Autumn or spring semester: 4 lessons (45 min) per week, 6 ECTS
The course provides students with basic knowledge of Russian. Students will learn to read uncomplicated texts, to understand and to use simple everyday language. Grammar patterns are arranged according to the need and communication situation.
**Russian for Pre-Intermediate Students (Step by Step II, level A1.2 - A2)**
Autumn or spring semester, 4 lessons (45 min) per week, 6 ECTS
The overall aim of the course is to acquire vocabulary for everyday communication and to develop students’ oral and writing skills. It also provides a basic knowledge of Russian grammar.
**Russian in Cultural Context (upper-intermediate and advanced levels B1 – B2, instruction in English and Russian)**
Autumn semester only: 2 lessons (45 min) per week, 3 ECTS
Students will learn how to communicate ideas effectively and fluently and will acquire vocabulary. They also will be familiarized with Russian culture, customs and traditions.
**Russian Language in Estonian Cultural Context (upper-intermediate and advanced levels B1 – B2, instruction in English and Russian)**
Spring semester only: 4 lessons (45 min) per week, 4.5 ECTS
The aim of the course is to introduce students to the customs and traditions of both Russian and Estonian cultures. Grammar patterns are chosen according to the students’ needs and particular communication situations.
**Preparation Course for TORFL (Test of Russian as a Foreign Language), level A2 and B1**
Autumn or spring semester: 1.5 ECTS
Both courses are 75% web-based and held in WebCT learning environment. Course consists of computer-based self-study lessons and 6 classroom sessions. The aim of the course is to prepare students for TORFL, which can be taken at the Testing Center of the University of Tartu upon completion of the course. During the course students will practice grammar, conversation, comprehension, reading and writing skills corresponding to A2 or B1 level of proficiency (EC framework).
**Tuition fee in 2007/2008:** Intensive Estonian Language programs with Instruction in English, Russian and Finnish – 958 EUR per semester.
All other courses 1 ECTS = 34 EUR.
**Accommodation fee:** Dormitory (double room) from 400 EUR per semester.
---
**DEGREE PROGRAMS**
email@example.com
**Estonian and Finno-Ugric Linguistics – Bachelor and Master of Arts in Humanities (Instruction in Estonian)**
Specializations: Estonian Language and Culture for Non-Estonian, Estonian and Finno-Ugric Linguistics, Estonian Language, Finnish Language and Culture, Hungarian Language and Culture, General Linguistics and Phonetics, Finno-Ugric Languages, Computational Linguistics
**Languages and Literature – Master of Arts in Humanities**
Estonian and Finno-Ugric Linguistics (instruction in Estonian)
Russian and Slavonic Philology (instruction in Russian)
German Language and Literature (instruction in German)
English Language and Literature (instruction in English)
Romance Languages and Literature (instruction in French and Spanish)
Scandinavian Languages and Literature
**Tuition fee in 2007/2008:** 710–840 EUR per semester.
**Accommodation fee:** Dormitory (double room) from 400 EUR per semester.
**Estonian Studies Scholarship**
Each year, a number of tuition grants providing an exemption from tuition fee will be available for international students (both Bachelor and Master) interested in studying Estonian history, literature and language. Applicants for tuition grants need to explain their motivation for applying in a Statement of Purpose: describe your educational background (bring out all information on courses / studies related to Estonia), explain why you are the best candidate for the grant and convince the Admission Office that you would be a motivated and active learner.
---
**INTERNATIONAL SUMMER UNIVERSITY**
www.isu.ut.ee firstname.lastname@example.org
**TARTU**
**Estonian Language (instruction in English):**
- Estonian – Elementary level, 4.5 ECTS
- Estonian – Pre-Intermediate level, 4.5 ECTS
- Estonian – Intermediate level, 4.5 ECTS
- Estonian – Advanced level, 4.5 ECTS
**Estonian Language (instruction in Finnish):**
- Estonian – Beginners, 4.5 ECTS
- Estonian – Intermediate and Advanced level, 4.5 ECTS
**Russian Language (instruction in English):**
- Russian – Elementary level, 4.5 ECTS
- Business Russian – Intermediate level, 4.5 ECTS
**Tuition fee in 2008:** 360 EUR per module, covers study materials, tuition.
**Accommodation fee:** Dormitory housing – 20–30 EUR per night (double room, without breakfast), housing with families 23 EUR per night (breakfast included).
**NARVA**
**Russian Language and Culture Program (instruction in English):**
- Practical Spoken Russian - B1 level, 4.5 ECTS
- Practical Spoken Russian - A2 level, 3 ECTS
**Tuition fee in 2008:** 477 EUR and 409 EUR
**Accommodation:** dormitory (double room, without breakfast) – 32 EUR/module, or 23 EUR/day (double room, with breakfast) at hotel "Narva".
---
**PhD STUDIES**
www.ut.ee/studentoffice/studies
Estonian and Finno-Ugric Linguistics
Germanic and Romance Philology
Russian and Slavonic Philology
**Tuition fee:** no tuition fee.
**Accommodation fee:** dormitory housing (double room) from 400 EUR per semester.
---
**PRACTICAL INFORMATION**
| Academic credits | European Credit Transfer System (ECTS) |
|------------------|----------------------------------------|
| Accreditation of curricula | by Estonian Ministry of Education of Research |
| Exchange | Over 300 exchange agreements with partner universities in Europe and around the world |
| Student support system | Orientation upon arrival, advising and counseling, personal helper/tutor |
| Accommodation | 8 modern student dorms double rooms www.kyla.ee |
|---------------|---------------------------------------------------|
| Living expenses | 200–250 EUR/month |
| Student social life | Erasmus Student Network (ESN) Trips, sports activities, cultural events www.esn.ee |
Master of Arts in Humanities – Languages and Literature
Estonian and Finno-Ugric Linguistics
Russian and Slavonic Philology
Germanic and Romance Languages and Literature
Scandinavian Languages
Why choose the University of Tartu for Master’s in languages
• The Department of Estonian and Finno-Ugric Linguistics is the most important institution of its kind in the world. Estonian, Finnish and Hungarian are the official languages of the European Union. Proficiency in these languages is essential for making international contacts and securing employment.
• The University of Tartu is one of the most distinguished centers of Slavic Studies in the world. It is a cradle of the Tartu-Moscow School of Philology and Semiotics which was founded by Professor Yuri Lotman, who worked at the University of Tartu for more than forty years.
• Tartu is a unique university town with academic atmosphere, rich history and student traditions, making it a great place to study and live. The University of Tartu offers great support systems for international students, excellent student dorms, library and computer labs. Every year more than 600 international students from 30 different countries study here, making learning at the University of Tartu truly an intercultural experience.
General admission requirements:
- Bachelor’s degree or equivalent level of education in the language you intend to apply for.
NB! Entrance requirements for different language programs slightly vary. Before applying please check for current relevant information at www.ut.ee/studentoffice/studies/ma/english.
Application process:
1. Download the appropriate application forms from www.ut.ee/studentoffice or request them from email@example.com.
2. Mail the application form with all the necessary documents by indicated deadline to: International Student Office, University of Tartu, Ülikooli 18, Tartu 50090, Estonia
3. All applicants will receive a confirmation upon receipt of their application and its status. Complete applications will be considered by the Admission Commission and students accepted to the program will be notified immediately.
Documents to be submitted:
1. application form for Master’s studies;
2. application form for assessing prior learning;
3. copy of the identification document;
4. copy of the Bachelor diploma and diploma supplement (transcript / marks sheet) of the preceding study level in the original language (it is necessary to submit a copy certified by the educational institution issuing the document or a notarised copy).
5. official translation of the diploma and diploma supplement into English, translation certified;
6. non EU applicants: copy of the upper secondary school certificate (with a transcript/grade list) and official translation of the upper secondary school certificate (with a transcript/grade list) into English (both documents certified);
7. project for Master’s thesis.
NB! Before applying please check for current information at www.ut.ee/studentoffice/studies/ma/english.
Application deadline:
May 1 – non-EU applicants
June 1 – EU applicants
Curriculum structure (120 ECTS total):
- General compulsory courses
- Specialization courses
- Elective courses
- Master’s thesis (or master’s examination)
Master’s degree programs available:
1. Estonian and Finno-Ugric Linguistics - specializations:
Computational Linguistics
Estonian Language
Estonian as a Foreign Language
Finno-Ugric Languages
Finnish Language and Culture
Hungarian Language and Culture
General Linguistics
Estonian Language Editor
2. Russian and Slavonic Philology - specializations:
Russian Language
Russian Literature
Slavic Philology
3. English Language and Literature
4. German Language and Literature
5. Romance Studies – specializations:
Spanish Language and Literature
French Language and Literature
6. Scandinavian Languages and Cultures
Danish Language and Literature
Norwegian Language and Literature
Swedish Language and Literature
NB! Specializations available may change from year to year. Before applying please check if a particular specialization is available for the year you are interested by writing to firstname.lastname@example.org or visiting the website www.ut.ee/studentoffice/studies/ma/english.
Language of instruction:
the language of the program you are applying for
Program duration:
2 years, possibility of credit transfer is available to graduates with 4-year Bachelor’s diploma and for previously completed Master’s level courses at other universities.
Tuition fees:
The fee covers tuition, some study materials and supervision of Master’s thesis preparation. Housing, food, insurance and other living expenses are not covered by the program fee.
Address for inquiries:
International Student Office
University of Tartu
Ülikooli 18, 50090 Tartu, Estonia
Phone (+372) 737 6109, 737 5152
Fax (+372) 737 5153
email@example.com
www.ut.ee
Master of Science in Natural Sciences – Financial and Actuarial Mathematics
1-year Master’s program preparing specialists for financial sector, banking and insurance industries in quantitative methods of risk assessment and hedging, providing knowledge and skills in two major areas - financial engineering and actuarial (insurance) mathematics.
What you can expect from this program
• Special emphasis on applied mathematical models and quantitative methods
• Only program of this kind in the region, meeting EU educational standards in actuarial mathematics
• Graduates very competitive on national and international job market as analysts, actuaries and risk engineers
• Knowledge, practical skills and competence needed to succeed in careers at banks, insurance companies, consulting, financial utilities and financial supervisory authorities
Why choose the University of Tartu for your Master’s
• All graduates of Financial Mathematics have found jobs in the financial sector in Estonia, Europe and the USA.
• The University of Tartu is the only Baltic university member of the Coimbra Group, uniting reputable European research universities of long-standing traditions.
• Tartu is a unique university town with an intellectual atmosphere, rich history and student traditions. It is a great place to study and live.
Who should apply to the program:
- Graduates with a 4-year Bachelor’s degree in Mathematics, Statistics, Economics, or Physics.
- Young professionals already working at financial institutions, both in private and public sector.
General admission requirements:
- Applicants must have 240 ECTS earned prior to their application to this program. Graduates with Bachelor’s degrees in Mathematics, Statistics, Economics or Physics are candidates well-suited for the program.
- Applicants with a 3-year Bachelor’s degree (180 ECTS) must complete one more year (60 ECTS) of University studies elsewhere before applying to this Master’s program.
- Prior learning prerequisites: eligible applicants must have completed the following in their prior learning period: a) Mathematics, including Calculus, Measure-Theoretic Probability, Statistics (at least 30 ECTS), b) Economics, including Corporate Finance, Investments and Derivatives, Microeconomics (at least 15 ECTS), c) Computer Science (at least 9 ECTS).
- English language requirement: international applicants for whom English is not a native language need to provide proof of English language proficiency. One of the following is accepted: TOEFL 550 or higher (computer based–213, internet based–79/80); IELTS 6.5; Cambridge Certificate of Proficiency in English – C; Cambridge Certificate in Advanced English – B.
NB! Before applying please check for current information at www.ut.ee/studentoffice/studies/ma/english
Application process:
1. Download the appropriate application forms from www.ut.ee/studentoffice or request them from firstname.lastname@example.org
2. Mail the application with all the necessary documents by indicated deadline to: International Student Office, University of Tartu, Ülikooli 18, Tartu 50090, ESTONIA
Documents to be submitted:
- application form for Master’s studies;
- application form for assessing prior learning;
- copy of the Bachelor diploma (or highest preceding study level) and diploma supplement (transcript/mark sheet) in the original language (a copy certified by the educational institution issuing the document or a notarised copy);
- official translation of the diploma and diploma supplement (transcript/mark sheet) into English, translation certified;
- certified copy of the upper secondary school certificate and with a grade list (non-EU applicants only);
- official translation of the upper secondary school certificate and with a grade list into English, translation certified (non-EU applicants only);
- official test results of the English language proficiency;
- copy of the identification document.
All applicants will receive a confirmation upon receipt of their application and its status. Complete applications will be considered by the Admission Commission and students accepted to the program will be notified of their admission immediately.
NB! Before applying please check for current information at www.ut.ee/studentoffice/studies/ma/english
Application deadline:
May 1 - non EU applicants
June 1 - EU applicants
Curriculum structure:
Compulsory module 30 ECTS
Master Thesis 30 ECTS
TOTAL 60 ECTS
Limited number of internships will be available to top graduates upon completion of the program.
Courses:
Autumn semester
Models of Financial Mathematics
Non-Life Insurance Mathematics
Life Insurance Mathematics
Risk Theory
Spring semester
Equations of Mathematical Finance
Martingales
Numerical Methods for Differential and Integral Equations
Language of instruction: English
Program duration: 1 year, with prior learning prerequisites of 240 ECTS.
Tuition fees:
Program fee covers tuition, teaching materials, supervision and advising of thesis preparation. Housing, food, insurance and other living expenses are not covered by the program fee.
Teaching staff
The teaching staff consists of professors highly qualified in the field of Financial Mathematics, who also have done extensive research and have international experience. Some of the lectures in the program will be delivered by visiting international staff.
To get more information:
University of Tartu www.ut.ee
Admissions www.ut.ee/studentoffice
Tartu www.tartu.ee
Estonia www.visitestonia.com
Address for inquiries:
International Student Office
University of Tartu
Ülikooli 18, 50090 Tartu, Estonia
Telephone +(372) 737 6109, 737 5152
Fax +(372) 737 5153
email@example.com
"The Institute of Mathematical Statistics at the University of Tartu has considerable international experience in both training and research, starting with the EU Tempus project “Training of Specialists in Mathematical Models for the Market Economy”.
Professor Kalev Pärna, Ph. D.,
Program Manager
Professor of Probability Theory
Institute of Mathematical Statistics" |
June 29, 2012
Via Electronic Filing
Kimberly D. Bose
Secretary
Federal Energy Regulatory Commission
888 First Street, NE
Washington, DC 20426
Re Southern Company Services, Inc., Docket No. ER09-88-000
Third Annual Report of the Independent Auction Monitor
Dear Ms. Bose:
Pursuant to the Federal Energy Regulatory Commission’s (“Commission”) Order Conditionally Accepting Tariff Amendments issued December 18, 2008 in Docket No. ER09-88-000, The Brattle Group (“Brattle”), as the Independent Auction Monitor for the Southern Companies’ Day-Ahead and Hour-Ahead Energy Auctions in the Southern Balancing Authority Area (“Auction”), hereby submits its third annual report (the “Report”).
As the Independent Auction Monitor (“IAM”), Brattle has been charged by the Commission to report annually on the functioning of the Auction, and include in its report at least the following information: (1) the clearing price for each Auction; (2) the amount of energy offered and sold by each seller (identified by name) in each Auction; and (3) the amount of energy bid on and purchased by each buyer in each Auction. Brattle also has been directed to identify: (a) any instances where it was unable to verify Southern Companies’ available capacity calculations or inputs; and (b) any instances where issues arose involving availability of or the terms for transmission service needed to accommodate an Auction purchase. The Report, attached as Exhibit A, is submitted in compliance with those requirements and with our best efforts, as economists, to serve the purpose of IAM as articulated by the December 2008 Order and subsequent Commission orders in this docket.
On March 24, 2011, the Commission directed the IAM to file a public version of the Report along with justification for any requests for privileged treatment of any portions of the Report that have been redacted in accordance with 18 C.F.R. § 388.112(b) (2011). Pursuant to the March 2011 Order, Brattle, as the IAM, is submitting a non-public and a public version of the Report. Brattle requests confidential and privileged treatment for the non-public version of the Report in accordance with 18 C.F.R. §§388.107 and 388.112. Brattle is authorized to represent that Southern Companies join in this request for confidential and privileged treatment. As directed by the March 2011 Order, a justification for the redactions in the public version of the report has been developed by Southern Companies, and is attached as Exhibit B.
Pursuant to 18 C.F.R. § 388.112(d) and (e), the following individuals should be notified of any request or decision to release the non-public version of the Report or any part thereof and should be given opportunity to comment on any request for release:
Peter Fox-Penner
*The Brattle Group*
Suite 1200
1850 M Street, NW
Washington, DC 20036
202.955.5050
firstname.lastname@example.org
D. Wayne Moore
Southern Company Services, Inc.
Bin 15N-8289
600 North 18th Street
Birmingham, AL 35203-2206
205.257.6208
email@example.com
Barbara Levine, Esq.
*The Brattle Group*
44 Brattle Street
Cambridge, MA 02138
617.864.7900
firstname.lastname@example.org
Thank you for your attention to this matter. Please direct any questions concerning this submission to the undersigned.
Respectfully Submitted,
/s/Peter S. Fox-Penner
Peter S. Fox-Penner
Attachments
cc: All Parties (with public version of Exhibit A)
Exhibit A
Independent Auction Monitor’s Third Annual Report
(Public Version — Redacted)
Third Annual Report for
The Southern Companies’ Energy Auction
February 16, 2011 to April 23, 2012
Submitted by
The Brattle Group
Independent Auction Monitor
June 29, 2012
Prepared for
The Federal Energy Regulatory Commission
Third Annual Report for The Southern Companies’ Energy Auction February 16, 2011 to April 23, 2012
Docket No. ER09-88-000
June 29, 2012
Prepared By:
The Brattle Group, Inc.
1850 M Street NW, Suite 1200
Washington, DC 20036
Van Ness Feldman, P.C.
1050 Thomas Jefferson Street NW
Washington, DC 20007
The Brattle Group, Inc.
Principal Monitors:
Peter S. Fox-Penner
Dean M. Murphy
Attila Hajos
Assisted By:
Lucas Bressan
Sarah Whitley
Charles Russell
Van Ness Feldman, P.C.
Douglas Smith
Thomas Hutton
Prepared For:
The Federal Energy Regulatory Commission
888 First Street NE
Washington, DC 20426
The views expressed in this report are those of the authors and do not necessarily reflect the views of The Brattle Group, Inc.
# TABLE OF CONTENTS
I. INTRODUCTION AND OVERVIEW ........................................................................................................... 1
II. OVERVIEW OF SOUTHERN COMPANIES’ ENERGY AUCTIONS .................................................. 4
II.A. DAE Auction ........................................................................................................................................ 4
II.B. HAE Auction ......................................................................................................................................... 4
III. AUCTION VERIFICATION PROCESS AND PROTOCOLS ............................................................. 6
III.A. General Approach ............................................................................................................................... 6
III.B. Verification Protocols ......................................................................................................................... 7
III.C. Data Receipt, Monitoring Periods, and Archiving ........................................................................ 12
IV. RESULTS OF MONITORING .................................................................................................................. 13
IV.A. Load Forecasting Protocol ................................................................................................................ 13
IV.B. Load Forecasting Uncertainty Protocol ............................................................................................ 19
IV.C. Unit Outages Protocol ......................................................................................................................... 21
IV.D. Day-Ahead Available Capacity Verification Protocol ...................................................................... 22
IV.D.1. Fixed Baseline Discrepancy Report .......................................................................................... 22
IV.D.2. Fixed Purchases and Sales Update Report ............................................................................... 24
IV.D.3. Available Capacity and Seller Offer Price Curve Reports .................................................. 26
IV.E. Recallable Energy Protocol .............................................................................................................. 27
IV.F. Purchases and Sales Protocol .......................................................................................................... 27
IV.G. Verification of Available Capacity and SOP Submission to OATI ........................................... 27
IV.H Hour-Ahead Available Capacity Verification Protocol .................................................................. 28
IV.I. Auction Clearing Protocol .................................................................................................................. 30
IV.J. Assessment of Transmission Services for Energy Sold in the Energy Auction ....................... 31
IV.K. Monitoring of Third-Party Participation in the Energy Auction .................................................. 31
V. ANALYSIS OF DAE AND HAE AUCTIONS ....................................................................................... 33
V.A. Information Required for FERC Reporting ...................................................................................... 33
V.A.1. Energy Auction Offerors ........................................................................................................... 33
V.A.2. Energy Auction Bidders ............................................................................................................ 36
V.A.3. Cleared DAE Auctions ............................................................................................................. 38
V.A.4. Cleared HAE Auctions ............................................................................................................. 39
V.A.5. Posting Historical Bid and Offer Information ........................................................................ 39
V.B. Analysis of DAE Capacity and Seller Offer Prices ........................................................................ 39
V.B.1. Firm LD Energy ......................................................................................................................... 39
V.B.2. Recallable Energy ...................................................................................................................... 41
V.B.3. Seller Offer Prices ...................................................................................................................... 42
V.C. Analysis of HAE Capacity and Seller Offer Prices ........................................................................ 47
V.D. Analysis of DAE Available Capacity ............................................................................................... 52
V.E. Analysis of Changes in Available Capacity from DA2 to DA1 .................................................. 55
V.F. Outages .................................................................................................................................................. 57
| Section | Page |
|------------------------------------------------------------------------|------|
| V.G. Operational Constraints | 59 |
| V.H. Analysis of HAE Available Capacity | 61 |
| VI. LEGAL ADVISOR’S REPORT ON COMPLIANCE WITH DATA RESTRICTIONS | 65 |
| VI.A. Tariff Requirements on Handling of Bid and Offer Data | 65 |
| VI.B. Third Annual Review | 67 |
| VI.C. Findings | 67 |
| VI.C.1. Appropriate Use of Confidential Bid and Offer Information | 67 |
| VI.C.2. Roles of Auction Administrators | 68 |
| VI.C.3. Restricted Access to Confidential Bid and Offer Information | 68 |
| VI.C.4. Auction Administrator Access to Confidential Bid and Offer Information | 69 |
| VI.C.5. Internal Data Control Restrictions Consistent with Standards of Conduct | 70 |
| VI.C.6. Summary of Findings | 71 |
| VII. CONCLUSION | 72 |
**APPENDICES**
- **APPENDIX A:** IAM PROTOCOLS
- **APPENDIX B:** IAM ISSUE TRACKING FORMS
- **APPENDIX C:** LOAD FORECASTING UNCERTAINTY PERCENTAGES
I. INTRODUCTION AND OVERVIEW
This is the third Annual Report reviewing the Southern Companies’\(^1\) Day-Ahead Energy (DAE) and Hour-Ahead Energy (HAE) auctions (collectively the “Energy Auctions” or “Auctions”), as administered by their agent Southern Company Services Inc. (“SCS” or “the Company”). It has been prepared by *The Brattle Group* (*Brattle*), which serves as the Independent Auction Monitor (IAM). Broadly, the IAM is responsible for monitoring compliance with Tariff requirements and Commission-approved rules and regulations relating to the Auction.\(^2\) More specifically, the IAM monitors SCS’s compliance with the requirement that Southern Companies offer their Available Capacity into the Auction, at a price not exceeding the Seller Offer Price (SOP). The IAM is also available to respond to questions from bidders and regulators regarding the integrity of the auction process.
The Tariff obligates the IAM to report annually to the Federal Energy Regulatory Commission (FERC) regarding the functioning of the Energy Auctions for the first three years of the Auction. Such report must at a minimum include the following:
- The clearing price for each auction;
- The amount of energy offered and sold by each seller in each auction;
- The amount of energy bid on and purchased by each buyer in each auction;
- Any instances where the auction monitor was unable to verify SCS’s Available Capacity calculations or inputs used in those calculations; and
- Instances where issues arose involving the availability or the terms of transmission service needed to accommodate an Energy Auction purchase.
In addition, the IAM must report to FERC any complaints relating to the Energy Auctions or other serious matters as soon as possible, rather than wait for the next Annual Report.
The review period for this third Annual Report, February 16, 2011 through April 23, 2012, exceeds one calendar year in order to accommodate our obligation as IAM to file a report “every twelve months for the first three years of operation of the Energy Auction,”\(^3\) without having to submit a fourth, supplemental report covering the short period of February 16, 2012 to April 23, 2012.\(^4\) The review of auction performance and the issues discussed in this report relate to our
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\(^1\) Alabama Power Company, Georgia Power Company, Gulf Power Company, Mississippi Power Company and Southern Power Company are referred to collectively as “Southern Companies.”
\(^2\) Southern Companies’ market-based rate tariff includes several relevant segments: General Tariff Provisions; Rules of the Energy Auction (Auction Rules); Rules on Southern Companies’ Energy Auction Participation (Participation Rules); and Appendices DA-1, DA-2, HA-1 and HA-2 to the Participation Rules. Alabama Power Company Market Based Rate Tariff, Southern’s Tariff Volume No. 4, (last amended effective April 26, 2011). We refer to these documents collectively as “the Tariff.”
\(^3\) Section 4.3.4 of Auction Rules.
\(^4\) This report often refers to the current review period as “Year 3” and to the previous review periods as “Year 1” or “Year 2,” despite the fact that not all the periods cover exactly one year (the Year 1 review period was shorter than one year, and Year 3 is longer).
daily monitoring of the Energy Auctions throughout the review period, and retrospective reviews of relevant topics. Following discussions with and guidance from the Commission Staff, this third Annual Report was prepared in a format that differs slightly from those of the previous two annual reports. In particular, we have eliminated some detailed discussion from the main body of the report that appeared unnecessarily duplicative.
**Summary of IAM Activities**
Over the past year, we met with Commission Staff in July 2011 to review the previous Annual Report. We also met via teleconference in October 2011 and January 2012 to provide interim updates on the progress of the auctions and the monitoring process and to request and receive feedback from Staff. Our interactions with SCS have included regularly-scheduled weekly conference calls (although those are sometimes cancelled in the absence of outstanding issues), and frequent communications via email and phone regarding data updates and particular issues as they have arisen. Several weeks prior to finalizing this report, a draft was provided to SCS. While SCS was invited to check the draft for accuracy and completeness, and comments were received, this report represents our independent opinion.
On a daily basis, we monitor SCS’s offers into the Auctions, and the results of the Auctions, for compliance with Tariff requirements. Because of the large volume of information involved, we use a set of automated tools that seek to re-create offer curves based on information we receive about SCS’s system, and check that the Auctions cleared properly. On a quarterly and annual basis, we perform reviews of several additional types of information, such as outages and load forecasts, for potential anomalous longer-term patterns. Some types of information, such as for SCS’s trades, are reviewed quarterly because it is more efficiently processed on that basis. When incomplete information or potential anomalies are found, we follow up with SCS to understand the cause. Material issues, whether or not they are ultimately judged to be non-compliant, are documented in an Issue Tracking Form.
**Overview of IAM Findings**
During the review period for this report, auction participation was quite limited and only a small number of auctions actually cleared.\(^5\) No HAE auctions cleared, out of a total of 10,391 HAE auctions. There were 303 DAE auctions in the review period; six cleared for Firm LD Energy and none cleared for Recallable Energy. In five of these six cleared DAE auctions, SCS was the buyer; for the remaining one it was the seller.
For the vast majority of auctions, there were no matches because no buy bids were submitted; less often, at least one buy bid was submitted but the lowest offer was above the highest bid. In a few instances, the lowest offer was below the highest bid, but the auction did not clear for other reasons (\textit{e.g.}, the bids and offers that might have been matched were submitted by the same participant).
Overall, we have found no evidence that SCS has attempted to evade the Tariff requirements or compromise the Auctions’ performance, either intentionally or through negligence. Further, SCS
\(^5\) Here we are referring only to those auctions where at least one buyer and one seller were successfully matched, leading to one or more transactions.
has provided the data and information necessary for us to adequately monitor its participation in the Auctions, and has given us access to its facilities and personnel as we have requested. We note that the frequency of two types of non-compliant events has decreased from the previous review period. First, we detected no instances of prohibited bilateral sales transactions in this review period, as compared with three and 17 such transactions in the second and first review periods, respectively. Second, in the current review period there have been no instances of non-compliance related to the use of peak load forecasts in Available Capacity calculations, down from three and two such instances in previous review periods. There was an increase in the total number of failed offer curve submissions (23 in the current review period, versus 11 in Year 2 and 35 in Year 1), though these resulted from a smaller number of discrete events, with a single event accounting for over half of the Year 3 failed submissions. The frequency of other types of non-compliant events does not appear to differ meaningfully from the previous review periods. We have also found no evidence of attempts by third-party participants to manipulate the auction.
**Organization of this Report**
This report is organized as follows. Section II describes the design, structure, and timing of the DAE and HAE auctions in Phase II. Section III summarizes significant changes in our monitoring and verification processes, including the protocols we follow in monitoring the auctions, since the second Annual Report. Section IV summarizes the instances in which SCS did not fully comply with the Tariff, or when our investigations uncovered a significant issue requiring further investigation (even if we did not ultimately conclude that it involved non-compliance), or when we were unable to fully verify SCS’s Available Capacity and Seller Offer Price calculations. Section V provides a more detailed examination of the results of DAE and HAE Auctions during the review period, including an analysis of supply and demand, along with details regarding the cleared amounts of energy and the auction clearing prices. This section also includes an analysis of the Company’s Available Capacity calculations and some observations supporting our conclusions regarding the auction results. Section VI contains the summary report of the IAM’s legal advisor, Van Ness Feldman, PC, which assisted in monitoring compliance with the data restrictions contained in the Tariff. Lastly, Section VII provides conclusions and a summary of our observations.
II. OVERVIEW OF SOUTHERN COMPANIES’ ENERGY AUCTIONS
The Energy Auctions consist of Day-Ahead and Hour-Ahead Energy Auctions: DAE and HAE, respectively. DAE auctions are held for every business day (excluding NERC holidays); HAE auctions are held for every hour of every day of the year, including weekends and holidays. The auctions differ in the timing, duration, and firmness of the energy product, as described below. In both auctions, all matched bidders pay the uniform auction clearing price, which all matched offerors receive, and matched bidders are responsible for entering into an associated bilateral transaction and arranging transmission.
The Energy Auctions began in April 2009 with Phase I, under which sell offers could be submitted only by the Company. Phase II began in January 2010, with the primary change being that third-party participants are now allowed to offer to sell energy, thus also allowing SCS to bid to buy energy. For the entire review period of this report, the auctions have operated under the Phase II Tariff. This makes the Energy Auctions a matching mechanism between multiple buyers and sellers rather than simply a mechanism for offers by SCS. Across this change in Auction phases, the role of the IAM has remained fundamentally unchanged.
II.A. DAE AUCTION
The DAE auction consists of two simultaneous auctions, one for Firm LD Energy and the other for Recallable Energy. For both of these auctions, the product is a 50-megawatt block of energy for delivery “Into Southern” during the 16-hour period from 6 AM to 10 PM CPT. Firm LD, as the name implies, is for guaranteed delivery, while Recallable Energy may be curtailed by SCS in the event of a supply-side disruption. In essence, the total amount of Available Capacity that Southern Company has available to offer into the DAE auction is split between Recallable and Firm LD Energy based on the amount of capacity that SCS might need to recall, which depends on system conditions and the operating status of individual units.\(^6\) Generally, the lowest cost portion of the Available Capacity is offered as Recallable Energy and the balance is offered as Firm LD. During the current review period, 303 DAE auctions were held; SCS offered capacity into all of these DAE auctions.
II.B. HAE AUCTION
The HAE product is a one-megawatt block of non-firm energy for delivery “Into Southern” in the upcoming hour. During the current review period, 10,391 HAE auctions were held, and SCS offered capacity into all but 23 of these.\(^7\)
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\(^6\) The offered amount of Recallable Energy is the greater of (i) the amount of Contingency Reserves specified by the Southern BAA, or (ii) the capacity of units at risk, defined as: (a) generating units online, but indicating potential for unexpected outage; (b) generating units offline, scheduled to return, but indicating potential for delayed return; and (c) other generating units that cannot reasonably be offered except as Recallable Energy without impairing reliability.
\(^7\) These 23 instances in which SCS failed to submit an offer curve were due primarily to failures of its computer systems, as explained further in Section IV.G.
Figure II-1 and Figure II-2 illustrate the timing of the DAE and HAE auctions, showing the bid periods and the delivery periods. The DAE auction clears at 6:45 AM one business day prior to the delivery day, with bidding opening at noon on the previous day. The HAE auction opens for bidding one hour and fifteen minutes prior to the start of the delivery hour and clears one hour before (e.g., the auction for HE 18, 5:00 PM–6:00 PM delivery, clears at 4:00 PM).
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According to section 184.108.40.206 of Auction Rules, DAE auction clearing price must be posted within fifteen minutes of the close of the applicable DAE Bid Period.
According to section 220.127.116.11 of Auction Rules, HAE auction clearing price must be posted within five minutes of the close of the applicable HAE Bid Period.
III. AUCTION VERIFICATION PROCESS AND PROTOCOLS
III.A. GENERAL APPROACH
Our primary task as the Independent Auction Monitor is to verify SCS’s compliance with the Auction-related aspects of the Tariff. The largest single part of this task is to verify whether SCS offers all of its Available Capacity, as defined by the Tariff, into each daily and hourly auction at prices at or below those allowed by the Tariff. Doing this involves collecting and analyzing a vast amount of input data as well as output data from the Company’s operational tools and models to verify that SCS’s DAE and HAE offer curves were constructed properly. It is often impossible (and almost always impractical) to trace each of these inputs back to its point of origination and independently verify its accuracy. This makes it impossible for us to have absolute confidence that no input value was altered to affect the resulting supply curve.
Accordingly, in Year 3 we continued to verify SCS’s compliance with the Tariff under the same general monitoring philosophy that was stated in our prior annual reports. That is, we check SCS’s construction of its daily and hourly offer curves to the point that we can verify each step of the process with high accuracy, relying on the same extensive inputs as SCS uses for its own operations.\(^{10}\) Further, rather than attempting to independently verify each input value used by SCS (e.g., unit-level outages, fuel prices, operating status, heat rates, operational limitations, etc.), our approach continues to be to monitor the key input data for anomalous events or trends. If we do not observe such anomalies in the data, we find it unlikely that there has been conscious alteration of the data used by SCS and/or provided to us in an attempt to evade the requirements of the Tariff. If and when we find apparent anomalies, we probe these issues more deeply, and would, if appropriate, consult with the Commission.
There are a few exceptions to our general principle of not attempting to verify input data. For example, SCS controls several third-party-owned generators under power purchase agreements (PPAs), for which we did verify unit-level cost and performance parameters against the terms of the relevant contracts. SCS performs unit commitment and dispatch of these contractually controlled units using the same optimization process as it does with its directly owned units, but characterizes these contractual units on the basis of the contractually specified costs and performance parameters (e.g., guaranteed capacity, guaranteed heat rate, start-up costs, variable operations and maintenance costs, etc.), instead of the units’ physical parameters. It also uses these contractual parameters to construct its supply curves for the DAE and HAE auctions.
We monitor for anomalies in the data partly on a daily basis and partly on a periodic (typically quarterly) basis. For example, we check each day whether load forecast errors are within historic norms and whether unit characteristics that are expected to be relatively stable are changing frequently. On a periodic basis we observe trends in input data and check for anomalies, including whether: (1) delivered fuel prices track major fuel price indices; (2) scheduling of generator outages appears consistent with good utility practice; and (3) exclusion of capacity due
\(^{10}\) In Year 3, we used the same general monitoring processes and set of tools we created initially. We have refined and improved our tools over time to more efficiently monitor Tariff compliance, but the general process and level of oversight in Year 3 remains at a level comparable to that of Years 1 and 2.
to operational constraints is consistent with available information. For this report, we performed the trends analysis over the full review period, February 16, 2011 through April 23, 2012.
III.B. VERIFICATION PROTOCOLS
Our processes and accompanying “tools” that make the needed calculations to validate Available Capacity, Seller Offer Prices, and the clearing price for each Auction are codified in our protocols. These protocols were created and tested during the initialization phase of our monitoring assignment, prior to the start of the Auction, and have been updated as needed to reflect new information and improvements. The current versions of our ten protocols are shown in Appendix A.\(^{11}\) They include:
Protocol I — Monitoring of SCS’s daily load forecasts
Protocol II — Monitoring of SCS’s daily load forecast uncertainty calculations
Protocol III — Monitoring SCS’s bilateral transactions into Southern during the Energy Auction bid periods
Protocol IV — Monitoring of SCS’s unit outage data
Protocol V — Verifying DAE Available Capacity calculations and the associated Seller Offer Prices (SOP), as well as the final SOP curve submitted to OATI
Protocol VI — Verifying the HAE Residual Supply Curve (RSC) calculations and the associated SOPs, as well as verification of the final SOP curve submitted to OATI
Protocol VII — Verifying SCS’s compliance with the Tariff regarding the treatment of cleared Recallable Energy, when applicable
Protocol VIII — Verifying Energy Auction clearing, when applicable
Protocol IX — Assessing availability of transmission services for energy sold in the Energy Auction
Protocol X — Monitoring of third-party Energy Auction participants.
Protocols I, II, IV, V, and VI monitor the inputs and outputs used in calculating SCS’s Available Capacity and Seller Offer Prices for the DAE and HAE auctions. Protocol III aims to verify that SCS’s bilateral purchases and sales are appropriately accounted for in its Available Capacity Calculations, and also that SCS does not engage in prohibited bilateral transactions. Protocol VII verifies that Recallable Energy cleared in the DAE auction, if recalled, is done so only during a supply-side disruption, as provided in the Tariff. Protocol VIII verifies that auction clearing prices and quantities are determined accurately by the auction clearing software.\(^{12}\) Protocol IX
\(^{11}\) See the final subsection of this section for further discussion of data sources and data transfer issues.
\(^{12}\) Open Access Technology International, Inc. (“OATI”) provides the auction clearing software called webMarket.
verifies the proper availability of Southern Company’s transmission services for energy transactions resulting from bids and offers matched through the Auctions. Almost all of these protocols call for daily monitoring, with the exception of Protocols IV and IX, and some components of Protocol VIII. For these, reviews are performed as needed.
Our protocols are living documents that are modified as needed. Figure III-1 summarizes the main changes to each of the protocols in Year 3, and the remainder of this section explains these changes in further detail. In the interest of brevity, only changes to our protocols since our second Annual Report are discussed here; the full set of our current monitoring protocols is included as Appendix A.
**Figure III-1**
*Summary of Changes to IAM Protocols in Year 3*
| Protocol | Changes in Year 3 |
|-----------------------------------------------|-----------------------------------------------------------------------------------|
| I. Load Forecasting | Added unconditional load forecast flags |
| II. Load Forecasting Uncertainty | Updated LFU percentages |
| III. Purchases and Sales | Status quo |
| IV. Outages | Status quo |
| V. DA Available Capacity and SOP Verification | Status quo |
| VI. HA Available Capacity and SOP Verification| Status quo |
| VII. Recallable Energy Verification | Status quo (not activated in Year 3) |
| VIII. Auction Clearing Price Verification | Status quo |
| IX. Assessment of Transmission Services for Energy Auction Purchases | Status quo (not activated in Year 3) |
| X. Monitoring of Third-Party Participants | Implemented new protocol |
*Protocol I — Daily Load Forecast Report and Load Forecast Protocol*
Our load forecast protocol requires that we evaluate SCS’s load forecasts to determine if there is any strategic pattern that could have a negative impact on Available Capacity and SOP. Specifically, we screen for whether SCS’s official load forecast unusually deviates from its normal practice, particularly by over-forecasting load. Prior to the start of the Energy Auction, we reviewed SCS’s load forecast process and examined its historical forecast errors in order to establish the historical range of SCS’s load forecast errors. SCS forms its official load forecast (OF) based on a combination of actual load data and a forecast of future load. For this reason, we screen for any
abnormalities in SCS’s load forecasts by comparing its OF with [REDACTED] for both two-days ahead (DA2) and one day-ahead (DA1) for DAE auctions. Additionally, we observe the change in OF from DA2 to DA1 as well as the forecast error between DA1 OF and actual load (AL).
Our original load forecast protocol generated two types of load forecast flags: Condition 1 and Condition 2 flags. Condition 1 flags screen for significant deviations between [REDACTED] and OF forecasts. Condition 2 flags screen for significant load over-forecasts, conditional on SCS significantly changing its one-day-ahead official load forecast compared to its two-day-ahead official forecast. Therefore, we refer to this flag as the “conditional” Condition 2 flag. These Condition 2 flags are generated when the following conditions are satisfied:
“Conditional” Condition 2 Flag:
\[
\text{Then Flag 2 Alert}
\]
where SD is a standard deviation of a set of forecast errors; and [REDACTED] is the historic relative difference between SCS’s official DA1 load forecast and DA2 official load forecasts.
In Year 3, to be alerted to relatively large load over-forecast errors, even in the absence of large changes to the official load forecast, we implemented an “unconditional” Condition 2 flag that screens for unusually large load over-forecasts, independent of whether SCS changed its official load forecast. These flags are triggered whenever the following conditions are satisfied:
“Unconditional” Condition 2 Flag:
\[
\text{Then Flag 2 Alert}
\]
We performed an analysis of historical load forecast errors to determine how frequently the unconditional flag would have been triggered. As expected, we found that these flags are triggered more frequently than the conditional flags. A sample of our new Daily Load Forecast Report, containing the new unconditional Condition 2 flag, is included as Figure III-2 below.
We report load forecast flags observed in the Year 3 review period in Section IV.A, and provide further observations regarding load forecasting in Section V.
Protocol II — Load Forecast Uncertainty (LFU) Protocol
As in previous years, SCS performed an annual revision of LFU percentage values for use in the DAE auction, taking effect with the August 1, 2011 DAE delivery day. We independently verified these values, which are summarized in Appendix C, and have incorporated them into our daily monitoring. Our findings regarding this protocol are reported in Section IV.B.
Protocol X — Monitoring Third-Party Participation in the Energy Auction
The Commission Order on Compliance Filing of March 24, 2011 clarified that the IAM “is responsible for identifying suspected tariff violations and/or violations of Commission approved rules and regulations related to the Auction, including suspected [Auction] manipulation, by any [Auction] participant.”\(^{13}\) In July 2011, we presented to the Commission Staff our formal proposal for monitoring third-party participants, recognizing that participation by third parties in the Energy Auction is entirely voluntary. To our knowledge, the Energy Auction is not currently used as a price reference, benchmark, or index for other transactions, and therefore there is no obvious incentive for any third-party participant to manipulate the outcome of the Auction. Market power is presumed not to be present, given that all Energy Auction participants subject to the Commission’s jurisdiction have been granted Market-Based Rate (MBR) authority by the Commission.\(^{14}\)
This led to the creation of a new protocol to explicitly monitor third-party participation in the Auctions. Our third-party monitoring protocol contains several activities designed to detect potentially problematic behavior, including:
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\(^{13}\) *Southern Company Services, Inc.*, 134 FERC ¶61,226 at P 33 (2011).
\(^{14}\) FERC has the responsibility for ensuring that Auction Participants are in general compliance with their rate authority (*i.e.*, that Auction Participants have MBR authority where necessary to offer into the Auction, and are not violating conditions of that authority). Thus it would be redundant for the IAM to also monitor this.
In carrying out these actions, we primarily rely on information generated through the Auction itself, and therefore our ability to verify conformance with these rules is limited. If we identify questionable behavior, we will promptly notify the Commission’s Office of Enforcement.
III.C. DATA RECEIPT, MONITORING PERIODS, AND ARCHIVING
The process of daily auction monitoring described above requires a large amount of data that SCS transfers to us as part of a daily, automated data transfer process that was established by the beginning of Year 1 of the Energy Auction. As part of this process, we received all data needed in Year 3 to perform our monitoring tasks, with the specific exceptions noted below.
SCS failed to submit an offer curve into 23 HAE auctions. For those 23 auctions we did not receive the offer curves themselves, nor the input data that we normally use to verify such offer curves, and therefore we were unable to determine what SCS’s Available Capacity would have been for these auctions. There were no third-party bids in any of these auctions, and thus the outcome of the auctions was not affected. For more detail on these issues, see the relevant issue tracking form in Appendix B.
In Year 3, SCS continued the process of providing us enhanced data. In particular, in May 2011, SCS added additional fields to an table with the objective to improve the efficiency of our verification process. Shortly after this implementation, it was discovered that the additional fields generated a computer glitch that resulted in a large number of HAE SOP discrepancies. SCS removed the new fields from the table after the error was discovered. Since the new data fields were not critical for our verification HAE offer curves, we continued our monitoring using the previous process.
As in Year 1 and Year 2, we maintain a complete archive of our daily reports and quarterly surveys.
IV. RESULTS OF MONITORING
This section of the report provides a summary of the results of our daily and periodic monitoring activities, and discusses these results within the context of each protocol, covering the period from February 16, 2011 through April 23, 2012. Our monitoring continues beyond this period.
IV.A. LOAD FORECASTING PROTOCOL
Briefly, the purpose of the load forecasting protocol is to verify that SCS’s DA2 and DA1 official peak load forecasts were the same as those used for the Available Capacity calculations. We found no discrepancies or evidence of Tariff violation with respect to this protocol in Year 3. In contrast, in Year 2 we found three such instances of non-compliance that resulted in a DAE offer curve that contained less offered capacity than SCS’s Available Capacity.
In addition to verifying that DA1 and DA2 peak load forecasts are appropriately used to calculate Available Capacity for the DAE auction, we also perform (as explained in Section III.B) automated monitoring of SCS’s day-ahead and hour-ahead load forecasts. Our automated load forecast verification process generates flags when SCS’s load forecast errors or its adjustments to the computer-generated load forecasts are large relative to their respective historical norms.\(^{15}\) As discussed in Section III.B, we introduced new load forecast flags to be better able to observe cases of relatively large over-forecasts. The mere presence of load forecast flags does not indicate that SCS failed to comply with the Tariff; these flags are meant to alert us to periods where load forecasting errors are relatively large, thereby allowing us to watch for patterns and anomalous relationships. Our observations regarding the flags detected in Year 3 are summarized below.
Day-ahead load forecast flags are summarized in Figure IV-1. During the review period, we observed 48 flags on 47 days. Considering that the third review period was significantly longer than previous review periods, the frequency of Year 3 day-ahead load forecast flags is comparable to the frequency of past observed load forecast flags.\(^{16}\)
In Year 3, about 70% of the day-ahead load forecast flags were Condition 1 flags (i.e., SCS’s official load forecast). We observed Condition 2 flags (i.e., SCS’s official load forecast) on 13 days; the majority of these flags represented moderate load forecast errors (“flag 1 alerts”) of up to approximately for a DA1 load forecast.\(^{17}\) We observed higher load forecast errors (“flag 2 alerts”) on three days.\(^{18}\) Overall
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\(^{15}\) There are some differences in the hour-ahead and day-ahead load forecast thresholds and the way the various flags are triggered. For more detail, see the discussion on Protocol I in Section III.B.
\(^{16}\) For example, when looking at the flags triggered specifically between 2/16/2011 and 2/15/2012, 41 flags on 40 days, this year is consistent with Year 2 when we observed 41 flags on 39 days.
\(^{17}\) The thresholds for load forecast flags differ depending on how far in advance of the delivery day the forecast is made. For example, the threshold for a DA2 load forecast flag is lower than that for a DA4 flag, since greater uncertainty is associated with a more distant forecast.
\(^{18}\) These occurred on .
the frequency of the more extreme Condition 2 “flag 2 alerts” seems to have decreased in Year 3, relative to the previous review period.
The majority of the load forecast flags did not require further inquiry. For example, we often observe that SCS makes an adjustment to [redacted] load forecast that results in a more accurate (official) load forecast when compared to *ex-post* (actual) load data, though it may also trigger a Condition 1 flag.
As shown in Figure IV-2, hour-ahead load forecast flags were triggered for 68 hours, representing less than 1% of the 10,391 HAE Auctions in Year 3, a decrease relative to Year 2 (when 92 hours were flagged out of the total of 8,760 total hours). [redacted], which is not surprising since these circumstances make it more difficult to project load patterns.
As in previous years, we made several inquiries to SCS regarding load forecast errors. For example, relatively large load forecast errors [redacted] were due to [redacted]. In some instances, SCS proactively alerted us that unusual system circumstances might create the potential for large forecast errors.
Figure IV-1
Day-Ahead Load Forecasting Flags by Delivery Date
| Delivery Date | Condition 1 | Condition 2 |
|---------------|-------------|-------------|
| Total Flags | 35 Flags | 13 Flags |
Using historical day-ahead and hour-ahead load forecast and actual hourly load data for a roughly three-year period (from late 2005 through early 2009), we performed an additional analysis to see whether the frequency of load forecast flags since the start of the Energy Auctions is comparable to their frequency (using the same thresholds) in the pre-auction period.
For example, in the
41 months of available historical pre-auction data, \textit{[REDACTED]}. In the three-year period since the start of the Energy Auctions,
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{image.png}
\caption{Day-Ahead and Hour-Ahead Condition 1 Load Forecast Flags\textsuperscript{19}}
\end{figure}
With respect to Condition 2 flags (official forecast \textit{[REDACTED]} shown in Figure IV-4, the picture is somewhat mixed. For hour-ahead forecasts,
\begin{figure}[h]
\centering
\includegraphics[width=\textwidth]{image.png}
\caption{Day-ahead peak load forecasting}
\end{figure}
\textsuperscript{19} We do not have hour-ahead load forecast data for about a three-month period prior to the start of the Energy Auction.
Lastly, Figure IV-5 shows day-ahead conditional and unconditional load forecast flags for the pre- and post-auction periods. As discussed in Section III.B, every unconditional flag is, by definition, also a conditional flag, since unconditional flags detect significant load forecast errors, irrespective of whether SCS made any adjustments to its load forecast. Therefore, we do expect unconditional load forecast flags to be more frequent than conditional load forecast flags. As shown in Figure IV-5, the frequency of unconditional load forecast flags...
Overall, we do not find any evidence of Tariff violation with respect to this protocol, and observe no negative trends in SCS’s load forecast errors.
**IV.B. Load Forecasting Uncertainty Protocol**
The primary purpose of the load forecasting uncertainty (LFU) protocol is to verify that the allowance for LFU used in SCS’s DAE Available Capacity calculations is consistent with the LFU baselines that SCS has established based on historical load forecast error statistics. LFU used in SCS’s Available Capacity calculations is determined as a percentage of the peak load forecast and is deducted from Available Capacity offered in the Auction.\(^{20}\)
SCS established baseline LFU percentages prior to the start of the Energy Auction. These values are \[\text{redacted}\]. The initial baseline LFU percentages were in effect from the first DAE auction held for April 27, 2009 \[\text{redacted}\]. These were later updated \[\text{redacted}\], and further revised \[\text{redacted}\]. For each
\(^{20}\) SCS is permitted to use \[\text{redacted}\] to calculate the LFU.
revision, SCS provided us with the new LFU percentage tables based on their most recent LFU study, including the methodology used to derive those values.\textsuperscript{21}
Following SCS’s methodology, we replicated the new LFU percentages and compared them to the previous sets of values. The LFU percentages did not change materially with these updates. The old and new LFU percentage tables are listed in Appendix C.
\textbf{Figure IV-6} \\
\textit{Load Forecast Uncertainty Percentages Used in Year 3}
On a daily basis we monitor whether SCS uses the established LFU baseline percentages, and also whether one or more instances of maximum LFU overrides occur within a rolling ten-day window. We verified that in Year 3 SCS never exceeded the maximum LFU percentage values from the historical baselines.\textsuperscript{22} Figure IV-6 above illustrates the actual LFU percentages used in
\textsuperscript{21} SCS’s most recent LFU study was based
\textsuperscript{22}
Available Capacity calculations against the baseline average and maximum percentages. As shown, the relevant baseline LFU percentages [redacted], consistent with our observations regarding SCS’s load forecasting in Section IV.A.
**IV.C. Unit Outages Protocol**
Our primary approach to monitoring outages is to screen for anomalies in the input data used by SCS. We monitor unit outages by: (1) analyzing general trends in the scheduling/occurrence of outages (results are reported in Section V.F); (2) performing quarterly comparisons of the unit outage data between SCS’s various databases; and (3) performing ad-hoc investigations into individual outage events.
We performed quarterly audits of SCS’s unit outage data for Year 3. These audits consist of comparing the unit outage data used for Available Capacity calculations against the outage database in SCS’s [redacted] management reporting system.\(^{23}\) These audits have resulted in a few inquiries to SCS, which usually occurs when we are unable to match an outage event used in [redacted] against a similar outage event in the [redacted] database.
Occasionally we perform *ad-hoc* investigations into individual outage events that could not be matched. During the Year 3 review period, we requested further clarification from SCS [redacted] for all of these unmatched outages; [redacted]. SCS provided explanations where [redacted]. There were also a number of instances [redacted].
Our quarterly outage audits detected one instance of non-compliance in Year 3. For DAE delivery days [redacted] as being on outage [redacted]. As a result this unit was excluded from SCS’s Available Capacity calculations. SCS confirmed [redacted]. This error resulted in SCS offering less than its Available Capacity, though it did not affect the outcome of the DAE auctions. For additional detail, see Appendix B.
\(^{23}\) As noted in the previous Annual Report, [redacted] is not SCS’s official outage database, but rather is one of SCS’s internal reporting tools.
IV.D. Day-Ahead Available Capacity Verification Protocol
IV.D.1. Fixed Baseline Discrepancy Report
In accordance with our Protocol V on day-ahead available capacity verification, we use the Fixed Baseline Discrepancy Report on a daily basis to identify changes in fixed unit characteristics that could affect the DAE Available Capacity and SOP calculations. One purpose of this report is to supplement our review of the Seller Offer Price Curve and Projected Load and Resources Reports.
The Fixed Baseline Database (FBD), which characterizes SCS’s generating units with parameters that can change daily, monthly, seasonally, and annually, is used in baseline DAE Available Capacity and SOP calculations. We compare these parameter values with those present in the daily input files, to enable us to evaluate the impact of changes in unit characteristics on Available Capacity and SOP. When the two sets of parameters deviate, we seek an explanation from SCS (unless SCS has already provided adequate prior notification).
Another purpose of the Fixed Baseline Discrepancy Report is to monitor whether the unit characteristics are changed more frequently than expected, over the entire Year 3 review period. Figure IV-7 shows the results of this review: fixed unit characteristics did not change more frequently than expected for the vast majority of the units.\(^{24}\) We reviewed on a case-by-case basis those units for which one or more fixed parameters changed more often than expected. For some units, high and low operating limits were updated for one of the following reasons:
-
-
-
We found that none of these parameters appear to have been altered for strategic reasons that would have adversely affected the Energy Auctions.
\(^{24}\) To focus on the most significant changes, we looked only at parameter value changes that exceeded a threshold.
Figure IV-7
Expected and Observed Frequency of Updates to Unit Characteristics during the Review Period
| Parameter | Expected Frequency | Number of Units Above Expected Frequency |
|-----------|--------------------|----------------------------------------|
| | | |
did not negatively affect the Energy Auction.
We also observed that, the Auction was not negatively affected.
We investigated other units whose parameters changed more frequently than expected, and found that in all cases, these changes resulted in higher levels of availability and/or lower Seller Offer Prices in the Energy Auctions, and therefore raised no concern.
**IV.D.2. Fixed Purchases and Sales Update Report**
SCS’s obligations are adjusted for short-term purchases and sales through fixed schedules. These fixed schedules are used as an input into the two-day-ahead unit commitment. One day prior to the delivery day (*i.e.*, shortly before the DAE auction), SCS makes an adjustment to its Available Capacity calculation from the previous day, using updated information on purchases and sales. This DA1 update to fixed schedules may result in either an increase or a decrease in Available Capacity. Our Purchases and Sales Update Report replicates changes in fixed schedules, using information on DA1 and DA2 fixed schedules, and compares the resulting value to that used by SCS. Any discrepancy between the two values is flagged on a daily basis.
During this review period, we found nine incidents that triggered flags in our Purchases and Sales Update Report. These incidents, summarized in Figure IV-8, occurred as a result of three separate but similar errors within SCS’s internal fixed schedule tools. In both April and October/November of 2011 it was discovered that SCS’s fixed schedule tools were not properly accounting for all transactions in their morning update; SCS reported that this was the result of human error introduced when changes were made to a tool. In January 2012, a different type of error occurred, where the positive change in fixed schedules was incorrectly double-counted in the DA1 update, thus understating Available Capacity. These three instances appear to have been unintentional errors, not related to any attempt to harm the auction process.
| DAE Delivery Day | Description |
|------------------|-------------|
| April 1, 2011 | 303 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| April 11, 2011 | 597 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| October 18, 2011 | 150 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| October 19, 2011 | 303 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| November 4, 2011 | 73 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| November 8, 2011 | 160 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| November 17, 2011| 111 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| November 25, 2011| 200 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
| January 5, 2012 | 51 MW mismatch in adjusted fixed schedules in LFU Log and corresponding calculation based on input data to |
IV.D.3 Available Capacity and Seller Offer Price Curve Reports
For the majority of DAE auctions, we were able to corroborate that SCS’s calculation of DAE Available Capacity was in full compliance with the Tariff. Figure IV-9 shows that in Year 3 we observed two types of issues related to the calculation of day-ahead Available Capacity.\(^{25}\)
**Figure IV-9**
**Day-Ahead Capacity Calculation Discrepancies**
| Issue | Day(s) or Period Affected |
|--------------------------------------------|------------------------------------------------------------------------------------------|
| Failure to offer uncommitted units | 3/10/2011; 3/29/2011; 5/3/2011; 5/18/2011; 8/22/2011; 11/17/2011; 12/13/2011; 2/15/2012; 2/21/2012; 2/29/2012; 3/5/2012; and 4/23/2012 |
| Unit start-up cost calculation error | October 13, 2011 – October 31, 2011 |
The first type of issue occurred sporadically throughout the year, and was the result of a discrepancy between the commitment status of certain units as indicated in [ ], versus their status indication in [ ]. For each of the delivery dates indicated in Figure IV-9, [ ] reflected that the affected units were committed to serve SCS’s native load, while our own review of the [ ] commitment schedules indicated that these units were in fact uncommitted. Because [ ] treated these units as committed, they were excluded from SCS’s Available Capacity calculations, and consequently not offered into the DAE auction. This issue had not been observed previously, but affected 12 DAE auctions in Year 3. The largest amount of capacity excluded from the DAE auction was 1,250 MW on December 13, 2011. SCS informed us that under some indeterminate conditions, the [ ] tool uses outdated unit commitment information to determine Available Capacity. SCS has been unable to replicate these errors or determine their root cause, despite having undertaken extensive measures to diagnose and prevent such discrepancies once they had been identified. SCS notified us in April 2012 that they had decided to re-write some sections of [ ] code in an attempt to correct the problem, and that these changes had been implemented as of the filing of this report. SCS also noted that if these measures are not effective, more extensive re-writes may be necessary. Due to the nature of the problem, SCS has declared Force Majeure with regard to these events, which is an excused non-compliance under the Tariff.
The second type of issue observed in Year 3 was related to the start-up costs included in the DAE offer prices of [ ]. The affected units are controlled by SCS under a contract which specifies a fixed dollar amount per start as the start-up charge. Since [ ] requires an input in terms of start-up fuel (in MMBTUs), SCS converts the start-up charge into a corresponding start-up fuel quantity on a daily basis, using the then-applicable fuel price. In the process of this conversion, an error occurred where the initial conversion to start-up fuel quantity used natural gas prices, while oil prices were used to calculate the DAE offer prices. This resulted in start-up costs that exceeded the contract start-up charge by a factor of six.
\(^{25}\) We list those instances of noncompliance that occurred or were detected during the Year 3 review period in Appendix B.
Consequently, SCS offered the capacity of these units into the DAE auction at a price in excess of the SOP specified by the Tariff. For details on this issue, see Appendix B.
**IV.E. RECALLABLE ENERGY PROTOCOL**
Since none of the DAE auctions for Recallable Energy cleared during the review period, there were no compliance issues regarding Recallable Energy.
**IV.F. PURCHASES AND SALES PROTOCOL**
The objectives of our Purchases and Sales protocol are twofold: first, to verify that SCS’s purchases and sales are properly accounted for in the calculation of Day-Ahead Available Capacity and the Hour-Ahead Residual Supply Curve. Second, this protocol verifies that SCS does not execute bilateral sales of power into the Southern BAA during the relevant bid period for the DAE or HAE auctions, in accordance with the Tariff restrictions. With regard to the first objective, the effect of purchases and sales on the capacity offered in the DAE Auctions is discussed in Section IV.D.2 as part of the larger process of verifying DAE Available Capacity. Their effect on the HAE Auctions is part of the process of verifying the HAE Residual Supply Curve.
As described in our first two annual reports, to check for bilateral transactions executed within the prohibited bid period, we perform two levels of screening. First, we check in the daily transfer of trader data for relevant transactions that are time stamped within the corresponding bid period, for both hour-ahead and day-ahead transactions. Because the time stamps do not always precisely reflect the timing of transactions, we also review, on a quarterly basis, the trade records (trader voice recordings and instant messages) of a sample of sale transactions.
In Year 3, we found no instances where SCS traders engaged in prohibited bilateral sales in either the DAE or the HAE bid periods (in Year 1 we identified 17 such noncompliant bilateral transactions; in Year 2 we identified three). The technical and institutional mechanisms that SCS has put in place and revised over time appear to be successful in ensuring compliance with this Tariff provision. In the third quarterly trade record review of Year 3, we did note some deterioration in the quality of the trade records that SCS provided to us (several of the records were incomplete), which made it more difficult to verify compliance with the trade restrictions. We communicated our concerns regarding the information completeness to SCS, who reported that the issues were due in part to technical issues with the recording system, which it was addressing. SCS assured us that it understood our concern and would take appropriate steps to ensure complete data was provided. The information provided for the subsequent (fourth) quarterly trade record review was free of such data quality problems.
**IV.G. VERIFICATION OF AVAILABLE CAPACITY AND SOP SUBMISSION TO OATI**
In addition to the DAE and HAE Available Capacity and SOP verifications, we check on a daily basis that (a) SCS submits an offer curve into each Energy Auction and (b) that the submitted curves are accurate. In Year 3, there were 23 instances in which SCS’s SOP curves were not uploaded to OATI’s webMarket. Figure IV-10 lists each instance of failed offer curve submission, including the cause of error. In most of these instances, SCS did in fact develop the required SOP curves, but some system problem prevented their successful uploading to OATI.
The number of failed submissions was greater in Year 3 than in Year 2 when there were 11 such instances, though still below the 35 failed submissions in the first review period. We should note however, that the number of independent causes of failed offer curve submissions is much lower than the number of failed submissions, since the problems experienced in Year 3 usually affected multiple delivery hours. For example, a single computer systems failure resulted in failed offer curve submissions for 13 consecutive HAE Auctions on September 15 and 16, 2011. In all 23 HAE Auctions where SCS failed to submit an offer curve, the ultimate outcome of the auction was unaffected, since no bids were submitted by any third party.
Failed offer curve submissions are usually caused by a failure of computer equipment, software, or a database. As such, for all of the cases reported in Figure IV-10 SCS declared Force Majeure, which is an excused non-compliance under the Tariff. SCS identified the cause of the error and implemented a fix for all these issues, except the failure affecting the HAE Auctions of September 15 and 16, 2011. While we did not participate in developing or evaluating the particular solutions implemented, the same issues have not recurred to date.
For each DAE and HAE Auction in Year 3, we verified that every successfully submitted offer curve was in fact accurate, with the exceptions of the specific instances of non-compliance reported in this Section IV and detailed further in Appendix B.
Lastly, we observed another minor instance of non-compliance of a different sort. SCS self-reported that a minor configuration error occurred for the DAE Auction for delivery on Tuesday, March 8, 2011, causing the bid period to open 29 minutes late. According to the Tariff, the bid period should have opened at 12 pm on Friday, March 4. Given that this configuration error shortened the bidding period by only a fraction of an hour, and that the auction was otherwise implemented properly, it is very unlikely that this affected any auction participant. No third-party bids or offers were submitted into this DAE auction.
**IV.H. Hour-Ahead Available Capacity Verification Protocol**
Our hour-ahead verification consists of confirming that the HAE Seller Offer Price is calculated correctly and that SCS offers all of its Available Capacity into the HAE Auction. For each HAE Auction, we replicate the cost calculations for all units offered into the Energy Auction. We
report cost discrepancies that exceed a specified threshold.\textsuperscript{26} In addition, we verify that given each unit’s current-hour and next-hour operating status, it is offered into the HAE Auction unless it is excluded for a legitimate reason.
During the review period, we were able to replicate all HAE offer curves with the exceptions listed below. Figure IV-11 contains a summary of non-compliant incidents that were identified as part of our hour-ahead protocol.
\begin{center}
\textbf{Figure IV-11} \\
Hour-Ahead Capacity Calculation Discrepancies
\end{center}
| Issue | Hour(s) or Period Affected |
|-------|---------------------------|
| Improper offer curves due to use of test data | March 17, 2011 HE 12
March 22, 2011 HE 16-17 |
| Combined cycle HAE SOP discrepancies | May 18, 2011 to June 8, 2011 |
| \textcolor{red}{Operating status discrepancies} | July 11, 2011 to July 12, 2011 |
The first issue occurred during the testing of an enhancement to \textcolor{red}{[ ] } by SCS's IT personnel. An error occurred during this process which resulted in test data being written into the production system, directly affecting SCS’s HAE Available Capacity and SOP calculations. While SCS was using “live” data for testing, the Available Capacity calculations did not include “live” \textcolor{red}{user edits}, which resulted in SCS offering less than its Available Capacity in the three affected HAE Auctions.
The second issue in Figure IV-11 affected the SOP calculations for several combined cycle units in a total of 72 HAE Auctions, and resulted in 132 instances when the HAE SOP exceeded the offer cap allowed by the Tariff. These discrepancies were the result of \textcolor{red}{assigning} a heat rate to these units that was inconsistent with their next-hour operating status. For example, \textcolor{red}{assigned} the higher \textcolor{red}{heat rate} to some units when in fact they were operating in a mode, and the lower \textcolor{red}{heat rate} should have been used.
SCS’s investigation revealed that this \textcolor{red}{implementation} error was caused by the release of a new version of \textcolor{red}{that included additional data fields in one of the tables}.\textsuperscript{27} Once SCS reverted back to the previous version of \textcolor{red}{these cost discrepancies were no longer generated}. The outcome of all these 72 HAE Auctions was unaffected by these instances of non-compliance, since no third-party bids were submitted into any of those auctions. Because of the nature of the cause, SCS declared Force Majeure on these events, which is an excused non-compliance under the Tariff.
\textsuperscript{26} During Year 3, we flagged cost discrepancies that exceeded a \textcolor{red}{threshold}.
\textsuperscript{27} These additional data fields were added to \textcolor{red}{at our request, with a purpose of enhance our ability to monitor the HAE Auctions}.
The third issue reported in Figure IV-11 affected four contracted combustion turbines in 14 HAE Auctions, resulting in 26 instances of available units being excluded from the HAE Auctions. These units were labeled as unavailable by SCS to account for the contractual operational constraint that a maximum of two of the affected units could be brought online in time for the HAE Auction. However, in each affected auction, only the capacity of one unit was offered, despite all units being available. SCS explained that there was a gap in the Residual Supply Curve (RSC) logic that accounted for the contractual constraint. On or about June 8, 2011, a technical solution was implemented to address the problem, and thereafter it has not recurred. Our review showed that the outcome of the 14 HAE Auctions was not affected, because no third-party bids were submitted in any of those auctions.
SCS calculates Available Capacity every hour not only for the next HAE Auction, but also for the following five hours. Curves developed for the hours beyond the next HAE delivery hour represent so-called “contingency” offer curves, whose purpose is to guard against situations where a fully updated offer curve may be unavailable in the HAE Auction due to a process failure. In Year 2 we concluded that the benefit of having contingency curves available to ensure that an offer curve can be submitted likely outweighs any potential harm that might result from the occasional accidental submission of an offer curve based on outdated data, particularly given that the overall frequency of contingency curve submissions was very low. In Year 3, we continued to monitor this, and found that the frequency of contingency curve submissions continues to be very low. We therefore maintain our view that the occasional submission of contingency curves is in compliance with the Tariff.
As noted in Section IV.G. Verification of Available Capacity and SOP Submission to OATI, during the Year 3 review period there were 23 HAE Auctions for which SCS failed to submit offer curves. For these auctions, SCS also did not provide us with the input data that we normally use to verify offer curves, and we were thus unable to determine what SCS’s Available Capacity would have been in those instances. However, the outcomes of these auctions were unaffected by the failed offer curves submissions, since no third-party bids were submitted.
**IV.I. Auction Clearing Protocol**
The purpose of the Auction Clearing Protocol is to verify that the Energy Auctions cleared appropriately, with the proper clearing price and quantity of cleared energy. In principle, an auction may clear if the highest bid price matches or exceeds the lowest offer price. In the DAE Firm LD Auctions for this review period, the highest bid exceeded the lowest offer in six auctions, and all of these auctions cleared. For each of these auctions, we were able to verify that the clearing price and the quantity of energy cleared were determined in accordance with the Tariff. In all other DAE Firm LD Auctions, and in all the DA Recallable Energy Auctions, the highest bid price (if any) was below the lowest offer price.
In the HAE Auctions during this review period, the highest bid exceeded the lowest offer in a total of four HAE Auctions, but none of these auctions cleared. As shown in Figure IV-12, the auctions software did not allow matching the highest bid(s) to the lowest offer(s) because they were made by the same participant (SCS in all four cases).
IV.J. ASSESSMENT OF TRANSMISSION SERVICES FOR ENERGY SOLD IN THE ENERGY AUCTION
No complaints were received regarding the provision of transmission services for energy sold through the Energy Auction; therefore it was not necessary to review Southern Company’s provision of transmission services.
IV.K. MONITORING OF THIRD-PARTY PARTICIPATION IN THE ENERGY AUCTION
Since the Commission’s March 24, 2011 Order on Compliance Filing,\(^{28}\) we implemented our third-party monitoring protocol to screen for non-competitive behavior by all Energy Auction participants. As discussed in Section III.B, our corresponding protocol includes, but is not limited to, a range of activities designed to detect potentially problematic behavior. In performing these activities, we primarily rely on data generated in the Energy Auction.
Third-party bidding activity was very limited in Year 3. Altogether \[\text{third-party bids}\] were submitted into \[\text{auctions, consisting of Firm LD bids in Recallable Energy bids in DAE Auctions, and hourly bids in HAE Auctions.}\]
\(^{28}\) Docket No. ER09-88-004.
Lastly, we did not receive any complaints against any Energy Auction participant, nor are we aware of any communication between Auction participants that could be for the purpose of facilitating collusion or undermining competition.
V. ANALYSIS OF DAE AND HAE AUCTIONS
This section of the report contains a detailed review and analysis of the outcomes of the DAE and HAE auctions held during the review period. Section V.A includes information about the Energy Auctions that we are required to provide according to the Tariff. Sections V.B through V.G include the results of our detailed analysis of DAE and HAE offers and Available Capacity calculations. While not all of these analyses are required by the Tariff or our protocols, we conduct them to be able to observe trends in Available Capacity and Seller Offer Price calculations and thereby implement our general approach to monitoring in the absence of complete auditing of input data, as explained in Section III.A.
V.A. INFORMATION REQUIRED FOR FERC REPORTING
The Tariff requires the Independent Auction Monitor to include in its Annual Report certain information, including the following: (1) the clearing price for each Energy Auction; (2) the amount of energy offered and sold by each seller (identified by name) in each Energy Auction; and (3) the amount of energy bid on and purchased by each buyer in each Energy Auction.\(^{29}\) In addition, the IAM is required to report any instances where we were unable to verify SCS’s Available Capacity calculations and inputs, or where issues arose involving availability or the terms of transmission service needed to accommodate an Energy Auction purchase.\(^{30}\) Figure V-1 lists the 23 registered auction participants, including SCS.
V.A.1. Energy Auction Offerors
Figure V-2 lists the 23 registered Auction participants (unchanged from Year 2) and the number of auctions in which each participant submitted an offer during the review period, for both the HAE and the DAE auctions. Three participants, including SCS, offered hour-ahead energy in at least one HAE auction, compared with eight participants in Year 2. Two participants, including SCS, offered Firm LD Energy in at least one DAE auction, while in Year 2 seven participants did so. Only SCS offered Recallable Energy during the review period, whereas in the second review period, a second participant also did.
Figure V-3 shows the corresponding amounts of energy offered into the HAE and DAE auctions by each participant. Across all the auctions, approximately 106.2 TWh of energy was offered, with over half through the HAE auctions. SCS accounted for the vast majority of offered energy in each of the auctions — over 99% of both the DAE and HAE offered energy. The average amount offered into the DAE auctions was \[\text{[ ]}\] of Firm LD, and \[\text{[ ]}\] of Recallable Energy. In Year 2, SCS offered on average \[\text{[ ]}\] of Firm LD and \[\text{[ ]}\] of Recallable Energy. For the HAE auction, an average of \[\text{[ ]}\] was offered. These amounts are generally comparable to the volumes offered in Year 2, which is not surprising since in both years SCS’s obligatory offers comprised the vast majority of energy offered in the Auctions.
\(^{29}\) Auction Rules, Section 4.3.4.
\(^{30}\) These instances are discussed in Section IV.
Since SCS is required to offer its Available Capacity into each DAE auction, there should be offers for Firm LD and Recallable Energy in all auctions. As shown in Figure V-2 below, this was the case in Year 3. Across all the DAE auctions, there were third-party offers in about 15.5% of the Firm LD auctions, and no third-party offers in any of the Recallable Energy auctions. This represents a decrease in third-party participation since Year 2, when third-party offers were submitted in 31.1% of the Firm LD and 0.8% of the Recallable Energy auctions. Similarly, since SCS is required to offer its full residual supply curve into each HAE auction, there should be offers in all HAE auctions. As implied by Figure V-2, there were 23 exceptions to this, out of 10,368 total HAE auctions. In those instances, various events limited SCS from being able to offer its residual capacity into the HAE auction, as discussed in Section IV.G (there were also no third-party offers in any of those 23 auctions). Only two HAE auctions included any third-party offers; both were during peak periods.
Figure V-2
Number of DAE and HAE Auctions with Offers, by Registered Participant
| Participant | HAE | DAE |
|-------------|--------------|--------------|
| | Firm LD | Recallable |
| SOCO | 10,368 (99.8%) | 303 (100.0%) | 303 (100.0%) |
| Total Auctions With Offers | 10,368 (99.8%) | 303 (100.0%) | 303 (100%) |
|----------------------------|----------------|--------------|------------|
| Total Auctions With Third-Party Offers | 2 (0.0%) | 47 (15.5%) | 0 (0.0%) |
| Total Auctions | 10,391 (100%) | 303 (100%) | 303 (100%) |
* Figures in parentheses show percent of total auctions
Figure V-3
Cumulative Quantity of Energy Offered in DAE and HAE Auctions (MWh)
| Participant | HAE | DAE |
|-------------|--------------|--------------|
| | Firm LD | Recallable |
| SOCO | 54,315,063 (100.00%) | 45,467,200 (99.61%) | 6,252,000 (100.00%) |
| Total | 54,315,173 | 45,644,000 | 6,252,000 |
* Figures in parentheses show percent of total energy offered
V.A.2. Energy Auction Bidders
Figure V-4 shows the number of auctions during the review period in which each registered participant submitted a buy bid for the HAE and the DAE auctions. Three participants, including SCS, bid in at least one HAE auction. In the DAE auctions, two participants bid in at least one Firm LD auction, and only SCS bid for Recallable Energy. (For comparison, in Year 2 nine participants submitted bids in at least one HAE auction, six for Firm LD and two for Recallable Energy.)
Figure V-5 shows the corresponding MWh quantities of energy bids in the HAE and DAE auctions, by participant. Across all the auctions, approximately 1.5 TWh of energy bids were submitted, with 70% of this volume submitted through the HAE auctions. SCS accounted for over 97% of bid volume overall in the auctions. The average amount of bids into the DAE auctions was [ ] of Firm LD and [ ] of Recallable Energy (in Year 2, these values were [ ] and [ ], respectively). For the HAE auction, the average amount of bids was [ ], versus [ ] in Year 2.
Figure V-4
Number of DAE and HAE Auctions with Buy Bids, by Registered Participant
| Participant | HAE | DAE |
|-------------|-----|-----|
| | | Firm LD | Recallable |
| Total Auctions With Bids | 4,661 (44.9%) | 110 (36.3%) | 2 (0.7%) |
| Total Auctions With Third-Party Bids | 9 (0.1%) | 13 (4.3%) | 2 (0.7%) |
| Total Auctions | 10,391 (100%) | 303 (100%) | 303 (100%) |
*Figures in parentheses show percent of total auctions
Figure V-5
Cumulative Quantity of Energy Bids in DAE and HAE Auctions (MWh)
| Participant | HAE | DAE |
|-------------|-----|-----|
| | | Firm LD | Recallable |
| Total | 1,087,541 | 454,400 | 7,200 |
*Figures in parentheses show percent of total energy bid
V.A.3. Cleared DAE Auctions
During the review period, six DAE auctions cleared (*i.e.*, matched at least one buyer’s bid with at least one seller’s offer), all for Firm LD Energy, as described in Figure V-6. A total of 11.2 GWh cleared through the DAE auctions and resulted in transactions (compared to 13.6 GWh in Year 2), with individual auctions transacting 50 to 200 MW at clearing prices that ranged from $35.50/MWh to $62.15/MWh. The number of winning bids and bidders in the DAE auctions was usually one (in one case there were two winning bids from the same bidder); across all DAE auctions, the number of bidders ranged from zero to two.
V.A.4. Cleared HAE Auctions
During the review period, no HAE auctions cleared. The total number of bidders in all HAE auctions ranged from zero to two.
V.A.5. Posting Historical Bid and Offer Information
Section 4.2.4 of the Auction Rules provides that:
By the end of each calendar month, the Auction Administrator will post all Bid Information and Offer Information for such Energy Auctions that occurred during the sixth months prior to that calendar month (e.g., by the end of July, the aforementioned information for January will be posted), subject to the protection of Bidder and Offeror identities in accordance with the confidentiality provisions set forth herein.
As of the submission of this report, SCS has posted bid and offer information on its Energy Auction website for the months of July 2009 through November 2011, as required by the Tariff.\(^{31}\)
V.B. ANALYSIS OF DAE CAPACITY AND SELLER OFFER PRICES
The total amount of capacity offered into the DAE auctions is typically far more than the total quantity of buy bids, reflecting the fact that SCS must offer all of its Available Capacity into the auction, while buyer participation is voluntary. Total offered capacity in the DAE auction includes both Firm LD and Recallable Energy.
V.B.1. Firm LD Energy
Figure V-7 shows the total daily quantities of offers and bids for Firm LD Energy in the review period. On average, approximately \[ \text{MW} \] per day of Firm LD Energy was offered into the DAE auction during the review period (in Year 2, Firm LD Energy offers averaged \[ \text{MW} \]). The offered capacity ranges from a minimum of about \[ \text{MW} \] to a maximum of \[ \text{MW} \].\(^{32}\) The high degree of variability in the total offered Firm LD Energy largely reflects
\(^{31}\) http://www.southerncompany.com/energyauction/historical.aspx.
\(^{32}\) The least amount of Firm LD energy, \[ \text{MW} \], was offered for \[ \text{hours} \]. The most Firm LD energy, \[ \text{MW} \], was offered for \[ \text{hours} \].
variation in SCS’s total load obligations, as well as variations in other factors such as: (1) capacity unavailable due to planned, maintenance, and forced outages; (2) capacity unavailable due to operational constraints (e.g., start-up time and minimum downtime constraints); and (3) capacity offered as Recallable Energy. Section V.D contains our analysis of these factors and their impact on SCS’s Available Capacity.
— on average, there were per day of third-party Firm LD offers across all auctions (averaged over just those days with some third-party offers). In Year 2, third-party offers averaged per day.
Total bid quantities (including SCS bids) averaged over the 110 days with some bids, and ranged from when present. Bidding volumes have declined since Year 2, when bids averaged per day across all auctions (on days with some bids). Bids from parties other than SCS were made in of the 303 DAE auctions, with the average third-party bid quantity being on days with third-party bids.
**Figure V-7**
*Daily Offered, Bid, and Cleared Day-Ahead Firm LD Energy*
V.B.2. Recallable Energy
Figure V-8 below shows the total daily quantities of offers and bids for Recallable Energy during the review period. Recallable Energy offers exhibit much less variability than offered Firm LD Energy. The Tariff specifies the amount of Recallable Energy that should be offered through the DAE Auction: (i) generating units online, but indicating potential for unexpected outage; (ii) generating units offline, scheduled to return, but indicating potential for delayed return; and (iii) other generating units that cannot reasonably be offered except as Recallable Energy without impairing reliability. This last category includes an amount of replacement capacity that SCS must hold, in accordance with NERC requirements, in the event circumstances require it to dispatch capacity held as Operating Reserves. The minimum amount of Recallable Energy offered in any DAE auction was 1,250 MW, reflecting the amount of capacity required to be held in order to replenish operating reserves in the event of their deployment. On average, approximately [REDACTED] of Recallable Energy was offered.
On a few days, the quantity of Recallable Energy offered by SCS was substantially above the average, which normally would reduce the amount SCS offered as Firm LD. For example, on [REDACTED], SCS offered [REDACTED] of Recallable Energy, since [REDACTED]. This led to a larger than usual amount of capacity being offered as Recallable Energy, and a correspondingly smaller amount offered as Firm LD, which is allowed by the Tariff.\(^{33}\)
In this review period, there were only two bids for Recallable Energy, one each in two DAE auctions, for [REDACTED]. Both of these Recallable Energy bids were made by parties other than SCS.
\(^{33}\) In addition to this day, there were five additional instances in when the amount of offered Recallable Energy significantly exceeded 1,250 MW.
V.B.3. Seller Offer Prices
The DAE SOP is the price at which SCS offers each block of day-ahead energy into the DAE auction. The SOP consists of two cost components: (1) average variable costs and (2) commitment costs. Variable costs include the marginal replacement cost of fuel, variable operation and maintenance expenses, in-plant fuel handling costs, and emission allowance replacement costs. In order to calculate the average variable cost for each unit, SCS uses the unit’s average, rather than its incremental, heat rate, and adjusts this to account for incremental transmission losses. Commitment costs include start-up costs and no-load costs. Commitment costs are determined at the lowest-cost operating mode, and are spread across the Available Capacity of each unit over the 16-hour delivery period. The maximum allowable SOP price is 110% of this calculated cost, plus a demand charge adder of $21.43/MWh.
Figure V-9 shows the range of SOP offers and bids for Firm LD Energy, including minimum, maximum, and median values. Firm LD offer prices span a wide range, reflecting the fact that SCS must offer its entire fleet of Available Capacity, which includes units with very different cost characteristics, into the DAE auction. DAE bids for Firm LD Energy exhibit a much lower degree of dispersion than Firm LD offers.
When SOP offer prices depart substantially from typical or historic levels we investigate these deviations by analyzing SOP cost components, comparing them against typical or expected values, and current and past cost data provided by SCS. In the current review period there were
In response to our inquiry, SCS informed us
Figure V-9
Daily Firm LD Offer and Bid Prices
Figure V-10 shows the same offer and bid price data, but with greater detail on the minimum offer price and the maximum bid price, since these are, of course, most relevant to whether an auction clears. The quantity of offered Firm LD capacity in each auction is shown on the righthand scale. Offer prices were significantly above bids in most auctions, with the minimum offer price averaging about [redacted] above the maximum bid. This spread was about [redacted] lower than in Year 2.
Figure V-10 highlights the six instances where the minimum offer price was below the maximum bid price. As discussed above, the DAE auction cleared in all six of these instances.
High minimum offer prices for Firm LD Energy were observed in some circumstances; not surprisingly, this occurred primarily in
relatively high minimum offer prices were due to
only once in Year 3,
The minimum offer price was above compared to five such days in Year 2.\(^{35}\) This high minimum offer price was due to
\(^{34}\) The cost of “spare capacity” is often lower than the cost of other Available Capacity, because spare capacity does not include commitment costs in the calculation of the SOP.
\(^{35}\) As shown in Figure V-10, the minimum Firm LD offer price was near, but did not exceed,
Figure V-10 shows the range of SOP offers and bids for Recallable Energy, including minimum, maximum, and median values. Recallable Energy offer prices do not range as widely as Firm LD offer prices, since they are generally determined by lower-cost units, and they show distinct seasonality, with generally higher offer prices in summer, for reasons discussed above. The average maximum offer price was higher than in Year 2, while the average minimum offer price was lower than in Year 2. The high maximum and minimum offer prices on a few days are driven by several factors. The highest maximum offer price
, the high offer prices were caused by
, high offer prices were the result of
As shown in Figure V-11, there were only two days with any Recallable Energy bids at all. In both instances, the bid price was below the lowest offer price, and therefore no Recallable Energy auctions cleared.
Figure V-12 shows the same Recallable Energy offer and bid price data, but with greater detail on the minimum offer price and the maximum bid price. In Year 3, the minimum offer price for Recallable Energy never exceeded [redacted], compared to Year 2 when it exceeded [redacted] on three days. The highest minimum offer price occurred [redacted], caused by [redacted].
In accordance with Appendix DA-2 of the Participation Rules, the DAE SOP must not exceed the sum of 110% of the associated unit’s average variable cost, including commitment cost where relevant, plus a demand charge of $21.43/MWh. As part of our daily monitoring, we verified SCS’s SOP calculation for each unit offered into each DAE auction for Firm LD and Recallable Energy. To the extent any discrepancies occurred or the SOP appeared to exceed the above limit, we requested an explanation from SCS. With the exception of the non-compliant events discussed in Section IV.D and reported in Appendix B, we were able to successfully verify SCS’s SOP calculation for each DAE auction during the review period.
V.C. ANALYSIS OF HAE CAPACITY AND SELLER OFFER PRICES
Similar to the DAE auctions, the total amount of capacity offered into the HAE auctions is typically far more than the total quantity of bids, again reflecting that SCS must offer all of its hour-ahead Available Capacity into the HAE auction, while buyer participation is voluntary. Because there is an HAE auction for every hour of every day (10,391 hours in the current review period), it is difficult to display results for every auction in a comprehensible fashion. For that reason, we aggregate the HAE results for display purposes into daily peak and off-peak
Figure V-13 shows the daily on-peak averages for offered, bid, and cleared energy quantities in the HAE auctions. The daily average quantity of energy offered in the on-peak HAE auctions was \[ \text{MW} \], ranging from \[ \text{MW} \] to \[ \text{MW} \]. Bid amounts were \[ \text{MW} \], with a daily on-peak average of \[ \text{MW} \] (including only hours with bids), ranging from \[ \text{MW} \] to \[ \text{MW} \]. Compared to Year 2, average on-peak HAE offers were \[ \text{MW} \], while average bids were \[ \text{MW} \].
Figure V-13 shows median on-peak daily HAE offer prices were typically around \[ \$/MWh \], and offers ranged from \[ \$/MWh \] to a daily maximum of \[ \$/MWh \]. The highest HAE offer prices were fairly consistent, usually around \[ \$/MWh \]. As in previous review periods, these high maximum offer prices were driven primarily by \[ \text{MW} \].
---
\(^{36}\) For this analysis, we define on-peak hours as those for which DAE is traded; *i.e.* hour ending 7 AM to hour ending 22 PM on non-holiday weekdays.
Figure V-14
Hour-Ahead Energy Bid and Offer Prices, On-Peak Hours
Figure V-15 and Figure V-16 show the analogous information for off-peak periods. The average quantity of energy offered off-peak was [redacted], ranging from [redacted] (when bids were submitted). Compared to Year 2, average off-peak HAE offers were [redacted], while average off-peak HAE bids were [redacted]. The median off-peak daily HAE offer prices were typically [redacted], very similar to the values observed in Year 2.
[37] Offer prices of [redacted] occurred only in [redacted]. We observed a similar pattern for [redacted] in 2009 and 2010.
Figure V-15
Daily Average of Offered, Bid, and Cleared Hour-Ahead Energy, Off-Peak Hours
Although the hourly data is too voluminous to display in its entirety, we also examined the minimum offer price and the maximum bid price individually in each HAE auction. During the review period, Figure V-17 shows the minimum offer price and the maximum bid price for a sample month (May 2011).
In accordance with Appendix HA-2 of the Participation Rules, the HAE SOP must not exceed the sum of 110% of the associated unit’s incremental variable cost, including commitment cost where relevant, plus a demand charge of $21.43/MWh. As part of our daily monitoring, we verified SCS’s SOP calculation for each unit offered into each HAE auction. To the extent any discrepancies occurred or the SOP appeared to exceed the above limit, we requested explanation from SCS. Within the limits of our overall verification process as discussed in Sections III and IV, and with the exception of the non-compliant events discussed in Section IV.H, we were able to verify SCS’s SOP calculation for each HAE auction during the review period.
**V.D. ANALYSIS OF DAE AVAILABLE CAPACITY**
According to Appendix DA-1 of the Participation Rules, Available Capacity to be offered into the DAE auction is determined as follows:
1. Total capacity owned or contractually controlled by SCS (including steam and combined cycle units, combustion turbines, scheduled hydroelectric generation, and third-party purchases); *minus*
2. Capacity committed to meet SCS’s total obligations; *minus*
3. Capacity reserved for load forecast uncertainty (LFU); *minus*
4. Capacity unavailable due to outages and derates; *minus*
5. Capacity of uncommitted units not available due to operational constraints (e.g., insufficient time for start-up, unit has not met its minimum downtime requirement, etc.), including energy-limited resources (such as unscheduled hydro units); minus
6. Capacity committed for Operating Reserves and regulation requirements, as part of SCS’s reliability obligation within the Southern BAA.
In order to implement this provision of the Participation Rules, SCS developed its \[ \text{that} \] calculates each unit’s Available Capacity and its associated average cost (SOP). Figure V-18 shows the disposition of SCS’s capacity over Year 3, including capacity committed for SCS’s obligations, capacity reserved or excluded for one of the other reasons described above, and ultimately, SCS’s remaining Available Capacity and how that is offered into the DAE auctions as Recallable and Firm LD Energy.
**Figure V-18**
*Summary of SCS’s Committed, Excluded, and DAE Offered Capacity*
SCS owns or contractually controls about 48,000 MW of generating capacity (summer rating). This capacity varies slightly over time with seasonal changes in capacity ratings, as the capacity ratings of units are updated, as new units come online or retire, and as power purchase agreements come into force or expire. In some circumstances, the capacity ratings for particular units that SCS uses in its commitment and operations calculations are adjusted to account for operational issues. This accounts for much of the apparent day-to-day variability in total capacity in Figure V-18. Some changes occur as a result of unit additions and retirements, or changes in
the way SCS models these units. For example,
As part of our daily monitoring, we verified SCS’s Available Capacity calculations for the DAE auctions. To the extent any discrepancies occurred, or Available Capacity appeared to be smaller than expected, we requested explanation from SCS. With the exception of the non-compliant events discussed in Section IV, we were able to verify SCS’s Available Capacity calculation for each DAE auction during the review period.
Day-ahead unit commitment may not fully schedule units up to their seasonal capacity. As a result some units may be partially committed for SCS’s obligations, leaving some “spare” capacity available that can be offered into the Energy Auction. Units with spare capacity tend to have the lowest-cost Available Capacity, since the cost for such capacity does not reflect commitment costs. SCS includes such spare capacity in the Available Capacity for the DAE auction. Figure V-19 shows the quantity of spare capacity that was included in the Available Capacity and the average cost of such capacity. During the review period, the amount of daily spare capacity ranged from 10,000 MW to 25,000 MW; in Year 2 the maximum spare capacity offered was 25,000 MW. The average cost of units with spare capacity (weighted by their MW contribution in the spare energy blocks) is shown.
Note that Figure V-18 excludes
This is the average calculated cost of spare capacity, and does not include either the 10% adder or the demand charge of $21.43 that are allowed to be included in the SOP.
V.E. Analysis of Changes in Available Capacity from DA2 to DA1
For each DAE auction SCS must submit its final offer curve by 6:45 AM one business day prior to the delivery day. Available Capacity calculations rely primarily on the inputs and the solution of the unit commitment performed one business day prior the auction day (i.e., two business days before the delivery day, or “DA2”). In order to incorporate changes in the load forecast, the latest available information on outages and changes in purchases and sales between DA2 and the submission of its offer, SCS adjusts its DA2 Available Capacity amount shortly before offer curves are submitted.
SCS provides us with these DA1 updates to the DA2 inputs. These inputs include the following DA1 adjustments to the Available Capacity:
- Increase or decrease to the forecasted load,
- Change in LFU amount due to the change in load forecast,
- Changes in fixed-schedule generation (e.g., hydroelectric and pumped storage plants) and additional purchases and sales,
- Additional unit outages and derates that occur between DA2 and DA1.
The bottom panel of Figure V-20 illustrates the net DA1 adjustments to Available Capacity during the review period (i.e., the total, including the initial DA2 LFU amount). The top panel shows the breakdown of these components by type. The net DA1 adjustment to Available Capacity is volatile; it is driven by the many factors that affect the final calculation. On average it was [REDACTED], ranging from [REDACTED]. Note that the net DA1 adjustment may be negative if the net changes between DA2 and DA1 are negative and greater than the initial DA2 LFU amount. This may be the case if, for example, the DA1 forecasted peak load is substantially below the DA2 forecast. As discussed in Section IV.B, when the DA1 update is greater than the original LFU amount, SCS will move one or more units from Committed to Uncommitted status in order to make additional capacity available. However,
The initial DA2 Load Forecast Uncertainty quantity has been fairly stable, averaging [REDACTED] over the review period. In comparison, in Year 2 the average DA2 Load Forecast Uncertainty was [REDACTED]. The DA2-to-DA1 changes in the peak load forecast are the main drivers of the volatility of the DA1 adjustments. About half the time, the load forecast has increased between DA2 and DA1, and about half the time it has decreased. Increases have been [REDACTED], with decreases [REDACTED]. Each increase or decrease in the peak load forecast also triggers a corresponding increase or decrease in the amount of capacity reserved for Load Forecast Uncertainty, and of course, an increase in peak load forecast leads to a decrease in Available Capacity.
Changes to fixed-schedule generation (i.e., hydro units) and additional purchases and sales of energy impacted the DA1 adjustments on most of the days in the review period, although usually to a lesser extent than load forecast changes. DA1 adjustments for higher fixed-schedule generation or higher purchases/lower sales increased Available Capacity [REDACTED]. On these days, the adjustment resulted in an average [REDACTED] increase in Available Capacity, with the largest single upward adjustment being [REDACTED]. DA1 adjustments for lower fixed-schedule generation or lower purchases/higher sales decreased Available Capacity [REDACTED]. On these days, the downward adjustment averaged [REDACTED]; the largest downward adjustment was [REDACTED]. In comparison, in Year 2 fixed schedules increased Available Capacity on average by [REDACTED], and decreased Available Capacity on average by [REDACTED], out of a total of 257 DAE auction days.
The DA1 adjustments further reduce Available Capacity if any unit committed during the DA2 commitment process subsequently becomes unavailable, due to an unexpected outage or an operational issue. This occurred during [REDACTED] the review period. The reductions on these days averaged [REDACTED], with the largest reduction [REDACTED]. In Year 2, DA1 adjustments for outages occurred [REDACTED], averaging [REDACTED].
Lastly, SCS adjusts Available Capacity to account for changes to the unit commitment designation of specific units relative to their DA2 schedules. For example, if the load forecast increases, SCS may commit additional units that had not been committed in the DA2
commitment. Such adjustments were made on [REDACTED] during the review period, with an average adjustment of about [REDACTED] on these days. The opposite adjustment may be made when the load forecast decreases, and some of the units committed in the DA2 process are moved to the Available Capacity stack; this adjustment averaged [REDACTED] during the review period. In Year 2, such adjustments increased Available Capacity [REDACTED] by an average of [REDACTED], and decreased Available Capacity [REDACTED] by an average of [REDACTED].
**Figure V-20**
*Load Forecast Uncertainty and Other Manually Excluded Capacity*
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**V.F. OUTAGES**
The Available Capacity calculations exclude the capacity of generating units that are unavailable due to an outage. There are three basic types of generator outages: (1) planned outages; (2) forced outages; and (3) maintenance outages. In addition to outages, generating units may experience a capacity derate — a temporary reduction in the usable capacity of the unit.
SCS schedules planned outages months ahead of time, [REDACTED]. The impact of planned outages on Available Capacity is therefore [REDACTED]. Because planned outages often involve [REDACTED]. The largest amount of capacity excluded due to planned outages at any one time was [REDACTED].
Maintenance outages are outages that are requested or required by the plant operator and are typically scheduled on a much shorter time horizon than planned outages. Maintenance outages may occur to address foreseen but shorter term operational or maintenance issues, or for unforeseen operational or maintenance issues that do not force an immediate outage. Maintenance outages occurred throughout the review period. Across all days in the review period, the average amount of capacity excluded from Available Capacity due to a maintenance outage was about , compared with an average of in Year 2. The largest amount of capacity on maintenance outage at one time was .
Forced outages occur due to equipment failure or other similar uncontrollable circumstances that force an immediate shutdown of a unit for repairs. Forced outages affected Available Capacity on . The largest amount of capacity excluded due to a forced outage was and was the result of . In Year 2, forced outages affected Available Capacity and the largest amount of capacity excluded due to forced outages was .
Unit derates are short-term, temporary reductions in the usable capacity of a specific unit. Derates can be caused by operational or maintenance issues. There were some unit derates on during the review period, averaging on these days, with a maximum of . In Year 2, unit derates averaged . In addition to unit-specific derates, for modeling purposes, SCS typically reserves
Lastly, Figure V-21 shows the capacity unavailable due to all these types of outages during the review period.
V.G. OPERATIONAL CONSTRAINTS
The final component of capacity excluded from DAE Available Capacity is that due to operational constraints, which can affect whether an uncommitted unit can be online by the start of the delivery period. Unit-specific operational constraints include: (1) for a unit not running, insufficient time to start the unit between auction clearing and the start of delivery; and (2) for a unit that has shut down recently, insufficient time for the unit to meet its minimum downtime. These two constraints primarily apply to large steam units, especially coal-fired generators. Such generators typically require a start-up time in excess of [redacted]. They can also have minimum downtime ranging from [redacted]. SCS uses the day-ahead unit commitment solution to determine whether either of these operational constraints will prevent any of the generating units from being available for the Auction. If there are any changes that result in additional operating constraints, SCS will manually exclude the capacity of such units from Available Capacity.
Figure V-22 illustrates the amounts of capacity excluded due to insufficient start-up time, units not meeting their minimum downtime, and manually excluded capacity. Some capacity was excluded for insufficient start-up time on [redacted]; on those days the average excluded capacity was [redacted], with a maximum of [redacted]. In Year 2, some capacity was excluded for insufficient start-up time on roughly the same number of days, [redacted].
Section 1.3 of Appendix DA-1 of the Participation Rules allows SCS to exclude capacity located outside the Southern BAA from its Available Capacity.
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40 The capacity shown in Figure V-22 is not shown in Figure V-22.
41 Capacity located outside the Southern BAA is also excluded from Figure V-22.
V.H. ANALYSIS OF HAE AVAILABLE CAPACITY
Appendix HA-1 of the Participation Rules defines the Residual Supply Curve (RSC) as the Available Capacity that must be offered by SCS into the HAE auction, calculated as follows:
- Total capacity owned or contractually controlled by SCS (including steam and combined cycle units, combustion turbines, the portion of hydroelectric generation scheduled by SCS for the delivery hour, and third-party purchases); minus
- Capacity unavailable due to existing or planned outages and derates; minus
- Capacity of uncommitted units unavailable due to operational constraints (*e.g.*, insufficient time for start-up, unit has not met its minimum downtime, *etc.*), including energy-limited resources (such as unscheduled hydro units); minus
- Capacity of units that cannot be committed to supply energy for the delivery hour; minus
- Capacity of uncommitted units not located in the Southern BAA; minus
- Capacity committed to meet Southern Companies’ hourly instantaneous total obligations; minus
- Capacity committed for operating reserves and regulation requirements, as part of Southern Companies’ reliability obligation within the Southern BAA.\(^{43}\)
\(^{43}\) *Id.*, Appendix HA-1.
Since much of the excluded capacity described in the above categories is determined as a result of the day-ahead unit commitment, much of the discussion in the previous section also applies to the HAE Available Capacity. In order to calculate the RSC for each HAE auction, SCS extended the capability of its real-time dispatch tool to calculate hour-ahead Available Capacity and offer prices. After determining hour-ahead unit commitment based on projected conditions for the delivery hour, evaluates each committed unit’s residual capacity that can be offered into the HAE auction, and its associated incremental cost. Units that are not committed or dispatched for SCS’s obligations (“offline” units) will also be offered in an HAE auction, as long as they have no operational constraints that would prevent them from being available (e.g., quick start units such as combustion turbines that are able to be online for the delivery period will be offered, but units with a longer startup time would not). These units are offered at their variable operating cost plus commitment costs.
In the hour-ahead time frame SCS’s capacity can be grouped into the following categories:
- Capacity committed day-ahead is not available for the HAE auction, unless the unit has some spare capacity;
- Capacity uncommitted by the day-ahead unit commitment process that cannot be committed and dispatched by the hour-ahead commitment process because of long startup times (e.g., combined cycle or coal-fired units);
- Capacity subject to hour-ahead commitment but not available for the HAE auction due to operational constraints;
- Capacity outside the Southern BAA (that is not required to be offered);
- Capacity of units on outage and capacity derates;
- Capacity of hydroelectric and nuclear units; and
- Capacity offered into the HAE auction.
Figure V-23 and Figure V-24 show these various categories of SCS’s capacity, for on-peak and off-peak hours, respectively. These charts differ from Figure V-18 in several ways. First, of course, Figure V-18 shows Available Capacity in the day-ahead time frame, while Figure V-23 and Figure V-24 show Available Capacity in the hour-ahead time frame. Second, Figure V-18 shows Available Capacity based on the peak hour of the 16-hour delivery period, while Figure V-23 and Figure V-24 show Available Capacity during the peak and off-peak hours. There is typically less Available Capacity in the hour-ahead time frame than in the day-ahead time frame simply because there are some types of capacity (e.g., combined cycle plants) that start too slowly for the HAE auction but can be dispatched in time for the DAE auction. This also helps explain the fact that HAE Available Capacity is more stable over time.
For example, during the review period the highest on-peak and off-peak average of HAE offers was , while as much as of SCS’s capacity was offered into the DAE auction during the review period. SCS capacity was offered into the HAE auction. SCS’s hour-ahead Available Capacity has been as low as . In contrast, the lowest total offered capacity in the DAE auction was .
Figure V-23\textsuperscript{44}
SCS’s Committed, Excluded, and Offered HAE Capacity, Peak Hours
\textsuperscript{44} The gap in mid-September that is visible in Figure V-23 is due to lack of \textcolor{red}{redacted} data for that day. As discussed in Section IV.G., SCS experienced a technical systems event on September 15, 2011, and as a result did not submit offer curves for several hours on September 15 and 16. In connection with this event, the relevant hourly data was unavailable. Smaller gaps occur for other periods when \textcolor{red}{redacted} data was not provided; these correspond to those hours in which SCS did not submit an offer curve and did not provide hourly data.
Figure V-24\textsuperscript{45}
SCS’s Committed, Excluded, and Offered HAE Capacity, Off-Peak Hours
\textsuperscript{45} See previous footnote.
VI. LEGAL ADVISOR’S REPORT ON COMPLIANCE WITH DATA RESTRICTIONS
The law firm of Van Ness Feldman, P.C. (“Van Ness Feldman”) reviewed SCS’s compliance with the Tariff’s data restrictions related to confidential bid and offer information. This section provides a report from Van Ness Feldman on its review.
The Tariff’s data restrictions related to the Energy Auction are contained in the Rules of the Energy Auction and the Rules on Southern Companies’ Energy Auction Participation. The most recent versions of these rules became effective on April 26, 2011,\(^{46}\) and thus covered the bulk of this review period. The prior versions of these rules were in effect at the beginning of the review period.\(^{47}\)
VI.A. TARIFF REQUIREMENTS ON HANDLING OF BID AND OFFER DATA
The Tariff contains specific requirements on the handling of third-party bid and offer information. Core elements of the Tariff’s data restrictions remained unchanged during the course of the review period. The Tariff’s Rules of the Energy Auction provide:
3.5 All Bid Information and Offer Information submitted to the Auction Administrator shall be used by the Auction Administrator only for auction administration and audit purposes.\(^{48}\)
The Tariff’s Rules on Southern Companies’ Energy Auction Participation provide that:
2.2 Those employees of Southern Companies directly engaged in wholesale electricity marketing and trading shall not have access to Bid Information or Offer Information for any purpose (except to the extent such information is made available pursuant to Auction Rules Section 4.2.4).\(^{49}\)\(^{50}\)
\(^{46}\) Alabama Power Company Market Based Rate Tariff, Southern’s Tariff Volume No. 4 at Record D, Rules of the Energy Auction, 1.0.0 (effective Apr. 26, 2011) (“Current Rules of the Energy Auction”), and at Record E, Rules on Southern Companies’ Energy Auction Participation, 1.0.0 (effective Apr. 26, 2011) (“Current Rules on Southern Companies’ Energy Auction Participation”).
\(^{47}\) Alabama Power Company Market Based Rate Tariff, Southern’s Tariff Volume No. 4 at Record D, Rules of the Energy Auction, 0.0.0 (effective Sept. 23, 2010) (“2010 Rules of the Energy Auction”), and at Record E, Rules on Southern Companies’ Energy Auction Participation, 0.0.0 (effective Sept. 23, 2010) (“2010 Rules on Southern Companies’ Energy Auction Participation”).
\(^{48}\) Current Rules of the Energy Auction § 3.5.
\(^{49}\) Section 4.2.4 of the Rules of the Energy Auction provides for the Auction Administrator to post each month all bid and offer information for the month six months prior, subject to protecting confidentiality of the identity of the offerors and bidders. Current Rules of the Energy Auction, § 4.2.4.
\(^{50}\) Current Rules on Southern Companies’ Energy Auction Participation § 2.2.
2.3 In order to ensure that Bid Information and Offer Information is maintained in a manner consistent with the foregoing paragraphs, Southern Companies shall impose internal data control restrictions consistent with those used for Standards of Conduct compliance.\textsuperscript{51}
Bid Information is defined as “[t]he prices, terms, and conditions under which a Bidder offers to purchase Energy through the DAE Auction or HAE Auction.”\textsuperscript{52} Offer Information is defined as “[t]he prices, terms, and conditions under which an Offeror offers to sell Energy through the DAE Auction or HAE Auction.”\textsuperscript{53}
Several substantive requirements of the Tariff’s data restrictions were modified effective April 26, 2011. First, the Rules on Southern Companies Energy Auction Participation were modified so that only Southern Company employees with specified job descriptions were eligible to serve as Auction Administrator.\textsuperscript{54} Previously, the Rules simply provided that Marketing Function Employees and Transmission Function Employees could not serve as Auction Administrator.\textsuperscript{55} Second, the Tariff was modified to provide that the SCS Auction Administrator may access confidential third-party bid or offer information only “to respond to questions or complaints about a particular Auction or to comply with the posting requirements of Section 4.2.4 of the Auction Rules.”\textsuperscript{56} Previously, the Tariff also allowed the SCS Auction Administrator to access such data “to enable Southern Companies to ensure that the Auction operates as designed and implemented and in compliance [with] the Auction Rules and Participation Rules.”\textsuperscript{57} Third, the Tariff was revised to add the requirements that:
(d) Any information accessed by Southern Companies’ Auction Administrator personnel pursuant to Section 2.1B(b) will be stored in a secure physical or electronic location. Southern Companies will report any such access: (a) to the Independent Auction Administrator promptly upon its occurrence and (b) to the Independent Auction Monitor within one (1) business day of its occurrence. The Independent Auction Administrator will document any such access and maintain related documentation.\textsuperscript{58}
\textsuperscript{51} \textit{Id.} at § 2.3.
\textsuperscript{52} Current Rules of the Energy Auction § 2.4.
\textsuperscript{53} \textit{Id.} at § 2.41.
\textsuperscript{54} Current Rules on Southern Companies’ Energy Auction Participation § 2.1.
\textsuperscript{55} 2010 Rules on Southern Companies’ Energy Auction Participation § 2.1.
\textsuperscript{56} Current Rules on Southern Companies’ Energy Auction Participation § 2.1B(b).
\textsuperscript{57} 2010 Rules on Southern Companies’ Energy Auction Participation § 2.1B(b).
\textsuperscript{58} Current Rules on Southern Companies’ Energy Auction Participation § 2.1B(d).
VI.B. Third Annual Review
Van Ness Feldman’s third annual review was conducted in May and early June of 2012. In conducting this review, Van Ness Feldman reviewed responses to written inquiries and requests for documents. Documents reviewed include: protocols and procedures for the Auction Administrators; elements of SCS’s contracts with OATI (the contractor that operates the webMarket site) and TranServ (the Independent Auction Administrator); logs of Auction Administrator access to webMarket; a one-month sample of e-mail communications from the SCS employee serving as Auction Administrator to SCS trading function employees\(^{59}\); the job description for the SCS Auction Administrator; and materials used to train SCS and TranServ employees regarding the Energy Auction.
Van Ness Feldman also conducted telephone interviews with the SCS Auction Administrator and with three employees of TranServ who have Independent Auction Administrator responsibilities related to the Energy Auction.
SCS has been very cooperative during the third annual review, making employees available, answering questions and timely providing other information throughout the review process. TranServ has also been cooperative in making employees available for interview.
VI.C. Findings
The review conducted by Van Ness Feldman found that SCS has continued to be diligent in its efforts to comply with the requirements related to confidential bid and offer information contained in the Tariff. Van Ness Feldman found no evidence that SCS marketing function employees had any improper access to confidential bid or offer information. Other findings on each of the Tariff requirements are addressed below.
VI.C.1. Appropriate Use of Confidential Bid and Offer Information
The Tariff provides that “[a]ll Bid Information and Offer Information submitted to the Auction Administrator shall be used by the Auction Administrator only for auction administration and audit purposes.”\(^{60}\) The review by Van Ness Feldman found no evidence that any SCS employee designated as an Auction Administrator used restricted data for impermissible purposes during the review period.
The reliance on TranServ, the Independent Auction Administrator, to perform most of the auction administration functions has greatly reduced the use and handling of confidential bid and offer data by the SCS Auction Administrator.\(^{61}\) The SCS Auction Administrator stated that the only times he had accessed confidential bid or offer information during the review period were
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\(^{59}\) Van Ness Feldman reviewed e-mail communications’ from March 2012. Two e-mails were withheld from review on the basis of privilege. Counsel for Southern has reviewed each of the withheld e-mails and represented that neither of those e-mails contained restricted bid or offer data.
\(^{60}\) Current Rules of the Energy Auction § 3.5.
\(^{61}\) At the start of this review period, there were two SCS employees serving in the Auction Administrator role. Since early May 2011, there has been only one SCS Auction Administrator.
either in connection with the posting of certain historical bid and offer information provided by TranServ as required by the Tariff, or in connection with the review of a draft of the Second Annual Report, at the request of the Independent Auction Monitor. The logs of Auction Administrator access to the webMarket system (and thus potential access to third-party bid and offer information) show that the frequency of access by the SCS Auction Administrator had declined substantially from prior years.
**VI.C.2. Roles of Auction Administrators**
The Tariff provides that only SCS employees in specified positions may serve as Auction Administrator. The present Auction Administrator is in the position described as “Project Manager” in section 2.1 of the Tariff’s Rules on Southern Companies Energy Auction Participation.\(^{62}\)
Prior to April 26, 2011, the Tariff provided that “Southern Companies’ Marketing Function Employees and Transmission Function Employees, as those terms are defined in 18 C.F.R. § 358.3(d) and (i), may not serve as Auction Administrator.”\(^{63}\) Neither of the two SCS employees who served as Auction Administrator early in this review period was a marketing function employee or transmission function employee. Auction Administrator duties constituted only a small part of their jobs: other duties were of the type that can be characterized as support or back office functions.
**VI.C.3. Restricted Access to Confidential Bid and Offer Information**
The Tariff provides that “[t]hose employees of Southern Companies directly engaged in wholesale electricity marketing and trading shall not have access to Bid Information or Offer Information for any purpose (except to the extent such information is made available to auction participants pursuant to Section 4.2.4).”\(^{64}\) Van Ness Feldman found no evidence that SCS marketing or trading employees received third-party bid and offer information in violation of the Tariff, or that they had improper access to such information.
Access to third-party bid and offer data on the webMarket system is available only to those individuals who are designated on webMarket as Auction Administrators (or Independent Auction Monitors), and as described above, the Auction Administrator employed by SCS is not a marketing or trading function employee. SCS procedures provide that any printed bid or offer data would be kept in a locked file cabinet in the workspace of an Auction Administrator, but no printed material containing confidential bid or offer data has been retained.
Limited historical bid and offer data resides on the SCS computer system. This data was used by SCS Auction Administrators for testing during Phase I,\(^{65}\) and for analysis of the Independent
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\(^{62}\) Current Rules on Southern Companies’ Energy Auction Participation § 2.1.
\(^{63}\) 2010 Rules on Southern Companies’ Energy Auction Participation § 2.1.
\(^{64}\) Current Rules on Southern Companies’ Energy Auction Participation § 2.2.
\(^{65}\) During Phase I, bid data was used by the SCS Auction Administrators for testing purposes; however, during Phase II, all software testing has been done by TranServ without the use of actual bid or offer data.
Auction Monitor’s First Annual Report. The data is stored on a secure read/write protected directory to which only a limited number of employees, none of whom is a marketing function employee, have access. The number of individuals with access to this directory was reduced from ten to three during this review period. No additional confidential third-party bid or offer data was stored in this directory during this review period.
**VI.C.4. Auction Administrator Access to Confidential Bid and Offer Information**
The Tariff was amended, effective April 26, 2011, to provide that the SCS Auction Administrator may access confidential third-party bid or offer information only “to respond to questions or complaints about a particular Auction or to comply with the posting requirements of Section 4.2.4 of the Auction Rules,” the provision relating to posting of certain bid and offer information after six months.\(^{66}\) The Tariff was also revised to add the requirements that:
(d) Any information accessed by Southern Companies’ Auction Administrator personnel pursuant to Section 2.1B(b) will be stored in a secure physical or electronic location. Southern Companies will report any such access: (a) to the Independent Auction Administrator promptly upon its occurrence and (b) to the Independent Auction Monitor within one (1) business day of its occurrence. The Independent Auction Administrator will document any such access and maintain related documentation.\(^{67}\)
The SCS Auction Administrator stated that, since April 26, 2011, he has accessed confidential bid or offer information only for the limited purpose of receiving and posting historical data provided by TranServ on the Southern Company website.\(^{68}\) Access to data for this function is expressly permitted by the Tariff.\(^{69}\)
With respect to the requirements of section 2.1B(d), the Auction Administrator stated that while there is provision for secure physical storage of any confidential data, physical records of such data have not been created. There is provision for storage of electronic records of confidential bid and offer data on a limited-access directory, but no additional such records have been created since April 2011.
The SCS Auction Administrator stated that because he had not accessed any confidential third-party bid or offer data since April 26, 2011 (except as related to posting historical data), he had not had occasion to report any such access to the Independent Auction Administrator or the Independent Auction Monitor. The Independent Auction Administrator and the Independent
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\(^{66}\) Current Rules on Southern Companies’ Energy Auction Participation § 2.1B(b).
\(^{67}\) *Id.* at § 2.1B(d).
\(^{68}\) Historical bid and offer information is posted at: http://www.southerncompany.com/energyauction/historical.aspx.
\(^{69}\) Current Rules on Southern Companies’ Energy Auction Participation § 2.1B(b).
Auction Monitor each indicated that they had not received any reports of access to confidential data from the SCS Auction Administrator.\textsuperscript{70}
The SCS Auction Administrator stated that he had accessed confidential data for the purpose of commenting on a draft of the Second Annual Report prior to that report’s submission on April 25, 2011. Access to confidential data for this purpose was permitted by the Tariff.\textsuperscript{71}
\textbf{VI.C.5. Internal Data Control Restrictions Consistent with Standards of Conduct}
The Tariff provides that “[i]n order to ensure that Bid Information and Offer Information is maintained in a manner consistent with the foregoing paragraphs, Southern Companies shall impose internal data control restrictions consistent with those used for Standards of Conduct compliance.”\textsuperscript{72} Van Ness Feldman found that SCS has taken reasonable steps to ensure that marketing function employees do not have access to restricted bid and offer information.
Only one SCS employee is presently designated as an Auction Administrator on the OATI-administered webMarket system, and only users designated as Auction Administrators (or Independent Auction Monitors) have access to confidential third-party bid and offer information on webMarket. SCS has protocols for securing any printed bid or offer information if it is created. There is limited historical bid and offer information residing on the SCS computer system, as described above, but access to the directories in which this data is located is restricted to a small number of SCS employees who are not marketing function employees.
The SCS Auction Administrator Protocol provides that “[t]he Auction Administrator and all personnel undertaking wholesale electricity marketing and trading activities for Southern Companies shall be familiar with this Auction Administrator Protocol and the data control restrictions set forth in this section.”\textsuperscript{73}
The interview with the SCS Auction Administrator showed that he continues to be well versed in the substantive requirements of the Tariff with respect to restricted data. SCS produced an
\textsuperscript{70} The TranServ employees interviewed by Van Ness Feldman seemed unaware of the Tariff requirement for the Independent Auction Administrator to document any reports from the SCS Auction Administrator related to his accessing of confidential third-party bid or offer data, and to retain such documentation. TranServ explained, however, that any such report would be documented and retained electronically, consistent with the TranServ’s general practices concerning documentation of inquiries related to the Auction.
\textsuperscript{71} See 2010 Rules on Southern Companies’ Energy Auction Participation § 2.1B(b) and 2010 Rules of the Energy Auction § 4.3.3. Note that the Auction Administrator’s access to confidential data for purposes of reviewing or validating information in any future draft annual reports would be governed by the applicable data restrictions as revised in the current Tariff. SCS has indicated that the SCS Auction Administrator has followed these revised Tariff procedures in reviewing drafts of this report.
\textsuperscript{72} Current Rules on Southern Companies’ Energy Auction Participation § 2.3.
\textsuperscript{73} Energy Auction: Auction Administrator Protocol at § 1.3 (undated).
updated version of Procedures for Southern Company Energy Auction Administrators in June 2011, reflecting the changes in the Tariff made in April 2011.\footnote{Southern Company Generation, Procedures for Southern Company Energy Auction Administrators, version 2.0, § 7 (June 2011).}
During this review period, SCS has supplied refresher training to marketing and trading employees on various aspects of the Energy Auction, including the proper treatment of bid and offer information. In addition, SCS is developing a market-based rate tariff training program, which will include annual training for employees on topics including the treatment of bid and offer information. SCS plans to implement this training program in the latter half of 2012.
In early April of 2012, the SCS Auction Administrator delivered an in-person training to the majority of the TranServ staff involved in Independent Auction Administrator functions. This training, and the accompanying training materials, covered the functioning of the SCS Energy Auction generally, and the rules on treatment of confidential bid and offer data in particular.
Although the SCS Auction Administrator continues to be located on SCS’s trading floor, the transfer of many auction administration functions to TranServ (which performs its Independent Auction Administrator functions in access-restricted offices located in Minneapolis, MN) has substantially reduced any risk of inadvertent disclosure to SCS trading or marketing employees. As described above, the Auction Administrator’s need to access confidential third-party bid and offer data has been very limited during this review period. The SCS Auction Administrator’s frequency of access to webMarket has continued to decline. Between March of 2010 and January of 2011, the SCS Auction Administrator logged in to webMarket 77 times. Between February of 2011 and April of 2012, the SCS Auction Administrators logged in to webMarket 25 times.\footnote{Note that logging on to webMarket does not indicate that the Auction Administrator viewed restricted bid or offer data, but only that he could have viewed such data.}
\textbf{VI.C.6. Summary of Findings}
Based on its review, Van Ness Feldman found that SCS has continued to be diligent in its efforts to comply with the requirements related to confidential bid and offer information contained in the Tariff. Van Ness Feldman found no evidence that SCS marketing function employees had any improper access to confidential bid or offer information, and as discussed above, found no other violations of the data restrictions contained in the Tariff.
VII. CONCLUSION
We have monitored SCS’s participation in the Energy Auctions and compliance with the Tariff during the third annual review period, February 16, 2011 through April 23, 2012.\footnote{The review period for this report exceeds one calendar year in order to cover the entire remainder of the original 3-year operational period of the Energy Auction.} As discussed in Section III.A above, we did not independently verify every data element provided to us by SCS; much of this information must be accepted as provided. However, we have verified that the parameters used as the basis for SCS’s offers into the Auction are the same parameters that SCS has used to operate its own system.
This report documents each instance during the review period where we have found that SCS’s administration of the Auctions and its offers into the Auctions did not occur in full compliance with the Tariff. To the best of our ability to ascertain, and with the limitations and exceptions previously identified, we have found that SCS has complied with the requirements of the Tariff throughout the review period. We have found no evidence that SCS has attempted to evade the Tariff requirements or compromise the Auction’s performance, either intentionally or through negligence. We also found no evidence of attempts to manipulate the auction by third-party participants.
SCS has provided the data and information necessary for us to adequately monitor its participation in the Auctions, and has given us access to its personnel as we have requested. Those instances identified in this report where SCS did fail to comply fully with specific Tariff provisions appear to be the result of unintentional technical and administrative errors or system failures. It is probably unrealistic to expect that a complex administrative process such as the Auction, which is overlaid on the even more complex process of managing SCS’s power system, could be implemented perfectly, without any errors.
Auction participation by third parties, both as bidders and offerors, has continued to decline in this review period, relative to the already low participation in previous review periods. The frequency of auction clearing has also declined somewhat. The frequency of two types of non-compliant events appears to have decreased from the previous review periods. First, we identified no instances of prohibited bilateral sales transactions in this review period, as compared with three such prohibited transactions identified in the second review period and 17 in the first. Second, we observed a decline in instances of non-compliance related to the use of peak load forecasts in Available Capacity calculations. In the current review period there have been no such non-compliant instances, while there were three such instances in the second review period and two in the first. There was an increase in the total number of failed offer curve submissions, though these resulted from a smaller number of discrete events, with a single event accounting for 13 of the 23 total Year 3 failed submissions. The frequency of other types of non-compliant events does not appear to differ meaningfully from the previous two review periods.
Since the second Annual Report, our basic monitoring philosophy and practices have not changed, though we have continued to update our monitoring process to improve the quality of
monitoring and streamline the workflow, and to accommodate changes in SCS’s processes and the Commission’s guidance. Some of the changes we have implemented include formalizing our monitoring of third-party participation in the Auctions, within our limited ability to monitor this behavior, and additional load forecast monitoring.
We appreciate the Commission’s continued confidence in our role as Independent Auction Monitor, and we look forward to receiving the Commission’s feedback and guidance in the coming year.
APPENDIX A
IAM PROTOCOLS
This appendix contains our complete set of protocols, as described in Section III of our report. IAM protocols are living documents that are updated periodically as we gain experience in our monitoring role. This appendix includes the current version of each protocol, but we keep older versions on file, and will be able to provide them to the Commission, if requested.
| Protocol | Title | Page |
|----------|----------------------------------------------------------------------|------|
| I | Load Forecasting | A-1 |
| II | Load Forecast Uncertainty | A-8 |
| III | Purchases and Sales | A-14 |
| IV | Outages | A-22 |
| V | Day-Ahead Available Capacity and Seller Offer Prices Verification | A-26 |
| VI | Hour-Ahead Available Capacity and Seller Offer Prices Verification | A-35 |
| VII | Recallable Energy Verification | A-40 |
| VIII | Auction Clearing Price Verification | A-46 |
| IX | Assessment of Transmission Services for Energy Auction Purchases | A-54 |
| X | Monitoring of Third Party Participation in the Southern Company Energy Auction | A-55 |
THE REMAINDER OF THIS APPENDIX IS REDACTED
The Brattle Group
APPENDIX B
IAM ISSUE TRACKING FORMS
I. Fixed Purchases and Sales Calculation
II. Day-Ahead and Hour-Ahead Capacity Calculation
III. Seller Offer Price Submission to OATI
THE REMAINDER OF THIS APPENDIX IS REDACTED
Appendix C
LOAD FORECASTING UNCERTAINTY PERCENTAGES
This appendix contains the load forecast uncertainty average and maximum percentages calculated by SCS. These numbers were updated and the new load forecast uncertainty numbers were implemented in [redacted] for flow date [redacted] onwards.
Original Average LFU Percentages
(Used through DAE delivery day)
| Month | DA0 | DA1 | DA2 | DA3 | DA4 | DA5 | DA6 | DA7 |
|-------|-----|-----|-----|-----|-----|-----|-----|-----|
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Updated Average LFU Percentages
(Used from DAE delivery day)
| Month | DA0 | DA1 | DA2 | DA3 | DA4 | DA5 | DA6 | DA7 |
|-------|-----|-----|-----|-----|-----|-----|-----|-----|
| Jan | | | | | | | | |
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Original Maximum LFU Percentages
(Used through DAE delivery day)
| Month | DA0 | DA1 | DA2 | DA3 | DA4 | DA5 | DA6 | DA7 |
|-------|-----|-----|-----|-----|-----|-----|-----|-----|
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Updated Maximum LFU Percentages
(Used from DAE delivery day)
| Month | DA0 | DA1 | DA2 | DA3 | DA4 | DA5 | DA6 | DA7 |
|-------|-----|-----|-----|-----|-----|-----|-----|-----|
| Jan | | | | | | | | |
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Exhibit B
Explanation for Redactions in Public Version of the Independent Auction Monitor’s Third Annual Report
Explanatory Statement: The table below provides justifications for the redactions of confidential and privileged information that have been made to the public version of the Report. In the first column of the table, Southern Companies have grouped the justifications for confidential and privileged treatment into five categories. In the second column, Southern Companies have listed the Report page numbers that contain such information. Because confidential and privileged information permeates virtually all aspects of the Appendices, Brattle and Southern Companies agreed that those portions of the Report should be redacted in their entirety.
In developing this table, Southern Companies have endeavored to provide the requisite specificity expected by the Commission for assertions of privileged and confidential treatment. Should the Commission have any question regarding the information contained in this table or its application to the public version of the Report, or if the Commission desires further clarification or elaboration as to any of the justifications described, Southern Companies welcome the opportunity to assist.
| Justification for privileged treatment under 18 C.F.R. §§ 388.107 and 388.112 | Page of Report |
|---|---|
| Release of data/information could constitute a violation of the Commission’s market-based rate affiliate restrictions and the Separation of Functions and Communications Protocol applicable to Southern Power Company and its subsidiaries, as set forth in Southern Companies’ market-based rate tariff. | 21, 22, 23, 53, 54, 55, 57, 58, 61, 62, 63, 64, Appendix A, Appendix B |
| Data reflects system forecast, planning, generator or other equipment-specific information, which are commercially valuable, necessary to Southern Companies’ participation in the marketplace, not yet public, and the release of which could give others in the marketplace a competitive advantage against Southern Companies, to the detriment and harm of their retail customers. | 8, 9, 10, 13, 14, 15, 16, 17, 18, 19, 20, 21, 22, 23, 29, 30, 41, 42, 43, 44, 45, 46, 47, 48, 49, 50, 53, 54, 56, 57, 58, 59, 60, 61, 62, 63, 64, Appendix A, Appendix B, Appendix C |
| Data reflects Energy Auction bid and/or offer information and related non-public Energy Auction information related to one or more Energy Auction participants (including Southern Companies), which are commercially valuable and not yet public, which could be used to the competitive disadvantage of Energy Auction participants, and which Southern Companies are obligated to keep confidential in accordance with their market-based rate tariff and applicable orders of the Commission regarding the Energy Auction. | 31, 33, 35, 36, 37, 38, 39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 49, 50, 51, 53, 54, 55, 56, 63, Appendix B |
| Data/information reflects generator reference prices and generator-specific cost and/or cost inputs, which are commercially valuable, necessary to Southern Companies’ participation in the marketplace, not yet public, and the release of which could give others in the marketplace a competitive advantage against Southern Companies, to the detriment and harm of their retail customers. | Appendix B |
| Justification for privileged treatment under 18 C.F.R. §§ 388.107 and 388.112 | Page of Report |
|---|---|
| Data/information reflects Southern Companies’ internal, trade secret and proprietary systems and processes and other intellectual property, which are commercially valuable, necessary to Southern Companies’ participation in the marketplace, not yet public, and the release of which could give others in the marketplace a competitive advantage against Southern Companies, to the detriment and harm of their retail customers. | 8, 9, 10, 11, 12, 13, 14, 16, 17, 19, 20, 21, 22, 23, 25, 26, 28, 29, 30, 32, 49, 54, 55, 56, 58, 59, 60, 62, Appendix A, Appendix B, Appendix C | |
Processes of consent in research for adults with impaired mental capacity nearing the end of life: systematic review and transparent expert consultation (MORECare_Capacity statement)
C. J. Evans1,2*, E. Yorganci1, P. Lewis3, J. Koffman4, K. Stone1, I. Tunnard1, B. Wee4, W. Bernal5, M. Hotopi6, I. J. Higginson1 and on behalf of MORECare_Capacity
Abstract
Background: Involving adults lacking capacity (ALC) in research on end of life care (EoLC) or serious illness is important, but often omitted. We aimed to develop evidence-based guidance on how best to include individuals with impaired capacity nearing the end of life in research, by identifying the challenges and solutions for processes of consent across the capacity spectrum.
Methods: Methods Of Researching End of Life Care_Capacity (MORECare_C) furthers the MORECare statement on research evaluating EoLC. We used simultaneous methods of systematic review and transparent expert consultation (TEC). The systematic review involved four electronic databases searches. The eligibility criteria identified studies involving adults with serious illness and impaired capacity, and methods for recruitment in research, implementing the research methods, and exploring public attitudes. The TEC involved stakeholder consultation to discuss and generate recommendations, and a Delphi survey and an expert ‘think-tank’ to explore consensus. We narratively synthesised the literature mapping processes of consent with recruitment outcomes, solutions, and challenges. We explored recommendation consensus using descriptive statistics. Synthesis of all the findings informed the guidance statement.
* Correspondence: firstname.lastname@example.org
1Cicely Saunders Institute of Palliative Care, Policy & Rehabilitation, Florence Nightingale Faculty of Nursing, Midwifery & Palliative Care, King’s College London, Denmark Road, London SE5 9PJ, UK
2Sussex Community NHS Foundation Trust, Brighton General Hospital, Brighton, UK
Full list of author information is available at the end of the article
Results: Of the 5539 articles identified, 91 met eligibility. The studies encompassed people with dementia (27%) and in palliative care (18%). Seventy-five percent used observational designs. Studies on research methods (37 studies) focused on processes of proxy decision-making, advance consent, and deferred consent. Studies implementing research methods (30 studies) demonstrated the role of family members as both proxy decision-makers and supporting decision-making for the person with impaired capacity. The TEC involved 43 participants who generated 29 recommendations, with consensus that indicated Key areas were the timeliness of the consent process and maximising an individual’s decisional capacity. The think-tank \((n = 19)\) refined equivocal recommendations including supporting proxy decision-makers, training practitioners, and incorporating legislative frameworks.
Conclusions: The MORECare_C statement details 20 solutions to recruit ALC nearing the EoL in research. The statement provides much needed guidance to enrol individuals with serious illness in research. Key is involving family members early and designing study procedures to accommodate variable and changeable levels of capacity. The statement demonstrates the ethical imperative and processes of recruiting adults across the capacity spectrum in varying populations and settings.
Keywords: Palliative care, Terminal care, Decision-making, Consent, Methods, Ethics, Systematic review, Consensus
Background
There is an urgent need for evidence on best practice in palliative care. The projected increases in global serious health-related suffering demand immediate action. By 2060, an estimated 48 million people will die globally with serious related-suffering, representing an 87% increase from the 26 million in 2016 [1]. Failing to respond will see 80% of people globally with little or no access to palliative care services and treatment [2]. A major barrier in research on palliative care is ethical concerns about the perceived vulnerability of adults with serious illness and including them in research, particularly if the person also has impaired mental capacity [3]. Exclusion of adults with impaired capacity to consent for themselves impedes evidence-based care and treatment that is applicable across the illness trajectory and end of life (EoL) [4]. New interventions require robust evaluation to examine benefit and potential of harm for the population intending to benefit [5, 6]. Studies, especially clinical trials in palliative care, are often compromised by insufficient sample size to detect change [7–13], and impaired understanding of legislation governing research involving adults with impaired capacity [14].
The ethical challenges of recruiting individuals with impaired capacity are examined across fields involving adults with serious illness including palliative care [15], dementia [16–18], mental health [19], and intensive care [20]. Systematic reviews have considered consent processes in specific conditions (e.g. dementia [21], schizophrenia [22]) and aspects of involving adults lacking capacity in research (e.g. capacity assessment [22], enhancing informed consent with older people [23, 24], and strategies for designing research studies [25] and increasing the recruitment rate in palliative care [26]). But, in palliative care, intervention studies are few and often exclude adults lacking capacity, for example in the dying phase [27]. There is literature from both within and outside the field of palliative care that could inform much needed guidance on best practice on processes of consent across the capacity spectrum in serious illness. This study aimed to determine how best to include individuals with impaired capacity in research on EoLC by identifying challenges for and solutions to processes of consent across the capacity spectrum. This paper reports the integrated results from a systematic review and transparent expert consultation to form the MORECare_Capacity statement on processes of consent in research on EoLC. This furthers the Methods Of Researching End of Life Care (MORECare) statement on evaluating complex circumstances in EoLC [28] by giving detailed consideration on processes of consent for adults with serious illness across the capacity trajectory. The MORECare statement omitted this area, focusing on outcome measurement, response shift and attrition, integrating mixed methods and economic evaluation.
In this paper, ‘capacity’ refers to mental capacity to make an informed decision regarding research participation. ‘The spectrum of capacity’ of individuals ranges from potentially impaired, and anticipated to have impaired capacity, to lacking capacity. The legislation governing involvement of adults lacking capacity in research and terminology is jurisdiction specific. In this paper, the term ‘consultee’ (someone who has capacity) is used to encompass the different terms used in respective jurisdictions including but not limited to proxy-decision maker, personal consultee and nominated consultee. A distinction is made between a personal consultee (e.g. family member) and a nominated consultee (e.g. health
professional) [29]. The process of consent refers to the steps taken to ensure that an eligible research participant is sufficiently informed about the purposes, content, affiliations of the study, and their right to withdraw from the study at any point, enabling them or their consultee to decide freely about research participation [30].
**Methods**
**Study design**
We used a parallel iterative research design detailed in Fig. 1. We used methods of systematic literature review to identify and map the challenges and solutions for processes of consent for adults with impaired capacity, and the MORECare transparent expert consultation (TEC) to debate key areas [28] of uncertainty/contention. The TEC involved expert stakeholder consultations using consensus methods of modified nominal group technique to generate recommendations [31], and then presenting the recommendations in an online Delphi survey to explore levels of agreement [32]. We held a final expert think-tank to explore areas of contention/uncertainty and synthesise the findings to develop the statement. King’s College London Research Ethics Committee approved the TEC component (ref no. BDM/10/11-90).
**Systematic review**
**Design**
We used systematic review method of narrative synthesis to systematically identify, appraise, and synthesise quantitative and qualitative literature [33]. Methods of analysis and inclusion criteria were pre-defined in the study protocol. Reporting followed the PRISMA guidance [34] (see Additional file 1: Table S1).
**Eligibility criteria**
**Population** Adults (≥ 18 years old) with impaired capacity encompassing declining capacity (e.g. mild to moderate dementia), fluctuating capacity (e.g. delirium), and lack of capacity (e.g. dying, advanced dementia) are included.
**Context** The scoping of the literature identified areas recruiting adults lacking capacity with serious illness in research. We included studies from palliative care, mental health (delirium, dementia, learning disabilities), or emergency medicine/critical care.
**Interest** Studies discussing consent in its various forms (e.g. informed, advanced, proxy) and impaired mental capacity are included. We did not restrict by health or behaviour outcome. We focused on research studies investigating either of the following: (i) methods for involving adults with impaired capacity in research, (ii) implementing research methods to enable recruitment, or (iii) exploring public attitudes and ethical issues on involvement in research.
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**Fig. 1** Overview of the study design
**Design** Randomised controlled trials (RCTs) and quasi-experimental, mixed method, or observational qualitative or quantitative designs are included. We included published study protocols that reported the methods of consent to enhance understanding for the main study. We excluded systematic reviews but used relevant systematic reviews for reference chaining by screening the cited publications for eligibility. We excluded opinion pieces and commentaries and non-English language papers. Studies concerning treatment/clinical decision-making or bioethics were out of scope.
**Search strategy**
We developed search strategies for each of the population groups—palliative care, mental health (including dementia), and emergency medicine/critical care. MeSH terms for the palliative care group included ‘Terminally ill’ or ‘Palliative Care’ AND ‘Decision making’ or ‘Mental Competency’ AND ‘Informed consent’ or ‘Third-party consent’. Key search terms were used as free-text, and with use of truncation symbol to retrieve variations in the terminology. Search terms were piloted pre-study and mapped to assess their relevance and specificity, and refined working with a specialist librarian (see Additional file 2: Table S2 - electronic search terms). We searched four electronic databases: MEDLINE (1966–Present), EMBASE (1947–Present), PsychINFO (1887–Present), and CINAHL (1937–Present), and supplemented with referencing chain, grey literature electronic survey, and expert recommendations. The last search was run on 30 October 2018.
**Quality appraisal**
Study risk of bias was assessed using the validated QualSyst review tool suitable for quantitative and qualitative studies [35] by one reviewer (EY, IT, CJE), and a random 10% sample checked by a second author (CJE). Scores that diverged by > 10% were discussed within the research team. A single quality appraisal was undertaken for studies reported in multiple publications (e.g. protocol paper and a main trial results paper). The QualSyst assessment criteria include 14 items for quantitative studies and 10 items for qualitative studies. Each item is scored from 0 to 2 (0, not present; 1, partial; 2, yes; or not applicable). The percentage of the total possible score indicates the quality grade: < 50%, low; ≥ 50 and < 70%, medium; or ≥ 70%, high. Study designs were categorised using the Cochrane Effective Practice and Organisation of Care (EPOC) grade system [36] (see Additional file 2: Table S3).
**Data screening, extraction, and analysis**
Referencing software (Endnote version x8) [37] was used to manage a database of search findings and remove duplicates. Title and abstract screen by one reviewer (EY/KS) and second independent review of 20% to test the application of the eligibility criteria (CJE). Titles/abstracts that met the review criteria, or if insufficient information to determine eligibility, were subject to full-text screening. Full-text articles were single-screened by three reviewers (EY/KS/CJE). Full-text papers with uncertain eligibility were reviewed by two reviewers and eligibility agreed (EY/KS with CJE). A standardised data extraction form was developed and piloted based on the Cochrane Consumers and Communication Revie Group’s data extraction template (see Additional file 2: Table S4). Data included the study design and aim, the population and context, method(s) of consent, recruitment rate, and challenges and solutions. Study data were extracted by one reviewer (CJE, EY, KS) and checked by a second reviewer (CJE, EY, KS). We contacted two authors to check availability of the publications in English. Using narrative synthesis [33], textual descriptions from extracted data for all studies were mapped to form matrices for studies innovating research method, studies using innovative methods, or considered ethics, legislation, or public attitudes. Each matrix was analysed and coded in Microsoft Excel using thematic analysis to explore prominent themes. Higher quality studies were valued with a greater strength in the final synthesis.
**Transparent expert consultation**
The TEC aimed to enhance the systematic review findings by exploring the application of the findings in research studies and areas little considered or uncertain in the evidence. The TEC explored researchers’ and service users’ perspectives on recruiting individuals with impaired capacity in research on EoLC. The TEC sought to generate recommendations on processes of consent to enable recruitment and explore the level of consensus.
**Setting and participants**
Participants were purposively sampled based on their expertise in conducting research involving adults with impaired capacity (including ethicists), caring for patients with advanced disease, or a service user/carer (e.g. palliative care services), or a voluntary sector representative (e.g. Alzheimer’s Society). Participants were invited to the workshops held in the Cicely Saunders Institute, King’s College London. Eligible participants included members of the project’s expert panel (project applicants), Project Advisory Group (invited experts in, for example, ethics, and PPI and voluntary sector representatives) [see the “Acknowledgements” section], respondents in the systematic review grey literature survey and invited ethicists, clinicians, commissioners, researchers, members of ethical committees, policymakers, and service user and lay voluntary sector representatives.
Identified professional participants received email invitations for the workshop. Service user and lay voluntary sector representatives were recruited via voluntary sector groups including, for example, Alzheimer’s Society and Independent Cancer Patients’ Voice. The respective organisations circulated the invitation letter to their members targeting those known to have an interest/experience of either a carer for an adult with impaired capacity, being a patient with progressive illness, or supporting research involving adults with impaired capacity.
The TEC used four stages:
**Stage I: Identifying critical issues.** The initial workshop focused on critical issues identified from the systematic review preliminary findings and expert opinion (e.g. areas with limited empirical evidence and relevance in the processes of consent for adults across the capacity spectrum).
**Stage II: Stakeholder workshop.** Participants received a pre-workshop briefing pack detailing the aim, critical issues, and workshop format. The workshop comprised presentations on the critical areas overviewing findings from the systematic review followed by structured group discussion involving 10–14 participants focusing on one of the critical areas. Group discussions were digitally recorded. We used a structured nominal group process facilitated by a member of the research team. The facilitator guided participants through a structured process of (1) a brief discussion, (2) individual writing of recommendations and ranking, and (3) participants in turn stating their highest ranked recommendations until individual lists were exhausted (or time exceeded) [31]. Scribes wrote the recommendations and ranking on a flipchart, and each small group discussed and agreed on the final priority order, then presented and discussed with the whole group. Participants individually listed and ranked recommendations from one to five (highest to lowest) on structured A4 sheets detailing the respective group question, ranking scale and boxes to list recommendations, rank, and detail rationale.
**Stage III: Delphi online consensus exercise.** This is a two-round online consensus exercise [32]. Recommendations generated in the workshop were posted online to the workshop participants, members of the expert panel and Project Advisory Group, and respondents to the grey literature survey. Participants received a personalised email invitation and reminder after 2 weeks. The online participants anonymously ranked, from one to nine (strongly disagree to strongly agree), the extent they agreed with a recommendation and used free-text spaces to comment on each recommendation. Findings from round 1 informed requirements to revise recommendations where comments suggested ambiguity. Round 2 represented the revised recommendations and the median score for each recommendation from round 1. Participants again indicated their level of agreement ranked from one to nine and provided free-text commentary on, for example, rationale for ranking score.
**Stage IV: Expert ‘think-tank’.** The expert ‘think tank’ workshop aimed to aid data synthesis and inform the solutions and recommendations in the statement by critically considering areas of contention/uncertainty identified in the consensus exercise and systematic review findings. The think-tank aimed to understand the debates surrounding these areas, the strengths and limitations of the evidence, and the solutions for practice. Participants were purposively selected from the workshop participants based on expertise, e.g. ethicists, lay voluntary sector representative, researcher, and clinician. Think-tank participants received a briefing report that summarised for the respective area the systematic review findings on the challenges and solutions identified in the evidence base, and the recommendations and level of agreement from the consensus exercise. The think-tank used a format of presentations and debate, drawing on structured nominal group process to facilitate participant agreement on the top two or three key solutions for each area, and commentary on their thinking. Participants discussed and debated these areas in groups of 6–7. Discussions were digitally recorded, and scribes recorded on flipchart the key debates.
**Data analysis**
Individual recommendations from the workshop and their ranking were entered in Excel spreadsheets with assigned participant identification numbers. Two researchers (CJE, KS) coded and arranged recommendations by themes, duplicates were combined, and recommendations arranged by priority ranking (1 highest to 5 lowest). Free-text comments were collated. Digital recordings were reviewed to inform understanding on the recommendations and debates presented, with key points noted on the Excel spreadsheet for the respective recommendation. The recommendations retained participants’ original language where possible with amendments guided by the expert panel to enhance clarity and avoid repetition. The final recommendations were those ranked the highest (< 3) and reviewed and agreed by the expert panel and piloted (e.g. for clarity), and then posted on the online consensus survey. Analysis of the consensus survey-scaled data used descriptive statistics (frequencies and medians) and plots (box and whisker plots) of interquartile ranges to analyse and interpret levels of agreement. We used a conventional categorisation to interpret agreement (indicated, equivocal, or not indicated) and strength of agreement (strict or broad) used in previous consensus studies [28]. Table 1 details the categories by the respective median region and IQR [38]. Narrative comments were collated by
recommendation, and themes identified to understand the issues raised and provide illustrative examples [32].
Results
Systematic review search results
The electronic database searches identified 5539 abstracts after removal of duplicates with a further 179 publications identified from other sources (see Fig. 2). Ninety-one publications met the eligibility criteria, reporting 89 studies. Two studies included a protocol and main results papers [39–42]. Studies were conducted mainly in dementia \((n = 23)\), palliative care \((n = 16)\), and intensive care \((n = 15)\) (Table 2). Publications increased over time with the majority published after 2010 \((n = 54)\). Studies were conducted mainly in the USA \((n = 35)\), UK \((n = 29)\), or Canada \((n = 9)\) (see Table 2 and Table 3, and Additional file 3: Table S8). The studies formed three main areas of (1) innovating research methods to recruit adults across the capacity spectrum, (2) applying consent processes across the capacity spectrum in studies on serious illness, and (3) public attitudes on involving adults lacking capacity in research.
Quality appraisal
Overall, the quality of the included articles was medium to high. Most quantitative (95.8%, \(n = 71\)) and qualitative studies (88.9%, \(n = 17\)) were assessed as medium or high quality (see Additional file 2: Table S5 quantitative studies and Table S6 qualitative studies). The proportion of high-quality studies included was consistent across the three main areas (56.8% ‘innovating research methods’, 56.6% ‘applying consent processes’, and 59.1% ‘public attitudes’). However, in the area of ‘public attitudes on involving adults lacking capacity’, 9% were assessed as low quality, compared with 0% in ‘innovating research methods’ and 2% in ‘applying consent processes’. This reflected in part the methodological nature of the studies and poorer fit with the Qualysyt item criteria. The included studies were mainly descriptive \((n = 36)\) categorised as ‘non-experimental, longitudinal, cohort, matched pairs, or cross-sectional, sound qualitative, or analytical studies’, with few experimental \((n = 20)\) or quasi-experimental designs \((n = 3)\) (see Additional file 3: Table S7).
Innovating research methods to recruit adults across the capacity spectrum
Thirty-seven studies were categorised as innovating research methods (Table 3). Studies focused on participation in research involving individuals with cancer/receiving palliative care \((n = 6)\), dementia \((n = 13)\), geriatric care (all settings) \((n = 2)\), delirium and mental health services \((n = 7)\), or intensive care \((n = 5)\). While numerous studies used standardised capacity assessment tools, existing tools were often regarded as time-consuming, and administration of a formal capacity assessment reduced recruitment, for example in an observational study involving patients with delirium [99]. Formal capacity assessment was considered of little value unless aligned to the decisional requirements for study participation, notably the risks and the potential direct or indirect benefits of participation. Overall, studies incorporated multiple components of the processes of consent. These were tailored to individuals’ level of capacity from mild to moderate impairment with a focus on enhancing informed consent, through to lacking capacity requiring involvement of a consultee. For example, in populations such as psychiatric or stroke patients, where participants experienced varying levels of impaired capacity, studies incorporated processes of enhanced informed consent and consultee involvement [87, 90]. In both studies, consultee advice was sought for a third of participants (30.6% and 35.7%, respectively). The innovations broadly mapped onto two sub-categories of ‘maximise individuals’ autonomy and decisional capacity in the consent process’ and ‘processes of consent to enable adults across the capacity spectrum to participate in research’.
Maximise individuals’ autonomy and decisional capacity in the consent process
Fifteen studies aimed to examine ways to enhance the informed consent process to maximise decisional capacity for adults with mild/moderate capacity or fluctuating capacity (see Table 3). Clinical trials required applicable methods to facilitate understanding of complex procedures, e.g. randomisation and clinical equipoise. For populations with mild/moderate dementia, and other neuropsychological disorders such as Parkinson’s disease, studies aimed to enhance various facets of cognition. This involved in the informed consent, for example, enhancing decisional capacity, understanding [90], reasoning, comprehension, and recall of information. Across patient groups, key challenges to enabling participation in the informed consent process were addressing concerns about causing distress for the
person from receiving and considering study information [43], and enabling understanding and recall of the information provided [59, 103]. Moreover, in ensuring an informed consent rather than participation based on trust in the clinician and the study proposal considered a recommendation to take part [103]. A study observing consent process for people with dementia ($n = 46$) and their surrogate decision-maker (e.g. spouse) across six trials (drug and non-drug) showed approaches to facilitating the consent process and wide variation [60]. Importantly, the consent process involved the person with dementia and their surrogate, with the surrogate playing a major role in facilitating the consent process. Use of a dual consent was common, but assent from the person was often implicitly implied not explicitly asked. The study revealed wide variability in the conduct of the consent process with higher risk drug trials generally more comprehensive in giving study information and assessing understanding compared to the non-drug trials. The authors make recommendations on using a dual consent
### Table 2 Population of interest categorised by the study focus
| Patient population of interest | Study focus on processes of consent |
|--------------------------------|-------------------------------------|
| | Innovating research methods ($n = 37$) | Applying research methods ($n = 30$) | Attitudes and ethical considerations ($n = 22$) | Total studies ($n = 89$)* |
| Palliative care/cancer | 6 [43–48] | 8 [49–56] | 2 [57, 58] | 16 |
| Dementia | 13 [59–71] | 10 [40, 42, 72–79] | 1 [80] | 24 |
| Geriatric care | 2 [81, 82] | 3 [83–85] | 0 | 5 |
| Parkinson’s disease | 1 [86] | 0 | 0 | 1 |
| Cerebral ischaemic stroke | 2 [87, 88] | 0 | 1 [89] | 3 |
| Mental health | 6 [90–95] | 2 [96, 97] | 1 [98] | 9 |
| Delirium | 2 [99, 100] | 2 [101, 102] | 0 | 4 |
| Intensive care | 5 [103–107] | 5 [108–112] | 4 [113–116] | 14 |
| General population | 0 | 0 | 13 [117–129] | 13 |
*89 studies are reported from 91 publications (includes two study protocols [40, 42] reported with the main study papers [39, 41])
| Authors, country, Year | Study design and aim | Setting | Sample description | Informed consent | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|-----------------|----------------------------------------|
| Buckles et al. [59], USA, B3 (2003) | Longitudinal study of healthy aging and dementia to evaluate understanding of informed consent by older participants across a range of dementia severity levels using a brief test on the elements of informed consent for a low-risk study. | Not stated | Dementia: 415 participants with dementia (Dementia Rating Scale, 250 mild, 165 without dementia, 250 with dementia) | Informed consent and assessment dementia severity with Clinical Dementia Rating (CDR), Mini-Mental State Examination (MMSE) | 415 | **Key findings:** lack of discussion about confidentiality and no treatment as an option. **Challenges:** after adjusting for education, performance on the test varied with dementia severity in mean differences and SD. **Solutions:** by implementing CDR and MMSE, 80% of very mild to moderately demented participants provided correct answer for at least 8 of 10 true-false items, whereas only 10% of the severely demented participants achieved this level of accuracy. **Solutions:** by moderate dementia stage involvement of a responsible caregiver in consent process should be mandatory. |
| Marget et al. [12], Norway, CI (2008) | Qualitative study to explore the experiences of patients’ recipients of informed consent in a clinical trial and their ability to give valid informed consent. | Stroke: stroke patients who had been recruited to an international stroke trial | Informed consent | 2 Norwegian patients | 11 | **Key findings:** the results of the study showed that informed consent for an experimental trial obtained from critically ill patients, and the concept of the consent as a contract obtained on a rational basis between equal and independent parties. **Challenges:** most patients did not understand the purpose of randomisation or the concept of clinical equipoise. The main reasons for this were the patient’s dependency on the doctor, their need for a trustful relationship, and seeing study information as a recommendation. |
| Chouliara et al. [44], UK, CI (2004) | Individual interviews on some ethical and methodological challenges involved in the care of the elderly with cancer | Cancer: people with cancer > 65 years old | Informed consent: obtained after explaining the project verbally and written, Family | 37/50 (74%) | **Key findings:** mean age 74.3 (SD = 7.5), MMSE 24.0 (4.1)—mild dementia involvement |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults: No patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|--------------------------------------------------------------------------------------|---------------------------------------------|------------------------------------------------------------------------------------|-----------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Mittal et al [61], USA, 2007 | RCT comparing two processes for consent to evaluate the preliminary efficacy of two enhanced consent procedures for patients with Alzheimer’s disease or mild cognitive impairment that used either a PowerPoint presentation or printed consent forms | 2 medical centres | Dementia: referred patients with possible or probable AD (MMSE ≥ 19), mild cognitive impairment | Enhanced informed consent (written consent form (SSP) or enhanced written consent procedure (researcher reads the information aloud while the patient reads the paper copy followed by the paper copy with large fonts)). Followed with MacCAT-CR assessment of capacity, then repeat of either of the consent forms (Table 2). | 35 | Key findings: participants improved their understanding of verbal re-explanation of consent information. There were no significant differences in level of understanding among those in the two consent conditions at either trial but we found the SSP took significantly less time to administer. |
| Rubright et al. [63], USA, 2010 | RCT testing whether a memory aid and organisational aid improves AD patient performance on measures of capacity and competency to give informed consent | Alzheimer’s disease centre | Dementia: patients with Alzheimer’s disease | Enhanced informed consent with memory and organisational aid or standardised informed consent: intervention group received the additional aid which summarised the key elements of the existing SSP informed consent form; it presented information in the same sequence and header titles as presented in the informed consent form. The text impaired important points by using language at a sixth | 80/12 (71%) of potential AD patients; 30/33 (91%) of cognitively normal older adults | Key findings: the intervention group was more likely to be judged competent than the control group ($\chi^2 = 8.2$, df = 1, $p = 0.004$) and had higher scores on MacCAT-CR measure of capacity (mean difference = 0.50, $p < 0.001$). This RCT showed that a memory and organisational aid tailored to the distinctive cognitive patterns of AD patients can improve the ability of patients with very mild AD to read and to provide their own informed consent. |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults: across the capacity spectrum | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------------------------------------|--------------------------|----------------------------------------|
| Ford et al. [86], USA, 2008 | RCT to evaluate the effects of social support on comprehension and recall of consent information in a study of Parkinson’s disease patients and their caregivers. | Medical centre | Parkinson’s disease patients (n mean age 73.83) and their caregivers | Enhanced informed consent: the social support group’s patient participants had to complete the consent form in the same room compared to the control group who completed the forms in separate rooms. | 136/143 (95%) | **Key findings:** 1-week follow-up: no significant differences in QUIC scores between participants receiving the social support intervention and the control group. Regardless of the group allocation, participants scored high on all subscales of the QUIC questions but the findings showed that comprehension of consent form information was increased through the social support intervention in a ‘real-world’ clinical setting. **Challenge:** Initial comprehension was low and remained relatively consistent within the 1-month period. **Solutions:** Informational support from family members or caregivers. Caregivers who scored high on correct QUIC were associated with patient participants who with high QUIC scores e.g. understanding information. |
| Campbell et al. [94], South Africa, 2017 | Case-control study exploring if using iterative learning improves participants’ research understanding in a research study and predictor of better consent to enroll in an early-phase clinical trial. | Psychiatric hospital and clinics | Mental health patients with psychosis/schizophrenia | Enhanced informed consent (with iterative learning) following completion of consent form. | 1026 participants—528 matched cases and controls (target was 181 pairs) | **Key findings:** before iterative learning, 53% of case and 33% of controls were found to be unable to provide consent for study participation. After iterative learning, 100% of cases and 97% of controls were able to provide consent for study participation. **Challenge:** The study was conducted in a single site in South Africa. **Solutions:** Iterative learning. |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults: No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|-------------------------------------------------------------------------------------|---------|-----------------------------------------------------------------------------------|-------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Palmer et al., 2018 | RCT to evaluate the efficacy of Unclear (a multimedia-based enhanced consent procedure) compared with routine consent, among individuals with mild-to-moderate Alzheimer’s disease and non-neurodegenerative (NC) subjects. | Dementia: individuals with Alzheimer’s disease (mild to moderate) | Enhanced informed consent: The enhanced consent procedure included on routine consent by adding a more structured, iterative process and by incorporating multimedia tools into the consent process. | 248—134 control, 114 Alzheimer’s disease | Key findings: regardless of whether returned to the laboratory, both medical types participants who received the enhanced consent procedure did not demonstrate significantly better decisional capacity scores than those who received the routine consent procedure. Findings could be due to rapid forgetting. |
| Moser et al., 2006 | Quasi-experimental, pre-post study to determine whether a brief intervention could improve decisional capacity in people with schizophrenia. | Mental health: individuals with schizophrenia | Enhanced informed consent: a very brief (less than 30 min), semi-individualised intervention consisting of a 15-min discussion based on the hypothetical study information in a bulleted, simplified format, with one key point per slide. Participants viewed the slides along at the examiner read aloud | 30 individuals with schizophrenia and 30 healthy comparison participants | Key findings: at follow-up, the schizophrenia group had improved significantly on understanding ($t(27) = 2.85$, $P = .009$). There was no other significant difference from the comparison group on any of the four dimensions of decisional capacity on the MacCAT-CR scale ($p = .25–.53$). Follow-up analyses also showed no significant effect of the intervention on |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults across the capacity spectrum | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------------------------------------|--------------------------|----------------------------------------|
| Harrell et al. 2012 [91], USA A3 | RCT to evaluate the preliminary feasibility and potential effectiveness of a web-media approach to consent for research, and whether development of such web-media based tools warrants further pursuit. | Unclear | Mental health: patients with schizophrenia | Consent: participants allocated to web-media consent review the study information in a multimedia prototype, which involved video clips, static images/graphics, and bullet-pointed text to explain the consent form. The printed consent form was presented on the screen after the multimedia segment. Study introduction, study timeline with study visits, description of procedures, risks/discomforts, possible benefits, action if injured, and contact information. | 19 patients with schizophrenia and 16 normal comparison | Key findings: relative to those receiving the routine consent procedure, those receiving the web-media consent procedure had a higher score on the UCSF Brief Assessment of Capacity to Consent (UBACC) scores, $U = 19, z = -2.15, p = 0.03$ ($d = 0.94$; ‘large’ effect size). Participants rated the quality of the enhanced consent process positively, saying it was ‘better’, and no participant reported worse experience. Challenges: increased length of administration and that computer-based approaches may not be as effective as face-to-face communication. |
Continued...
Table 3 Studies innovating research methods to recruit adults across the capacity trajectory (grouped by solutions) \((n = 37\) studies\)
| Authors, country, EPCC grade | Year | Study design and aim | Setting | Sample description | Consent process for adults: No. patients/eligible (%) | Key findings, challenges, and solutions |
|-------------------------------|------|-------------------------------------------------------------------------------------|---------------------------------------------|------------------------------------------------------------------------------------|--------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Sudore et al [82], USA, G3 | 2006 | Observational nested in a trial of two advance care directives to determine whether consent process and determine whether literacy and demographic characteristics are associated with understanding consent information. | Hospital | Geriatric care/older patients, primarily diverse ethnicities. Eligible patients consenting for a trial to improve the forms used for advance directives | Enhanced informed consent: The research consent form (written at a sixth grade level), read to participants, combined with 7 comprehension questions and targeted education, repeated until full comprehension achieved (teach-to-goal). | 329 potential participants. 297 were patients who agreed to participate. 30 did not meet eligibility criteria due to scheduling issues. 61 did not meet the eligibility criteria and data were missing for 1 participant, leaving 228 participants. 228 (95.2%) had complete comprehension and required only 1 pass through the consent process. However, further use of a teach-to-goal strategy was unsuccessful in achieving complete comprehension in 98% of all participants who engaged in the consent process, including those with literacy or language barriers. Challenges: The consent statements could have addressed all of the required elements of informed consent, making our results more generalizable. Solutions: For the majority of these participants, little additional education was required. |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------|--------------------------|----------------------------------------|
| Bilker et al [81], Netherlands, C1 | The first pilot study of a step-wise consent process to determine the effects of research experience on the capacity to consent. | Hospital | Geriatric care: geriatric patients | Step-wise consent: (1) Eligibility screening; (2) Research experience was given by a try-out period of a week. Verbal and written information about the try-out was given to all eligible subjects in the hospital. (3) After the try-out, written informed consent was requested. The verbal information was repeated. Assessment of the capacity to consent was carried out at home after experiencing research by testing comprehension and ability to weigh risks and inconveniences. Adults with impaired capacity | 53/78 (68%) | Key findings: the try-out period resulted in a communication effect so that consent scores could be tested in 53 subjects who provided written informed consent. Initially, the subjects answered only 5/30 of the ten questions. This score had increased to 7/30 after the try-out. Solutions: research experience to improve the capacity to consent in demented and depressed subjects as well as in subjects without psychopathologic illnesses. |
| Chazan et al [64], Spain, C1 | Research protocol to provide an overview of the clinical research protocol of the ACISF (Alzheimer Center Reina Sofia Foundation), to analyse the adequacy of the assessment instruments and to make suggestions on changes to the protocol. | ACISF research centre | Dementia: patients with Alzheimer’s or other dementia, or other patients who agreed to receive treatment from the ACISF (MSE 6/16)—ranging from 0 to 9/1 (7-day-care centre) | Advance consent upon arrival to the facility: legal representative to provide informed consent: upon admission, one or two ACISF research physicians introduced the patient and family members to the ACISF research programme and invited the legal representative to sign consent to participate. The consent form included separate sections for agreement to specifically participate in the clinical, biochemical, genetic, MRI and neuropathological programmes. | 180 (80% of the total) | Informed consent was obtained from 180 patients. Those patients represented approximately 80% of all patients admitted at the ACISF during that period. Even though the recruited group of patients seemed to be composed of very old (patients), had very low educational achievement, and were predominantly women. Solutions: multidisciplinary action. |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults across the capacity spectrum | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------------------------------------|--------------------------|----------------------------------------|
| Gyelsa et al. [45], UK CT 2013 | Consultation workshop and FIC to pre-emptly proscribe and define ethical issues in palliative care research and consensus exercise on agreed best practice to accommodate ethical issues in research on palliative care. | N/A | Palliative care | Adults with impaired or diminished capacity: Advance consent process 28 Consent process for adults with impaired or diminished capacity | 16 | **Key findings:** 16 participants generated recommendations. The recommendations focus on obtaining and maintaining consent from patients and families were the most contentious.
**Challenge:** Incluturing carers and family involved in participating
**Solutions:** informing all the patients/relatives on admission that the facility conducts research; minimises gatekeeping, and facilitates participation. The level of detail on the information sheets should be proportional to burden and risks. Advance consent (early informed consent) where the patient still has capacity for all research, not just CTMPs. Contemporaneous assent should also be obtained for all trials. Consent should be a continuous process. Consent process is a multi-step approach with clear justification to avoid coercion. |
| Cowdell et al. [70], UK B3 2008 | Ethnographic study exploring strategies that were used to enable older people with dementia to become actively engaged in research with them. | Hospital | Dementia: inpatients ≥ 65 with a dementia diagnosis at an advanced stage of the illness | Process consent: verbal or behavioural consent was taken from participants at the beginning of a very period of observation to ensure they were willing to continue. This consent was negotiated between the person with dementia, the researcher, the staff on duty, and on occasion the next of kin. Participants were observed for any signs that they might | 125 h of observations and interviews (n unclear) in an inpatient setting | **Key findings:** actively engaging older people with dementia even at advanced stages (e.g. instead of having a pre-defined MMSE cut-off)
In research is possible. Researchers must apply ethical principles and act sensitively and flexibly.
**Challenge:** ensuring the informed nature of the consent, without having a formal capacity assessment. |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults across the capacity spectrum or no consent for data to be used | No patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|------------------------------------------------------------------------------------------|-------------------------|----------------------------------------|
| Black et al. [60], USA, C1 2007 | Methodological paper focusing on three aspects of the consent process for dementia research: (1) providing information; (2) assessing understanding and capacity to consent; and 3) obtaining assent and informed consent. For each aspect, the differences between studies in drug studies and non-drug studies in CDRS examined. | Consultee advice | Six parent dementia studies | Informed consent and/or personal consultee advice (dual consent) | Researchers ($n = 11$), patients, and their personal consultants from six dementia studies—46 consent process observations | Key findings: study revealed wide variability in how informed consent was obtained, and consent forms were not always given to patients and personal consultants prior to enrolment visits and often served as a guide for consent discussions; (2) consent discussions were more comprehensive for drug studies than non-drug studies; (3) study procedure explanations dominated the discussions, whereas the rights of research subjects were rarely discussed; (4) assessments of affected individuals’ understanding and capacity to consent occurred in a minority of cases but were more common on drug studies; (5) personal consultee advice was sought more often using an implicit rather than an explicit approach; (6) dual consent by both the affected individual and the personal consultee was most common on both drug and non-drug studies. |
**Adults with diminished capacity**
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults across the capacity spectrum or no consent for data to be used | No patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|------------------------------------------------------------------------------------------|-------------------------|----------------------------------------|
| Evans et al. [61], UK, C1 2018 | To determine the factors associated with consent procurement. | Adults with diminished capacity | Patients who die early or cannot provide consent within the study timeframe lead to selection bias, reduced statistical power, and decreased external validity | by a proxy decision maker. But patients unlikely to recover were excluded. Consent rate did not differ based on who (patient/surgeon) was consenting. | Patients who die early or cannot provide consent within the study timeframe lead to selection bias, reduced statistical power, and decreased external validity. |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults: No patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|-----------------------------------------------------|----------------------------------------|
| Agarwal et al. [60], UK | Observational study comparing the experience of dementia patients and their carers in accessing informed consent from early dementia patients and their carers subjected to a clinical trial and the need to control the risk of a potentially therapeutic agent | Unclear | Dementia: patients and carers | Personal consultee advice: 15 patients and carers (10 patients and their carers) were designed to examine whether subjects fulfilled the criteria for a cognitive or functional test of capacity to consent to participation in a research study. This was an attempt to establish whether consent was a ‘true choice’. Adults with impaired capacity | The study found that the current law and practice of the Law Commission recommendations in assessing informed consent from early dementia patients and their carers subjected to a clinical trial and the need to control the risk of a potentially therapeutic agent |
| Gilchrist et al. [68], USA | Methodological paper discussing the requirement that informed consent be obtained from all participants in outpatient clinics for cognitive complaints | Outpatient clinic | Dementia: patients and carers | Legally appointed care representative procedure to obtain informed consent | 78/172 (45.2%) required legal representative; 55/172 (32%) received consent from a legally appointed care representative |
Continued...
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults across the capacity spectrum | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------------------------------------|--------------------------|----------------------------------------|
| Adamsis et al. [90], UK A3 2005 | RCT to investigate whether different methods of obtaining informed consent affect recruitment to a study of delirium in medically ill hospital inpatients. | Acute medical Delirium: patients 70 years or older admitted to the unit within 3 days of hospital admission | 100 patients with delirium | Informed consent or proxy assent: both groups of patients were given routine screening for capacity and entered into the study. After capacity assessment, assent was sought from a proxy (if available) if patient lacked capacity in group A, whereas in group B, an informal ‘note delirium’ was placed on their chart. | 57 assessed in group A (43.8%), 57/57 (100%) entered the study; 73/100 (73%) in group A; 26/100 (26%) in group B. 54/73 (74%) in the initial informed groups (A and B) with clear note delirium. 16/26 (62%) in group A and 16 (80%) in group B ($\chi^2 = 0.004$) entered the study ($\chi^2 = 8.29$, df = 1, $p = 0.004$). | Key findings: implementing best ethical practice by a formal assessment of capacity prior to recruitment to the project. An acute medical ward will lead to a considerable reduction in the proportion entering the study. A stringent assessment of capacity may lead to a reduction in the number of patients recruited to the study. This undermines the ethical justification of the study. Of the 20 patients in each of the initial informed groups (A and B) with clear note delirium, 13/20 (65%) in group A and 16 (80%) in group B ($\chi^2 = 0.004$) entered the study ($\chi^2 = 8.29$, df = 1, $p = 0.004$). Challenges: researcher assessing the capacity was not always able to do so reliably. The study was not able to recruit enough patients to be statistically robust. |
**Table 3 Studies innovating research methods to recruit adults across the capacity trajectory (grouped by solutions) ($n = 37$ studies)**
(Continued)
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults across the capacity spectrum | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------------------------------------|--------------------------|----------------------------------------|
| Thomalla et al. [87], Germany, 2017 | RCT (baseline data only). Aim to identify the number of consent forms obtained by the participant or by proxy decision-maker, affected clinical characteristics of sample of acute stroke patients enrolled in clinical trials. | Hospital | Stroke: stroke patients | Informed consent (written or oral) by patient, Proxy consent between the investigator and an independent clinician: six options give including written or oral consent by the patient, legal representative, next of kin, proxy consent, NAC or investigator’s decision (followed with consent from Nock as soon as possible). Adults with diminished capacity | 1035/1033 (ongoing trial) | Patients’ informed consent was obtained in 359 (34%) cases, consent was by a proxy. The relative frequency of the informed consent type used varied among countries ($p < 0.001$). In the analysis of the baseline data, 1650 patients were enrolled in the WAKE-UP trial about 1 in 3 patients were enrolled by proxy consent. In these cases, consent was provided by the legal guardian, by next of kin, by a professional consultant, or by the investigator based on an emergency clause. **Challenge:** limited guidance around regulation of clinical research involving persons lacking capacity to give informed consent; and the consequence of different approaches for informed consent used in different study sites, among countries or trial sites. |
| Kim et al. [68], USA, CT, 2011a | To assess the extent to which persons with Alzheimer’s disease (AD) have the capacity to appoint a research proxy | Interview study | Dementia: people with Alzheimer’s disease (MMSE 18–23) | Proxy consent | 7/0/ | Key findings: successful recruitment of the highest proportion of participants with MMSE score |
Table 3 Studies innovating research methods to recruit adults across the capacity trajectory (grouped by solutions) \((n = 37\) studies\)
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------|--------------------------|----------------------------------------|
| Warren et al., 1986 [47], USA, C1 | Qualitative interviews to examine the bases on which the proxies made their decision, to identify characteristics that distinguish proxies who refuse consent from those who do consent; and to determine reasons for refusal | Nursing home: ‘home residents’ (those who were > 65 years old), Palliative care nursing home residents’ (those who were > 65 years old), proxies | Proxy/caregiver consent Adults with diminished capacity | 30/168 (18%) | Key findings: 54% (\(n = 90\)) of proxies researched consented to patients’ participation, 62% of proxies consulted other people about their decision, 27% consulted a doctor about their decision, 20% participated in research. No significant difference in the frequency of consent among those who decided alone, those who consulted others, and those who consulted a clinician. Patients were not opposed to research in general but as beliefs and perceptions about research became more relevant to their own family members, their support for research, especially clinical trials, declined. 93% thought research in general was important for medical care; 87% agreed for research to be undertaken in hospital; |
Table 3 Studies innovating research methods to recruit adults across the capacity trajectory (grouped by solutions) \((n = 37\) studies\)
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults: No patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|-----------------------------------------------------|----------------------------------------|
| Karlawish et al [65], USA, 2008 | Companion study to an RCT of patients with mild Alzheimer’s disease (AD) to test a new drug treatment (drug study) to examine the views of Alzheimer’s disease patients and their study partners on the ethics of proxy consent for clinical research | Universities | Dementia: patients with mild to moderate AD (MCI; \(N=12\)) and their study partners (spouse or adult child) | Proxy consent Adults with diminished capacity | 59/73 (81%) patients, 60/75 (80%) study partners |
| Smith et al [107], Canada, CI, 2013 | Qualitative study with focus group interviews to present strategies that may optimize the process of obtaining informed consent from substitute decision-makers for participation of critically ill patients in trials | Intensive care unit | Intensive care: patients with severe illness requiring life support | Surrogate consent: informed consent from substitute decision-makers of critically ill patients Adults with diminished capacity | 71 |
| Evans et al [108], UK, 2014 | Pilot study to explore the feasibility of recruiting older people to participate in research | Across the capacity spectrum | Consent process for adults: No patients/eligible (%) | 83% thought that elderly people should participate in research only 65% thought that research should be conducted in nursing homes. Solutions: broad educational efforts to increase awareness of research and its benefits to the health of older people across care settings. To discuss participation in research with patients while they are competent and to include potential power in these early discussions. | Key findings: study partners of patients judged incapable of giving informed consent reported the same degree of patient involvement in the decision to enrol as the study partners of patients capable of giving informed consent. Most study partners of proxy patients reported proxy consent for the clinical trial, and nearly all patients chose their study partner and their proxy study partners. Some patients had much greater involvement, aimed at maximizing the patient’s well-being. Solution: pursue a process of shared decision-making between patient and study partner, even when the patient is with impaired capacity. | Key findings/solutions: (1) Ensure appropriate local measures, (2) train the local personnel, (3) promote a culture of research, (4) be familiar with patient family dynamics, (5) involve bedside staff to take them away that you are not neglecting their patient, (6) |
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults: No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|-----------------------------------------------------|----------------------------------------|
| Bolic-Jankovic et al., 2014 [105], USA CI | Cross-sectional quantitative survey on (a) the determinants of confidence in a surrogate’s ability to make a decision for an incapacitated patient; (b) the differences between surrogates’ and patients’ confidence; (c) if greater confidence increases agreement between the surrogate and patient’s response. | Intensive care unit | Patients who required ICU and who had potential to regain capacity after recovery, and surrogate decision-makers. | Surrogate consent Adults with diminished capacity 44% surrogates, 214 patients | **Intensive care:** Surrogate consent obtained during the patient’s ICU admission.
**Key findings:**
- Patients’ knowledge about the study and discussion with a trusted person were associated with surrogates’ confidence in advocating participation and attitudes towards research. Patients’ confidence was associated with surrogates’ decision.
- Surrogates’ decision was associated with a previous discussion about research participation ($p < .001$).
- Confident surrogates reported in agreement with patients ($p = .003$). Most surrogates wanted to represent the person’s wishes.
**Solution:** Early discussions between the proxy and patient about research
| Authors, country, Year | Study design and aim | Setting | Sample description | Consent process for adults: across the capacity spectrum | No. patients/eligible (%) | Key findings, challenges, and solutions |
|------------------------|----------------------|---------|--------------------|----------------------------------------------------------|--------------------------|----------------------------------------|
| Fowle et al., 2006 [48], UK A3 | Randomised crossover trial to explore the feasibility of two designs for consent for dying patients in palliative care (one patient centred like Zelen’s design) and cluster consent to see which design is more effective for trials in palliative care. | One oncology patients with a terminal cancer diagnosis who were referred to the palliative care pathway for the dying | Palliative care/cancer patients with a terminal cancer diagnosis who were referred to the palliative care pathway for the dying | Both guardian and gatekeeper must give written agreement for their cluster to participate in the trial. | 20/50 (60%) | **Key findings:** the initial request to abstract data was declined by the hospital and subsequently fostered Zelen’s design. The possible for patients in the larger unit concerned to this Zelen’s design reduces the burden of seeking consent for treatment allocation but did not reduce the burden.
**Solutions:** cluster randomisation runs in the background, reducing burden on the patient, carer, and clinician. Consent to treatment allocation is at the unit level, which reduces the burden on the patient for consent to access confidential medical data. This study illustrates how cluster randomisation exploits these natural advantages, particularly with dying patients. |
| Levine et al., 2017 [150], USA C1 | Expert consultation—using a Delphi method aimed to establish a broader consensus on the barriers to emergency care research globally and proposes a comprehensive array of recommendations to overcome these barriers. | Global emergency care/medicine | Intensive care/emergency medicine | Community consent | 80 | **Solutions/suggestions:**
(1) Development of a tool for identifying alternatives to local IRB approval and the use of community consent when appropriate where the individuals can choose to opt-out of the study later on.
Key barriers were grouped into four categories, (1) Limited availability of research training, (2) Logistical issues and lack of data collection system, (3) Ethical barriers regarding conducting research in low-income countries, (4) Dearth of funding for global emergency research.
**Key findings:** need for education and training in important topics related to... |
process and standardising the information provided to encompass both study procedures and participants’ rights to, for example, withdrawal.
Successful enhanced informed consent processes often included providing information in more than one format (generally verbal and written) [61], improving understanding by using novel techniques (e.g. simplified storybook, video) [91–93], and tailoring the process of study approach to a person’s psychological and physical health status [43]. In studies involving patients with schizophrenia [91, 93, 94] or dementia [62, 63], using a combination of multimedia techniques and flexibility to repeat aspects of the study information significantly improved individuals’ understanding about the study, and to give an informed consent. Studies using enhanced informed consent processes reported generally high consent rates for eligible participants ranging from 68.0% \((n = 53/78)\) in an elderly patient population [81] (mean age 80.1 years) to 95.1% \((n = 136/143)\) in patients with Parkinson’s disease (mean age 71 years) [86]. The addition of social support from family members enhanced older individuals’ decision-making capacity. For example, a study with hospitalised older cancer patients (MMSE mean 24.0, SD 4.1) achieved 74% (37/50) recruitment rate by formal involvement of family members including presence during the consent process, asking their views, encouraging patients to discuss with the family members, and taking their concerns into account [44]. In an RCT \((n = 136)\) on the effect of social support on the consent process for patients with Parkinson’s disease (mean age 71 years, SD 8.6), the presence of a family member compared to the patient alone showed effect on enhancing comprehension and recall of the study information at 1 week \((p = 0.012)\) and 1 month \((p = 0.040)\) [86].
However, the evidence for using multiple or iterative techniques to enhance individuals’ understanding and reasoning was mixed. Variation was related to the context and the processes used. Using techniques of iterative learning by, for example, quizzing potential participants’ understanding of the study and enhancing how information was provided [86, 92] enabled study engagement for individuals with lower levels of health literacy from, for example, lower socioeconomic backgrounds [82] or low- to middle-income countries (LMICs) [94]. However, findings were mixed for studies recruiting adults with dementia. RCTs showed enhanced understanding \((F[1, 29] = 7.17, p = 0.012)\) using a PowerPoint presentation, combined with verbal consent and verbal re-explanation for participants with mild Alzheimer’s disease (MMSE ≥ 19) \((n = 53)\) [61], and using a simplified memory and organisational aid to improve understanding \((\chi^2 = 8.2, \text{df} = 1, p = 0.004)\) \((n = 110)\) [63]. Conversely, a RCT \((n = 114)\) using multimedia and iterative learning for participants with mild to moderate Alzheimer’s disease (MMSE 20.9 (SD 3.9) and 22.5 (SD 3.4), by treatment arm) did not detect a significant effect on decisional capacity \((\chi^2(3) = 2.63, p = 0.453)\) [62].
**Processes of consent to enable recruitment of adults across the capacity spectrum**
Twenty-one studies explored research methods in the consent process for adults across the capacity spectrum. Advance consent was advocated in two studies for participants with the anticipated loss of capacity associated with a progressive condition, e.g. dementia [45, 64]. Advance consent involved early informed consent when the person had capacity, for example, on admission to a clinical facility, with consent upheld at the point of loss of capacity [64]. An area of contention was the requirement (or not) in all research studies (Clinical Trial of an Investigational Medicinal Product (CTIMP) and non-CTIMP) for the person to nominate a consultee for contemporaneous advice on continued participation in the study [45]. Best practice was conducting the advance consent process with the person and the consultee (e.g. a family member), to discuss the person’s preference for continued participation should they lose capacity, and the role of the consultee on contemporaneous advice aligned to the person’s wishes and the context [45, 64]. This strategy may minimise potential gatekeeping about continued participation with disease progression [45]. Process consent was proposed for studies with multiple time points that involved individuals able to understand and appraise information in the moment, but with difficulty retaining and recalling study-related information in the future, for example, individuals with mild/moderate dementia, palliative care, and mental health populations [46, 65, 95]. Process consent involved continuous monitoring of the validity of the informed consent provided at the beginning of the study, for example, verbal confirmation of consent at each time point with the formality of the process consent proportionate to the risks involved in participation.
Two studies reported the use of deferred consent in circumstances of fluctuating capacity with participants anticipated to regain capacity with reversibility of the underlying cause, for example, an infection [100, 104]. Patients who were unlikely to recover or die were typically excluded. Patients entered the study without their prior consent, with consent deferred until they regained capacity and/or a consultee was approached. These types of studies typically involved low-risk observational procedures conducted with, for example, older patients with delirium [100] or in the ICU [104]. Using deferred consent enabled the inclusion of participants at the acute point of their illness spectrum. Deferred consent appeared acceptable in the ICU study with an 80.1% \((n = 214/267)\) consent rate [104], and sensitivity
analysis of the delirium study indicated that excluding ALC would have compromised the detection of statistically significant findings [100].
The main process of enabling adults lacking capacity to participate in research was seeking advice from a consultee about study participation. Most studies \((n = 11)\) explored the involvement of consultees across research studies in geriatric/stroke care (all settings) \((n = 7)\), ICU \((n = 2)\), or mental health services \((n = 1)\) (Table 3). Studies conferred that the role of a consultee was not to provide substituted judgement, but rather to give advice aligned with the patient’s wishes and well-being. This required researchers to consult patients as much as possible about participation and encourage them to identify a consultee to advise on their behalf if they lost capacity [66]. Key to this process was discussion and shared decision-making between the consultee and the patient when they had capacity [67], and including potential consultees in early discussions with the person, while capacitous about future participation in research [47]. An observational study in ICUs involving patients \((n = 214)\) considered likely to regain capacity, and family members \((n = 445)\) as surrogate decision-makers, reported that the only factor significantly associated with patients’ confidence in their consultee’s consent decision was having a previous conversation about research participation [105]. Consultees also reported reduced stress from their role when they could align their advice with understanding of the person’s priorities [67]. However, a study involving nursing home residents reported no associations with patients’ characteristics and consultee decision to advise enrolment (54%, \(n = 90\)) (or not) [47].
While consultees were generally family members (including close friends), consent processes also allowed professional consultees or legal representatives to advise on behalf of an individual lacking capacity. However, guidance and regulation around the participation of incapacitated adults in research and involvement of consultees varied by jurisdiction. An international study on stroke \((n = 1005\), across six European countries\) [87] reported that one in three patients lacked capacity to consent. The study found considerable variation in the jurisdictions’ respective enrolment requirements, detailing four different processes for adults lacking capacity as to who to approach as the proxy decision-maker (e.g. a legal guardian, next of kin, or independent physician consulting with the next of kin on the patient’s presumed will). In the USA, institutional review boards (IRBs) were reported to differ in their rates of allowing research involving incapacitated adults regardless of the risks and benefits, and in who could act as a consultee within the studies [117]. For instance, 15% of the IRBs disallowed participation in research without direct benefit regardless of risks, while 22% of IRBs accepted only an authorised proxy, spouse, or parent as surrogates, excluding adult children and other family members. Studies conducted with patients with dementia [68, 69] showed that requiring a legally appointed consultee led to declining participation from family members due to the bureaucracy and the time involved in the legal appointment. Such legal requirements could halt accumulation of evidence required for enhancing care of patients with impaired capacity.
Cluster consent was advocated for trials involving adults with impaired capacity in palliative care [48] and emergency medicine [106]. Cluster consent was undertaken by a ‘cluster guardian’ giving written agreement for treatment allocation of the defined cluster at the level of a unit, e.g. a hospital ward. This enabled the allocation of treatment at the cluster level. However, individual consent from the person, or consultee advice, was required for access to personal medical data for research purposes. Recommendations in emergency medicine research included enhancing recruitment using community consent as a similar process with ‘group consent’ for the study and individual ‘opt-out’ of the study at a later stage, for example, once capacity was regained using a similar process to deferred consent [106].
**Applying consent processes across the capacity spectrum in studies on serious illness**
Thirty-two publications reported 30 original studies involving adults with serious illness and impaired mental capacity \((n = 9046)\) (see Table 4). These studies were conducted across clinical settings (e.g. hospices, hospitals) and populations (e.g. elderly, dementia, delirium). Fourteen (46.6%) studies were RCTs (including feasibility), and the remaining observational including prospective and cross-sectional designs. The studies enabled analysis on the use of different consent processes and the outcome of the recruitment rate for adults across the capacity spectrum in clinical studies.
Most studies were conducted in palliative care \((n = 8)\) or dementia/geriatric care \((n = 10)\). The studies used a breadth of consent processes tailored to the respective population. Methods included personal and/or professional consultee advice, advance and process consent, enhanced informed consent, and deferred consent. Processes showed variation in recruitment of eligible participants (range 23.9% [72] to 78.8% [42]). Use of a personal consultee alone (e.g. a family member) was uncommon and showed the greatest variability in the recruitment rate. Four studies used personal consultee advice only for adults lacking capacity [49, 50, 83, 108]. The recruitment rates varied by study population and study design. In a cross-sectional survey exploring patients’ palliative care needs in hospital, the overall recruitment rate was 48.1% (654/1359) [49]. While most eligible patients
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining capacity or lacking capacity | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|---------------------------------------------------------------------|----------------------------------------|
| Abernethy et al [57], Australia, A3 | 2006 | Cluster RCT 2 × 2 × 2 to test GP educational outreach versus usual care in palliative care setting to improve patient outcomes, e.g. pain management. | Community settings | Palliative care | Consent personal consultee, or nominated consultee, or carer, or HCP, if available. | **Key findings:** strategies used enabled recruitment of largest cohort in early study of palliative care.
**Solutions:** (1) study design pragmatic; 2 × 2 × 2 cluster RCT and methods, broad inclusion criteria, defined outcome measures, standardised intervention; (2) minimise patient burden, and clinician burden, e.g. research nurses collect data.
**Challenges:** (1) time and resource commitment design. (2) no GP consented, caregiver available/no pain. |
| Gardner et al [49], UK, E3 | 2013 | Cross-sectional survey to explore palliative care discussed between inpatients and agreement between informants. | All hospital inpatient adult ward | Palliative care | Ascertain personal consultee ALIC (n = 18). Caregiver assessment WCI criteria; HCP, if available. | **Key findings:** 36% patients’ (mean age 78 years) identified as now identification medical (65%) and nursing (17%) staff. In 23 cases, consultees completed questionnaires on behalf of patients who lacked capacity to complete them. Data given via consultee may not be accurate.
**Challenges:** non-consenting patients (n = 582)—(1) patient/consultee declined (e.g. too ill) (n = 107), (2) patient not contactable (n = 109). |
| Rees et al [54], UK, A3 | 2003 | Feasibility RCT on anti-haemorrhagic medication (fondaparinux + glycoprotein) for ‘death rattle’ to develop a process of advance consent enabling research to be undertaken in the terminal phase. | Palliative care ward | Palliative care | Consent: patient (if able) or carer (if expected to enter study if develop secretions, informed consent documented medical notes, consent confirmed at readmissions. | **Key findings:** Advance consent is feasible and actual numbers needed for trials in dying phase. Patient actual rates to date are lower than needed to recruit adequate numbers in the time allotted to answer the research question.
**Challenges:** (1) recruitment issues—lost to unwell (n = 15), died elsewhere (n = 16), died pre-randomisation (n = 15); (2) resource intensive—estimate |
| Evans et al [55], UK, E3 | 2014 | Feasibility RCT to assess the feasibility of using a web-based tool to facilitate advance consent for research in palliative care. | All hospital inpatient adult wards | Palliative care | Consent: patient (if able) or carer (if expected to enter study if develop secretions, informed consent documented medical notes, consent confirmed at readmissions. | **Key findings:** 100% consent rate.
**Challenges:** (1) recruitment issues—lost to unwell (n = 15), died elsewhere (n = 16), died pre-randomisation (n = 15); (2) resource intensive—estimate |
| Authors | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining, impaired or lacking capacity | No patient/eligible (frustrated) | Key findings, challenges, and solutions |
|-------------------------|--------|--------------------------------------------------------------------------------------|----------------------------------------------|------------------------------------------------------------------------------------|------------------------------------------------------------------------|-------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Whelan et al. [52], UK A3 | 2013 | RCT exploring the impact of the requirement for ‘proxy assent’ on recruitment in a trial of antibody response to influenza vaccination and use of a booster shot when indicated versus usual care in care homes (PERCH trial). | All care homes in three London boroughs | Older people in care homes | Personal consuilee advice ($n = 82$, 48% if unavailable) Professional consuilee care home staff ($n = 40$, 38%). | Lack capacity ($n = 122/557$ (22%)) Capacity ($n = 155/411$ (38%)) Overall $= 277/968$ (29%) | Takes 2 years to meet sample size (23 consent, process time-consuming and emotionally draining. Solutions: (1) study across care settings, e.g. hospices; (2) randomization; (3) patient acceptability trials using phase I (6 patients declined). |
| Hervywood et al. [53], Australia, B3 | 2014 | Cross-sectional study with a cohort sampling from a residential aged care facility to establish prevalence and risk factors to sarcopenia among older adults with compromised well-being residing in residential aged care (RAC). | Residential aged care facility | Very old (mean age 85.7 years) residents of the care facility | All participants were required to consent and were directly or by the substitute decision-maker, or by the service manager or director of nursing (following discussion with the substitute decision-maker. | 102/273 (37%)—9) provided consent and were consented by proxy | Key findings/challenges: high refusal of participation (79%), followed by My GF does not want me to (7%), change in health status, and death. Solutions: (1) to facilitate recruitment, involvement of key staff members in planning and execution of the research study to support the study and understanding of the study protocol. |
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining impaired or lacking (fluctuating) capacity | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|---------------------------------------------------------------------------------|----------------------------------------|
| Myers et al [50], USA, CT | 2018 | Prospective cohort study to determine whether unplanned hospital transfer can be avoided. | One large county with a single system of all emergency medical services | Assisted living residents who fall | Each patient’s primary care physician informed the patient or his or her healthcare Power of Attorney of the study during usual care | **Key findings:** Of the 953 residents in the study, 359 had 840 falls during 43 months. The protocol recommended non-transfer after 553 falls. Eleven of these patients had a time-series analysis. **Solutions:** 553 patients (99% CI: 98 to 100%) with a protocol recommendation for non-transfer received appropriate care. **Challenge:** participant accrual was slower than anticipated and time-sensitive conditions were less prevalent. |
| Irwin et al [51], USA, CT | 2008 | Pilot study using a convenience sample to assess cognition and evaluate the presence of cognitive impairment in alert and awake hospice patients who did not have a current or past diagnosis of a cognitive disorder or cognitive impairments. | Hospice | Hospice inpatients/ palliative care patients approaching the end of life (prognosis of < 6 months) | Written (n = 14) or oral informed consent (n = 16) | **Key findings:** Cognitive impairments are common among inpatient hospice patients (7/230 patients were diagnosed with dementia — DSM-V), findings highlight the need to recognize cognitive impairments in this population. **Solutions:** 1) psychoeducation for family members and caregivers; 2) psychopharmacological treatment when indicated; and 3) more timely advance preparations to maximise function, adequate understanding and coping mechanisms, complete personal affairs, e.g., visits, last wishes, and saying goodbye. |
| Davies et al [52], UK, AD | 2018 | A feasibility cluster RCT: ‘Can we deliver a new easily repeated study? Hypothesis was that adequate clinically assisted hydration during the last few days of life would maintain renal perfusion and prevent hyperactive delirium (Renal Delirium’). | Cancer centres and hospices | Cancer patients at the end of life with delirium | Informed consent from the patient, if possible, or personal consultee assent from a relative or a friend or nominated consultee assent from the site Study Guardian (an independent senior clinician) | **Key findings:** the study was feasible and eligible patients by robust eligible consent processes. Only 1/219 (0%) declined to take part and no withdrawals. Data collection burden from the patient and family/friend was minimal. **Solutions:** no consent was received from patients [16, 200/219 (91%)]. |
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining (impaired) or lacking (fluctuated) capacity | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|---------------------------------------------------------------------------------|----------------------------------------|
| Dementia and geriatric care | Bakin et al., 1998 [76], USA A3 | RCT to identify challenges to informed consent in research involving subjects with advanced dementia to check purpose of bid. | Inpatient hospital | Advanced dementia | Personal consultee advice | 81% advice from personal consultees (16), 81% and nominated consultees (23, 126). **Challenge:** Unbalanced trial arms due to differences in eligibility criteria and ‘competitive’ recruitment strategy. **Solutions:** Multiple consent processes and minimise data collection burden. |
| Sampson et al., 2018 [40]*, UK E3 | 2018 | A 5-month prospective cohort study aiming to describe (1) physical and psychological symptoms, (2) health and social care service utilisation, and (3) care at end of life in People with advanced dementia. | 14 nursing homes in the UK or participant’s own homes | People with advanced dementia (functional Assessment Staging Scale 0e and above), aged 65 or over | Personal consultee advice, approach professional consultee | 85/159 (54%) target not reached with 30% of patients/carers declining. Of 157 eligible care home residents, 80 people recruited by carer (n = 62), professional (n = 16 died) or uncontactable consultee (18), 32 declined, 28 uncontactable consultee, and 17 died. 42 people residing at home, 6 recruited by carer |
*This study was not included in the meta-analysis due to the small sample size.
| Authors | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining capacity (impaired or lacking) | No patient/eligible (fluctuated) | Key findings, challenges, and solutions |
|---------|------|----------------------|--------|--------------------|---------------------------------------------------------------|---------------------------------|----------------------------------------|
| Jones et al [39], UK B3 | 2012 | Protocol for the above cohort study. | Care homes and own home | Dementia (early stage) | Personal consultee: consultant not contactable approach professional consultee | n = 102 | Study protocol/recruitment target n = 102 |
| Black et al. [73], USA B3 | 2006 | Cohort study to describe health problems and comorbidities in nursing home residents, and correlations with staff identified pain. | Nursing homes | Advanced dementia | Personal consultee: Capacity assessment informal HCP | n = 126/289 (44%) | Key findings: physician high recognition symptoms at EoL but detection decreases with increasing cognitive impairment indicate sample bias |
| Goodman et al. [74], UK B3 | 2011 | Cohort mixed method design to understand EoL needs and support for people with dementia in care homes. | Care homes (residential, 5 homes) | Advanced dementia | Continuous consent adults able consent in moment (n = 65); personal consultee and care staff | n = 13/215 (6.2%) | Challenges: (1) 23% of people with dementia who had capacity to understand the study refused to participate; and those lacking capacity personal consultees advised participation (68/23, 54%). Solutions: greatest impact on recruitment care home culture, e.g., summary sheet. |
| Hanson et al. [75], USA A3 | 2010 | Cluster RCT of a decision aid to inform and support the choice between tube feeding and assisted oral feeding in recent-onset dementers in nursing homes and ethical | Nursing homes (n = 24) | Advanced dementia | Personal consultee: e.g. son/daughter (68%), Capacity assessment: Cognitive Performance Scale and Global Deterioration Scale. | n = 256/425 (60%) (aired resident and personal consultee) | Key findings: clinical trials involving adults lacking capacity require multiple strategies to engage consultees and recruit in nursing homes. Recruitment approaches enabled adequate time to
Table 4 Studies applying consent processes across the capacity trajectory in serious illness (n = 30 studies reported in 32 publications) (Continued)
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining capacity (impaired or lacking) | No patient/delegible (inactivated) | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|--------------------------------------------------------------------------|-----------------------------------|----------------------------------------|
| Sampson et al [40*], UK, B3 | 2015 | Cabot study to define the prevalence of pain using self-rated and observational pain scales in people with dementia in the general hospital, and to examine demographic and clinical factors associated with pain related to explore a hypothesised association between pain and behavioural and psychiatric symptoms of dementia (BPSD). | Two large acute general hospitals in London | Patients with dementia who were admitted to general medical ward of two large acute hospitals | Consent process: patient or carer give written informed consent or with an informal carer or ‘professional consultee’. The consent procedure followed the England and Wales MCA 2005 to obtain capacity assessment. A professional consultee was identified over the telephone, and posted an agreement form to sign and return. If forms were not returned within 7 days they were destroyed. If a personal consultee could not be reached in 48 h by screening, a professional consultee advice (e.g. geriatrician not involved in the study or patient care). | 239/292 (79%) | address concerns of family surrogates; and compensation for their time commitment to the study interviews. **Challenges:** (1) care home culture recruitment rate varied by setting (assisted living homes (3.6%, n=54); repeated provision accessible study information; (3) engage carers in the study; (4) contact, time and resource minimal burden for care staff. **Challenge:** 62 excluded because they did not fulfil the inclusion criteria or because carers who gave telephone agreement did not return signed forms. **Solutions:** Recruitment process improved and feasible in the acute setting. |
| Scott et al [41*], UK, B3 | 2011 | Protocol for the above cohort study. | Hospital inpatient Dementia and unplanned hospital admission | | Assent personal consultee, if no consultee identified in <48 h, nominated professional consultee, if no other clinical team not involved | Study protocol (recruitment target 250) | Key finding: protocol developed MCA guidance, i.e. assess the person’s ability to make decisions for themselves, capacity, seek absent from a
| Authors, country, EPDC study | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining (impaired) or lacking (frustrated) capacity | Key findings, challenges, and solutions |
|-----------------------------|------|----------------------|--------|--------------------|---------------------------------------------------------------------------------|----------------------------------------|
| Warner et al. [72], UK A3 | 2007 | RCT of dementia treatment Griggs Bilbo, to assess the proportion of people with capacity to consent; describe use of the MCA 2005 to assess capacity (a research setting). | Community settings | Dementia | Capacity assessed MCA criteria identify consent/agent. Informed consent or personal consultation: advice for adults lacking capacity. Capacity assessed MCA criteria and MMSE | n = 42/176 (24%) No patient/eligible (frustrated) carer for person lost capacity. Use professional consultees and use professional consultees when carer not contactable. **Key findings:** cognitive testing alone is insufficient to assess the presence of capacity. Recommend researchers record outcome capacity assessment and basis for the finding, especially when using an untrained carer proxy for judging capacity. **Challenges:** (1) High cognitive impairment in some patients assessed lacked capacity for informed consent; (2) MMSE did not predict the presence of capacity. |
| Ellis-Smith et al. [78], UK B2 | 2018 | Prospective, mixed methods feasibility study to explore the mechanisms of action, feasibility, acceptability, and effectiveness of an instrument measures of capacity in the context of Palliative care Outcome Scale (IPoS-Dem), used in routine care to support comprehensive assessment of symptoms and concerns of care home residents with dementia and their family members. | Three residential care homes | Palliative/residential care home residents register/ to provide care for people aged 65 years and over living in the United Kingdom. Palliative care Outcome Scale (IPoS-Dem), used in routine care to support comprehensive assessment of symptoms and concerns of care home residents with dementia and their family members. | The research team met with residents to ascertain willingness to participate and assess mental capacity to give informed consent to participate. Those who agreed that they had capacity gave written informed consent. Advice of consultees was sought if ACL. The care home therefore sent a letter on behalf of the research team to each resident’s family member to invite them to advise on whether the resident should participate in research (personal consultee). Two letters were sent. If no response was received after 1 week, a second letter was sent. If still no response, a nominated |
**Table 4 Studies applying consent processes across the capacity trajectory in serious illness (n = 30 studies reported in 32 publications)**
(Continued)
| Authors, country, EPDC study | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining (impaired) or lacking (frazzled) capacity | Key findings, challenges, and solutions |
|-----------------------------|------|----------------------|--------|--------------------|---------------------------------------------------------------------------------|----------------------------------------|
| Mitchell et al. [71], USA, B3 | 2006 | Cohort study to examine EoLC in advanced dementia and to describe how relevant data might be collected (ASCEND study). | Nursing homes ($n = 15$) | Residents with advanced dementia and their healthcare professionals. Cognitive Performance Scale score ≤6 | Professional consultee (healthcare staff) involving consent from nurses and doctors to review the resident’s data collection chart review, brief clinical examination, nursing interview. Capacity assessment: Cognitive Performance Score ≤6 | $n = 187/343$ (55%) (patient/HCP dyad)
**Key findings:** involving ALC in recruitment on palliative care, including the dying phase, was acceptable to patients and decision-makers in nursing homes. Findings suggest that the emotional distress of families does not decline when patients with dementia are involved in research.
**Challenges:** clinicians’ refusal ($n = 154$), e.g. too burdensome ($n = 130$), lack of interest ($n = 53$).
**Solutions:** (1) nursing home could flag, track and identify candidates for research; (2) engage care home staff, e.g. researcher trained geriatric nurse, participation low burden; (3) research team credibility. |
| Davies et al. [84], UK, B3 | 2010 | Cohort study to examine health trajectories and outcomes of people aged 85+ and associations with biological, medical, and social factors. | Usual place of residence, e.g. at home, care home | Older people aged > 85 years | Advance consent – consent nominate a personal consultee should they lose capacity during the ageing care process. If losing capacity awared re-gain capacity assessment. MCA criteria researcher. | $n = 1042/1453$ (72%)
**Key findings:** 29% recruitment rate using consultants, separate consent protocols for participants in care homes, and family members. Requiring capacity fluctuation capable. Cognitive impairment is common requiring consideration of the relevant ethical and legal issues. |
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining, impaired or lacking (fluctuating) capacity | No patient/eligible (inactivated) | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|---------------------------------------------------------------------------------|----------------------------------|----------------------------------------|
| Mason et al. [83], UK, A3 | 2006 | RCT to determine effectiveness and cost-effectiveness of pressure relieving mattresses on pressure ulcers | 10 research centres involving intensive care units and high dependency units | Parents with pressure ulcers aged 18–75 years old in hospital without cognitive impairment | Personal consultee advice for ALC | Lack capacity $n = 87/245$ (4%) Capacity $n = 191/22395$ (0.8%) | Key findings: a higher proportion of relatives declined participation in the study themselves. Proxyc consent allowed only a small increase in trial recruitment. |
| Bøtter et al. [85], Denmark, A3 | 2018 | RCT to examine if the addition of brain natriuretic peptide measurement to the routine diagnostic work-up by prehospital critical care team physicians improved triage in patients with severe dyspnoea. | Prehospital critical care units at Central Denmark Region hospitals | Patients with severe dyspnoea | Deferred consent: included patients prior to informed consent. Subsequent oral and written informed consent was obtained from all participants or next of kin by one of 10 study investigators. | 711/747 (95%) | Key findings: 28 (4%) patients had deferred consent based on patient or proxy request. (0.9%) patients were excluded as consent could not be obtained. The routine addition of BNP to the prehospital work-up did not improve the triage of patients with dyspnoea of cardiac cause directly to the department of cardiology and did not significantly improve treatment or patient outcomes. | Challenges: (1) consultee declined recruitment ($n = 5$); (2) consultee uncontacatable ($n = 9$). Solutions: (1) comprehensive protocol for consent and capacity assessment; (2) anticipatory high cognitive impairment guided by legislation; (2) training researchers on consent and capacity processes, sensitively handling complex cases; (3) involvement of nurses to explain family and care home staff; (4) follow-up telephone call/visit 1 week after receipt study information; (5) design study information for older person, e.g. font size, language. |
| Authors, country, EPDC | Year | Study design and aim [79], Italy, A3 | Setting | Sample description | Consent process for adults with declining (impaired) or lacking (in)capacity | Key findings, challenges, and solutions |
|------------------------|------|-------------------------------------|---------|--------------------|-----------------------------------------------------------------------------|----------------------------------------|
| Galeotti et al. 2012 | RCT | The ADCare study aimed to evaluate the long-term safety and efficacy profiles of three atypical antipsychotic drugs and one conventional antipsychotic drug in treating patients with severe agitation or agitation episodes with AD. The aim of this paper is to report the ADCare study experience and to analyse in depth the possible reasons for the low accrual. | N/A | Alzheimer’s disease patients | 83/3, 800 eligible patients from 19 clinical centres | **Key findings:** ~ 80% eligible patients in 1 year were identified in the clinical centres. Although initially willing to participate, most of these patients/family members declined. **Challenges:** Only 9 clinical centre participating in the study enrolled patients with the involvement of a legal proxy, even with initiatives to disseminate information on legal rights for trial participants. The main obstacles were caregivers’ reluctance to designate a legal proxy and court delays. |
| Intensive care | | | | | | **Key findings:** Inclusion and data collection were a challenge during the consent process was a concern. Some patients approached felt unable to say no, but kept saying come back later. This may indicate concern that their decision may be affected if asked again. Verbal informed consent is a process and revisiting it throughout the trial period to ensure participants can recall providing consent. **Challenges:** Most of those approached were too ill or had the concentration to read the study information. Patients with no appropriate consultee were excluded. **Solutions:** (1) Avoid consent bias by (a) Research and allow for (b) Caregiver consulting. (2) Participant information. |
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining or impaired capacity (deferred) | No patient/eligible (flewtered) | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|--------------------------------------------------------------------------|---------------------------------|----------------------------------------|
| Bench et al [110], UK A3 | 2015 | Pilot RCT, Aim: (1) providing an initial evaluation of a user-centred critical care discharge information pack (UCCDIP); (2) inform decisions about its further development and evaluation; and (3) define the sample size for a full trial. | Two ICUs within a single teaching hospital in central London | Mixed medical surgical and trauma patient population requiring either level 3 (intensive care) or level 2 (high dependency) care | Informed consent from the patient was then obtained prior to data collection on the ward. For ALC informed consent at the point of ICU discharge (deferred). | 158/221 (72%) (36 declined to participate) (72%) | Key findings/challenges: The a priori enrolment goal was not reached, and attrition was high leading to insufficient statistical power to determine outcome benefit. 101 (46%) patient participants had no outcome data at time point 1. A total of 48 (60%) patients’ relatives provided at least one set of outcome data. Twenty-seven (7%) patients and 52 (40%) relatives were lost to any follow-up. |
| Higginson et al [111], UK B3 | 2016 | Prospective ethnographic study. Aim to explore the nature and patterns of decision-making processes during ICU admission, including conflict and resolution | Two ICUs in an inner city hospital serving an ethnically and socially diverse population | ICU patients where clinicians had potential end of life concerns, or discussions or a change in management during the current admission | Where possible, informed consent from patients. For patients who lacked capacity, following the Mental Capacity Act 2005, firstly capacity was assessed by the clinician proven to be absent. Clinicians assessed capacity if a personal consultee (e.g. family member), if not identified a nominated consultee (e.g. clinician) | 16 patients and 19 relatives | Solutions: the researchers looked for instances where capacity was present and discussed with the clinicians. The research team ensures that the research process is not part of the research team. Relatives also provided informed consent/assent for interviews and observations. |
| Rouze et al [12], France, A3 | 2017 | ACT to test the hypothesis that the use of an algorithm-based clinical decision aid would increase the percentage of early discontinuation of empirical antifungal treatment among critically ill patients. | Mixed 50-bed ICU patients with Candida infection | ICU patients with the majority of the University Hospital of Toulouse, France | An informed written consent was obtained from the patients or their proxies. | 10/387 (28%) | Key findings: 8/570 patients (1.4%) were assessed. One patient withdrew consent after receiving the biomarker strategy. The use of a biomarker-based strategy increased the percentage of early discontinuation of empirical antifungal treatment among critically ill patients with suspected invasive Candida infection. |
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining (impaired) or lacking (frazzled) capacity | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|---------------------------------------------------------------------------------|----------------------------------------|
| He et al. [97], Australia, E3 | 2018 | Methodological paper aiming to describe the informed consent process used when recruiting persons with intellectual disability for a study which is currently investigating falls among people with intellectual disability, and to evaluate the quality of informed consent used. | Community—participants’ homes, residential group homes | People with intellectual disabilities with up to two co-inhabitants with paid support | Informed consent and proxy advice from the participants themselves. The process was designed to provide a collective perspective of the capacity of the person with intellectual disability to consent; the researcher uses role-play to help them establish if the person has capacity to provide consent, and consult with the caregiver. Use of a decisional questionnaire involving score of 5 out of six aspects: capacity, understanding, and shared content. The next of kin, family member, or caregiver is asked to be present during this process to provide a supportive, comfortable environment and to provide oversight to the discussion. | 64/1,402/83 (53%) | Key findings: only 3 out of 40 participants were able to provide informed consent. 22 participants were asked to have a discussion about their involvement in the study with the support of their caregiver. 15 participants were unable to complete the decisional questionnaire. This consent process was time-consuming. Solutions: training and building relationships with patients and their caregivers. Challenges: more than 40% of participants were not taking part in the research on behalf of the person. This consent process was time-consuming. Solutions: training and building relationships with patients and their caregivers. |
| Bunceman et al., The Netherlands, E3 | 2018 | Experimental study to examine whether delirium symptoms and quality of life associated with antipsychotic drug. | Hospital and disability mental healthcare clinics | Adults with intellectual disabilities | Written informed consent was obtained from patients and/or their legal representatives. | 159 (no data on number of people approached) | Key findings: mean age was 64 years. Quality of life (HQOL) was negatively associated with both symptoms of challenging behaviour and physical symptoms associated with antipsychotic drugs. No data on information proxies and appropriateness of informed consent process. |
| Delirium | Marcantonio et al. [101], USA, A3 | 2010 | RCT to determine whether a delirium treatment programme (DAP) can shorten delirium duration and reduce admissions to postacute care (PAC). | Hospital | Patients with delirium older than 65 years old. 84% of patients had MMSE scores used to assess capacity | In those who had delirium, family caregivers, acting as proxies, provided informed consent for trial participation. | 457/667 (69%) | Key findings: this study was the largest cohort of patients with delirium ever enrolled in a clinical trial. Participants received a small incentive based on their performance. Clustering effect widened the confidence intervals, feasible to ascertain adjudicatrices and outcomes only in trial participants whose proxies
| Authors, country, EPDC | Year | Study design and aim | Setting | Sample description | Consent process for adults with declining, impaired or lacking (futuracted) capacity | No patient/eligible | Key findings, challenges, and solutions |
|------------------------|------|----------------------|---------|--------------------|---------------------------------------------------------------------------------|-------------------|----------------------------------------|
| Cole et al., [121], Canada, AJ | 2002 | RCT to determine if systematic detection and multidisciplinary care of the older patient could reduce time to improvement in cognitive status. | Hospital | Older patients 65 years old or more admitted to the general hospital medical service | Informed consent was obtained from the patient or substitute decision-maker. Confusion assessment method was used to assess capacity. | 227/299 (76%) | Key findings: 37 were excluded as they could not provide informed consent. The study was not powered to detect any statistically significant differences. |
| Emergency medicine | Offerman et al., [104], USA B3 | 2013 Observational prospective study to determine the rate of successful consent using an altered (deferred) telephone consent process in emergency department (ED) patients. | Emergency department | Adults who had been admitted with blunt head trauma | Informed consent was obtained from the patient or substitute decision-maker. | 506 | Key findings: follow-up telephone consent was successfully accomplished in 501 of the 506 subjects (99.0%; 95% CI = 97.7 to 99.7%). Consent for study inclusion and conduct of the telephone survey was obtained in 500 of 506 subjects (98.6%; 95% CI = 98.1 to 100.0%). Surrogate consent was obtained in 199 of the 501 subjects (39.7%; 95% CI = 35.4 to 44.2%). |
lacking capacity had an identifiable personal consultee able to advise, 8.1% of eligible patients \((n = 109/1359)\) were not approached as no personal consultee was available. In contrast, in an RCT [83] on reducing pressure ulcers, only 3.6% \((n = 87/2445)\) of eligible patients who lacked capacity were recruited compared to 82.3% \((n = 1972/2395)\) of patients able to give informed consent. The main reason for non-recruitment was no available personal consultee (93.5%, 2286/2445), and when available, 45.3% declined to give advice \((n = 72/159)\).
Three studies used both a personal and a professional consultee to provide advice with an initial approach to a personal consultee, and if unavailable an approach to a professional consultee [51–53]. Abernethy and colleagues [51] achieved a high recruitment rate \((n = 461, 75.9\%)\) using this joint approach in a low-risk non-invasive cluster RCT on palliative care in community settings. A MMSE score of ≤ 24 indicated the need for consultee advice. Only seven patients were ineligible due to consultee unavailability. The recruitment process used a resource-intensive defined recruitment plan that sought to facilitate recruitment by minimising patient and clinician burden. Similarly, a feasibility cluster RCT of clinically assisted hydration in cancer patients in the last days of life used multiple processes of informed consent for patients with capacity \((n = 16, 8\%)\), and advice from a personal \((n = 161, 80.5\%)\) or professional consultee \((n = 23, 11.5\%)\) for adults lacking capacity, and process consent throughout the study [53]. The multiple consent processes enabled a 91.3% recruitment rate \((n = 200/219)\) of eligible patients from four cancer centres and eight hospices. Only 5.9% \((n = 13/219)\) of the eligible participants declined to participate, and none withdrew. Using clinical observations for data collection minimised burden for patients and family members. However, a competitive recruitment strategy caused variation in recruitment rate between clusters and imbalance in the trial arms \((n = 73\) treatment arm and \(n = 127\) control arm). Conversely, an RCT of antibody response to influenza vaccination for older people in care homes incorporated multiple processes of consent [52]. But care home staff were hesitant to act as a professional consultee in the absence of a personal consultee. A total of 304 (54.5%) eligible individuals were excluded for this reason, and recruitment of only 8.9% of eligible residents who required a professional consultee \((n = 40/448)\). However, the study acceptable was mixed with 75.2% of personal consultee advising enrolment \((n = 82/109)\), but only 37.7% of residents with capacity consented to recruitment \((n = 155/411)\). Greater clarity on the responsibility of the professional consultee was required to enable care staff to act in this role, particularly in a trial involving invasive procedures.
Seeking advice from a consultee on enrolment was prominent in studies involving patients with dementia or delirium. Depending on the context of the study, recruitment rates ranged from 23.9% [72] to 78.8% [42]. Most studies in dementia took place in nursing homes/residential care homes [40, 42, 72–75], with only two RCTs conducted in hospital both on delirium [101, 102]. Common challenges to participation were relatives advising against patient enrolment [40, 73, 101], unavailability of a personal consultee [74, 76, 101], and care home staff acting as professional consultees declining to give advice for 44.9% of the eligible participants [77]. To overcome potential hesitancy from consultees required active engagement with consultees, keeping in touch and being flexible, highlighting potential benefits, and lowering burden for the consultee [75]. To minimise exclusion of eligible patients due to unavailability of personal consultees, studies used processes of a professional consultees and a clear recruitment strategy detailing the procedures [42, 78]. A cohort study involving people with dementia from six care homes achieved 62.1% patient recruitment rate \((n = 133/215)\) using a process of informed consent when possible \((n = 65/89, 73.8\%)\) and personal consultees \((n = 68/126, 54\%)\) [74]. The study reported the importance of engaging with patients and families by using a short summary sheet to enable understanding and participation. However, 49 eligible patients had no available personal consultee and were excluded [74].
Two studies [54, 84] in palliative care employed advance consent, followed by process consent (or personal consultee) processes. In a feasibility RCT of two medications for the treatment of death rattle, 54.2% (58/107) of eligible patients with capacity provided advance consent. However, due to the complexities of the patient population and uncertain prognosis, only 25.9% (15/58) of patients were randomised [54]. The consent process was resource intensive to recruit the target sample size and emotionally draining for patients as it required conversations about an event which may not occur. Most patients accepted the advance consent process, with only 16 of 58 declining. A prospective cohort study examining health trajectories and outcomes in patients over 85 years old in usual place of residence achieved a 72.0% (1042/1453) recruitment rate [84]. Individuals who provided advance consent were also asked to nominate a personal consultee. Throughout the study, capacity of the recruited participants was assessed, and the nominated personal consultee was contacted if needed. Only five consultees declined, and nine were unavailable. The recruitment process was facilitated in multiple ways including using different consent and capacity assessment protocols for respective settings, tailoring the study information to the target population, flexibility towards those with fluctuating capacity, identifying personal consultees, training researchers, sensitively handling complex situations, and allocating time and resource to engage and keep in touch with family and care home staff.
Four studies that took place in ICUs used informed consent and consultee advice, and deferred consent processes [109–112]. Pilot RCTs of complex interventions (non-invasive) used deferred consent processes [109, 110]. Patients agreed verbally to study enrolment, and their personal consultees gave written advice. Once patients recovered, they were approached for an informed consent [109]. The study achieved 71.5% recruitment rate. However, the possibility of coercion was raised with some patients indicating they felt unable to decline verbal enrolment, and consent bias with the exclusion of patients with no personal consultee. In another pilot RCT, the next of kin of 83.6% of patients who lacked capacity in the moment of data collection provided deferred advice at the point of discharge. Although this study had a 71.5% recruitment rate, 16.3% declined to participate. A further RCT involving both adults with capacity to provide informed consent and personal consultee advice for incapacitated patients showed only 8/510 eligible individuals declined participation [112]. Similarly, an RCT involving a blood test for patients with severe dyspnoea used deferred consent [85] and showed high acceptability with only 3.8% (28/747) withdrawing consent once regained capacity or on consultee advice. Only 0.9% (7/747) were excluded as unable to obtain deferred consent or consultee advice. An ethnographic observational study in ICU used informed consent and personal or professional consultee advice successfully to recruit 16 patients and 19 relatives with a clear consent protocol aligned to minimal risk of participation [111].
Enhanced consent processes were limited to studies involving adults with intellectual disabilities [96, 97] and in palliative care [55]. A study investigating falls in people with intellectual disability aimed to maximise an individual’s ability to provide informed consent for themselves achieved a recruitment rate of 58.8% (n = 40/68). The study enhanced consent processes by involving family members and healthcare professionals in the process, using a questionnaire to assess capacity, and conducting multiple observations [97]. A personal consultee was sought for adults lacking capacity. However, over 40% of relatives advised non-participation in the study on behalf of the person as they considered the consent process too time-consuming and burdensome. A cross-sectional study on use of antipsychotic medication for people with intellectual disabilities recruited 159 eligible participants using informed consent and professional consultee comprising legal representative [96]. However, no denominator was stated. Finally, a pilot study of patients admitted to a hospice exploring levels of cognitive impairment sought to minimise the burden of informed by allowing written or oral informed consent [55].
**Public attitudes on enrolling adults lacking capacity in research**
Studies (n = 22) on attitudes towards enrolling adults lacking capacity in research consistently reported the acceptability of involving consultees to enable recruitment. However, the level of acceptability varied associated with the nature and purpose of the study (see Additional file 3: Table S8 reporting the studies key findings, and suppl. 9 – additional reporting [130–133]). Most studies (59.1%) were conducted with public members (including researchers, healthy populations, IRBs) and used observational designs (e.g. survey) to explore attitudes about research with critically ill patients (e.g. conducted in intensive or emergency care settings), or focused on Alzheimer’s disease, stroke, cancer, intellectual disabilities, overall incapacitated individuals, or proxy decision-making for study enrolment. Overall, stakeholders considered it acceptable to use substitute decision-making to enrol adults lacking capacity in research, especially for low-risk studies. Acceptability focused on prioritising a person’s wishes and the potential benefits for the person, rather than the burden of acting as a proxy decision-maker.
**Transparent expert consultation**
The systematic review findings identified three critical areas debated in the TEC including:
1) Time and design of the consent process: ‘How can we enhance the timeliness of the consent processes for adults with fluctuating or deteriorating capacity in research on palliative and EoLC?’
2) Enhancing consultee and supportive decision-making: ‘How can we enhance proxy decision-makers’ role in the process of consent for adults who lack capacity?’
3) Ethics, resources, and expertise: ‘What are the key considerations in planning the consent process in studies involving adults lacking capacity and communicating this to a research ethics committee?’
The TEC stakeholder workshop involved 39 participants of the 83 invitees (47.0%). The participants represented service users/lay voluntary sector representatives (n = 13, 33.3%), researchers (n = 15, 38.5% including ethicists), clinical academics (n = 9, 23.1%), and clinicians (n = 2 5.1%). Voluntary sector representatives included lay members who were carers and/or patients living with a progressive condition recruited from charities for people with dementia (Age UK and Alzheimer’s Society) and cancer/palliative care (Brainstrust, Marie Curie, Independent Cancer Patients’ Voice, National Cancer Research Institute, and the then National Council for Palliative Care). The group generated 184
recommendations on the three areas (area 1, \( n = 60 \) recommendations; area 2, \( n = 72 \) recommendations; and area 3, \( n = 53 \) recommendations). Following data analysis, 29 recommendations were presented in the online Delphi Survey round 1 (see Additional file 4: Table S10 - Delphi participant characteristics). The recommendations pertained to timeliness and design of the consent process (area 1, \( n = 7 \) recommendations), enhancing consultee and supportive decision-making (area 2, \( n = 10 \) recommendations), and ethics resources and expertise (area 3, \( n = 12 \) recommendations) (see Additional file 4: Table S11 – Delphi round 1 recommendations and Fig. S12 – round 1 box and whisker plots). The Delphi survey round 1 involved the workshop participants (\( n = 39 \)) and individuals unable to attend the workshop (\( n = 4 \)). 51.8% participated (\( n = 43 \)). Round 2 involved the round 1 respondents only (83.7% response rate, \( n = 36 \)). Findings from round 1 analysing 454 free-text comments informed revisions to 11 recommendations to reduce ambiguity. This mainly concerned the use of the term ‘consultee’ in relation to legislation. In round 2, consensus was apparent for 24 recommendations with strict/broad agreement and five considered equivocal (see Additional file 4: Table S13 - Delphi round 2 recommendations and Fig. S14 – round 2 box and whisker plots). No recommendations were not indicated. The top recommendations by respective areas were as follows:
- **Area 1.** ‘Information about a research study is comprehensible, short and written in accessible language’ (R2, median 9, IQR 9–9) and ‘Although the legal significance of advance consent will vary depending on the relevant legal framework, it is good practice for researchers to seek an advance consent while individuals have capacity to consent for themselves, for example, shortly after a diagnosis of a progressive illness’ (R10, median 8, IQR 7–9)
- **Area 2.** ‘The consent process is tailored to the individual’s needs, capabilities and values with researchers observing for non-verbal and verbal cues that may indicate an individual may wish to withdraw’ (R9, median 9, IQR9–9) and ‘Advance care planning to include discussing and recording in a Statement of Wishes document an individual’s nominated or personal consultee whose opinion on participating in a research study is sought if the patient loses capacity’ (R21, median 8, IQR 7–8)
- **Area 3.** ‘Researchers to demonstrate to Research Ethics Committees a clear process of consent for potential participants with compromised capacity that details how the researchers will proceed to tailor the consent process to maximise individuals’ ability to consent for themselves and when and how they will seek an opinion from a consultee’ (R29, median 9, IQR9–9) and ‘Health and social care practitioners to recognise research as a core clinical activity in a similar way as teaching and training’ (R23, median 9, IQR 9–9)
Three main areas were considered equivocal and were debated in the expert ‘think-tank’, and solutions proposed by consensus (see Additional file 4: Box S15 – main areas and top solutions). Nineteen experts attended the think-tank, representing researchers/clinical academics (\( n = 12 \)), clinicians (\( n = 2 \)), lay voluntary sector representatives (\( n = 3 \)), and PPI member (\( n = 1 \)). The three equivocal areas comprised the following:
- **Area 1.** Involving and supporting consultees in the decision-making process with uncertainty on how best to support consultees to engage in the research process, with four recommendations indicating equivocal broad agreements (recommendations 6, 8, 15, 22, 27)
- **Area 2.** Practitioner training and education with agreement on the requirement to increase training and support to researchers and clinicians, but areas of uncertainty concerned for example how to provide and disseminate training and guidance, and how to fund (R5)
- **Area 3.** Legislative frameworks and the incorporation into research practice
A prominent equivocal area surrounded the Mental Capacity Act 2005 [29] legislation in England and Wales. The key solutions proposed concerned amendments in the supporting guidance for the Act to enable greater flexibility in the role of the ‘professional’ consultee in, for example, how they are identified. The Expert Panel concurred that the MCA process of review of an advance consent being upheld (or not) by a consultee if a participant lost capacity to consent should be applied to all clinical trials and not limited to trials of non-pharmacological interventions. This would include for example pharmaceutical trials where advance consent is upheld without requirement for consultee review if a person loses capacity in European legislation [134].
**Discussion**
This synthesis of evidence from systematic review and TEC identified challenges and solutions to including individuals across the capacity spectrum in research on EoLC. Our findings produce the MORECare Capacity statement detailing 20 best practice solutions and implementation requirements to maximise study participation across the capacity spectrum (Table 5 and Fig. 3). The statement provides much needed guidance to maximise opportunities for adults across the capacity spectrum to participate in research. It is relevant for researchers, members of research ethical committees, individuals overseeing research governance, clinicians, the public, service users, and voluntary sector representatives. The statement details
solutions for study designs at the participant level to maximise individual autonomy, enhance the contribution of proxy decision-makers, and ensure time and resources to enable participation and recruitment strategies that anticipate and plan for varying and changeable levels of capacity. At the structural level, key activities are engaging research ethical committees in how to include adults lacking capacity in research by auditing ethical approvals to review decision-making and inform research practice, and promoting the importance of research in health and social care to improve clinical care and raise awareness on recruiting adults from across the capacity spectrum to
### Table 5 MORECare_Capacity statement solutions on recruiting adults with impaired mental capacity at the end of life in research
| Solutions |
|--------------------------------------------------------------------------|
| **Ethics** |
| 1. Researchers should design all aspects of the study in the context of potential risk, burden, and benefit of study participation. |
| 2. Institutional review boards and research ethical committees should have transparent decision-making processes to ensure consistency on ethical approvals for studies from various health specialties involving adults across the mental capacity trajectory. |
| 3. The individuals (e.g. relative, friend, formal carer, nursing home staff, healthcare staff) who can act as a consultee to advise on whether the individual would have wanted to participate in the research study had they had capacity should depend on the nature of the study, rather than legal restrictions. |
| 4. Researchers should be able to demonstrate a clear process of consent for potential participants with compromised capacity that details how the researchers will tailor the consent process to maximise an individual’s ability to consent for themselves and when and how they will seek an opinion from a consultee. |
| 5. Clinicians should engage in research participation conversations with patients at the early stages of illness, discussing varying levels of risk, burden, and benefit, and document the person’s preferences and wishes in for example an advance directive. |
| 6. Individuals who are likely to lose capacity should be asked to designate a consultee whose opinion on their participation in a research study will be sought if the individual loses capacity. |
| 7. For individuals who have capacity to consent in the moment, but overtime may not remember the discussion, process consent should be adopted whereby researchers re-confirm the individual’s wish to participate at each data collection time point. |
| 8. Researchers should check for non-verbal (e.g. agitation) and verbal cues (e.g. ‘I’m unsure why you are asking me’) that may indicate a wish to withdraw during the study. |
| 9. Personal consultees should be present in research participation conversations with patients at the early stages of illness. |
| 10. Where possible, to improve social support, personal consultees/family members should be engaged in the (enhanced) informed consent process for adults with impaired capacity. |
| 11. The nature and extent of the responsibility of a consultee acting on behalf of a patient should be clarified. |
| 12. Establish a national body to provide support and information to family members/informal carers acting as personal consultees. |
| **Maximising individual autonomy** |
| 13. Researchers should incorporate in the study design research participation information and (where applicable) data collection tools in multiple formats (e.g. verbal, written, electronic). |
| 14. Studies where potential participants are expected to be adults across the mental capacity trajectory should incorporate multiple consent processes (e.g. personal and professional consultees, informed and process consent). |
| **Involving consultees** |
| 15. When possible, potential participants should be allowed time for further discussions regarding their research participation decision. |
| 16. The study design should allow time proportionate to the risk, burden, and benefit of participation for consent or consultee decision (before or after research participation if consent is deferred). |
| 17. Researchers should build in the time required to engage with and train clinical staff who will be involved, and those who might act as professional consultees in the study. |
| **Tailoring recruitment process to need** |
| 18. Health and social care practitioners should recognise research as a core clinical activity in a similar way as teaching and training. |
| 19. Clinicians should be supported and provided with training to ensure they are confident in their skills to discuss research studies with patients (and/or family members) during routine clinical contact. |
| 20. Health and social care practitioners should support adults across the mental capacity trajectory at all stages of the research study by considering the person’s best interests and individual wishes and preferences to uphold individual autonomy and minimise the risk of harm, and enable family members to act as a personal consultee by ensuring sufficient information and understanding about the role. |
enhance the applicability of research findings for service users. The statement is intended as a framework for ‘best’ research practice. A statement cannot always anticipate change in an individual’s circumstances or wishes. Ongoing review is always required by the consultee and researchers of an individual’s best interests.
Our findings demonstrate that despite ethical challenges and legislative requirements, recruiting adults with impaired capacity in research is possible with careful consideration of the context, study design, and the resources required to enable participation. The main solutions for maximising research with incapacitated adults centred around early involvement of the person while they had capacity to indicate their preferences for research participation, and nomination and engagement with consultee(s) in these discussions. It is important to recognise that acting as either a personal (e.g. family member) or nominated (e.g. clinician) consultee can be burdensome, with burden increasing in studies which carry risks or little benefit the patient directly. A priority for consultees is to have sufficient time and information about their role and to have an awareness of the person’s wishes through earlier discussions and documenting a person’s wishes about research participation in, for example, an advance directive [21] or study specific in an advance consent. Figure 3 summarises the different processes across the capacity spectrum and sets out key factors to anticipate and plan for in a research study. Incorporation of our solutions in research studies on EoLC could increase the potential to recruit a representative sample of those intending to benefit from palliative care services and treatments. Involving patient groups with impaired capacity would increase generalisability of research findings by not limiting the evidence base to those with capacity and less advanced disease, and sustainability of the tested interventions in clinical care. Our solutions are informed by methodological and original research studies, and expert consensus. Importantly, surveys of the public and stakeholders consistently endorse the involvement of adults with impaired capacity in research and specifically in palliative care [135].
Ethically, research studies must endeavour to ask questions important for care and treatment, be designed to enable participation and minimise potential for harm, and demonstrate to research ethical committees a clear rationale for the study design and processes of consent for adults across the capacity spectrum (R29). In turn, ethical research committees must ensure transparency and consistency on ethical approvals for adults lacking capacity (R28). Working in this way seeks to uphold individual rights of, for example, autonomy to participate (or not), beneficence, and justice [136]. Beneficence in research on EoLC is important. Individuals with advanced disease are unlikely to benefit from the research
findings seeking to improve care and treatment, but participation can enable a sense of contribution to society, of their ‘voice’ being valued and foster a sense of altruism [137]. Excluding individuals because of perceptions of vulnerability associated with advanced disease and impaired capacity may be considered unjust [3]. It denies equal opportunity for individuals living with progressive conditions to contribute to care and treatment in palliative care across the illness spectrum. To facilitate participation in research, our findings identify two key areas: ‘enabling and empowering consultees’ and ‘a carefully constructed and resourced recruitment strategy’.
**Enabling and empowering consultees**
While techniques for enhancing autonomy are imperative to maximise individual decision-making, for adults with impaired capacity in EoLC studies, proxy decision-makers were crucial to enable recruitment. Consultees as proxy decision-makers sought to represent patients’ wishes and best interests [105]. Their role was vital in enabling participation in research for adults across the capacity spectrum. While an array of consent processes can be implemented depending on the condition and level of capacity of the individual, successful participation of individuals relied on empowering and educating all those involved (patients, families, health and care staff, researchers, ethical committee members). Introducing patients to research studies while they were competent, and their family members, empowered patients and their families. Careful consideration is required to identify the right proxy decision-maker. Consultees sought to consider the benefits, risks, and burden to the person, and align their advice with understanding of the person’s wishes. Earlier conversations enabled family members to align advice on participation with understanding on the person’s wishes, particularly in comparatively high-risk studies [47, 67]. Similarly, West et al. in their systematic review on ethical challenges in dementia research reported differences in consultees advising enrolment with a higher proportion willing to provide consent for non-invasive studies compared to invasive studies, even with no potential direct benefit for the patient [21]. Our findings show that the presence of family members during enhanced consent processes enabled study participation by increasing opportunity and support for the person to discuss their priorities [44, 86]. Although personal consultees were crucial, studies reported higher recruitment rates when they used a nominated/professional consultee to advise if no personal consultee was available (compared to designs with a personal consultee alone). In contexts where being a professional consultee was unfamiliar, support and training for professional consultees were required to increase confidence and understanding of their role, for example, in a care home with little/no embedded research culture.
**A carefully constructed and resourced recruitment strategy**
Recruitment strategies in research on EoLC must align with the target population and anticipate and plan for varied and changeable levels of capacity associated with progressive disease. Even with strict eligibility criteria, potential participants within one study will likely present with varying and changeable levels of capacity. Our findings identify the necessity to have multiple consent processes in place aligned to the target population, context, and study aim to recruit individuals across the capacity spectrum [51, 53]. Studies on EoLC demonstrate the feasibility of using multiple processes in, for example, trials in the dying phase [54] and observational cohort studies [40, 77]. The studies demonstrate the resource intensity and careful planning required to implement complex processes of advance consent when the person had capacity, and if/when capacity is lost, the involvement of proxy decision-makers (e.g. family or professional). Boland et al. echo these findings in their systematic review on recruitment strategies in trials involving people with serious illness [26]. Our findings show that where possible, researchers sought to maximise individual’s autonomy, through consent processes such as enhanced, advanced, deferred, and process consent, and when lacked capacity incorporating a personal and/or professional consultee declaration that sought to align with understanding of the person’s wishes and preferences. Enhanced consent was feasible and acceptable to augment understanding and reasoning by using methods of multiple formats and involving family members [61]. Similarly, Hostuci et al. reported from their meta-regression that using multimedia to present study information significantly improved understanding, reasoning, and appreciation and enabled informed consent for adults with schizophrenia in clinical trials [22]. There is clearly opportunity to incorporate advances from other specialities, but with consideration if a successful strategy in one population is transferable to another. Different conditions impair different components of cognition, with variance in transience and progression (e.g. between schizophrenia and dementia), and prospect of recovery or not (e.g. between emergency medicine and palliative care). Further process evaluation of multimedia techniques is needed to determine the content and duration as the active ingredients of the techniques which leads to enhanced decisional capacity in studies for specific populations. Toolkits are useful resources to inform consent processes that encompass the heterogeneity of for example palliative care populations and the legislative framework for the respective jurisdiction and context [138] (*See page 96 in* *for example* [139]).
**Limitations**
Our incorporation of systematic review and expert consultation and consensus enabled consideration of a breadth of
evidence and the application in study designs to enable participation across the capacity spectrum. The search strategy enabled consideration of a breadth of research methods employed in different clinical populations and contexts required to underpin the MORECare_Capacity statement. But the breadth of our strategy may have limited the identification of all relevant original research studies involving adults with serious illness and impaired capacity. While we present evidence from an array of original research studies including qualitative work, future work is required to systematically review recruitment processes for clinical trials in palliative care. The use of search terms to identify eligible studies was limited by poor reporting of recruitment processes and details regarding mental capacity of eligible participants [55]. To address this, we used supplementary processes of reference chaining and seeking recommendations from experts of key studies. In line with international reporting guidelines [28, 140], researchers should provide detailed information about recruitment processes and differentiate between participants who consented for themselves and those requiring a proxy decision-maker. This would improve assessment of the success of the recruitment methods used to inform research practice [55]. While recommended research methods can be generalisable, these need to be tailored to the respective setting, context, and culture. Our findings were limited to predominantly Western contexts. This reflects the concentration of palliative care research in, for example, the USA and Europe [141]. Finally, the study included lay representatives in the workshops and Delphi Survey, but PPI in the data synthesis and voluntary sector representation was limited to membership of the Project Advisory Group. Greater exploration is required in areas directly impacting on patients and families, for example, the use of advance directives to record a person’s preferences for research participation (R21), and establishing a national body to provide support and information to family members acting as consultees (statement solution 12).
Conclusions
To meet the increasing need for palliative care requires greater provision of evidence-based services and treatments, which is informed by research that includes adults from across the capacity spectrum. Our findings show that conducting research involving adults with impaired capacity is feasible and acceptable, and it is ethically unjust to exclude them. Inclusion requires careful planning of processes of recruitment that are aligned to varying and changeable levels of capacity, and the nature and intent of the research study to minimise risk of harm. Studies must ask research questions important for patients and families in the provision of services, care, and treatment in serious health-related illness. This review and TEC present innovative research methods, solutions on enhancing use, and critical consideration on implementation in research studies in different populations, clinical settings, and research designs. The MORECare_Capacity statement provides solutions underpinned by carefully considered evidence on involving and supporting consultees, consent processes across the capacity spectrum, and decision-making with adaptations for the respective care setting. The solutions have applicability for vulnerable patient populations in palliative care and beyond such as mental health and emergency medicine. The application of the solutions stated requires consideration within respective jurisdiction’s legislative framework. Future research is required on the applicability of the MORECare_C statement for non-Western cultures and low- to middle-income countries.
Supplementary information
Supplementary information accompanies this paper at https://doi.org/10.1186/s12916-020-01654-2.
Additional file 1: Table S1. PRISMA statement and checklist of items.
Additional file 2: Additional methods [Tables S2-S4]. Table S2: Systematic review electronic search terms for the respective database. Table S3: Study design categories using the Cochrane Effective Practice and Organisation of Care taxonomy. Table S4: Systematic review data extraction template.
Additional file 3: Additional results for the systematic review [Tables S5-S8; suppl. 9]. Table S5: Qualyst quality assessment of the included quantitative studies. Table S6: Qualyst quality assessment of the included qualitative studies. Table S7: Reported study designs categorised by the Cochrane Effective Practice and Organisation of Care taxonomy. Table S8: Public attitudes and ethical issues in recruiting adults across the capacity spectrum. Supp. 9: Additional reporting on public attitudes and ethical issues.
Additional file 4: Additional results for the Transparent Expert Consultation [S10-S15]. Table S10: Delphi survey participants in round one and round two. Table S11: Delphi Survey round one recommendations and level of consensus. Fig. S12: Delphi Survey box and whisker plots round one recommendations. Table S13: Delphi Survey round two recommendations and level of consensus. Fig. S14: Delphi Survey box and whisker plots round two recommendations. Box S1: Expert thinktank – equivocal areas and the priority solutions.
Abbreviations
AD: Alzheimer’s disease; A&E: Accident and emergency; AMI: Acute myocardial infarction; CTIMP: Clinical Trial of an Investigational Medicinal Product; DMC: Decision-making capacity; EIC: Enhanced informed consent; EoLC: End of life care; EPOC: The Effective Practice and Organisation of Care; GP: General practitioner; HCP: Healthcare professional; ICU: Intensive care unit; IPOS-Dem: Integrated Palliative care Outcome Scale–Dementia; IRB: Institutional review board; LMICs: Low- to middle-income countries; MacCAT-M: MacArthur competence assessment tool for children; MCA: Mental Capacity Act 2005; MRC: Medical Research Council; MMSE: Mini-Mental State Examination; NkK: Next of kin; Non-CTIMP: Clinical Trial of an Investigational Non-medicinal Product; PRISMA: Preferred Reporting Items for Systematic Reviews and Meta-Analyses; QoIC: Quality of informed consent; RCT: Randomised controlled trial; SD: Standard deviation; TEC: Transparent expert consultation
Acknowledgements
We would like to thank our Project Advisory Group members: Deborah Tanner, Claire Henry, Gunn Grande, Steve Dewar, Gareth Owen, Rachel Burman, Dimitrios Adamis, Michael Dunn, Scott Kim, and Simon Woods for the oversight of the study and contributions, and Rowena Vohora for her administrative support in the initial stages of the study.
Authors’ contributions
CJE, PL, JK, BW, WB, MH, and JIH were responsible for the conception and design of the study. CJE, EY, and KS were responsible for conducting the searches, data extraction, and analysis. CJE and KS were responsible for conducting and analysing the TEC, and ErI in the reporting. CJE, PL, JK, KS, IT, BW, WB, MH, and JIH wrote and revised the manuscript. All authors read and approved the final manuscript.
Funding
MORECare_Capacity was funded by Marie Curie (MCCC-RP-11-A12544). MORECare_Capacity aimed to determine how best to include individuals near to death in research on EoLc by identifying solutions and developing best practice guidelines for conducting research for people with impaired mental capacity. CJE is funded by HEFCE/HR Service Clinical Lectureship (ICA-SCL-2015-01-001). The views expressed are those of the author(s) and not necessarily those of the NIHR, the Department of Health and Social Care. The funders had no role in the design of the study and collection, analysis, and interpretation of data and in writing the manuscript.
Availability of data and materials
All data analysed for this review are included in this published article and its additional files.
Ethics approval and consent to participate
The transparent expert consultation received ethical review and approval from King’s College London Research Ethics Committee (ref no. BDM/10/11-90). All participants who took part provided informed consent. The systematic review included previously published studies. We could not influence the design of the prior studies upon which this work is based and cannot comment on individual ethics approval or consent.
Consent for publication
Not applicable.
Competing interests
The authors declare that they have no competing interests.
Author details
1Cicely Saunders Institute of Palliative Care, Policy & Rehabilitation, Florence Nightingale Faculty of Nursing, Midwifery & Palliative Care, King’s College London, Bessemer Road, London SES 5PJ, UK. 2Sussex Community NHS Foundation Trust, Brighton General Hospital, Brighton, UK. 3Centre of Medical Law and Ethics, The Dickson Poon School of Law, King’s College London, London, UK. 4Oxford University Hospitals NHS Foundation Trust and Harris Manchester College, University of Oxford, Oxford, UK. 5King’s College Hospital, London, UK. 6Psychological Medicine, Institute of Psychiatry, Psychology & Neuroscience, King’s College London, London, UK.
Received: 12 December 2019 Accepted: 3 June 2020 Published online: 22 July 2020
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In this issue:
A NSW Pc3 Concrete Station in 7mm Scale - Part 1
Trevor Hodges ...........................................4
Aus7 Annual General Meeting ..........................9
The Bergs 41 Class Loco - A Short Review
Bruce Lovett .............................................11
A Scaleseven Chassis for the D50
John Birch ..............................................13
A Self Critique
Stephen Reynolds .................................15
Showcase ..................................................16
Regular Columns
One Modeller’s Opinion...............................3
Commercial News.......................................17
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One Modeller’s Opinion
In Which Lifetime?
by Trevor Hodges
I imagine a few of you would have seen the feature article on my 7mm layout Queens Wharf in the April issue of AMRM. The feedback I’ve received about the article has been very encouraging and positive. I have a firm belief that photographing railway models well, and by this I mean realistically, is just a bit easier in O-scale than in any other scale. The scale is just about perfect for up-close, detailed photography, in that it is possible to include the majority of detail on the models, without things being so big that building realistic scenery on a layout becomes problematic. The range and quality of the detail components available in O-scale (and I do mean both 1:43.5 and 1:48 in this instance) is simply stunning. I love the trains, don’t get me wrong, but being able to have realistic, scale models of cars and human figures on my layouts is a very powerful motivation to model in this scale.
The people who have spoken to me about the AMRM article repeatedly mentioned the impact of the steam locomotive and the quality of the photographs. This was such an oft repeated refrain that I started to feel a little guilty, as if I was in some way being given credit for someone else’s work. 5133 is the work of Paul Chisholm, the editor of this very tome, and the photos were taken by James McInerney, the Production Manager of the Australian Model Railway Magazine. If the truth be told, I too was mighty impressed by both the locomotive and the photos and that got me thinking; perhaps it’s about time I did something about the motive power shortage on Queens Wharf. As mentioned in the One Modeller’s Opinion column in issue 19 of 7th Heaven, 4811 is still my only locomotive and I built her about eight years ago.
At about the same time that the article appeared in the April issue of AMRM, I was lucky enough to purchase a Century Models NSWGR 0-6-0 (C)19 kit on ebay. I already had an unbuilt 19 class kit, but the price was good and it came with an original six wheeled tender; my other 19 had an eight wheeled Baldwin tender. Upon arriving in the mail, and after I’d given it the once over to ensure all the parts were present, I was about to place this new kit in the cupboard where I keep all my unbuilt kits when something stayed my hand. I thought to myself “why am I putting this kit away?” Am I some sort of chipmunk, storing up modelling “nuts” for the winter? Queens Wharf may only be a tiny layout, but it really needs a couple of locos to operate it properly. It was at about this point in this sorry tale that I delivered a talk about my plans for my next, much expanded, layout based on Morpeth at a NSW O-Scale Modellers Forum. I could no longer ignore the growing sense of unease I felt as I paused to ask myself; “What was I planning to run on this new layout?”
As an HO modeller I’d never suffered this sort of hesitancy about building locomotives. Over about ten years I’d built approximately twenty kits of steam and diesel prototypes and would approach a new kit with relish, anticipating the day it would first run down the line. That’s about two new locomotives hitting the rails a year! So why had this changed after I switched scales? Aside from the usual suspects – relationships, family, mortgage, career, the cost of the kits and lack of time – I think I’d simply allowed myself to be diverted by other hobby interests and somewhere in the back of my mind I had continued to believe that I could do something about such matters later. I’ve sometimes asked the people listening to the talks I’ve delivered and when the topic has come up in conversation, “in which lifetime” do you intend pursuing your main hobby interests; whether it be to build a layout or to finally assemble a locomotive kit? For me this question has answered itself; in this lifetime, in fact right now, as one of those 19’s slowly comes together on my workbench. What’s your answer going to be?
A NSWGR Pc3 Concrete Station in 7mm Scale
Part 1.
by Trevor Hodges
Introduction
Many of you will probably be familiar with the NSWWR outline, 7mm scale layout, Stringybark Creek, both in person and in print. It has been exhibited at the Sydney AMRA exhibition on several occasions and its progress has been discussed a number of times in 7th Heaven. My involvement in the building of this layout has been intermittent at best and I’m more often a bystander than an active participant as work has been carried out over the last few years. The main reason for this is explained by the fact that I live approximately 500km from the main centre of action in Sydney. Helping to construct the layout segments of the new Nymboida branch-line is my main area of responsibility and, as this part of the layout is scheduled for its first public outing at the October, 2009 Liverpool exhibition, we have a very short timeframe in which to get this section to a reasonable state of completion. My main partner in crime in this is John O’Neill and between us we’re responsible for the four layout segments under the branch station and yard.
After the layout segments were constructed and the track was laid, we decided that a “must have” for the branch’s first public outing was a station building. Everything would fan out from this signature structure and we felt that, even if we didn’t have a single other structure on the branch, then at least we would have a station to help provide scale for the trains.
On one of my occasional visits to Sydney to sponge on the hospitality of modelling friends, John and I discussed what sort of building we wanted for the branch. The design requirements were:
- That the guiding principle for deciding the style of building we selected for the branch was that we wanted it to contrast with the station on the mainline section of the layout. In size terms, we felt that a station on a branch terminus could justify a building at least as big as the one on the front of the layout, but we didn’t want it to be noticeably larger.
- We felt that a pre-fabricated concrete structure would be an ideal choice. Pre-fab concrete would contrast nicely with the wooden station building on the mainline section of the layout and this method of construction was specifically designed to save money on the “pioneer” lines.
- We decided that the paint scheme would be the heritage “stone” scheme used by the NSWGR in the first half of the 20th century, again to contrast with the scheme used on the mainline building. We also wanted to suggest that the paint scheme on this building might have been a bit of a left over from a previous era; perhaps a building that the maintenance department hadn’t scheduled for an upgrade yet.
- The mainline station was sited so as to show its rear to the viewing public so we decided to deliberately site the branch station with the platform on the viewing side. This turned out to have one unforeseen advantage in that the brass station name-boards we had etched for the layout could be viewed from this side.
We got out some books and started searching for a bit of prototype inspiration and found almost exactly what we were looking for in a photo of the station at Gwabegar. We had very little space for the station platform and, relative to the space available, we wanted
a large building on a short platform, so Gwabegar fitted the bill perfectly. I also loved the quirky way the passengers exited the platform under the station sign, so this building provided the prototype basis for the proposed station at *Nymboida*. The prototype photos that head this article give you a fairly good idea of the style of these types of buildings. The photo of Gwabegar we found appears in *Country Railway Stations #6* by Train Hobby Publications.
**Scratch or Kit Built?**
There are no kits available for a pre-fabricated concrete NSWGR station building in 7mm but I felt from the start that this style of construction would lend itself to a relatively easy scratch building project. The simple, modular construction of the prototype buildings is an ideal subject for scratch building and there was a set of modeling articles published recently in AMRM (June 2008, Page 62 Issue: 270 & October 2008, Page 25 Issue: 272 Volume: 23) which serve as a great resource for constructing this style of building. As I took a good, hard look at the repetitive nature of the modular construction of these buildings I decided that it might be possible to take the same approach with my structure and have segments of the same type cast in multiples, thus saving on construction time. Of course for the model the segments would be cast in polyurethane rather than concrete. I never planned to produce a commercial kit as such, but I did ask at a NSW O-Scale Modellers’ Forum whether anyone would be interested in purchasing a set of the castings I produced, on the understanding that this would be a “semi” kit which would provide a starting point for producing a structure rather than a complete kit provided with every last detail.
Enough people took me up on this offer to make having multiple sets produced worthwhile and this saved all of us a bit of money by spreading the cost of the casting. This article will act as a form of instructions for the use of these castings, however I’ve written these notes with the added intention of showing how someone might set about scratch building one of these structures in 7mm. As you can see, (photo 1) I had a set of castings produced from styrene patterns I made and these simply slotted together on a base to provide the main building. Photo 1 shows the castings as they arrived from the caster. These included a set of shorter panels and posts I wanted to include on my building which formed a screen for the gents’ toilet at one end of building. The prototype inspiration for this feature came from the station building at Cumnock (Photo 2). I also had a casting produced which reproduced the concrete water tanks that accompanied all of these stations but is not shown. Each set of castings included three of these tanks.
As I studied the photo of the station at Gwabegar and compared this to the plans from Datasheets (Sheet No B28) and the photos I had of other concrete stations, I realized that the building was not a Pc3, nor was it a Pc2, but rather it sat somewhere in between these two. It had only two windows on the platform side whereas a Pc3 has three. I tried out various arrangements using the castings to test different patterns (photo 3 shows a Pc3) and there were enough segments in the kit to produce one of these buildings. It became quickly apparent to me that the NSWR used their “standard” designs as a starting point and simply matched the building to be constructed to the needs of the site. I felt more than justified in constructing the station for *Nymboida* to what I’ve dubbed a Pc2.5 design, which had only two windows on the platform side, the same arrangement at Gwabegar. In addition I included the screen for the gents’ loo in the same location and orientation to that at Cumnock. The station at Cumnock has both its concrete water tanks at one end, adjacent to the gents’ loo, rather than one at each end and I incorporated this feature into the model as well. The reason I made these changes was to disrupt the rigid symmetry some of these buildings display. I feel an asymmetrical building makes for a far more interesting model than one that is symmetrical. Take a look at the Datasheet, you’ll see what I mean.
**Photo 1. cast parts**
**Photo 2. station building at Cumnock**
I laminated a layer of styrene to the top surface of the base for two reasons: to provide a flat, smooth surface to glue the polyurethane castings to and to provide a strong bonding surface to the styrene locating “formers” I used to locate the walls. I began assembly by cleaning up the castings. While the castings were all approximately the same thickness, there was some variation and some showed “cupping” on their inside faces. To get them all to approximately the same thickness, and ensure they were all dead flat on the back, I placed a piece of fairly rough (200 grit) wet and dry paper on a small sheet of glass and gently sanded the back of each part in a circular motion using water as a lubricant. You need to be careful with this operation, the polyurethane is fairly soft and it’s easy to take off more than you intended. To carry out this operation on all of the wall segments, including windows and doors, took about an hour in total and was quite therapeutic!
After clean up was complete all the castings were washed in warm, soapy water and allowed to dry on some paper towel. The only other preparation the wall sections require before they can be glued to the base is to glue some .040X.040 styrene strip (Evergreen part #142) into the small rectangular windows above the doors to retain the clear styrene “glass” to be installed after painting with some superglue. You can see this in photo 8 where this trim shows up as a white strip around the inside edge of the windows above the doors.
Once I had all the wall sections cleaned up I test fitted two plain wall castings together at one corner and checked that they were square and true to each other (photo 5) but I didn’t bond them to each other or to the styrene base yet. That comes later. My plan was to bond a piece of strip styrene to the layer of styrene on the base to act as a locating strip. This strip needed to be straight and would be located along the inside lower edge of all four walls, providing a convenient guide to assembly. The exact dimensions of the piece of styrene is up to the individual modeler, but something approximately 5mm high would be more than adequate. I ended up using styrene angle (Evergreen part #297). The critical part in this process was getting the first sections of wall located accurately and making sure the styrene strip is located correctly. There’s little room for adjustment later. If you fail to get the gluing strip located correctly, when you come to glue the final wall panels into position, they won’t mate snugly. I began assembly of the walls on the corner that would be most obvious and on show, on this model the front right hand corner. If I was going to have to bodgy a corner (either pack out a gap or slice off some of the last wall panel to get it to fit) I wanted it to be at the rear of the building where it wouldn’t be seen.
Once I was satisfied that the first two polyurethane wall panels were located correctly I glued them in place. I did this by running a bead of cyano along their long mating edges, first ensuring they were square and at exactly 90° to each other, and only then were they glued into position on the base. After these first two panels were glued into position I located and secured the styrene gluing guide into position using Acrynam styrene cement from Simply Glues. I used four of these guides, one for each wall; two long ones and two short. They did not travel the full length of the building but stopped short by about 1cm at each end. While these strips of styrene angle were to act as a locating guide for gluing the wall panels to the base, I didn’t trust that I could get all four located absolutely correctly as a first step, neither did I trust that I’d get everything square and level once I’d set the guides in place.
Photo 5. test fitting of wall castings at corner
I checked everything as I glued each panel into position, ensuring that each panel was square and straight in all planes. I didn’t simply trust that just because I checked the first panels, that the rest would be square and straight. I only secured each of the four gluing guides in place once I was to begin building that wall. After the first corner was in place I gradually worked my way down the front wall (photo 6) adding each panel in sequence as required.
Due to the casting process I’d decided that the corners would be made up of one cast cover strip, with the other piece to be added as a length of styrene of the same dimension. This styrene needs to be beveled on both its outer edges to match the slight bevel I added to the strips used in the patterns. A couple of swipes with a sharp blade is more than sufficient to produce this effect. The styrene used was Evergreen part #147, .040x.156. You’ll need to add one of these cover strips to each corner. If you’re careful with your checking constructing the main box for the building takes only a couple of hours. In this photo you can also see the effect of sanding the inner faces of the castings to get them flat and of uniform thickness.
Photo 6. front wall section
As you can see from the photo of the completed box (photo 7) I also made patterns for the gable ends of the building. These were extremely simple patterns to make, being a lamination of three triangular pieces of 1mm styrene with some .040x.100 styrene cover strips added in the appropriate locations. These gable ends were glued to the tops of the end walls and reinforced with some styrene blocks to give them a bit of structural integrity beyond the simple butt joint provided by them sitting on the walls (photo 8). I finished up by filling any gaps in the cover strips with some modeler’s putty. Photo 7 shows this on the corner nearest to the camera prior to the putty being sanded back with some fine wet and dry paper.
Photo 7. completed box structure
Overall, to get the model to this stage took three nights work of about an hour per night and was a relatively easy job, saving considerable time over what it would have taken to scratch build this phase of the project. This does not include the time it took to construct the
box foundation and base. To my mind however this style of building remains a relatively easy one to scratch build. I’m just lazy and don’t like wasting precious modeling time doing tasks I can automate.
After I’d assembled the basic box I placed it on the box foundation next to the track on the layout module (photo 9). I wanted to check clearances and that the building was level with the track. At this stage I added the castings for the awning support brackets and I had also constructed the privacy screen for the gents’ toilet. The castings for this screen consist of 8 posts, 14 low panel “cast” walls and caps. You can see how I placed a door panel in the end wall to allow access to the toilet.
I placed the concrete water tanks in place next to the toilet screen (photo 10) to check their position and clearances. I wanted to paint the building before installing these permanently to allow for easier painting of both the tanks and the building. When I received the castings for the tanks in the mail I realized that these tanks were big, heavy lumps of polyurethane and they stand on small legs which I had planned to make up from short lengths of .100x.100 styrene strip. These legs have a small beveled extension at the top which sits just under the tank base (photo 11). I began making these legs by cutting disks of styrene the same diameter as the tanks from flat 1mm thick sheet stock to which I glued four 15mm long .100x.100 styrene legs. I cut short lengths (about 7mm long) of .100x.040 strip stock for the beveled extensions and glued these in place after I’d scraped and filed a bevel onto one lower edge. The photo (photo 11) and the data sheet make this clear and provide dimensions.
After I’d glued the legs onto the styrene disks I glued this assembly to the bottom of the tanks and filled any gaps with putty. You can just see the edge of the disk in photo 11. I wasn’t convinced that gluing the tanks to the base would be sufficient to hold these big heavy tanks in place so I drilled and tapped a hole into the base of each tank and used a 1/8” brass bolt, inserted through
a hole drilled in the correct location in the base, to hold them securely in place. Once the platform fencing is in place these bolts cannot be seen on the model. Before painting the model I glued some styrene “walls” inside the building so that the structure was broken up into separate rooms. I don’t like to be able to look through a window and be able to see right along a building when the roof is on. After I was satisfied with the final arrangement for the placement of the water tanks, I removed them and painted the building and the tanks in the NSWGR “stone” paint scheme. I would refer you to James McInerney’s article “Stone Colour Schemes for NSWGR Buildings” in issue 1 of Branchline Modeller for information on applying the paint scheme I used on this building.
Part 2 off this article will appear in the next issue when the construction of the roof and final details will be covered. In the meantime Chris Harris from the Waratah Model Railway Co is willing to consider a rerun of the station building castings and the platform castings if there is sufficient interest. Contact Waratah to register your interest.
Photo 12. painted but roofless
Minutes for Aus7 AGM – 12/7/09
Apologies – Roger Pearson, Bruce Wood, Mark Fisher, John Parker, Chris Harris.
Present – T Hodges, J Lee, B Thomas, K Ryan, T Ryan, B Treseder, A Furniss, B Lovett, A MacDonald, M MacWilliam, R Porter, W Clowery, D Morris, R Rumble, M Ratcliffe, P Berg, D Peterson, H Horgan, G Imer, P Chisholm, J O’Neill.
Minutes secretary – T Hodges
Meeting Opened by Keiran Ryan – 11.06am
Presentation of Financial Account (Treasurer R Porter) – Report delivered by Roger. He wasn’t able to present a typed report however he did present the relevant figures. Figures were discussed in detail with especial attention given to the cost of producing 7th Heaven. Membership stands at 75 members as of the AGM, a drop from 98 the previous year. Revenue and attendance from the Forums was discussed.
Roger moved that the report be accepted.
Seconded by – Harry Horgan
Passed on the voices
President’s Report (Keiran Ryan) – Keiran made his report and discussed his impressions of the year. He mentioned the economic conditions, attendance at the exhibition, membership numbers and ways of improving numbers. 7th Heaven was mentioned and Keiran thanked Paul Chisholm for editing the magazine. Keiran thanked the committee.
Moved that the report be accepted – John O’Neill.
Seconded by – Harry Horgan
Election of Executive for year 2009-2010 – Chaired by John O’Neill.
President – Keiran Ryan Nominated by Harry Horgan
Seconded by – Ray Rumble
Carried – unanimous
Vice President – John O’Neill Nominated by Trevor Hodges
Seconded by – Paul Chisholm
Carried – unanimous
Secretary - Trevor Hodges nominated by Keiran Ryan
Seconded by – John Lee
Carried - unanimous
Treasurer – Anthony Furniss nominated by Keiran Ryan
Seconded by – Harry Horgan
Carried - unanimous
Newsletter editor – Paul Chisholm nominated by Trevor Hodges
Seconded by – Dave Morris
Carried - unanimous
General Business
1. Bruce Lovett brought up three items. A) He asked could a membership list be published. Trevor said that permission is sought but Roger said that this hadn’t been kept recently.
2. Bruce raised the issue of the BDO. He asked could local clubs be contacted personally. Trevor replied that the whole organisation needed to be discussed.
3. Bruce asked is it possible to put a membership form in each issue of 7th Heaven.
4. Paul replied by raising the issue of the organisation of the Forums. Paul moved that someone be appointed as an organiser for the Forums and perhaps they be assisted by some other members. Keiran mentioned some issues around the organisation of the Forums. Harry replied that we should form a sub-committee to organise this.
5. Harry moved a motion that a sub committee be formed to organise the Forum for next 12 months. Seconded by Keiran – unanimously carried.
6. Harry asked whether the number of forums was too many. People felt that this was about right. Trevor mentioned that one well attended event may be better than two poorly attended events. John asked how many people be on the committee. Trevor replied that he felt that two would be an ideal number and that perhaps . Bruce mentioned that the promotion of the Forums didn’t just rely on the advertising, it also depended on the membership. John felt that the committee should have three members. John O’Neill, John Lee and Ray Rumble offered to form the committee. Roger Porter offered to help out.
7. Paul raised the issue of content of 7th Heaven. The material for this is becoming more difficult to garner. It raises issues of publication deadlines and planning. Discussion took place on this issue.
8. Peter Berg raised the issue of the younger generation. He asked what are we doing to cater for this group of members. Bruce replied that the same issue had been raised by other groups.
9. Harry raised the issue of memberships and appointing a membership officer. He felt that this would help to promote membership. The issue of raising memberships came up and Keiran said he felt we all had an obligation to help promote the group and the scale.
Meeting Closed – 12.22
Fitting Waratah Wheel sets into O-Aust Bogies.
by Martin Hartley
I was assembling some O-Aust 2AE bogies and found that the holes in the bogie side frame castings were far too large for the Waratah bearings. This is because O-Aust originally designed their kits to accept North-Yard Wheels. These are made for the 9mm scale narrow gauge market, and the bearings are 4mm in diameter. With a little bit of research I found an effective method of fitting the smaller Waratah bearings into the O-Aust Bogies.
For this you will need:
five-minute epoxy/araldite.
Evergreen Strip Styrene 5/32” tube (4.0mm diameter) item no. 225
3mm twist drill bit.
Drill (I used a power screw-driver/cordless drill running at low speed)
Only buy one packet of the styrene tube. Each length of tube is enough to convert about seven or eight bogies. If you have a couple of mates who are using O-Aust bogies pass on this article and share around the packet of tubing.
To fit one bogie:
Cut four lengths of this tube about 6mm in length (better to be slightly over than slightly under).
Mix up a batch of the five-minute epoxy. Dip the ends of the bits of tube into the epoxy and insert them in the holes in the bogie side frames where the bearings will go. Its better to use a little much than too little, as the excess can be removed with a hobby knife once it has set.
Once the bits of tube are set in the bogie side frames trim off the excess tubing with a sharp knife and/or file them flat. I used a cheap bastard file bought from a $2 shop.
Take a 3mm drill bit and open up the holes to 3mm to accept the Waratah bearings. It is best to use a power screw-driver as it drills slowly enough that it will not melt the plastic and it drills faster than a pin-vice! Once you have hit white-metal stop drilling. The Waratah bearings are shorter than the North Yard ones and do not need a deep hole.
Once the holes are drill out remove any burrs with a hobby knife. You may also like to make a slight bevel in the plastic to help the bearing slide in easier. The bearings should be a press-fit into the bogie side-frames now.
Assemble the bogies now as per the O-Aust instructions.
Note: to fit Slaters or Peco wheels and bearings, use a drill bit 2.5mm in diameter.
Happy modelling!
Martin “Mad Marty” Hartley
The Bergs 41
A Short Review
by Bruce Lovett
THE PROTOTYPE.
In August, 1949, the N.S.W.G.R. called tenders for ten shunting diesels to replace ageing steam locos with the tenders closing in December, 1949. This was to be the second diesel loco for the N.S.W.G.R. following on from the highly successful Alco 40 class. When tenders closed in December, 1949, twenty had been received from companies in Australia, England, Germany, Japan and U.S.A., the successful tenderer being British Thomson – Houston Co. Ltd. and Metropolitan – Cammell Carriage & Wagon Co. Ltd. in England.
After many design changes and setbacks, the first loco, number 4102, finally arrived in Sydney in October, 1953, three and a half years after the signing of the contract! The class leader, 4101, had been retained in England for demonstration purposes and arrived soon after. However, it was almost two months before the two locos, 4101 and 4102, entered service whereas the 40 class were ready for service within days of landing in Sydney. This delay in commissioning the first two “Beetles” was a prelude to the problems this class of locos would experience throughout their career. Delivery of the remaining locos was progressive, the last member of the class finally arriving in November, 1954, with a much modified radiator system.
Right from the start there were problems with engine overheating, so, the radiators at each end were extended taking up most of the end platforms and making access for the crew very difficult. This did not solve the problem entirely so extra vents were installed in the tops of both hoods.
Other problems manifested themselves in the electrical department for these were diesel electric locos, that is, a diesel engine driving a generator which powered two traction motors on each bogie. Then there were problems with the M.U. connections. The problems went on and on until most of them were sorted out over time but such were the problems with these locos that not once in their career of twenty years were all locos in service at the same time. However, they were popular with crews as they had a comfortable cab, rode well and could haul a load of up to 900 tons when all the parts were working.
The end finally came when they were replaced by the 73 Class and the last “Beetle” was taken off the books on the 2nd September, 1974. Fortunately, negotiations to preserve 4102 were completed in March, 1976, and this loco became part of the loco roster of the N.S.W. Rail Transport Museum at Thirlmere, N.S.W.
THE MODEL.
The model under test was built and painted from the first kit produced by The Model Company to represent number 4101 in its original condition. This kit consists of a series of pewter castings, brass etchings, lost wax brass castings, brass wire, plastic blocks, worms, gears, stainless steel wheel sets, a North West Short Line can motor and hookup wire. The model uses the English split axle electrical system with all wheels used for pickup and return, the parts for the two powered bogies being supplied by North Yard.
Included in the kit is a step by step set of instructions totalling eleven pages with an excellent drawing of the chassis and drive arrangement supplied by North Yard. Also included is a CD containing a series of both prototype and model photos which should prove very useful in assembling the kit. The instructions are written in a friendly railway modeller fashion and I felt the modeller should not have any problems as long as each step is followed with plenty of reference to the photos.
THE TEST.
This was a brand new model without any run in period, so after oiling all moving parts and applying graphite grease to all worms and gears it was run around the layout without a load to “bed in” all the moving parts. This was the fairest way to start the tests and also to ensure that the moving parts were not damaged through lack of lubrication.
The loco is quite heavy at 1.4kg and sits well on the track, the weight being a contributing factor in the excellent pulling power. As you can see from the test
sheet, starting voltage in each case was surprisingly low and very smooth with little difference between loads. All starts were made with the train sitting on level track.
With loads of 4, 8 and 12 vehicles there was very little difference in the running voltage and amps, with only a 20% increase when loaded with 16 vehicles. This particular train measured 16'0" long. It was only when I placed my hand in front of the loco to cause it to slip that the voltage dropped and amps increased by 75%. In each test the train was stopped on the grade and restarted with the result that it did not stall or the wheels slip.
**THE LAYOUT.**
All tests were carried out on clean nickel silver Codes 124 and 138 track in an anti clockwise direction to make full use of the grades. The grades were various of 1 in 72, 1 in 87 and 1 in 624, plus level track with very little run up or level track to each grade. Curves were all 36" radius, transitioned and super elevated with Peco and scratch built No. 6 turnouts. The controller was home made using a Tenshodo 40 ohm rheostat, fitted with volt and amp meters and powered by a 4 amp filtered 12 volt battery charger. Rolling stock were all weighted to N.M.R.A. standards and fitted with clean metal scale wheels running in brass bearings.
**CONCLUSION**
The tests showed that this is a very good model and the pulling power and quiet operation exceeded expectations. The only criticisms I have are minor and are as follows –
1. The method of fitting the bogie side frames is disappointing as they tend to bend inwards with handling and drop down touching the track and shorting.
2. Buffer springs are too strong.
3. The directions do not contain a list of contents.
4. Not all tools required are listed.
Apart from the minor criticisms above, I have no hesitation in recommending this model for any large small 0 Gauge 7mm Scale layout of the N.S.W. prototype.
---
**TESTS CARRIED OUT ON BERG’S HOBBIES 41 CLASS DIESEL 0 GAUGE 7MM SCALE**
| TEST NO. | NUMBER OF BOGIE VEHICLES | TOTAL WEIGHT OF VEHICLES | WEIGHT OF LOCO | WHEEL SLIP WHEN STARTING | STARTING VOLTAGE | RUNNING VOLTAGE | RUNNING AMPS. | CURRENT WHEN SLIPPING | CURRENT WHEN STALLED |
|----------|--------------------------|--------------------------|---------------|--------------------------|------------------|----------------|-----------------|------------------------|----------------------|
| 1 | NIL | NIL | 1.4kg | NIL | 3 VDC | 4-5 VDC | 0.4 - 0.5 | NO SLIP | UNABLE TO STALL |
| 2 | 4 | 990gms | 1.4kg | NIL | 4.5 VDC | 4-6 VDC | 0.5 – 0.6 | NO SLIP | “ |
| 3 | 8 | 2.54kg | 1.4kg | NIL | 3 VDC | 5-6 VDC | 0.6-0.8 | NO SLIP | “ |
| 4 | 12 | 3.78kg | 1.4kg | NIL | 3 VDC | 5-7 VDC | 0.6-0.8 | NO SLIP | “ |
| 5 | 16 | 4.99kg | 1.4kg | NIL | 4VDC | 7-8.5VDC | 0.9-1.0 | 8VDC 1.75AMPS | “ |
Motor temperature on completion of test – slightly warm.
Room temperature – 20 degrees C.
Time for one lap of 55'0" with 12 wagons – 36 seconds.
Time for one lap of 55'0" with 16 wagons – 40 seconds.
Distance covered for each test – 10 x 55ft. – 550ft.
Total distance covered by loco – 5 x 550ft – 2750 ft or one third of a mile.
A Scaleseven Chassis for a D50
the story so far
by John Birch
I should set some context for this. I live in the UK, where even among railway enthusiasts there is only a vague idea about Australia’s railways – the most widely known fact being that there is, or was, no standardised gauge. I have modelled in 0 gauge for about 40 years, but only spasmodically as the demands of family, a career, and subsequently running my own business have intervened.
The modelling interest was in London’s Metropolitan Railway, but I have always been fascinated by overseas railways, especially those with a strong British flavour. When I noticed the existence of the Century, 0-Aust and Waratah ranges, it seemed that NSWWR was a real possibility in 7mm scale. At about the same time I had been introduced to a group building a large Scaleseven layout and discovered there were three helpful and friendly Scaleseven modellers within six miles of my home. It seemed like a reasonable idea to build the NSWWR layout to these standards. The problem is that the Century models 50 class kit was not designed with this in mind and some drastic work is necessary. I am grateful to David Peterson for his kind guidance on some aspects of building this chassis.
My kit arrived with laser cut steel frames. These seemed too thick and I decided to cut a set from 28thou (0.7mm) nickel silver using the steel frames as a template. The overall width of the frames in the Century kit is only 24.7mm when assembled. Ideally they should be in excess of 29mm. The frame spacers were never going to be usable and the spacer material is simply N/S strip guillotined to a constant width.
My first attempt was soldered up and then the hornblocks were set up using a Hobby Holidays chassis alignment jig. Like all such jigs, it is set up using the coupling rods to set the jig to the correct wheel spacing (whereas the Century instructions require you to build the chassis and then fettle the coupling rods to fit). I used Slaters sprung nylon hornblocks on this, but when I failed to get this chassis to run totally freely (I suspect all I needed to do was ease the coupling rod holes a bit more), I decided to build a second chassis, but this time used Hobby Holidays own ball raced sprung hornblocks. These have the added advantage of having a milled brass body which can be soldered to the frames and this strengthens the weak spots around the openings in the frames. This second chassis was assembled using an Avonside Works chassis jig belonging to a friend and is very strong and true. The overall width of the frames is 29.2mm and this gives rise to further problems.
Firstly, the cylinders. These have been cast to allow for the narrow frames of the kit. I milled 2.2mm off the back of the body of the cylinder casting before soldering it to the backplate. This gave a correct overall width but created another problem which I’ll come to.
Secondly, the motion brackets. No such simple solution here and I decided the only option was to make new ones. I thought the bead around the brackets and the opening in them would be difficult to scratchbuild and as I was getting a sheet of brass etched for 50 and 32 class cabside replacements, I would put the motion brackets in a spare corner. These were done by etching two pieces for each bracket which were then soldered back to back. In this way I got the beading effect. The opening is very marginal, and the coupling rods will foul the bracket unless the chassis is properly weighted and the springs are fully compressed to the correct ride height.
Thirdly, the plunger pickups. I would have liked to use the American pick up system (one side via the loco, the other via the tender) to avoid any sort of wiper, but this involved using the ball races as a current path, and the Gauge 0 Guild manual advises strongly against this as arcing can destroy the ball races themselves. So I decided to use the plungers provided, but cut down the springs so that there is very little pressure on the backs of the wheels. The frames are much closer to the back of the wheels than when the kit is assembled as intended.
The wheels were turned to Scaleseven dimensions by a member of the Scaleseven society. The photo shows the finer flanges. In addition I replaced the axles with the longer S7 version from Slaters (the S7 gauge is 33mm).
That’s the story so far. I hope I will have a 50 class one day – it seems to have taken a long time to get this far.
Hobby Holidays: www.hobbyholidays.co.uk
Avonside Works: www.avonsideworks.com
**Pony truck**
The pony truck casting appears to have an error. It has been cast with a slot across the front which does not appear in any photographs I have seen. I soldered a piece of N/S suitably riveted over this. Courtesy of pictures from David Peterson, I also added spring hangars to the pony truck which give a nice touch of added detail to the front view. Unfortunately I cannot match David’s workmanship on such tiny details. The pony truck has a piece of square tube soldered vertically to it into which I have put a piece of brass attached to a spring. This puts some weight on the pony truck wheels and will hopefully aid tracking. There are also two pieces of 0.5mm phosphor bronze wire soldered either side of the nut to which the shouldered screw attaching the pony truck is attached. These are parallel to the pony truck arm and give an element of side control. We shall see.
The leading drivers needed extra work as it was evident that I would not get enough clearance between the rear of the crosshead (alligator in this case) and the leading crankpin. Instead I countersunk the rear of the leading drivers and screwed an M2 bolt from the back. I then turned a “top hat” style retaining nut which screws onto the M2 bolt and sits flush with the face of the coupling rod.
The coupling rod needs to have a countersink on the front face. The easiest way to do this would be to open out the holes in the first one or two layers of the coupling rod etches before soldering them up, needless to say I didn’t think of this early enough. Even so the clearance was very tight, and I opted to put a 0.5mm piece of brass behind the cylinder backplate to ease the cylinders out enough to clear. It makes the overall width too great but seems to have been the most acceptable compromise. With hindsight perhaps I should not have milled so much from the castings.
The pictured building, Lawson’s (the S would not fit in the available space on the building) General Store has taken out 1st Place for structures at the NMRA Australasian Region 2002 Convention and the Berg’s Award for Best Line side Structure at the O Gauge Workshop 2002. It now resides on Trevor Hodge’s Queen’s Wharf.
Over the last twenty or so years I have entered dioramas, buildings and rolling stock in modelling competition, all with various degrees of success. What I have achieved has given me the great thrill of competing against other modellers and more importantly the opportunity to show off my efforts to the general public and of course other modellers.
In recent years a modelling competition has become part of the O-Scale Modellers Forum thanks to some generous manufacturers and hopefully this will continue.
After winning the Waratah Models Diorama competition in October in 2007 with the diorama Tyler’s Crossing. I decided to conduct a critique
While not wanting to be over critical of oneself I felt it would be beneficial to go through the whole procedure of what I had just completed and see how the process could be better organised to produce higher quality models, achieve a more professional approach and also improve the environment I was working in.
The list I have compiled I hope will encourage you to compete in these competitions and enjoy a part of our hobby that is sometimes overlooked and has the potential to be a hobby in itself. Some of the items in the list below relate to my own personal circumstance but I feel that they are of value to all.
START EARLY
1) Make sure all jobs around house are up-to-date, especially in the last month.
2) Have better floor coverings, rather than conveyor belt on a concrete floor! This resulted in a very sore back, because of the long hours spent standing in the one spot.
3) Have everything in its place and a place for everything.
4) Start to gather appropriate tools and materials weeks-months beforehand.
5) If constructing a diorama have the main components finished before starting e.g. buildings, rolling stock completed beforehand.
6) Have a stock pile of detail parts, constructed, painted and ready to be applied.
7) If using prints for backdrop, have them printed out enhanced, cropped and ready to apply.
8) Be more organised with the way you work e.g. stop losing tools amongst everything else. There was enough room but this was being cluttered up because too many tools, materials, plan etc. were on/in the workbench area.
9) Clean the workbench every day or better still after every change of job e.g. if constructing trees and you finish them and start woodwork, clean the bench of tree making material.
10) Take photos of progress during construction.
11) Think of what you are going to transport the finished item in e.g. a box so the item cannot be damaged and that said item fits in this container well before hand.
12) Have this list hanging above the workbench before starting.
13) Practice what you preach.
14) And remember
You don’t have to build a layout to be a 7mill modeller.
Another view of Trevor Hodges’ Nymboida station building.
Bruce Lovett’s scratchbuilt Z18 tank loco. Originally built by the late Jack MacMicking and rebuilt, detailed, painted and weathered by Bruce.
O-Aust
O-Aust Kits email@example.com, and via the web site at www.oaustkits.com.au, at PO Box 743, Albany Creek, Qld, 4035, mob 0419680584 or (07) 3298 6283 wanted to pass on the news that he is now available to be contacted during normal business hours and most evenings and weekends at reasonable times by phone.
The 3000 gal 4-wheel and 5000 gal bogie Shell tank car kits are now both available for sale at $185 per kit for the 4 wheeler and $235 for the bogie tanker. Both kits are selling fast and are being supplied as batches become available.
O-Aust wanted to mention that there appear to be some supply problems with wheels at the moment from his normal supplier. Kits can be supplied direct to customers from O-Aust with Slaters wheels or without wheels for those customers who prefer to source their own wheels.
Pattern work is complete on the full range of R carriages O-Aust is releasing; the CR, BR, FR and HR. These will be produced in a staged manner so they don’t all arrive at the same time, with approximately two months between each type. The manufacturing challenges of producing diaphragms for these carriages have been sorted out so all appropriate carriages can now built in either independent or intermediate versions. The CR will be produced first (it is hoped in late Aug/early Sept) with each kit costing $450. See above regarding the supply of wheels with these kits.
Sunday 23rd August, 2009 at Caulfield Racecourse, Victoria.
The QR 1400 class diesel (1:48) kit will be available at the Queensland Model Railway Show Saturday 24 & Sunday 25 October 2009.
Berg’s Hobbies
Berg’s Hobbies, 181 Church St Parramatta, NSW, 2150, (02) 9635 8618, http://www.bergshobbies.com/ has announced that the NSWR 41 class diesel kit is now available for sale at $995. The kit comes complete with a CD of instructions, prototype pictures and 29mm can motor. Flywheels can be supplied upon request. The chassis is being produced by North Yard of NZ.
Bergs wanted to remind members that they retail the full range of O-Aust kits through their Parramatta shop.
David Peterson Modelling Services
David Peterson Modelling Services, PO Box 644 St Ives, NSW 2075, Tel 61 2 9144 1521, Mob 0402 156 048, Email firstname.lastname@example.org, has passed on the news that progress on the NSWR 12 class is on schedule for an early Oct, 2009 release. The kit etches will be in Australia by the end of July and castings should begin arriving at around the same time. Instructions are 50% complete at the time of writing and the kits will be provided with a CD including prototype photos, progress shots of the pilot model being built and written, explanatory text. The kits will be supplied with everything the modeller needs to build the loco except couplers, decals and brass numbers. Numbers can be supplied upon order. The kits will come with a Mashima can motor, ABC gearbox and wheels. A Canon motor can be supplied for a small extra cost. It is hoped to have the pilot model available for viewing at the Liverpool exhibition.
Keiran Ryan Models
Keiran Ryan, Keiran Ryan Models, 39 Coachwood Cres, Picton, NSW, 2571, (02) 46772462, email@example.com & www.7mmkitsnbits.com has announced that the NSWR 7mm signal kits are now available for sale with a price to members of $52 for each kit. These kits make up into an accurate model of a standard NSWR home signal. They come supplied with all parts to light the signal and they can be built fully operational. They are supplied with comprehensive instructions, including suggested methods of activating the finished signal. Modellers need to supply their own activation control parts, these are not supplied with the kit.
The NSWGR 20 class is still under active development and it is hoped that a pilot model will be available for viewing at the Liverpool exhibition.
KRM also wanted to let members know that they are now retailing a range of Scale Hardware which includes rivets, nuts and bolts in a range of sizes.
Waratah Model Railway Co
Waratah Model Railway Company, PO Box 509, Revesby, NSW, 2212 (02) 97851166 firstname.lastname@example.org and email@example.com have announced that all the pattern work for the NSWR BWF bogie flat wagon is now complete and a pilot model has been produced. Instructions are being written at the time of writing. Each kit will include a set of 2SE whitemetal bogies (illustrated below) and comes complete with brass buffers and couplers. Price TBA with the kit to be available at the next Aus7 Forum.
The NSWR 7mm yard crane is progressing on schedule and should be available at about the same time as the BWF. The kit will be made up of brass and whitemetal components and will make up into a highly accurate, detailed model.
Waratah have announced that the next rolling stock kit to be produced will the NSW HG, four wheel brake van.
Gwydir Valley Models
Warren Herbert from Gwydir Valley Models, PO Box 740, Glenn Innes, NSW, 2370 or on (02) 6732 5711 or firstname.lastname@example.org wanted to let members know that he retails a comprehensive range of tools and electronic components, including the Tsunami decoder and all the LEDs mentioned in the recent locomotive construction articles published in 7th Heaven.
We’d encourage all members to support our advertisers, who help to make the publication of 7th Heaven possible.
The O-Aust Trophy
O-Aust Kits is proud to announce that they will once again be sponsoring a modelling competition at the next O Scale Forum on Saturday 31st October 2009.
Trophies will be awarded for the best scratchbuilt and the best kitbuilt model.
The rules are as follows:
- winners will be selected from models on display at the forum and the modeller must be in attendance
- models must be to 7mm or 1/4" scale
- models must be of Australian prototype, any system or state.
- kits may be from any manufacturer, not limited to O-Aust.
- prize winning models will not be eligible for entry in any future competition
- models may be a locomotive, rolling stock or structure
- competition to be judged by Peter Krause or his nominee
The Aus7 Modellers Group invites you to the
**NSW O-Scale Modellers Forum**
Saturday 31st of October 2009
Seminar topics will be announced when finalised.
- Modelling Competition (O-Aust Trophy)
- Manufacturers’ Reports
- Traders who specialise in O scale
Everyone welcome!
North Sydney Leagues Club
Kamaraigal Room, 12 Abbot St Cammeray
8:30 a.m. sign in for a 9:30 a.m. start
For details ring Keiran Ryan
0409952874 or 02 46772462
Suppliers of:
O Gauge Australian rollingstock as kits and ready to run*
Century Models 7mm scale NSWGR steam locomotives
A large range of O-Gauge parts and accessories
* to order only
CR COMPOSITE CARRIAGE
SHELL 5000 TANK NOW AVAILABLE
SHELL 3000 TANK NOW AVAILABLE
Kits Available Now
**O-Aust Kits**
C32 steam loco, 48 class diesel, 830 class diesel, ACM, FR (int), Shell 3000 & 5000 tank, S, MRC, UME, BCW, CW, BHG, BCH, BWH, SRC, LLV, MLV, QLX (QR), K/KA (QR), CLF (QR)
**Century Models**
Z19 loco, D50 loco.
For Future Release
**O-Aust Kits**
C30 tank loco, 44 class diesel, MHG, CR, FR (int), BR (int & ind), HR, EHO, DH loco (QR), 1400 loco (QR), Flat Top T (VR), BBV (QR).
**Century Models**
C30T loco.
PO Box 743, Albany Creek, Qld, 4035 or email email@example.com
Phone 07 3298 6283 Fax 07 3298 6287 Mobile 0419 680 584
www.oaustkits.com.au |
Degenerate topological line surface phonons in quasi-1D double helix crystal SnIP
Bo Peng$^1$, Shuichi Murakami$^{2,3}$, Bartomeu Monserrat$^{1,4,*}$, and Tiantian Zhang$^{2,3,\dagger}$
$^1$TCM Group, Cavendish Laboratory, University of Cambridge, J. J. Thomson Avenue, Cambridge CB3 0HE, United Kingdom
$^2$Department of Physics, Tokyo Institute of Technology, Ookayama, Meguro-ku, Tokyo 152-8551, Japan
$^3$Tokodai Institute for Element Strategy, Tokyo Institute of Technology, Nagatsuta, Midori-ku, Yokohama, Kanagawa 226-8503, Japan
$^4$Department of Materials Science and Metallurgy, University of Cambridge, 27 Charles Babbage Road, Cambridge CB3 0FS, United Kingdom
*firstname.lastname@example.org
†email@example.com
ABSTRACT
Degenerate points/lines in the band structures of crystals have become a staple of the growing number of topological materials. The bulk-boundary correspondence provides a relation between bulk topology and surface states. While line degeneracies of bulk excitations have been extensively characterized, line degeneracies of surface states are not well understood. We show that SnIP, a quasi-one-dimensional van der Waals material with a double helix crystal structure, exhibits topological nodal rings/lines in both the bulk phonon modes and their corresponding surface states. Using a combination of first-principles calculations, symmetry-based indicator theories and Zak phase analysis, we find that two neighbouring bulk nodal rings form doubly degenerate lines in their drumhead-like surface states, which are protected by the combination of time-reversal symmetry $\mathcal{T}$ and glide mirror symmetry $\tilde{M}_y$. Our results indicate that surface degeneracies can be generically protected by symmetries such as $\mathcal{T}\tilde{M}_y$, and phonons provide an ideal platform to explore such degeneracies.
Introduction
Degeneracies in the bulk energy bands of crystals were intensively studied in the early days of band theory.\textsuperscript{1} Recent breakthroughs have shed new light into this old topic by associating topological invariants with these degenerate points or lines,\textsuperscript{2–4} and by extending the discussion from electrons to phonons,\textsuperscript{5–7} photons,\textsuperscript{8} magnons,\textsuperscript{9} and excitons.\textsuperscript{10} Among the degenerate points, twofold degenerate Weyl points always appear in pairs that can be topologically characterized with opposite Chern numbers,\textsuperscript{11–14} and fourfold degenerate Dirac points have a linear dispersion in both electronic\textsuperscript{15–20} and phononic systems.\textsuperscript{21,22} When the band crossings are one-dimensional in momentum space, they can form nodal lines, nodal rings or nodal chains, depending on their shape,\textsuperscript{23–31} and these line crossings are protected by symmetries such as mirror or $\mathcal{PT}$ (where $\mathcal{P}$ is the spatial inversion symmetry and $\mathcal{T}$ is the time reversal symmetry).\textsuperscript{32,33} Recent advances, using both group theoretical analysis and high-throughput calculations, have enabled a comprehensive understanding of bulk band degeneracies in both electrons\textsuperscript{34–36} and phonons.\textsuperscript{22} These topological degeneracies exhibit unique physical properties such as a ‘quantum anomaly’,\textsuperscript{37,38} enabling various applications from spintronics\textsuperscript{39} to topological quantum computation.\textsuperscript{40}
As a result of the bulk-boundary correspondence, the degenerate bulk points and lines are associated with topologically protected surface states, including surface arcs associated with Weyl and Dirac points\textsuperscript{41–44} and drumhead-like flat bands associated with nodal lines.\textsuperscript{24,45} Similar to bulk band degeneracies, surface states can also exhibit band crossings in both semi-infinite slabs and finite slabs (with top and bottom surfaces).\textsuperscript{46} Here we focus on semi-infinite systems with only one surface. For Weyl points with Chern numbers of $\pm 1$, the associated helicoid surface states, whose isoenergy contours are Fermi arcs, form a continuous 2D surface in the energy-momentum space $E-\mathbf{k}$ and have no degeneracy,\textsuperscript{47} as schematically shown in Figure 1(a). In topological insulators and topological
crystalline insulators, the surface states become degenerate at a single point,\textsuperscript{48–52} forming a surface Dirac cone, as shown schematically in Figure 1(b). In principle, two surface states can also cross along a line in the surface Brillouin zone, as shown schematically in Figure 1(c). However, like the bulk case, these surface line crossings need to be protected by additional symmetries.\textsuperscript{47,53–56} While nodal line degeneracies in the bulk states have been thoroughly explored in a variety of quasiparticle band structures, the degenerate lines in the surface states have received less attention. The few examples of surface nodal lines all correspond to electronic band structures\textsuperscript{47,53–57} or artificial systems.\textsuperscript{58,59} It is therefore desirable to identify more candidates in other quasiparticle spectra to fully understand the role of surface degeneracies.
**Figure 1.** Different types of the surface states in topological materials. (a) Non-degenerate helicoid surface states, (b) zero-dimensional degenerate Dirac surface states, and (c) one-dimensional degenerate nodal-line surface states.
Among all the quasiparticles, phonons are of particular interest as they describe intrinsic ionic vibrations. Moreover, the bosonic nature of phonons facilitates the exploration of topological phenomena in their entire spectrum. This is in contrast to fermionic systems (\textit{e.g.} electronic systems) in which there is an additional constraint that degeneracies need to occur near the Fermi level to have an impact on the behaviour of the material. Furthermore, time-reversal symmetry is hard to break in phononic systems, and consequently this extra symmetry requirement is automatically satisfied in phonons. These advantages have led to a recent surge of interest in characterising topological properties of phonons,\textsuperscript{5–7,21,22,60–76} but degenerate lines in surface phonon states have not yet been reported.
In this work, we propose that SnIP, an inorganic semiconductor with nodal-ring phonons in the bulk states, exhibits nodal-line surface states in the phonon spectrum using a combination of first-principles calculations, group theory analysis and Zak phase analysis. These surface states are doubly degenerate in a nodal line on the (100) surface. The surface nodal line is protected by the anti-unitary symmetry $\vartheta = \mathcal{T}\bar{M}_y$, which is a combination of time-reversal symmetry $\mathcal{T}$ and glide mirror symmetry $\bar{M}_y$. With different surface terminations, we can alternatively get two surface nodal lines on different parts of the (100) surface Brillouin zone, which can be understood by different Zak phases in the presence of $\mathcal{T}\bar{M}_y$ symmetry. Our results suggest that similar surface degenerate lines/points will be found in other materials when there are extra symmetries to protect these surface degeneracies, and we believe that phonons can be a primary platform to study these degeneracies because of the presence of time-reversal symmetry and the flexibility to study the degeneracies in the entire phonon spectrum.
**Results**
**Crystal structure and phonon dispersion**
SnIP is an inorganic semiconductor with a double helix crystal structure, first synthesized in 2016, and can be formed without any templates.\textsuperscript{77–79} The strong covalent bonds along the helices and the weak van der Waals interactions across the helices combine the electronic properties of inorganic semiconductors, such as high electron mobility,\textsuperscript{80} and the mechanical properties of polymers, such as high flexibility.\textsuperscript{81} In addition, by atomic substitution, a large
material family with double helix structures has been predicted using first-principles calculations, providing a wide range of band gaps between 1 and 2.5 eV.\textsuperscript{82} With a tunable band gap and high mechanical flexibility, these quasi-one-dimensional semiconductors are extremely promising for next generation devices ranging from mechanical sensors to optoelectronics.\textsuperscript{81,82} Moreover, they can serve as a material platform to realize one-dimensional physical models such as the Su-Schrieffer-Heeger model\textsuperscript{83} and Majorana quantum wires.\textsuperscript{84,85}
Bulk SnIP crystallizes in the monoclinic space group $P2_1/c$ (No. 13) with two double helices $(\text{SnIP})_7$ in the unit cell with stoichiometry $(\text{SnIP})_{14}$. The two double helices, alternatively left- and right-hand twisted, are stacked along the $a$ direction. Each double helix is formed by an inner helical P chain and an outer helical SnI chain, as shown in Figure 2(a). The $(\text{SnIP})_7$ unit in each SnIP chain winding results in a 7/2 helix. From one phosphorus (yellow) atom to the next, the turning angle is about $\pm 360^\circ/7$ followed by a translation of $c/7$, and the same holds true for the tin (cyan) and iodine (navy) atoms in the SnI helix.\textsuperscript{86} The calculated lattice parameters of $a = 7.889$ Å, $b = 9.768$ Å, $c = 18.422$ Å, and monoclinic distortion $\beta = 110.21^\circ$ match well with the measured ones.\textsuperscript{77,79}
**Figure 2.** Structural and vibrational properties of SnIP. (a) Crystal structure, (b) phonon dispersion and (c) Brillouin zone of SnIP. The orange region in the phonon dispersion highlighted in (b) corresponds to the topological features that we focus on. The phonon DOS is also shown in (b).
The calculated phonon dispersion of SnIP is presented in Figure 2(b). It exhibits wide bandwidths along the helical direction, corresponding to the $\Gamma$-Y, C-Z, B-A and E-D high-symmetry lines in Figure 2(c), but, by contrast, phonon bands along other high-symmetry lines, especially those perpendicular to the helices, have a relatively flat dispersion, a result of the quasi-one-dimensional nature of this material. This is consistent with the fact that SnIP has strong covalent bonds along the one-dimensional helices but only weak van der Waals-like interactions between the double helices. As a result, SnIP fibers can be macroscopically bent by up to 90° without any significant Raman mode shifts, indicating that SnIP is an ultrasoft inorganic material and bending the helices has negligible influence on the phononic properties.\textsuperscript{81}
There are 42 atoms in the unit cell of SnIP, corresponding to 126 phonon branches. The calculated atom-projected phonon density of states (DOS) in Figure 2(b) indicates that the low frequency modes below 4 THz are mainly vibrations involving the heavier Sn and I atoms, while those between 4–14 THz are dominated by the motion of the lighter P atoms. There are 14 phosphorus atoms in the unit cell, leading to 42 P-dominated bands in the phonon
spectra, spanning branches 85 to 126. The phonon modes from 4 to 10 THz (branches 85-108) are more dispersive compared to the almost flat bands between 10 and 14 THz. The two double helices are related to each other by inversion/glide mirror symmetry, so there always exist two bands with similar eigenvalues and similar eigenvectors, corresponding to the P atoms from the two separate P chains, respectively (see the phonon dispersion between 4-8.5 THz in Supplementary Note 1 of the Supplementary Information).
Hereafter we focus on the frequency range 4-10 THz because the corresponding phonon bands are relatively ‘clean’ due to the large mass difference between phosphorus and the other two elements that separates them from the lower energy bands, and due to the strong intrachain vibrations that make them highly dispersive. This makes them an ideal playground for exploring topological features. In addition, these modes in the range 4-10 THz contribute to nearly half the thermal conductivity along the helix direction (see the phonon transport properties in Supplementary Note 2 of the Supplementary Information).
**Nodal ring phonons in SnIP**
For the phonon modes between 4 and 10 THz, dominated by the vibrations of the relatively light P atoms, the phonon bands have a large dispersion along the helical direction but are almost flat along the perpendicular directions, as shown in Figure 2(b). The band folding of the seven P atoms in a single helical P chain\(^{86}\) leads to several band crossings near the Brillouin zone boundary, especially in the flat band regions. After a comprehensive search for band crossing points between bands 85-108 (\(i.e.\), 4-10 THz), we find that the most promising band crossings are formed by phonon branches 92 and 93 with clean topological features in both bulk and surface states. Marked with # 92 and # 93 in Figure 3(b), these two bands cross along the \(\Gamma-Z\) high-symmetry line.
To understand the topological information of the band crossings between branches 92 and 93, we use symmetry-based indicator theories to analyze the degeneracies.\(^{63,87-91}\) Because of the existence of a band crossing along the \(\Gamma-Z\) high-symmetry line, the compatibility condition is broken for the lowest 92 bands, as the compatibility relations can only be satisfied when the band structures have no (non-accidental) band crossings along any high-symmetry lines or at any high-symmetry points.\(^{88}\) So we cannot use the symmetry-based indicator for space group No. 13. Instead, we need to find a maximal subgroup of SnIP that simultaneously satisfies the compatibility condition and has a nontrivial symmetry-based indicator. Among all the subgroups of space group No. 13 (space groups No. 2, No. 3 and No. 7), No. 2 is the only subgroup which both satisfies the compatibility condition and has a symmetry-based indicator group: (i) the compatibility condition is satisfied because the twofold rotation symmetry in No. 13 that protects the band crossing along \(\Gamma-Z\) is absent in No. 2; (ii) space group No. 2 has a non-trivial symmetry-based indicator of \(Z_{2224} \equiv Z_2 \times Z_2 \times Z_2 \times Z_4\), as discussed in detail in Ref. [88]. Therefore we can use \(Z_{2224}\) as indicators to diagnose the topological degeneracy. For space group No. 2, there are eight high-symmetry points, \(i.e.\) high-symmetry points \((q_a,q_b,q_c)\) with \(q_{a,b,c} = 0,0.5\). We obtain the irreducible representations (irreps.) at the eight corresponding high-symmetry points \(\Gamma\) (0,0,0), Z (0,0.5,0), B (0,0,0.5), Y (0.5,0,0), C (0.5,0.5,0), D (0,0.5,0.5), A (0.5,0,0.5), and E (0.5,0.5,0.5), as shown in Figure 3(a). We then compute the indicator accordingly. The resulting indicator (0101) implies that there is a single nodal ring around the Z point in SnIP formed by branches 92 and 93, which is verified by the numerical calculations in Figure 3(c).
We next examine in detail the nodal rings formed by bands 92 and 93. We zoom in the phonon dispersion on the \(\Gamma-B-D-Z\) plane in Figure 3(b). The band crossing formed by bands 92 and 93 along the \(\Gamma-Z\) high-symmetry line belongs to the single nodal ring around the Z point, carrying a quantized \(\pi\) Berry phase. The nodal ring crosses through the Brillouin zone boundary around the B-D high-symmetry line, and consequently there are two nodal rings from two neighbouring Brillouin zones formed around the D point. We also plot the phonon dispersion around N \((-0.01,0.35,0.51)\), another band crossing point on the neighbouring nodal ring, as shown in Figure 3(b). Most interestingly, we find that the two neighbouring nodal rings projected on the (100) surface have a large overlap, and the two drumhead-like surface states of the two bulk nodal rings form a doubly degenerate line along B-D (as discussed below).
Figure 3. Topological properties of SnIP. (a) Diagnosis process for the single nodal ring around the Z point using symmetry-based indicator theory for the lowest 92 bands. (b) Phonon band crossings between branches 92 and 93, and (c) the nodal rings in the bulk Brillouin zone, as well as their projections on the (100) surface.
Topological surface states of SnIP
We demonstrate the nodal-line surface states by calculating the surface local density of states (LDOS) from the imaginary part of the surface Green’s function.\textsuperscript{92} We first study the surface along the (100) direction with the termination denoted as surface 1 in Figure 4(a)–(e). As shown in Figure 4(a), along the D-Z and Z-\Gamma high-symmetry lines, two separate projections of the bulk band crossings (marked by navy and cyan arrows) belong to two single nodal rings from two neighbouring Brillouin zones respectively. The surface states are within the projections of the two bulk nodal rings, forming two non-degenerate drumhead-like surface states marked by navy and cyan triangles in Figure 4(a) respectively. The surface states from the two crossing points along D-Z and Z-\Gamma merge with each other at D, and result in a doubly degenerate surface nodal line along B-D (green triangle). The surface nodal line ends at the crossing point of the two projected nodal rings marked by green arrow in Figure 4(a).
To have a better view of the doubly degenerate surface states along the B-D high-symmetry line, we plot the isofrequency surface arcs for different phonon frequencies in Figure 4(b)–(e). As shown in Figure 4(b), at the exact frequency of the doubly degenerate projected bulk band crossings (green arrow) along B-D at 6.410 THz, the two surface arcs (cyan triangle) merge at the projected bulk band crossings. For a phonon frequency of 6.414 THz, the two surface arcs (cyan triangle) move towards each other, forming two arc crossing points (green triangle) along B-D in Figure 4(c). At 6.415 THz, the two arc crossing points move to the D point until they merge into a single arc crossing point [green triangle in Figure 4(d)]. Further increasing the phonon frequency eventually leads to two separate surface arcs as the two arcs no longer touch [navy triangle in Figure 4(f)]. The arc crossing points on the
Figure 4. Topological surface states of SnIP. (a) Topological surface states of surface 1 along the (100) direction, as well as the surface arcs for phonon frequencies of (b) 6.410 THz, (c) 6.414 THz, (d) 6.415 THz, and (e) 6.416 THz. (f) Topological surface states of surface 2 along the (100) direction, as well as the surface arcs for phonon frequencies of (g) 6.400 THz, (h) 6.410 THz, (i) 6.415 THz, and (j) 6.420 THz.
Isofrequency plane belong to the doubly degenerate surface nodal line in the frequency-momentum space [green triangle in Figure 4(a)].
The surface nodal line in SnIP is protected by the combination of time-reversal symmetry and glide mirror symmetry $\mathcal{G} = \mathcal{T}\tilde{M}_y$. For systems with time-reversal symmetry $\mathcal{T}$ and any nonsymmorphic spatial symmetry $G$, the ‘Kramers-like’ degenerate nodal line appears when $(\mathcal{T}G)^2 = -1$, either along the $\mathcal{T}G$ invariant lines or on the $\mathcal{T}G$ invariant planes, and a degenerate line can thus be protected by the $\mathcal{T}G$ symmetry. This applies to line degeneracies in both the bulk states and the surface states. SnIP has glide mirror symmetry $\tilde{M}_y = \{ M_y \mid 00\frac{1}{2} \}$, and $(\mathcal{T}\tilde{M}_y)^2 = e^{i2\pi q_z}$ ($q_z$ in units of the reciprocal lattice vector $2\pi/c$). On the (100) surface, both $q_x = 0$ and $q_z = 0.5$ are $\mathcal{T}\tilde{M}_y$ invariant lines, and $(\mathcal{T}\tilde{M}_y)^2 = -1$ only occurs when $q_z = 0.5$, corresponding to the B-D high-symmetry line. As a result, the doubly degenerate surface nodal line along B-D is protected by the $\mathcal{T}\tilde{M}_y$ symmetry.
If we change the surface termination (denoted as surface 2) along the (100) direction, the doubly degenerate surface states along the B-D high-symmetry line in Figure 4(f) no longer exist in the frequency range 6.410-6.415 THz, but move to the lower frequency range 6.384-6.410 THz. The distribution of the surface nodal line changes to the other side of B-D, from the purple shaded area in Figure 5(a) to that in Figure 5(b).
To explain the alternation between the distributions of the surface nodal line, we need to understand how $\mathcal{T}\tilde{M}_y$ influences the Zak phase on the (100) surface Brillouin zone. The Zak phase provides information of the distribution...
of the doubly degenerate surface states on the (100) surface, and can be integrated along the (100) direction,
\[
\gamma(q_b, q_c) = i \int_{-\pi}^{\pi} \sum_{v=\text{occu}} \langle \psi(qv) | \frac{\partial}{\partial q_a} | \psi(qv) \rangle dq_a,
\]
(1)
where \( \psi(qv) \) is the phonon eigenvector with wave vector \( q \) and band index \( v \). Note that on the (100) surface Brillouin zone, \( q_b \parallel q_y \) and \( q_c \parallel q_z \), therefore we use \((q_x, q_y, q_z)\) instead of \((q_a, q_b, q_c)\) to be consistent with \( \mathcal{T}M_y \). When \( q_z = 0.5 \), \((\mathcal{T}M_y)^2 = -1 \) and \( \psi_1(-q_x, q_y, 0.5) = (\mathcal{T}M_y) \cdot \psi_2(q_x, q_y, 0.5) \). Therefore, we can classify the phonon states at constant \( q_y \) and \( q_z = 0.5 \) into two subgroups \( \{ \psi_1(q) \} \) and \( \{ \psi_2(q) \} \), i.e., \( \{ \psi_1(q) \} \) and \( \{ \psi_2(q) \} \) are \( \mathcal{T}M_y \)-related. Therefore, for the B-D high-symmetry line \((q_z = 0.5)\) on the (100) surface Brillouin zone, the Zak phases for the two subgroups \( \{ \psi_1(q) \} \) and \( \{ \psi_2(q) \} \) are equal to each other, i.e. \( \gamma_1(q_y, 0.5) = \gamma_2(q_y, 0.5) \). Due to \( \mathcal{PT} \), \( \gamma_1(q_y, 0.5) = \gamma_2(q_y, 0.5) \) is either 0 or \( \pi \), which depends on the surface termination (i.e. choice of the inversion center). When \( \gamma_1(q_y, 0.5) = \gamma_2(q_y, 0.5) = 0 \), there are no surface states as the total Zak phase \( \gamma = \gamma_1 + \gamma_2 = 0 \). When \( \gamma_1(q_y, 0.5) = \gamma_2(q_y, 0.5) = \pi \), the total Zak phase \( \gamma = 2\pi \), leading to doubly degenerate surface states. For surface 1, the purple shaded line in Figure 5(a) has a total Zak phase of \( 2\pi \) with two surface states distributed in this area, while the green shaded area corresponds to \( \gamma = 0 \) and there are no surface states in this area. For surface 2, the Zak phase of the purple shaded area and the colourless area swap, as shown in Figure 5(b), and the distribution of the surface nodal line switches to the new purple shaded area. It should be noticed that the standard definition of Zak phase is in terms of modulo \( 2\pi \), and a Zak phase of \( 2\pi \) is therefore equal to zero under this definition. However, in our case, a total Zak phase of \( 2\pi \) corresponds to \( \gamma_1 = \gamma_2 = \pi \), i.e. two \( \pi \) Zak phase within each subgroup, indicating two surface states emerging from each subgroup. On the other hand, a total Zak phase of zero corresponds to two zero Zak phase within each group, leading to vanishing surface states.
It is worth mentioning that bending SnIP rods does not break the time-reversal and glide mirror symmetries on the (100) surface of SnIP. Therefore, the degenerate topological surface states remain unchanged under bending.
**Discussion**
In terms of fundamental physics and applications, topological bulk phonons in double helical SnIP may lead to non-dissipative surface phonons, which offer a promising platform for designing thermal devices. The existence of surface nodal lines also provides opportunities to study surface transport properties for thermoelectric devices. As another example, the bulk and surface nodal lines/rings in the phonon spectra result in large phonon DOS,
which may also enhance surface superconductivity. Additionally, because of its quasi-one-dimensional crystal structure, SnIP could also be a promising material platform to investigate one-dimensional physical models such as the Su-Schrieffer-Heeger (SSH) model\textsuperscript{83} and Majorana quantum wires.\textsuperscript{84, 85} With its high mechanical flexibility, it is also interesting to investigate the interplay between flexoelectricity and topology. Our work provides a starting point to explore all these phenomena and applications.
In summary, we find that double helical SnIP exhibits nodal-ring phonons in the bulk and nodal-line phonons on the surface based on first-principles calculations and group theory analysis. Benefiting from a quasi-one-dimensional crystal structure, the lattice vibrational modes of the intrachain phosphorus atoms along the helices are highly dispersive. Due to the winding of the helix P chain, these phonon bands are folded at the Brillouin zone boundary, forming single nodal rings across the whole Brillouin zone. The overlap between the two neighbouring nodal rings on the (100) surface leads to a surface nodal line that is protected by the combination of time-reversal and glide mirror symmetries $\mathcal{T}\tilde{M}_y$. We also propose that different surface terminations result in different distributions of the surface nodal line, which can be understood by different Zak phases in the presence of $\mathcal{T}\tilde{M}_y$. We demonstrate that, similar to the bulk nodal lines, the surface nodal lines can widely exist when protected by extra symmetries. Our discoveries may offer opportunities to study the degeneracy of the topological surface states and their transport properties.
**Methods**
**Density functional theory calculations**
All density functional theory (DFT) calculations are performed using the Vienna \textit{ab-initio} simulation package (VASP).\textsuperscript{94, 95} The generalized gradient approximation (GGA) is used in the Perdew-Burke-Ernzerhof (PBE) parametrization for the exchange-correlation functional with 14 valence electrons ($4d^{10}5s^25p^2$) for Sn, 7 valence electrons ($5s^25p^3$) for I, and 5 valence electrons ($3s^23p^3$) for P. We use a plane-wave basis with a kinetic energy cutoff of 600 eV and a $7\times5\times3$ k-mesh for structural relaxation until the energy difference is lower than $10^{-6}$ eV and the Hellman-Feynman force difference is lower than $10^{-4}$ eV Å$^{-1}$. The D2 method of Grimme is used to describe the van der Waals interactions between the double helices.\textsuperscript{96}
**Lattice dynamics properties**
The Hessian matrix and phonon frequencies are calculated based on the finite difference method using a $2\times2\times1$ supercell with a $3\times3\times3$ k-mesh. The phonon dispersion is obtained with the PHONOPY code.\textsuperscript{97, 98} The convergence of the supercell is checked by comparing the $2\times2\times1$ and $1\times1\times2$ supercells in Supplementary Note 1 of the Supplementary Information. The Born effective charges are also computed using a perturbative approach to account for the splitting between the longitudinal and transverse optical phonon modes (LO-TO splitting) near the Brillouin zone center,\textsuperscript{99} and we find that the LO-TO splitting has a minor influence on the topological properties of phonons because the topological features are far away from the zone center.
**Topological properties**
To obtain the topological properties of the lattice vibrational modes, we use WANNIERTOOLS to calculate the distribution of the band crossing points/lines in the whole Brillouin zone.\textsuperscript{92} The phonon surface states on the (100) surface are computed using the surface Green’s function.
**Data Availability**
The datasets generated during and/or analysed during the current study are available from the corresponding authors on reasonable request.
**Code Availability**
The related codes are available from the corresponding authors on reasonable request.
Acknowledgements
B.P. and B.M. acknowledge support from the Winton Programme for the Physics of Sustainability, and B.M. also acknowledges support from the Gianna Angelopoulos Programme for Science, Technology, and Innovation. S.M. and T.Z. acknowledge the supports from JSPS KAKENHI Grants No. JP18H03678 and No. JP20H04633, Tokodai Institute for Element Strategy (TIES) funded by MEXT Elements Strategy Initiative to Form Core Research Center. T.Z. also acknowledge the support by Japan Society for the Promotion of Science (JSPS), KAKENHI Grant No. JP21K13865. The calculations are performed using resources provided by the Cambridge Tier-2 system operated by the University of Cambridge Research Computing Service (http://www.hpc.cam.ac.uk) and funded by EPSRC Tier-2 capital grant EP/P020259/1, and also with computational support from the UK Materials and Molecular Modelling Hub, which is partially funded by EPSRC (EP/P020194), for which access is obtained via the UKCP consortium and funded by EPSRC grant EP/P022561/1.
Author Contributions
B.P., B.M. and T.Z. devised the project idea. B.P. performed the first-principles calculations. S.M. and T.Z. analysed the topological features. B.P., B.M. and T.Z. prepared the main part of the manuscript. B.P., S.M., B.M. and T.Z. discussed the results and the ideas for analysis and edited the manuscript.
Competing Interests
The Authors declare no Competing Financial or Non-Financial Interests.
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3. The empanelled centre will provide treatment on production of valid document only to ESI beneficiaries referred by the competent authority of ESI Institutions. The competent authority in such cases would Medical Superintendent/SMO/MO Incharge of the hospital/dispensary as the case may be.
4. A Nodal Officer shall be appointed at level of empanelled private hospital. The Nodal Officer will communicate with the concerned Medical Superintendent/SMO/MO Incharge of the hospital/dispensary as the case may be in case of any grievance.
5. In case of any emergency/disasters/overflow of patients in ESI Hospital during epidemics the empanelled hospital will agree to share their ambulances, mortuary, ICU/CCU, burn unit, ward beds etc. in need based manner.
6. All statutory Rules/Guidelines/Acts/Notifications issued by State Govt. from time to time (as already mentioned in the application form for new empanelment policy) shall be followed by the empanelled hospitals. The same shall be applicable on existing private empanelled hospitals.
7. The hospital will abide to all the National Programmes and its related IEC activities. The data needed for National Program or Health Indicators must be shared with Health Department. The same shall be applicable on existing private empanelled hospitals.
8. The hospital shall follow the birth & death guidelines issued by the State Government from time to time. Any software developed by the Govt. will have to be adopted by the hospital.
9. It will be the responsibility of the hospital to provide accreditation certificate and further renewal certificate well before the expiry date.
10. Guidelines already framed under State Govt. policy dated 21.05.2015 for empanelled hospitals shall be applicable on new empanelled hospitals.
11. It will be responsibility of the hospital to provide the renewed Entry Level NABH/Full NABH/JCI certificate within in the expiry of previous certificate. On non fulfillment of this condition, de-empanellement with the Health Department, hospital will also stand de-empanelled with the ESI Department simultaneously.
12. The above listed full NABH hospitals will remain empanelled for a period of three years subject to validity of accreditation certificate. Thereafter, the hospital will apply afresh. The above listed Entry Level NABH Hospitals will remain empanelled for a period of one year subject to validity of accreditation certificate. The Entry Level NABH Hospitals will have to get full NABH accreditation within one year of empanelment failing which these hospitals will automatically stand de-empanelled without giving any prior notice.
13. ESI Health Care Department reserves the right to call for record of treatment of any patient from any empanelled hospital to ensure normal practice being followed.
14. The treatment to the ESI beneficiaries will be given on CGHS rates and where CGHS rates are not available treatment will be allowed at PGI Chd./AIIMS rates only.
15. All empanelled hospitals will maintain record of the treatment of the patients.
16. The Director ESI Health Care Haryana will not be responsible in any way for any negligence or misconduct of the Hospital and its employees for any accident, injury or damage sustained or suffered by any Director ESI Health Care Haryana beneficiary or any third party resulting from or by any operation conducted by and on behalf of the Hospital or in the course of doing its work or perform their duties under this Agreement of otherwise.
17. A recognized private hospital whose rates for a procedure/test facility are lower that the approved CGHS rates, shall charge the ESI beneficiaries as per actual.
18. These instructions will be applicable from the date of sign of MOU with the ESI Health Care Haryana.
19. The Director ESI Health Care, Haryana reserves the right to accept or reject any empanelled hospital empanelled with Health Department without assigning any reason thereof.
20. Legal jurisdiction will be area of concerned ESI Institutions.
21. Selected hospital shall immediately submit their rates for all procedure/investigation.
22. Consultants of the hospitals to prescribe medicines to Insured Person at the time of discharge in case of indoor and also during OPD as per list of medicine available in valid and prevailing RC of ESIC which is available on website of ESIC, to be downloaded by concerned hospital (www.esic.nic.in).
23. Direct admission without referral form should not be entertained at all except in life saving conditions. Such cases may be reported to the concerned competent authority (MS/SMO/MO) immediately and latest within 24-48 hours positively. However, Ex-facto approval shall be given by concerned hospital/dispensary incharge.
24. In emergency identification of the Insured Persons and their family with entitlement to be ensured through ESIC website IP Portal (www.esic.nic.in) by hospital and it is the sole responsibility of hospital that Non-IP not to be considered for treatment.
25. Hospital empanelled on reimbursement basis with ESIS shall not charge more than CGHS package rate/rates.
26. The ESI beneficiaries are entitled for General Ward category only and the CGHS rates of General Ward category are applicable.
विकितली निरीक्षक
कृपया: निदेशक, ई एस आई स्वास्थ्य संस्थान, हरियाणा
यदि कमांक 1/336ए–ई.एस.आई–जी–2–2021/
दिनांक
इसकी एक प्रति माननीय अधिरिपत मुख्य सचिव, हरियाणा सरकार, श्रम विभाग को सरकार के पत्र कमांक 10/199/2018–5श्रम/15850 दिनांक 21.12.2020 व 10/199/2018–5श्रम/7174 दिनांक 26.07.2021 के सन्दर्भ में सूचनार्थ प्रेषित है।
विकितली निरीक्षक
कृपया: निदेशक, ई एस आई स्वास्थ्य संस्थान, हरियाणा
यदि कमांड 1/336-ईएस.आई-जी-2-2021/
इसकी एक प्रति क्षेत्रीय निदेशक, कर्मचारी राज्य बीमा निगम, पंचदीप भवन, सैकटर-16, फरीदाबाद को सूचनार्थ प्रेषित है।
चिकित्सा निरीक्षक
कृते: निदेशक, ईएसआई स्वास्थ्य संस्करण, हरियाणा
यदि कमांड 1/336-ईएस.आई-जी-2-2021/
इसकी एक प्रति निम्नलिखित को सूचनार्थ एवं आवश्यक कार्यवाही हेतु भेंजी जाती हैः-
1. सिविल सर्जन, ईएसआई हैल्थ केंद्र, करनाल, फरीदाबाद, गुरुग्राम व निवासी।
2. चिकित्सा अधीक्षक, ईएसआई हस्पिटल, सैकटर-8, फरीदाबाद, जगाधरी, पानीपत व निवासी।
3. सभी वरिष्ठ चिकित्सा अधिकारी/ सभी चिकित्सा अधिकारी इन्वार्ड, ईएसआई हिस्सेदारी, हरियाणा।
चिकित्सा निरीक्षक
कृते: निदेशक, ईएसआई स्वास्थ्य संस्करण, हरियाणा
यदि कमांड 1/336-ईएस.आई-जी-2-2021/7396-98 दिनांक 11/08/21
इसकी एक प्रति निम्नलिखित को सूचनार्थ एवं आवश्यक कार्यवाही हेतु भेंजी जाती हैः-
1. उप निदेशक, एम0आर शाखा (मुख्यालय)।
2. अधीक्षक, लेखा शाखा (मुख्यालय)।
3. उप अधीक्षक, कौबिनेट शाखा (मुख्यालय) विभागीय वेबसाइट पर अपलोड करने हेतु।
चिकित्सा निरीक्षक
कृते: निदेशक, ईएसआई स्वास्थ्य संस्करण, हरियाणा |
Combining Scenarios in a Calculation of the Overall Probability Distribution of Cumulative Releases of Radioactivity From the Waste Isolation Pilot Plant, Southeastern New Mexico
Martin S. Tierney
Prepared by
Sandia National Laboratories
Albuquerque, New Mexico 87185 and Livermore, California 94550
for the United States Department of Energy
under Contract DE-AC04-76DP00789
Issued by Sandia National Laboratories, operated for the United States Department of Energy by Sandia Corporation.
**NOTICE:** This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, nor any of their employees, nor any of their contractors, subcontractors, or their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise, does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government, any agency thereof or any of their contractors or subcontractors. The views and opinions expressed herein do not necessarily state or reflect those of the United States Government, any agency thereof or any of their contractors.
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ABSTRACT
The Waste Isolation Pilot Plant (WIPP), in southeastern New Mexico, is a research and development facility to demonstrate safe disposal of defense-generated transuranic waste. The U.S. Department of Energy will designate WIPP as a disposal facility if it meets the U.S. Environmental Protection Agency's standard for disposal of such waste; the standard includes a requirement that estimates of cumulative releases of radioactivity to the accessible environment be incorporated in an overall probability distribution. The WIPP Project has chosen an approach to calculation of an overall probability distribution that employs the concept of scenarios for release and transport of radioactivity to the accessible environment. This report reviews the use of Monte Carlo methods in the calculation of an overall probability distribution and presents a logical and mathematical foundation for use of the scenario concept in such calculations. The report also draws preliminary conclusions regarding the shape of the probability distribution for the WIPP system; preliminary conclusions are based on the possible occurrence of three events and the presence of one feature: namely, the events "attempted boreholes over rooms and drifts," "mining alters ground-water regime," "water-withdrawal wells provide alternate pathways," and the feature "brine pocket below room or drift." Calculation of the WIPP system's overall probability distribution is anticipated to require construction of conditional probability distributions for only five of sixteen possible scenario classes that can be obtained by combining the four postulated events or features.
## CONTENTS
1 INTRODUCTION .................................................................................................................. 1-1
2 REGULATORY BASIS FOR THE OVERALL PROBABILITY DISTRIBUTION .................. 2-1
The Containment Requirements .......................................................................................... 2-1
An Interpretation of the Containment Requirements ...................................................... 2-4
3 CALCULATION OF THE OVERALL PROBABILITY DISTRIBUTION ................................. 3-1
An Overview of Monte Carlo Methods in Performance Assessments ............................. 3-3
Quantifying the States of the System ........................................................................... 3-3
State Variables ........................................................................................................... 3-4
State-Variable Space ................................................................................................. 3-5
Mathematical Models of the System ............................................................................ 3-5
Likelihoods of System States .......................................................................................... 3-6
The Joint Cumulative Distribution Function ............................................................ 3-7
The Expectation Operator ......................................................................................... 3-9
Practical Monte Carlo Simulation .................................................................................. 3-10
Estimators and Errors ............................................................................................... 3-10
Variance Reduction Schemes .................................................................................... 3-12
A Representation of the CCDF Based on Scenario Classes ........................................... 3-13
Conditional CCDFs ....................................................................................................... 3-14
Partitioning State-Variable Space .................................................................................. 3-15
Example 1 .................................................................................................................. 3-15
Example 2 .................................................................................................................. 3-20
Generalization of the Partitioning Scheme .................................................................... 3-22
Number of Scenario Classes ..................................................................................... 3-22
Calculating Scenario-Class Probabilities ............................................................... 3-24
Features of the Partitioning Scheme ............................................................................. 3-25
Undisturbed Performance .......................................................................................... 3-26
Screening on Elementary Probabilities ..................................................................... 3-26
Plausibility of Eq. (24) .............................................................................................. 3-28
Reducing the Number of Scenario Classes .............................................................. 3-30
4 APPLICATIONS TO THE WIPP SYSTEM ........................................................................ 4-1
Events and Features That May Affect Releases from the WIPP ..................................... 4-1
Attempted Boreholes Over Rooms and Drifts ............................................................... 4-3
Explanation of Table 4-2 ............................................................................................... 4-5
Brine Pocket Below Room or Drift ............................................................................... 4-7
Mining Alters Ground-Water Regime ........................................................................... 4-8
Water-Withdrawal Wells Provide Alternate Pathways .................................................. 4-9
Preliminary Scenario Classes for the WIPP System ....................................................... 4-11
Classes Not Contributing to the CCDF .......................................................................... 4-13
Classes That May Contribute to the CCDF ................................................................... 4-14
Preliminary Conclusions Regarding the WIPP System’s CCDF ..................................... 4-14
## APPENDICES
| Appendix | Title | Page |
|----------|----------------------------------------------------------------------|------|
| A | Working Definitions of Some Common Terms | A-1 |
| B | Representation of Processes in Performance Assessment | B-1 |
| C | Inadvertent Drilling at the WIPP Site: An Example of a Probability Model of an Anthropogenic Event | C-1 |
## REFERENCES
R-1
## FIGURES
| Figure | Title | Page |
|--------|----------------------------------------------------------------------|------|
| 1-1 | WIPP Location in Southeastern New Mexico | 1-2 |
| 1-2 | Proposed WIPP Repository, Showing Both TRU Disposal Areas and Experimental Areas | 1-3 |
| 2-1 | WIPP Disposal System: Repository/Shaft System and Controlled Area | 2-3 |
| 2-2 | A General Complementary Cumulative Distribution Function (CCDF) | 2-6 |
| 3-1 | An Example of an Empirical CCDF | 3-2 |
| 3-2 | State-Variable Space for Example 1 | 3-17 |
| 3-3 | Logic Diagram for Identifying Scenario Classes in Example 2 | 3-21 |
| 4-1 | A Hypothetical but Qualitatively Correct Representation of the Total CCDF for the WIPP System | 4-16 |
## TABLES
| Table | Title | Page |
|-------|----------------------------------------------------------------------|------|
| 2-1 | Release Limits for the Containment Requirements | 2-4 |
| 4-1 | Status of Agents Thought to Affect Releases from a Bedded-Salt Repository | 4-2 |
| 4-2 | Variables in a Probability Model of the Event "Attempted Boreholes Over Rooms and Drifts" | 4-6 |
| 4-3 | Variables in a Probability Model of the Event "Water-Withdrawal Wells Provide Alternate Pathways" | 4-11 |
| 4-4 | Preliminary Scenario Classes for the WIPP System | 4-12 |
1 INTRODUCTION
The Waste Isolation Pilot Plant (WIPP) is a research and development facility to demonstrate safe disposal of defense-generated transuranic (TRU) waste that the U.S. Department of Energy (DOE) may designate as requiring deep geologic disposal (Figures 1-1 and 1-2). The WIPP also provides a separate underground facility in which in-situ experiments may be conducted. All wastes placed in WIPP for intended disposal will be retrievable for periods required to demonstrate the safety of the disposal concept; these periods are not expected to exceed five years for TRU waste. Wastes used in the experimental program will be removed at the conclusion of the experiments, if necessary for compliance with applicable environmental standards or the WIPP waste acceptance criteria. If safety of the disposal concept is demonstrated and all applicable regulations are satisfied, the WIPP will become a disposal facility for TRU waste.
The WIPP Project will assess compliance with requirements of the U.S. Environmental Protection Agency's (EPA's) 40 CFR Part 191, *Environmental Standards for the Management and Disposal of Spent Nuclear Fuel, High-Level and Transuranic Radioactive Wastes; Final Rule* (the Standard, EPA, 1985). The part of the Standard most relevant to this report, Subpart B or the "Environmental Standards for Disposal," sets qualitative and numerical requirements on post-closure performance of the WIPP disposal system. Although Subpart B of the Standard was remanded to EPA by the U.S. Court of Appeals for the First Circuit, the WIPP Project will continue to respond to the Standard as first promulgated until a new Standard is in place (DOE and State of New Mexico, 1981).
An important requirement of Subpart B is called the "Containment Requirements" and is stated in § 191.13 of the Standard. The Containment Requirements place numerical limits on likelihoods that cumulative releases of radioactivity to the accessible environment for 10,000 years after site closure will exceed certain specified numerical limits; they also suggest a general approach, called "performance assessment," to analyses that will test compliance with the numerical limits. The assessment as defined must provide a reasonable expectation that the probability of cumulative releases will not exceed the specified limits. The Containment Requirements are stated and interpreted in Chapter 2 of this report. An unusual feature of performance assessment is incorporation of estimates of cumulative releases of radioactivity into an overall probability distribution.
This report addresses the WIPP Project's approach to calculation of the overall probability distribution of cumulative releases of radioactivity that is required for performance assessment. Because the WIPP Project has already
Figure 1-1. WIPP Location in Southeastern New Mexico (after Rechard, 1989).
Figure 1-2. Proposed WIPP Repository, Showing Both TRU Disposal Areas and Experimental Areas (after Nowak et al., 1990).
chosen a methodology for performance assessment (Marietta et al., 1989) that is based on the concept of "scenarios" for release and transport of radioactivity to the accessible environment (for the scenario concept, see Cranwell et al., 1982b; for a critique of the scenario concept, see Thompson et al., 1988), the present report emphasizes the manner in which the scenario concept can be used in calculating an overall probability distribution of cumulative releases.
A rather long Chapter 3 has been included here as a two-part introduction to logical and mathematical bases of a scenario-based calculation of the overall probability distribution: the first part is an overview of Monte Carlo methods in performance assessment, material which prepares the way for a discussion of scenario-based performance assessment in the second part of Chapter 3.
Much material collected in the first part (Chapter 3) is common knowledge available in textbooks and journal articles. Ideas collected in the second part are not so familiar: some of these ideas can be found in a fragmented form in the waste-management literature (Cranwell et al., 1982a and 1982b; Hunter et al., 1986; Section 220.127.116.11 of DOE, 1988; Thompson et al., 1988), but other ideas presented here appear to be previously undocumented concepts that have been uncritically accepted by investigators of the safety of geologic waste disposal. The purpose in including Chapter 3 in this document is to present in one place a clear and coherent account of technical arguments that underlie a scenario-based approach to performance assessment. In trying to present a clear and coherent account of the technical basis for computing the overall probability distribution, certain terms, such as "event," "process," and "scenario," have to be defined more carefully than usual in the literature of geologic waste disposal; accordingly, special definitions of these terms are used consistently in the present report (Appendix A). A technical Appendix B on representation of processes and treatment of process uncertainty is included by necessity. With one exception (Thompson et al., 1988), the waste-management literature is unclear concerning the details of the ways by which time-dependent processes could be incorporated mathematically in scenario-based performance assessments.
Terms and concepts of probability theory, e.g., random variable, mean, expectation, distribution function, are used throughout this report. Readers who are unfamiliar with these terms and concepts are urged to consult textbooks on the subject for their precise meanings; textbooks by Feller (1966) and Ross (1985) are primary references for Chapter 3.
Chapter 4 of this report is intended to be a sequel to two earlier reports. Hunter (1989) attempted a preliminary identification of processes, events, and features that might significantly affect releases of radioactivity from the
WIPP system; whereas, Guzowski (1990) has constructed 16 scenarios from agents identified by Hunter (1989). The preliminary agents identified by Hunter are reviewed here (first part of Chapter 4), and requirements for probability models of some of those preliminary agents are identified. An example of the term "probability model" is given for an anthropogenic event in Appendix C. Finally, preliminary scenario classes constructed by Guzowski are reviewed and revised (second part of Chapter 4), and some implications of these scenario classes for the shape of the WIPP system's overall probability distribution of cumulative releases of radioactivity are explored in the last part of that Chapter.
2 REGULATORY BASIS FOR THE OVERALL PROBABILITY DISTRIBUTION
EPA's Containment Requirements set a quantitative, probabilistic standard for long-term performance of geologic repositories for high-level and TRU wastes. The Containment Requirements necessitate that the implementing agency make quantitative estimates of the performance of a geologic repository for 10,000 years into the future. The Containment Requirements also specify that the disposal system design must provide a "reasonable expectation" that the quantitative tests can be met. In the preamble to the Standard, the EPA states that this phrase reflects the fact that unequivocal numerical proof of compliance is neither necessary nor likely to be obtained. The Standard is probabilistic because the EPA has set numerical limits not upon cumulative releases of radioactivity to the accessible environment but upon the likelihood (i.e., probability) that those cumulative releases of radioactivity will exceed certain numerical values.
The Containment Requirements
Containment Requirements from the Standard (EPA, 1985) are quoted below with underlining added here to emphasize important terms.
191.13 Containment requirements.
(a) Disposal systems for spent nuclear fuel or high-level or transuranic radioactive wastes shall be designed to provide a reasonable expectation, based on performance assessments, that the cumulative releases of radionuclides to the accessible environment for 10,000 years after disposal from all significant processes and events that may affect the disposal system shall:
(1) Have a likelihood of less than one chance in 10 of exceeding the quantities calculated according to Table 1 (Appendix A); and
(2) Have a likelihood of less than one chance in 1,000 of exceeding ten times the quantities calculated according to Table 1 (Appendix A).
(b) Performance assessments need not provide complete assurance that the requirements of 191.13(a) will be met. Because of the long time period involved and the nature of the events and processes of interest, there will inevitably be substantial uncertainties in projecting disposal system performance. Proof of the future performance of a disposal system is not to be had in the ordinary sense of the word in situations that deal with much shorter time frames. Instead, what is required is a reasonable expectation, on the basis of the record before the implementing agency, that compliance with 191.13(a) will be achieved.
Several terms in the Containment Requirements have special meanings. The EPA defines "performance assessment" as
... an analysis that: (1) Identifies the processes and events that might affect the disposal system; (2) examines the effects of these processes and events on the performance of the disposal system; and (3) estimates the cumulative releases of radionuclides, considering the associated uncertainties, caused by all significant processes and events. These estimates shall be incorporated into an overall probability distribution of cumulative release to the extent practicable. [EPA, 1985, § 191.12(q)]
The term "accessible environment" means: (1) the atmosphere; (2) land surface; (3) surface waters; (4) oceans; and (5) all of the lithosphere that is beyond the controlled area" [EPA, 1985, § 191.12(k)].
The "'controlled area' means: (1) a surface location, to be identified by passive institutional controls, that encompasses no more than 100 square kilometers and extends horizontally no more than five kilometers in any direction from the outer boundary of the original location of radioactive wastes in a disposal system; and (2) the subsurface underlying such a surface location" [EPA, 1985, § 191.12(g)]. (Figure 2-1)
EPA does not define the terms "process" and "event"; workers in the area of safety of geologic waste disposal usually take these terms to mean any natural or anthropogenic phenomenon that could cause or contribute to releases of radioactive materials from the repository and their transport to the accessible environment (Appendix A clarifies the distinction between these terms; IAEA, 1981 and Ross, 1987 list typical processes and events).
Containment Requirements refer to Table 1 of Appendix A of the Standard for the method by which cumulative releases to the accessible environment are to be calculated. Table 1 of Appendix A of the Standard is reproduced as Table 2-1 of this report. Appendix A of the Standard provides several notes that specify how Table 1 is to be used to calculate these cumulative releases. In particular, Note 6 of the Standard's Appendix A defines the measure of cumulative release of radioactivity to the accessible environment that is to be compared with limits specified in the Containment Requirements:
\[ M = \sum_{i} Q_i / L_i \]
where \( M \) may be called either normalized cumulative release or performance measure (DOE, 1988);
\( Q_i \) - cumulative radioactivity that is released to the accessible environment during the 10,000-year period following closure in the form of the \( i \)th radionuclide, owing to the action of processes and events that may affect the disposal system; and
Figure 2-1. WIPP Disposal System: Repository/Shaft System and Controlled Area (Bertram-Howery and Hunter, 1989). The scale of the repository/shaft system is exaggerated.
$L_i$ = the release limit for the $i$th radionuclide that is determined from Table 1 of the Standard, taking account of Notes 1 through 5 of Appendix A of the Standard.
In Eq. (1), the index $i$ runs over all radionuclides that have half-lives greater than 20 years. For the case of the WIPP disposal system, which will contain transuranic (TRU) wastes, and if the $Q_i$ are expressed in units of curies (Ci), the $L_i$ are calculated by multiplying appropriate quantities in Table 1 of the Standard by the ratio of number of curies of TRU wastes emplaced in WIPP to one million curies. For example, if the WIPP were to contain five million curies of transuranic wastes, the ratio would be 5 and $L_i$ for plutonium-238 would be $5 \times 100 \text{ Ci} = 500 \text{ Ci}$.
**TABLE 2-1 RELEASE LIMITS FOR THE CONTAINMENT REQUIREMENTS**
*(EPA, 1985, Appendix A, Table 1)*
| Radionuclide | Release Limit per 1,000 MTHM or Other Unit of Waste (Curies) |
|-------------------------------------|-------------------------------------------------------------|
| Americium-241 or -243 | 100 |
| Carbon 14 | 100 |
| Cesium-135 or -137 | 1,000 |
| Iodine-129 | 100 |
| Neptunium-237 | 100 |
| Plutonium-238,-239,-240, or -242 | 100 |
| Radium-226 | 100 |
| Strontium-90 | 1,000 |
| Technetium-99 | 10,000 |
| Thorium-230 or -232 | 10 |
| Tin-126 | 1,000 |
| Uranium-233,-234,-235,-236 or -238 | 100 |
| Any other alpha-emitting radionuclide with a half-life greater than 20 years | 100 |
| Any other radionuclide with a half-life greater than 20 years that does not emit alpha particles | 1,000 |
**An Interpretation of the Containment Requirements**
Published guidance for interpreting and implementing Containment Requirements (EPA, 1985; NRC, 1986) explicitly recognizes that considerable uncertainty will be attached to estimates of normalized cumulative release because of the period of performance (10,000 years) and difficulties inherent in predicting future system behavior. Furthermore, the guidance-and-discussion sections of
the Standard that relate to Containment Requirements clearly indicate that the normalized cumulative release [M of Eq. (1)] is not to be estimated and compared simply with a range of acceptable values. Instead, in guiding compliance with § 191.13 of the Standard, the EPA assumes that
...whenever practicable, the implementing agency will assemble all of the results of the performance assessments to determine compliance with (section) 191.13 into a "complementary cumulative distribution function" that indicates the probability of exceeding various levels of cumulative release. When the uncertainties in parameters are considered in a performance assessment, the effects of the uncertainties considered can be incorporated into a single such distribution function for each disposal system considered. The Agency assumes that a disposal system can be considered to be in compliance with (section) 191.13 if this single distribution function meets the requirements of (section) 191.13(a). (EPA, 1985, Appendix B)
In other words, EPA assumes that the normalized cumulative release, M, will be treated as a random variable (instead of as a deterministic quantity) to which is attached a probability distribution function; it is this distribution function that is to be tested against the Containment Requirements.
Viewed as a random variable, the normalized cumulative release, M, would be associated normally with a probability density function (PDF) or an associated cumulative distribution function (CDF); Containment Requirements, however, place conditions on the associated complementary cumulative distribution function (CCDF) which is one minus the CDF. Generally speaking, a CCDF can be any non-increasing function of one or more independent variables that is bounded between zero and one; some possible features of a general CCDF for a single independent variable are shown on Figure 2-2. In the present circumstances, a single independent variable, say m, specifies possible normalized cumulative releases and ranges from zero to the maximum possible normalized release, i.e., the value taken by M in Eq. (1) when inventories of all radionuclides (with half-lives greater than 20 years) in the repository at closure time are substituted for the Q_i's. To show its functional dependence on variable m, the CCDF will hereinafter be denoted by
\[ G(m) = \Pr(M > m) \]
where \( \Pr(e) \) stands for the probability that the statement "e" is true.
Note that \( G(m) \) can be a defective distribution; i.e., the limit of \( G(m) \) as m approaches zero can be less than one if there is a non-zero probability that
Figure 2-2. A General Complementary Cumulative Distribution Function (CCDF). Possible features shown are (1) a defect at $m = 0$, i.e., $\Pr\{m > 0\} < 1.0$; (2) a finite support for the CCDF (probability that $M > m_{\text{max}} = 0$); and (3) discontinuities at $m = m_1$ and $m_2$.
normalized cumulative releases can be identically zero. In general, $G(m)$ can have other discontinuities at points $m > 0$ as shown in Figure 2-2. The Containment Requirements now read, in notation of Eq. (2),
$$G(1.0) < 0.1 \quad \text{and} \quad G(10.0) < 0.001.$$
(3)
It is apparent that the Containment Requirements constrain the CCDF at only two points, $m = 1.0$ and $m = 10.0$. In spite of this fact, the guidance-and-discussion sections of the Standard (EPA, 1985, pp. 38070-38072, and Appendix B) seem to require that, if practicable, the entire CCDF be constructed and exhibited as part of the formal assessment of compliance with Containment Requirements. EPA, nevertheless, recognizes that not all events, processes, and features that may operate on or be present in a geologic waste-disposal system need to be incorporated in the construction of the CCDF. The Agency offers specific guidance for determining the relevant agents to be included in the performance assessments:
The Agency assumes that such performance assessments need not consider categories of events or processes that are estimated to have less than one chance in 10,000 of occurring over 10,000 years. Furthermore, the performance assessments need not evaluate in detail the releases from all events and processes estimated to have a greater likelihood of occurrence. Some of these events and processes may be omitted from the performance assessments if there is a reasonable expectation that the remaining probability distribution of cumulative releases would not be significantly changed by such omissions. (EPA, 1985, Appendix B)
In this report, the chance that an agent will occur over 10,000 years will be called the elementary probability of the agent to distinguish the probability of occurrence of an agent from the probability of a scenario class (indeed, in a later section it will be shown that scenario-class probabilities can be formed from the agent’s elementary probabilities). The elementary probabilities hereinafter will be denoted always by a lower case "P" with subscripts, viz. $p_k$ or $p_{kj}$. The specific, operational meaning of elementary probability depends upon whether the agent is an event, an undetected feature, or a process. If applied to a type of event, $p_k$ will stand for the probability that the $k^{th}$ type of event occurs at least once during the 10,000-year period [so, $(1 - p_k)$ is the probability that the event does not occur]. If applied to an undetected feature, $p_k$ will stand for the probability that the $k^{th}$ type of feature is present at closure of the repository [so, $(1 - p_k)$ is the probability that the feature is not present]; if applied to a process, $p_{kj}$ will stand for the probability that only members of the $j^{th}$ version of the $k^{th}$ process will be realized during the 10,000-year period of
performance (by definition, the sum of $p_{kj}$ over all versions of the $k$th process must be one; the operational meaning of "version of a process" must be chosen so that this condition is satisfied [Appendix B]).
EPA's guidance on the scope of performance assessments (quoted on the preceding page) may now be paraphrased as follows: an agent need not be considered in calculation of the overall probability distribution if its elementary probability is less than 0.0001, or if it reasonably can be established that inclusion of the agent in the performance assessment would lead to insignificant changes in the shape of the CCDF.
3 CALCULATION OF THE OVERALL PROBABILITY DISTRIBUTION
In order to prepare for a technical discussion of the kinds of methods that might be used to construct a CCDF for normalized cumulative release, the reader is asked to imagine the following "thought experiment."
Construct a large number of replicas of the geologic repository and site (the system), preparing each replica according to the same set of blueprints and specifications so that any one replica could, for all practical purposes, be the real system that may eventually be constructed. Begin the operation of each replica at some common time and, at the end of a 10,000-year period (hereinafter called the period of performance), measure the amount of radioactivity that each replica has released to the accessible environment. Next, convert the amount of radioactivity released by each replica into a normalized cumulative release using Eq. (1). If the replicas were real systems, some uncertainty always would exist in initial states and physical conditions (including conditions of the system's geologic media) to which each replica was subjected during the period of performance; consequently, outcomes of the experiment, that is, the values of $M$ realized for each replica, would likely be different. Using outcomes of the experiment, observe the number of replicas for which $M$ is zero or $M$ exceeds any one of a predetermined set of numbers, say $m = 10^{-2}, 10^{-1}, 1, 10^1, 10^2, 10^3$. Next, plot a histogram giving relative frequency of the number of replicas whose outcomes exceed each of the predetermined set of numbers (i.e., the number of replicas exceeding a given number divided by total number of replicas). Such a histogram, called an empirical CCDF, might appear to be a crude version of the one shown (Figure 3-1). By increasing the fineness of the grid of predetermined numbers and by increasing the number of replicas in the experiment, step-like plots could be obtained that appear much like Figure 3-1; with further refinement, the step-like plots would ultimately approach a curve qualitatively similar to a piecewise continuous curve (Figure 2-2).
The "thought experiment" described above can be mimicked by performing repeated calculations with a suitable mathematical model of the system on a digital computer; the mathematical model need only be capable of generating a value of normalized cumulative release $M$ when given numerical specifications of initial and future states of the system. By choosing possible physical conditions and the initial state and subsequent states for the model system representing the site in a way the analyst thinks will reflect realistically their likelihood of occurrence during the period of performance, repeated runs with the mathematical model can generate an arbitrarily large number of sample $Ms$ (repeated runs with a single mathematical model replace the simultaneous observation of outcomes for a large number of replicas of the system in the
Figure 3-1. An Example of an Empirical CCDF (modified from Rechard, 1989).
"thought experiment"). The set of sample Ms generated can be plotted in the way indicated for outcomes of the "thought experiment" to give an empirical CCDF that can be compared with the Containment Requirements (Figure 3-1).
An Overview of Monte Carlo Methods in Performance Assessments
The procedure described above, mimicking the behavior of a complex system with a mathematical model, is "simulation." If some of the model's independent variables are assigned by drawing random samples of those variables from probability distributions (or the equivalents of probability distributions, i.e., normalized functions on the space of variables), then the procedure is called "Monte Carlo simulation" (Ross, 1985, p. 434; Kalos and Whitlock, 1986). Monte Carlo simulation appears to be the only straightforward and practicable method for studying quantitative behavior of a complex system that is subject to an environment that is not accurately predictable by direct human investigation; it is especially applicable in performance assessments addressing a standard (the Containment Requirements) that asks for numerical measures of the effects on the system of events and processes that could occur over a period of 10,000 years.
The foregoing discussion of the "thought experiment" mentioned three things that are necessary for calculation of an empirical CCDF by Monte Carlo simulation of the system: 1) a means of numerically specifying all possible physical conditions, initial states, and future states of the system; 2) a mathematical model that maps each quantified set of physical conditions, each initial state, and each future state of the system into a value of normalized cumulative release; and 3) a means of assigning numerical likelihoods to each quantified set of physical conditions, each initial state, and each future state of the system.
QUANTIFYING THE STATES OF THE SYSTEM
The behavior of a model system, i.e., a system that is idealized and mimicked by a mathematical model, is described usually by a finite number of quantities called dependent variables; these variables are called "dependent" because they are determined by other variables, generally called auxiliary variables, by means of mathematical relationships that define the model. If, as is usual with complicated models, the model is composed of many submodels, a hierarchy of interdependent auxiliary variables will be developed that extends from the level of the final dependent variables to those variables whose values must be supplied by the user of the total model; the latter kinds of variables can be
called independent variables. (Note that "independent variables" are not necessarily statistically independent quantities.)
**State Variables**
The "state" of a system usually is described by its dependent variables. For example, in classical mechanics the state of a particle in motion in earth's gravitational field may be described by its position and velocity, six quantities which ultimately depend upon seven independent variables, namely, initial position, initial velocity, and time. In the present circumstances however, one dependent variable, the normalized cumulative release, is the result of integrations over time and space and incorporates outputs of many submodels; accordingly, the normalized cumulative release is a non-intuitive measure of the "state" of the system, and it is more convenient and meaningful to call the system's independent variables *state variables*. The number of state variables is necessarily finite, otherwise practical calculations with models would be impossible. Accordingly, the state variables may be assumed to be arranged as components of a finite-dimensional vector,
\[
\vec{v} = (v_1, v_2, v_3, \ldots, v_N),
\]
called the state-variable vector. The order in which a model's independent variables are listed in the state-variable vector is not important; it is more important to understand that the components of the state-variable vector must be chosen so that they represent a unique configuration of the model system for the entire period of performance; that is, the components must represent all numerical quantities that are considered necessary for a calculation of cumulative release of radioactivity that would attend the realization of a scenario. This means that components of the state-variable vector must include event variables (Appendix A), feature variables (Appendix A), and process variables (Appendix B) for each type of event, feature, and process that has been determined to be important in affecting releases of radioactivity from the system.
At this point, the reader may object, at least in principle, that the number of components of the state-variable vector could be infinite because: a) processes normally are represented by continuous functions of time and, therefore, seem to require a non-denumerably infinite number of scalar variables for their specification; and b) state variables for an event include their times of occurrence and, given the fact that a likely event could occur an arbitrarily large number of times during the period of performance, an arbitrarily large number of scalar variables would be needed to specify these times of occurrence. Actually, the problem of an infinite or arbitrarily large number of state variables does not arise in practice because a) timedependent processes always may be approximated by a finite amount of numbers by discretizing the time variable (Appendix B) or by representing the process by a finite sum of simple functions of time, e.g., a finite Fourier series; and b) the probability that one of the types of events of concern to the safety of a geologic repository will occur more than, say, ten times during the period of performance is vanishingly small. Moreover, if the frequency of an event is large, the event can be treated mathematically as a process, and its representation reduced to a finite number of scalar variables in the manner of treating a true process that was just described.
Thus, variables represented by the $N$ components of the state-variable vector can be chosen so that an assignment of specific numerical values to those variables yields a possible, specific configuration of the model system throughout the period of performance; in other words, when assigned numerical values, components of $\vec{v}$ numerically represent a scenario, and different scenarios are obtained by assigning different numerical values to components of $\vec{v}$.
**State-Variable Space**
Allowing state variables, $v_n$, $1 \leq n \leq N$, to assume potentially all values in their natural ranges defines a subset of the $N$-dimensional Euclidean space $\mathbb{R}^N$; this subset will be called $S_N$, the state-variable space. In general, any point $\vec{v} \in S_N$ will represent a possible scenario and any non-empty subset of $S_N$ can represent a scenario class. Scenario classes also will be denoted by $S$ but with an appropriate subscript, e.g., $S_\alpha$ or $S_j$. The symbol $d\vec{v}$ will denote an infinitesimally small scenario class centered upon some point $\vec{v} \in S_N$.
**MATHEMATICAL MODELS OF THE SYSTEM**
Two different kinds of mathematical models of system behavior are necessary for performance assessments. The first kind can be called a **consequence model** because it maps an arbitrary scenario, specified by the state-variable vector $\vec{v}$ into the consequences of realizing that scenario, where consequences are measured in terms of cumulative discharges of radioactivity to the accessible environment over the period of performance. In other words, consequence models are deterministic algorithms that perform the transformation,
$$\vec{v} \rightarrow [Q_1(\vec{v}), Q_2(\vec{v}), Q_3(\vec{v}), \ldots, Q_I(\vec{v})],$$
where $Q_i(\vec{v})$ is the cumulative discharge of the $i$th radionuclide to the accessible environment during the period of performance, and $I$ denotes the number of radionuclide species that are potentially discharged and have half-lives greater than 20 years. The normalized cumulative release then becomes a
function of the state-variable vector [Eq. (1)]. Descriptions of some consequence models that have been used to predict cumulative releases of radioactivity from the WIPP system are given in Lappin et al., 1989 (Appendices D and E) and Rechard et al., 1990.
The second kind of mathematical model used in performance assessments can be loosely described as a probability model because it transforms system-specific empirical information (data), or comparable information about the system derived from expert opinion, into quantitative probabilities of system state variables that are needed for Monte Carlo simulations of the system's behavior. As will be seen in the following section, "Likelihoods of System States," uncertainties in system state variables are simulated by drawing random samples of the state-variable vector from a joint cumulative distribution function, which in turn is constructed from CDFs of each variable; the end-products of a probability model are analytic formulae or numerical algorithms for calculating one or more CDFs for these variables and the associated elementary probabilities of the agents that affect the system's behavior.
Because different kinds of uncertain state variables (ranging from uncertain rock hydrologic parameters to times of occurrence of events) exist and the degree of uncertainty may vary widely among variables, many different approaches to the construction and numerical implementation of probability models are possible. An extended discussion of these techniques would exceed the scope of this report. An excellent review of probability models of some agents commonly associated with geologic waste disposal is provided by Hunter and Mann, 1989. Probability models of the significant agents associated with the WIPP system are being developed (an example is given in Appendix C).
**LIKELIHOODS OF SYSTEM STATES**
If considerable uncertainty exists in values to be assigned to a state variable, that variable may have to be treated as a random variable; i.e., a probability distribution may have to be associated with its possible range of values. Sources of uncertainty in state variables are numerous: spatial and temporal uncertainties inherent in natural events, features, and processes; measurement errors in data that are used to connect the variable with reality; or simply uncertainty inherent in formulating correct theoretical relationships among variables. Whether any specific state variable needs to be treated as a random variable depends primarily on two things: 1) whether results of a calculation with a consequence model are sensitive to changes in the variable, and 2) whether the coefficient of variation of the variable is large (the coefficient of variation is the ratio of the variable's standard deviation to its mean value; it is a measure of the "spread" of the distribution of the variable). Generally speaking, if the coefficient of
variation is small (as commonly is the case for physical constants, such as radionuclide half-lives, or dimensions of engineered features), the variable need not be treated as a random variable. But if the coefficient of variation is large and results of calculations with consequence models are sensitive to changes in the variable, the variable should be treated as a random variable to capture the full range of model system behavior in the performance-assessment calculations.
Parameters that appear in probability models may have to be treated as random variables. These parameters often are quantified through the use of a limited amount of physical data or a limited sampling of expert opinions and may have large coefficients of variation; furthermore, the shape of the CCDF may be sensitive to probability-model parameters. This is the "closure problem" and is discussed further in Appendix C. For the sake of simplicity of argument, probability-model parameters are arbitrarily counted as fixed parameters in the remainder of the main text of this report.
Variables of consequence or probability models that may have to be treated as random variables can be identified by conducting sensitivity analyses of the models (Iman and Conover, 1980; Iman and Helton, 1985). Presuming that sensitivity analyses have been conducted for all submodels prior to calculating a CCDF, there is no loss of generality in assuming that all N components of the state-variable vector are random variables. Following the usual convention (Feller, 1966), capital letters will be used hereinafter to label the state variables in their role as random variables, viz.,
\[ \vec{V} = (V_1, V_2, V_3, \ldots, V_N). \]
(5)
**The Joint Cumulative Distribution Function**
Statistical properties of any reasonably well-behaved function of the state-variable vector \( \vec{V} \) are determined by the joint cumulative distribution function associated with its components, \( V_n, n = 1, 2, 3, \ldots, N \). The joint CDF of the state variables is a function defined by
\[ F(\vec{v}) = Pr(V_1 \leq v_1, V_2 \leq v_2, V_3 \leq v_3, \ldots, V_N \leq v_N). \]
(6)
The function \( F(\vec{v}) \) can be visualized as a surface embedded in \( N+1 \) dimensional Euclidean space. The "relief" of the surface, i.e., the range of the \( N+1 \)st dimension \( F \), is bounded between zero and one. The joint probability density function (PDF) associated with \( F(\vec{v}) \) will be denoted by \( F(d\vec{v}) \) for reasons given below (but also see Feller, 1966, Chapter V). The joint PDF can be interpreted as the probability of occurrence of only those scenarios contained within the infinitesimal scenario class \( d\vec{v} \).
If correlations among components of $\vec{V}$ are known, the joint CDF in principle may be constructed from CDFs of individual variables: for example, if all components are independent random variables, the joint CDF is simply the product of individual CDFs. In most practical situations, however, some variables will be dependent; this fact, along with the presence of discrete random variables and possible use of numerical tables to represent some component CDFs, usually will dictate that the joint CDF takes a complicated analytic form, i.e., a form that may be communicated only by numerical algorithms. Furthermore, inclusion of discrete random variables specifying an event or feature (e.g., the binary variables 0 or 1 used to specify whether an event or feature does or does not occur) as components of the state-variable vector will introduce discrete components into the joint CDF, making it a discontinuous function of its arguments. For these technical reasons, the joint PDF associated with the joint CDF may not always be expressed in the familiar form of most textbooks,
$$F(d\vec{v}) = f(\vec{v})d\vec{v} = f(v_1, v_2, v_3, \ldots, v_N)dv_1dv_2dv_3\ldots dv_N.$$
The joint CDF for the state-space variables is a natural measure of probability on the system's state-variable space $S_N$. The probability measure is normalized to one in the sense that
$$\int_{S_N} F(d\vec{v}) = 1,$$
where here and elsewhere in this report the integration symbol can be interpreted to mean Lebesque-Stieltjes integration (Feller, 1966, Chapter V) of the argument function with respect to the measure $F$ over all points $\vec{v}$ contained in the set indicated at the bottom of the integration symbol. The normalization indicated above has the logical interpretation: "only scenarios from the class of all possible scenarios ($S_N$) occur with certainty." Similarly, the probability that "only scenarios in the class $S_\alpha$ occur" is
$$P(S_\alpha) = \int_{S_\alpha} F(d\vec{v}). \quad (7)$$
The quantity defined in Eq. (7) is called the probability of the scenario class $S_\alpha$. In contrast with the always infinitesimally small probability of any given scenario [i.e., the PDF $F(d\vec{v})$], the probability of a scenario class $S_\alpha$ is a definite number between zero and one; it is equal to one only for $S_\alpha = S_N$.
The Expectation Operator
Ideas and notations developed above can be used to express operations of Monte Carlo simulation in a formal but useful way. To begin, consider any reasonably well-behaved function of the state-variable vector $\vec{v}$, say $g(\vec{v})$. The mathematical expectation of this function is defined by the operation (Feller, 1966, Chapter V),
$$E[g] = \int_{S_N} g(\vec{v}) F(d\vec{v}). \quad (8)$$
By specializing $g(\vec{v})$ in Eq. (8), one obtains the statistical properties (mean, variance, CDF) of the normalized cumulative release $M(\vec{v})$. Examples: If $g(\vec{v}) = M(\vec{v})$, Eq. (8) gives $\bar{M}$, the mean value of the normalized cumulative release; if $g(\vec{v}) = [M(\vec{v}) - \bar{M}]^2$, Eq. (8) gives the variance of the normalized cumulative release (denoted by Var[M]).
The CCDF for normalized cumulative releases follows from Eq. (8) on taking $g(\vec{v}) = u[M(\vec{v}) - m]$, $m > 0$, where $u(x)$ is the unit step function defined by $u(x) = 0$ if $x \leq 0$, $u(x) = 1$ if $x > 0$. Thus, the CCDF can be formally represented by
$$G(m) = E[u[M(\vec{v}) - m]}, \quad (9)$$
where the meaning of $E[\cdot]$, the expectation operator, should be clear from inspection of Eq. (8).
Because the result will be used later in discussion of conditional Monte Carlo simulation, note here that the probability of a scenario class, Eq. (7), can be expressed in terms of the expectation operator; this is demonstrated by first defining indicator functions,
$$I(\vec{v}, S_\alpha) = 1 \quad \text{if } \vec{v} \text{ is contained in } S_\alpha,$$
$$= 0 \quad \text{if } \vec{v} \text{ is not contained in } S_\alpha,$$
and noting the equivalence of Eq. (7) and
$$P(S_\alpha) = E[I(\vec{v}, S_\alpha)]. \quad (10)$$
In other words, the expectation of the indicator function for a scenario class $S_\alpha$ gives the probability of that scenario class.
The formalism defined above also applies to representation of the statistical properties of performance measures of conventional risk assessments such as cited by Thompson et al., 1988. Instead of the EPA’s CCDF for cumulative releases to the accessible environment, some European programs for assessing risks of geologic disposal of radioactive wastes have chosen a quantity called "mean risk" as the performance measure for the system. Mean risk is the predicted radiation dose that would be received by individuals or populations who may reside near the system in the future; this quantity can be expressed in terms of expectation-operator formalism as
$$\bar{R}(t) = \gamma E[H(\vec{v}, t)],$$
where $H(\vec{v}, t)$ is the committed dose equivalent at time $t$, given the realization of a scenario specified by the state-variable vector $\vec{v}$, and $\gamma$ is the ICRP (International Commission on Radiological Protection) risk factor (Thompson et al., 1988).
**PRACTICAL MONTE CARLO SIMULATION**
Statistical properties of any reasonably well-behaved function of the state-variable vector can be found by evaluating generalized integrals that are similar to Eq. (8). It is seldom possible to evaluate expressions of this kind by analytical means or by direct numerical integration: the dimension of integration is usually large, possibly involving tens or hundreds of variables, and one or both of the integrands, $g(\vec{v})$ and $F(d\vec{v})$, may be communicable only in terms of complex numerical algorithms or computer code. Monte Carlo methods are perhaps the only practical techniques for evaluating these expressions. The simplest possible Monte Carlo method exploits similarities between evaluation of a generalized integral and taking the mathematical expectation of a function of a random variable (Hammersley and Handscomb, 1964; Ross, 1985, Chapter 11) and taking the mathematical expectation and an arithmetic average of a suitably chosen set of sample values of the random function (Central Limit Theorem; Feller, 1966, Chapter VIII). The following is a brief outline of the simplest of the Monte Carlo methods, the so-called "random-sampling method," and some of its shortcomings.
**Estimators and Errors**
To calculate an estimate of expectation of $g(\vec{v})$ expressed by Eq. (8), begin by drawing $N_S >> 1$ sample values of the state-variable vector, say $\vec{v}_1, \vec{v}_2, \vec{v}_3, \ldots, \vec{v}_N$, from the joint CDF of the system's state variables. (Chapter 11 of Ross [1985] is a good introduction to techniques for "drawing"
independent samples of a random variable from its associated CDF.) Next, compute the quantities $g(\vec{V}_n)$, $1 \leq n \leq N_S$, and form their arithmetic mean:
$$\hat{g} = \frac{1}{N_S} \sum_{n=1}^{N_S} g(\vec{V}_n).$$ \hspace{1cm} (11)
The quantity $\hat{g}$ is called an estimator of the expectation of $g(\vec{V})$. Again, note that by an appropriate choice of $g(\vec{V})$, one may calculate estimators of mean value, variance, and CCDF of normalized cumulative release $M(\vec{V})$, or the probability of a scenario class, $P(S_\alpha)$. The estimator of the CCDF of the normalized cumulative release,
$$\hat{G}(m) = \frac{1}{N_S} \sum_{n=1}^{N_S} u[M(\vec{V}_n) - m],$$ \hspace{1cm} (12)
is a mathematical statement of the procedure for forming the empirical CCDF: note the similarity between operations of Eq. (12) and the empirical construction of an empirical CCDF from results of the "thought experiment" described at the beginning of this chapter.
The estimator $\hat{g}$ is a random variable whose distribution approaches a normal distribution with mean value $\bar{g}$ and variance equal to $\sigma^2/N_S$ as $N_S \to \infty$ (Central Limit Theorem; Feller, 1966, Chapter VIII).
Here, $\sigma^2$ is the variance of $g(\vec{V})$, i.e.,
$$\sigma^2 = E \left\{ [g(\vec{V}) - \bar{g}]^2 \right\} = E \left[ g^2(\vec{V}) \right] - (\bar{g})^2.$$
Because $\hat{g}$ only estimates $\bar{g}$, $\hat{g} = \bar{g} + \epsilon$, where $\epsilon$ is the error associated with estimator $\hat{g}$. The error $\epsilon$ is approximated, within a multiplicative factor of $\sqrt{2}$ or $\sqrt{3}$, by the standard deviation of $\hat{g}$,
$$\epsilon \approx \sigma/(N_S)^{1/2}. \hspace{1cm} (13)$$
The relative error in estimator $\hat{g}$ is defined by $|\epsilon/\bar{g}|$.
Thus, to estimate error associated with estimator $\hat{g}$, one must either know or be able to calculate the standard deviation $\sigma$. The standard deviation is usually not known in advance. However, an estimate may be made by using $N_S$ samples of the state-variable vector $\vec{V}$ to form an estimator of sample variance, viz.,
\[
\hat{\sigma}^2 = \frac{1}{(N_S - 1)} \sum_{k=1}^{N_S} [g(\vec{V}_k) - \hat{g}]^2;
\]
this estimate may be used to compute an approximate error. If the approximate error is too large, one repeats the process just described by first increasing \( N_S \), then drawing the requisite number of additional samples, and calculating a new estimator and approximate error, continuing in this fashion until convergence to a tolerable level of error is achieved (Ross, 1985, p. 483).
The relative error incurred in construction of an empirical CCDF (Eq. 12) by the random sampling method is surprisingly easy to estimate: by specializing \( g(\vec{V}) = u[M(\vec{V}) - m] \) and noting that the unit step function has the property \( u^2(x) = u(x) \), one can write the variance of \( g(\vec{V}) \) as
\[
E(u^2[M(\vec{V}) - m]) - G^2(m) = G(m)[1 - G(m)].
\]
For large enough values of \( m \), the relative error \( G \) in \( G(m) \) can be estimated from Eq. (13) by
\[
\text{rel. error} = \left( \frac{[1 - G(m)]}{N_S G(m)} \right)^{1/2} \approx \left( \frac{N_S G(m)}{} \right)^{-1/2}.
\]
Eq. (14) can be used to estimate the sample size, \( N_S \), needed to achieve a given relative error in the empirical CCDF at any point \( m > 0 \) such that \( G(m) \neq 0 \). Suppose that one wants to achieve a relative error of 100% at the point where \( G(m) = .001 \). By solving Eq. (14) for \( N_S \), it is seen that about 1,000 samples must be taken. In a similar fashion, if a relative error of 30% is desired, one must take about 11,000 samples.
**Variance Reduction Schemes**
The foregoing estimates of sample size needed to achieve tolerable levels of error with the random sampling method illustrate that method’s major drawback: a large number of sample runs must be made with consequence models, and if those models are implemented by large and complex computer codes (as they usually are in performance assessments), the sampling process may require unreasonably large expenditures of computer storage and time. Computer-time requirements may be reduced by turning to more sophisticated methods of sampling, such as stratification methods (Kalos and Whitlock, 1986) or the related Latin hypercube sampling (LHS) (Iman and Conover, 1982) method; use of these methods often will reduce variance in the estimator of \( g(\vec{V}) \) for a fixed sample size \( N_S \) below variance dictated by the random sampling method.
The WIPP Project has used LHS in preliminary calculations of conditional empirical CCDFs for the normalized cumulative release of radioactivity from WIPP (Marietta et al., 1989; see the following section for the meaning of a conditional CCDF). Most of these preliminary calculations used $N_S \approx 50$, but so far no attempt has been made to estimate the relative error associated with such a sample size. The error associated with the LHS estimator is not estimated as easily as is the error associated with the random sampling method [Eq. (14)]. Iman and Helton (1985, pp. 2-5) suggest that "good results" are obtained with LHS when $N_S$ is chosen to be greater than $(4/3)N$, where $N$ is the number of uncertain state variables. Iman (personal communication, 1990) states that the bases for the $(4/3)N$ rule is purely empirical; it seems to give stable and reproducible results upon changing the "seed" value in the random-number generator used in the sampling process.
**A Representation of the CCDF Based on Scenario Classes**
The WIPP Project has adopted a methodology for performance assessment that was developed at Sandia National Laboratories in the 1980s (Sandia methodology; Cranwell et al., 1982a and 1982b; Hunter et al., 1986; Campbell and Cranwell, 1988). A unique feature of the Sandia methodology is representation of the CCDF for normalized cumulative releases by a sum of conditional CCDFs weighted by scenario class probabilities. In terms of the notation of the previous section, the new representation takes the form
$$G(m) = \sum_{j=1}^{J} G(m \mid S_j) P(S_j), \quad (15)$$
where $G(m \mid S_j)$ can be interpreted as the probability that $M > m \geq 0$, given that only points (scenarios) in the set (scenario class) $S_j$ are taken (or occur), and $P(S_j)$ is the measure (probability) of the set (scenario class) $S_j$.
Representation of the CCDF in Eq. (15) is equivalent to representation by Eq. (9) provided that scenario classes satisfy certain conditions. To see this, let $\{S_j\}, 1 \leq j \leq J$, be a partition of the state-variable space $S_N$ into $J$ sets of points (scenario classes) with the following properties:
$$S_j \cap S_k = \emptyset \text{ for } j \neq k, \text{ and } \bigcup_{j=1}^{J} S_j = S_N. \quad (16)$$
In the above, $\emptyset$ represents the empty set, the operation "$\bigcap$" represents the intersection of sets, and the operation "$\bigcup$" represents the union of sets. The first property in Eq. (16) is called the condition of **exclusivity**; logically speaking, it requires that each possible scenario be contained in
one and only one scenario class $S_j$, $1 \leq j \leq J$. The second property in Eq. (16) is called the condition of exhaustivity; logically speaking, it states that every possible scenario is contained in the union of classes $S_j$, $1 \leq j \leq J$. The probabilities of the scenario classes in the partition $\{S_j\}$ are given by Eq. (10). It may be assumed without loss in generality that $P(S_j) > 0$, $1 \leq j \leq J$; for if some of the $S_j$s are such that $P(S_j) = 0$, then they can be eliminated and the scenario classes renumbered, counting only classes for which $P(S_j) > 0$. Obviously, scenario classes having zero probability play no role in representing the CCDF.
Assuming that the scenario classes in the partition $\{S_j\}$ satisfy conditions of exclusivity and exhaustivity, the normalization condition on $S_N$ and the indicator functions [Eq. (10)] can be used to show that
$$\sum_{j=1}^{J} P(S_j) = 1,$$
and, for any reasonably well-behaved function of the state variables, $g(\vec{v})$,
$$E[g(\vec{v})] = \sum_{j=1}^{J} E[g \mid S_j] P(S_j),$$
where $E[\cdot \mid S_j]$ stands for the expectation of the random variable $(\cdot)$ conditioned upon the fact that only points (scenarios) contained in the set (scenario class) $S_j$ are taken (or occur). Specifically,
$$E[g \mid S_j] = \frac{1}{P(S_j)} \int_{S_j} g(\vec{v}) F(d\vec{v}).$$
By setting $g(\vec{v})$ in Eqs. (17) and (18) equal to $u[M(\vec{v}) - m]$, the new representation of the CCDF [Eq. (15)] is obtained.
**CONDITIONAL CCDFs**
The quantities $G(m \mid S_j)$ [Eq. (15)] are called conditional CCDFs and can be constructed by Monte Carlo methods described in the last section. But note that to construct a conditional CCDF, one must draw samples of the state variables not from the unrestricted joint CDF of all variables [Eq. (6)] but from a conditional joint CDF of those state variables whose types and ranges are restricted by the specifications of scenario class $S_j$. Inspection of Eq. (18) shows that these conditional joint CDFs may be formally expressed by
\[ F_j(\vec{v}) = \frac{1}{P(S_j)} I(\vec{v}, S_j) F(\vec{v}), \]
(19)
where \( I(\vec{v}, S_j) \) is the indicator function defined for use in Eq. (10).
Note that practical use of the representation of a CCDF by Eq. (15) will always require a fourth ingredient in addition to state-variables, a set of consequence models, and a joint CDF for state variables: namely, a set of logical rules that 1) define a partition of \( S_N \) into mutually exclusive and exhaustive scenario classes \( \{S_j\} \), and 2) define the indicator functions that appear in Eqs. (10) and (19), i.e., that allow a decision to be made whether a sample state-variable vector, \( \vec{V} \), drawn from the unrestricted joint CDF belongs to a particular scenario class in the partition \( \{S_j\} \). Given such a set of logical rules, one could in principle construct estimates of the scenario-class probabilities, \( P(S_j) \), and empirical, conditional CCDFs, \( G(m | S_j) \), using the Monte Carlo methods described in the last section. In practice, though, it may prove difficult to devise rules defining indicator functions that are consistent with exclusivity and exhaustivity of scenario classes and, at the same time, permit an efficient use of Monte Carlo methods.
**Partitioning State-Variable Space**
Representation of a CCDF by Eq. (15) is valid for any partition of state-variable space that satisfies conditions of exclusivity and exhaustivity. Whether practical use can be made of the representation will depend upon the analyst’s ability to construct a partition \( \{S_j\} \) and an associated set of logical rules such that 1) scenario classes \( S_j \) have relatively simple and intuitive meanings, and 2) resulting scenario-class probabilities \( P(S_j) \) can be constructed easily from the probability models for agents that enter into definition of scenario class \( S_j \). Partitions that satisfy criteria 1) and 2) will be called **simple partitions**. Here, "easily constructed" means use of any relatively simple analytic or straightforward numerical method other than Monte Carlo simulation. Use of time-consuming Monte Carlo methods to estimate scenario-class probabilities probably would eliminate any methodological and computational advantages that representation by Eq. (15) may have relative to a direct simulation of the total system that employs only Eq. (12) and the random sampling method.
The WIPP Project has chosen a simple partition of the WIPP system’s state-variable space that is based on occurrence or non-occurrence of events and features (Marietta et al., 1989; Guzowski, 1990). This partitioning scheme is understood best by studying two examples.
**Example 1.** Consider the simplest possible situation in which only one process, specified by a single process variable \( X \), and one event that is specified by
two event variables, $N$ and $T$, occur. The process variable could represent the uncertain level of some process that is constant in time; event variable $N$ is a binary random variable that specifies whether event does or does not occur in a time interval $[0, t_{\text{max}}]$; and the event variable $T$ represents the moment at which the event occurs. Suppose that $X$ is independent of $(N, T)$ and that CDFs for $X$ and $T$ are given, continuously differentiable functions,
$$\Pr(X \leq x) = G(x), \quad x \in (-\infty, +\infty),$$
$$\Pr(T \leq t) = H(t), \quad t \in [0, \infty).$$
The elementary probability that the event occurs in the time interval $[0, t_{\text{max}}]$ is $p = H(t_{\text{max}})$ and the binary variable $N$ is distributed according to
$$\Pr(N = 0) = 1 - p, \quad (\text{event does not occur}),$$
$$\Pr(N = 1) = p, \quad (\text{event occurs}).$$
The state-variable space for this example (sketched on Figure 3-2a) is the union of two sheets, $S_0$ and $S_1$, where
$$S_0 = \{(x, n, t) : -\infty < x < +\infty, \quad n = 0, \quad 0 \leq t < \infty\},$$
$$S_1 = \{(x, n, t) : -\infty < x < +\infty, \quad n = 1, \quad 0 \leq t \leq \infty\}.$$
It is easily verified that $H(t)$ can be represented as the weighted sum of two conditional CDFs:
$$H(t) = (1-p)H(t \mid N = 0) + pH(t \mid N = 1),$$
where
$$H(t \mid N = 0) = 0, \quad \text{if } t \leq t_{\text{max}},$$
$$= \frac{[H(t) - p]}{1-p}, \quad \text{if } t > t_{\text{max}};$$
and
$$H(t \mid N = 1) = H(t)/p, \quad \text{if } t \leq t_{\text{max}},$$
$$= 1, \quad \text{if } t > t_{\text{max}}.$$
Thus, by treating variable $n$ as though it is continuous instead of discrete, the joint CDF for state variables (of this problem) may be expressed in closed analytical form:
(a) Partitioned on Event Only.
(b) Partitioned on Both Event and Process.
Figure 3-2. State-Variable Space for Example 1.
\[ F(x, n, t) = [(1-p)u(n)H(t \mid N = 0) + pu(n-1)H(t \mid N = 1)]G(x); \]
and by taking derivatives, the associated joint PDF can be expressed as
\[ f(x, n, t) = [(1-p)\delta(n)H'(t \mid N = 0) + p\delta(n-1)H'(t \mid N = 1)]G'(x). \]
In the two preceding equations, \( u(\cdot) \) is the unit step function, \( (\cdot)' \) stands for ordinary derivative, e.g., \( H'(t) = dH/dt \), and \( \delta(\cdot) \) stands for the Dirac delta function. [Recall that the Dirac delta function has the property,
\[ \int_A g(\vec{v})\delta(\vec{v} - \vec{x})d\vec{v} = g(\vec{x}) \quad \text{if } \vec{x} \text{ is contained in the set } A, \text{ and} \]
\[ = 0 \quad \text{if } \vec{x} \text{ is not contained in the set } A. \]
The reader can use these analytic forms and ordinary integration to verify that
\[ P(S_0) = \int_{S_0} f(x, n, t)dxdt = (1-p) \quad \text{and} \quad P(S_1) = \int_{S_1} f(x, n, t)dxdt = p, \]
and that the expected value of any function \( g(x, n, t) \),
\[ E[g] = \int_{S_0 + S_1} g(x, n, t)f(x, n, t)dxdt, \]
can be expanded in terms of \( P(S_0) \) and \( P(S_1) \) as in Eqs. (17) and (18), i.e.,
\[ E[g] = (1-p)E[g \mid S_0] + pE[g \mid S_1]. \]
The three-variable model just described should illustrate the idea of partitioning state-variable space into mutually exclusive and exhaustive scenario classes on the basis of occurrence or non-occurrence of a binary agent. An extension of the model will be used next to illustrate the idea of creating new scenario classes by partitioning the space of process variables (Appendix B); this extension is included here only to show how processes might be included in the partitioning scheme; the WIPP Project has so far not attempted to create new scenario classes by partitioning of process variables.
For simplicity, suppose that the range of process variable \( X \) (Figure 3-2a) is partitioned into two sets (or "bins"; Appendix B), \( B_1 \) and \( B_2 \), such that
\[ B_1 = \{ x : -\infty < x < 0 \} \quad \text{and} \quad B_2 = \{ x : 0 \leq x < +\infty \}. \]
Introduction of two bins for the process leads to partitioning of state-variable space (Figure 3-2b) into four scenario classes arbitrarily labelled $S_0$ through $S_3$.
Elementary probabilities of the two bins are evidently
$$\rho_1 = G(0) \quad \text{and} \quad \rho_2 = 1 - G(0);$$
and $G(x)$ easily may be verified to be represented by
$$G(x) = \rho_1 G(x \mid B_1) + \rho_2 G(x \mid B_2),$$
where
$$G(x \mid B_1) = \frac{G(x)}{\rho_1}, \quad \text{if } x < 0,$$
$$= 1, \quad \text{if } x \geq 0; \quad \text{and}$$
$$G(x \mid B_2) = 0, \quad \text{if } x < 0,$$
$$= \frac{[G(x) - \rho_1]}{\rho_2} \quad \text{if } x \geq 0.$$
The expression for $G(x)$ given above can be inserted in the expression for the joint CDF for the three state variables, $F(x,n,t)$, and the latter can be expanded as a sum of terms to give
$$F(x,n,t) = (1-p)\rho_1 u(n)H(t \mid N=0)G(x \mid B_1) + p\rho_1 u(n-1)H(t \mid N=1)G(x \mid B_1)$$
$$+ (1-p)\rho_2 u(n)H(t \mid N=0)G(x \mid B_2) + p\rho_2 u(n-1)H(t \mid N=1)G(x \mid B_2).$$
The associated joint PDF, $f(x,n,t)$, is formed from $F(x,n,t)$ by differentiation of all arguments:
$$f(x,n,t) = (1-p)\rho_1 \delta(n)H'(t \mid N=0)G'(x \mid B_1) + p\rho_1 \delta(n-1)H'(t \mid N=1)G'(x \mid B_1)$$
$$+ (1-p)\rho_2 \delta(n)H'(t \mid N=0)G'(x \mid B_2) + p\rho_2 \delta(n-1)H'(t \mid N=1)G'(x \mid B_2).$$
These analytic forms and ordinary integration can be used to verify that
$$P(S_0) = (1-p)\rho_1, \quad P(S_1) = p\rho_1, \quad P(S_2) = (1-p)\rho_2, \quad P(S_3) = p\rho_2,$$
and that the expected value of any function, say $g(x,n,t)$, can be expanded in terms of the $P(S_j)$, $0 \leq j \leq 3$, as the sum of terms,
\[ E[g] = P(S_0)E[g|N=0, B_1] + P(S_1)E[g|N=1, B_1] \]
\[ + P(S_2)E[g|N=0, B_2] + P(S_3)E[g|N=1, B_2]. \]
The operational meaning of conditional expectations such as \( E[g|N=0, B_1] \) should be clear; for instance,
\[
E[g|N=0, B_1] = \int_{S_0} g(x,n,t)\delta(n)H'(t|N=0)G'(x|B_1)dxndnt.
\]
**Example 2.** This example attempts a generalization of Example 1 to more than one binary agent. Consider an idealized geologic disposal system in which releases of radioactivity may be caused by occurrence of any number of processes but only two kinds of events, labelled \( E_1 \) and \( E_2 \), and only one type of undetected feature, labelled \( F_3 \). For instance, in the context of the WIPP system, event \( E_1 \) might be "onsite exploratory drilling," \( E_2 \) might be "offsite mining for potash," and \( F_3 \) might be "brine reservoirs under repository." The elementary probabilities of the two events and one feature are respectively \( p_1, p_2, \) and \( p_3 \). No partitioning of processes is made in this example.
Because only three kinds of events and features are considered in this example, scenario classes and scenario-class probabilities that arise from application of the partitioning scheme easily can be identified by construction of a logic diagram. Figure 3-3 shows one form of a logic diagram for the present example. (Guzowski, 1990, gives a different way of representing logic diagrams). There are eight scenario classes, each having a simple and intuitive meaning: for example, \( S_4 \) has the physical meaning "brine reservoirs exist under repository and onsite exploratory drilling occurs, but no offsite mining for potash has occurred." A mathematical proof that these eight scenario classes are exclusive and exhaustive in the manner of Example 1 is not attempted here, but logic alone suggests that the classes must be mutually exclusive because no two of them can share the same components of the state-variable vector (the set of binary variables that specify whether two events and one feature occur or do not occur will have a different pattern for each class). Similarly, the classes must be exhaustive because their union accounts for all possible combinations of \( E_1, E_2, \) and \( F_3 \).
Probabilities of the eight scenario classes, \( P(S_j), 1 \leq j \leq 8 \), shown as polynomials of the elementary probabilities on the right-hand side of Figure 3-3, are formed by taking the product of the elementary probabilities that apply to the scenario class: for example, \( P(S_4) = [\text{probability of onsite exploratory drilling}, p_1] \times [\text{probability of no offsite mining for potash}, (1 - p_2)] \times [\text{probability of brine reservoirs under repository}, p_3] \). The reader can easily verify that the sum of the eight scenario-class probabilities is one.
Figure 3-3. Logic Diagram for Identifying Scenario Classes in Example 2 (modified from Figure 18.104.22.168-3, DOE, 1988).
The conditional CCDFs associated with each of the eight scenario classes of this example can be estimated by Monte Carlo simulations that draw sample vectors from conditional distributions, $F_j(\psi)$, [Eq. (19)]. Note, however, that a partition of state-variable space on the basis of occurrence or non-occurrence of discrete states of agents (in this case, binary states) allows the analyst to construct $F_j(\psi)$s without recourse to Monte Carlo simulation. The analyst will have to construct only a separate defining algorithm for each $F_j(\psi)$; these algorithms could be constructed by selectively excluding from the algorithm for generating the unrestricted joint CDF, $F(\psi)$, the sub-algorithms for those CDFs for components of $\psi$ that specify variables of agents that do not occur in the scenario class $S_j$, and by performing a renormalization of the appropriate CDFs that remain according to Eq. (19) using the analytically prescribed values of $P(S_j)$. For example, the defining algorithm for $F_1(\psi)$ could be obtained from the algorithm for $F(\psi)$ by bypassing all sampling of CDFs that apply to variables in agents $E_1$, $E_2$, and $F_3$ and assuring that the remaining CDFs were renormalized by the probability of $S_1$.
**GENERALIZATION OF THE PARTITIONING SCHEME**
The partitioning scheme that was illustrated by examples can be generalized to include any number of types of agents. The generalization takes the form of formulae for calculating 1) number of scenario classes that are associated with a given number of types of agents, and 2) scenario-class probabilities, based on the elementary probabilities of the agents. Such a generalization becomes necessary when many types of agents must be considered in forming scenarios, and identification of the scenario classes by direct enumeration (or with the aid of logic diagrams) becomes impracticable. The formulae to be presented here will apply only to those agents that are statistically independent entities (i.e., having information about the occurrence or presence of one kind of agent does not change the elementary probabilities of other kinds of agents).
**Number of Scenario Classes**
In Example 2, a combination of two binary events and one binary feature resulted in $2^3 = 8$ scenario classes. It can be shown by simple enumeration that the combination of $K$ different binary agents will result in $2^K$ scenario classes.
In general, processes and alternative conceptual models are not binary agents. Time-dependent functions that specify an uncertain process (Appendix B) can be assumed to fall within one of $B \geq 1$ predetermined "bins"; and elementary probabilities, $p_{kb}$, that the $k^{th}$ type of process falls within the $b^{th}$ bin,
1 ≤ b ≤ B, need only have the property that their sum over all bins equals one. A similar situation applies to alternative conceptual models in that there may be more than two conceptual models of a process that are scientifically acceptable (Appendix A). It is also noted in Appendix A that there is no logical difference between a feature and an alternative conceptual model: hence it is possible to imagine a feature with more than two states.
Up to this point, events have been treated as binary agents, but in some performance-assessment studies it may be convenient to treat an event as an agent having more than two states. For example, instead of splitting an event into the categories "does not occur in performance period," and "occurs at least once in performance period," it may be advantageous to partition the state-variable space on the basis of the event's not occurring, occurring only once, occurring only twice, and occurring at least three times in the performance period. Thus, the following generalization of Example 2 is suggested.
Let:
\[ K_2 = \text{number of types of binary agents;} \]
\[ K_3 = \text{number of types of agents having 3 states;} \]
\[ K_4 = \text{number of types of agents having 4 states;} \]
\[ \vdots \]
\[ K_B = \text{number of types of agents having } B > 2 \text{ states.} \]
Then, by simple enumeration and induction, there exist
\[
J = \left( \begin{array}{c}
K_2 \\
2
\end{array} \right) \left( \begin{array}{c}
K_3 \\
3
\end{array} \right) \left( \begin{array}{c}
K_4 \\
4
\end{array} \right) \ldots \left( \begin{array}{c}
K_B \\
B
\end{array} \right)
\]
(20)
distinct combinations of the \( K_2 + K_3 + K_4 + \ldots + K_B \) agents, each combination representing a scenario class.
Eq. (20) shows that the number of scenario classes increases exponentially with the number of types of independent agents to be considered in the performance assessment. This fact provides the reason why those agents that have insignificant effect on the shape of the total CCDF should be identified and eliminated prior to developing consequence models and making expensive Monte Carlo calculations for what could be an unreasonably large number of empirical, conditional CCDFs. The process of eliminating unimportant agents in performance assessments is called "screening." A qualitative methodology for screening is described in Cranwell et al., 1982b; the quantitative implications of screening of agents will be discussed in a later section ("Features of the Partitioning Scheme").
Calculating Scenario-Class Probabilities
Note that the eight scenario-class probabilities appearing on the right-hand side of Figure 3-3 can be found by expanding the following product,
\[(1 - p_1) + p_1] \times [(1 - p_2) + p_2] \times [(1 - p_3) + p_3]\]
as a sum of terms; i.e., after performing all multiplications in the above expression, one gets
\[(1 - p_1)(1 - p_2)(1 - p_3) + p_1(1 - p_2)(1 - p_3)\]
\[+ (1 - p_1)p_2(1 - p_3) + (1 - p_1)(1 - p_2)p_3\]
\[+ p_1p_2(1 - p_3) + p_1(1 - p_2)p_3 + (1 - p_1)p_2p_3 + p_1p_2p_3.\]
(21)
Note that each term in Eq. (21) is one expression appearing in the logic diagram (Figure 3-3). This suggests the following generalization.
Recall the notation that was used in forming Eq. (20). Let \(k_2\) be an index enumerating the distinct types of binary agents \((1 \leq k_2 \leq K_2)\); denote the elementary probabilities of these agents by \(p_{k_2}\) [so if \(k_2\) applies to process, bin number one has probability \(p_{k_2}\) and bin number two has probability \((1 - p_{k_2})\)]. In a similar fashion, let
\(p_{k_3}^b =\) the elementary probability of the \(b\)th state \((1 \leq b \leq 3)\) in a three-state division of an agent of type \(k_3\) \((1 \leq k_3 \leq K_3)\);
\(p_{k_4}^b =\) the elementary probability of the \(b\)th state \((1 \leq b \leq 4)\) in a four-state division of an agent of type \(k_4\) \((1 \leq k_4 \leq K_4)\);
\(\vdots\)
\(p_{k_B}^b =\) the elementary probability of the \(b\)th state \((1 \leq b \leq B)\) in a \(B\)-state division of an agent of type \(k_B\) \((1 \leq k_B \leq K_B)\).
Then the scenario-class probabilities, $P(S_j)$, are given by the J terms in the expansion of the following product, Eq. (22), as a sum of terms,
$$\left[ \prod_{k_2=1}^{K_2} \left( 1 - p_{k_2} \right) + p_{k_2} \right] \cdot \left[ \prod_{k_3=1}^{K_3} \left( b \sum_{b=1}^{3} p_{k_3} b^3 \right) \right] \cdot \ldots \cdot \left[ \prod_{k_B=1}^{K_B} \left( b \sum_{b=1}^{B} p_{k_B} b^B \right) \right].$$
In other words,
$$\sum_{j=1}^{J} P(S_j) = [\text{expansion of Eq. (22) as a sum of terms}].$$
Note that each factor in the product [Eq. (22)] is identically equal to one. Therefore, the product of the factors is one, and so the expansion of the product as a sum must be one. This proves that the sum of the scenario class probabilities will always be one.
The bookkeeping involved in the use of Eq. (22) to construct scenario-class probabilities will be cumbersome if more than a few agents are involved. The analyst who is considering forming scenario classes with more than three or four agents might profitably turn to one of several available computer software packages for symbolic algebraic manipulations to form, identify, and interpret the scenario classes and keep track of the terms in the expansion of Eq. (22).
**FEATURES OF THE PARTITIONING SCHEME**
The present scheme for partitioning state-variable space into scenario classes has several potentially advantageous features: 1) it furnishes an operational definition of the term "undisturbed performance" used in the Standard [EPA, 1985, § 191.12(p)]; 2) it permits an upper-bound estimate to be made of the error committed in the empirical CCDF by eliminating an agent on the basis of a small elementary probability; and 3) it suggests a logical way of reducing the number of scenario classes in a problem that is independent of knowledge of the elementary probabilities associated with the agents that comprise those classes. A simple example of the expansion of the product in Eq. (22) as a sum of terms will be used to illustrate some of these features. The example expansion is shown below for $K_2 = 2$ and $K_3 = 1$; i.e., two binary agents and one three-bin representation of a process are assumed.
\[ \prod_{k_2=1}^{2} \left[ (1 - p_{k_2}) + p_{k_2} \right] \cdot (p_{11} + p_{12} + p_{13}) \]
\[ = (1 - p_1)(1 - p_2)p_{11} + (1 - p_1)p_2p_{11} + p_1(1 - p_2)p_{11} + p_1p_2p_{11} \]
\[ + (1 - p_1)(1 - p_2)p_{12} + (1 - p_1)p_2p_{12} + p_1(1 - p_2)p_{12} + p_1p_2p_{12} \]
\[ + (1 - p_1)(1 - p_2)p_{13} + (1 - p_1)p_2p_{13} + p_1(1 - p_2)p_{13} + p_1p_2p_{13}. \quad (23) \]
At this point, the reader should recall that the 12 terms in the sum [right-hand side of Eq. (23)] represent scenario-class probabilities that would serve as coefficients that multiply 12 empirical, conditional CCDFs in a representation of the overall probability distribution [according to Eq. (15)].
**Undisturbed Performance**
First, consider the terms [Eq. (23)] which have the form \((1 - p_1)(1 - p_2)\) \(p_{1k}\), \(k = 1, 2, 3\) (these terms are arranged in the first column of the array on the right-hand side of the equation). Terms having this form are naturally interpreted as probabilities of "undisturbed-performance" scenario classes, i.e., those classes of scenarios in which none of the presumably disruptive agents occur during the period of performance. Classes of this kind have been called the "base-case" (Marietta et al., 1989; Guzowski, 1990) or the "nominal case scenario" (DOE, 1988, § 22.214.171.124) and can be used to operationally represent the concept of "undisturbed performance of the disposal system" mentioned in the Individual Protection Requirements (§ 191.15) and the Ground Water Protection Requirements (§ 191.16) of the Standard (EPA, 1985). But note that more than one "undisturbed-performance" scenario class may exist, depending upon the number of processes that are involved in the problem and whether those processes are divided into bins in the manner indicated in Appendix B. The remaining terms in Eq. (23) have at least one factor of the form \(p_k\), \(k = 1, 2\). These terms naturally are interpreted as probabilities of "disturbed-performance" classes, i.e., those classes of scenarios in which at least one of the presumably disruptive events (or features) occurs during the period of performance.
**Screening on Elementary Probabilities**
Much of the following discussion of screening on elementary probabilities will make sense only if the reader recalls an assumption made earlier in this report: that the elementary probabilities, or the parameters of mathematical models used to determine elementary probabilities, are not uncertain (or
imprecise) problem variables. That assumption is maintained throughout this section. Difficulties that arise when the elementary probabilities are uncertain problem variables are briefly mentioned in Appendix C ("Uncertainty in Probability Model Parameters").
With these cautions in mind, consider what happens to scenario classes and scenario-class probabilities when, in the light of new evidence, an agent heretofore regarded as playing a significant role in determining consequences comes to be regarded as either an impossibility (elementary probability $\rightarrow 0$) or a sure thing (elementary probability $\rightarrow 1$). The effects of taking these limits are seen most easily by letting them apply to one of the elementary probabilities, say $p_1$, that appears in the prototypical example, Eq. (23).
On taking either limit, Eq. (23) becomes a sum of six terms,
$$
(1 - p_2)p_{11} + p_2p_{11} + (1 - p_2)p_{12} + p_2p_{12} + (1 - p_2)p_{13} + p_2p_{13},
$$
that sum to one. This observation and Eq. (20) suggest the general result: elimination of a binary agent, whether by regarding it as impossible or a sure thing, results in a halving of the number of scenario classes (and therefore the number of conditional CCDFs that must be estimated by Monte Carlo simulation). Conversely, introduction of a binary agent results in a doubling of the number of scenario classes. In each instance, the sum of scenario-class probabilities remains equal to one. But note the differences between impossibility and a sure thing in terms of practical computations. If an agent is impossible, none of its associated phenomenology needs to be included in the consequence models, thus resulting in a reduction of model-development effort and a simplification of computations. On the other hand, if an agent is regarded as a sure thing, its phenomenology is necessarily included in the CCDF calculations (in the form of consequence models and probability models for parametric uncertainty) in order to assure a realistic estimate of the form of the CCDF; in other words, the sure binary agent is a necessary part of an assessment of undisturbed performance.
The effects of eliminating all or part of the representation of a non-binary agent (i.e., an agent that is divided into more than two states) also may be inferred from Eqs. (23) and (20). Of course, an agent that is known to have no effect on cumulative releases to the accessible environment under any conditions (undisturbed or disturbed) never would be considered in the building of consequence models. Of more interest is the situation in which, for example, a few (but not all) of the regions of process-variable space (bins) associated with a process are judged in retrospect to have negligible elementary probabilities; then, by Eq. (20), the elimination of, say, A bins out of B bins (where $1 \leq A < B$) will reduce the number of scenario classes by the fraction $(B - A)/B$. For example, if in Eq. (23) one takes $p_{13} \rightarrow 0$ (and
as a consequence, \( p_{11} + p_{12} = 1 \), then Eq. (23) becomes the sum of the \((2/3) \times 12 = 8\) terms contained in the first two rows of the array. Again, the sum of the 8 resulting scenario-class probabilities is one.
Because elementary probabilities are rarely exactly zero, elimination of an agent on the basis of small probability of occurrence will lead to an error in the overall CCDF. In other words, if \( G_K(m) \) stands for the CCDF, which includes consideration of \( K \) different agents, and one of those agents is eliminated on the basis of a small elementary probability, say \( p_{k_1} \), an absolute error of magnitude \( | G_K(m) - G_{K-1}(m) | \) will be associated with the reduced CCDF \( G_{K-1}(m) \). It can be shown that \( p_{k_1} \) is an upper bound to the absolute error; in other words
\[
| G_K(m) - G_{K-1}(m) | \leq p_{k_1}.
\]
(24)
**Plausibility of Eq. (24)**. Although a proof of the inequality in Eq. (24) is possible, only the plausibility of the inequality will be demonstrated here for the concrete case \( K = 3 \) and elimination of one out of three binary agents; a simple demonstration is sufficient to show the essential features of the general proof. For brevity of notation, the dependence of \( G \) on \( m \) will be dropped. To begin, note that the total CCDF associated with three binary agents can be expanded in terms of eight scenario classes and written as
\[
G_3 = (1 - p_1)(1 - p_2)(1 - p_3)C_1 + p_1(1 - p_2)(1 - p_3)C_2 \\
+ (1 - p_1)p_2(1 - p_3)C_3 + (1 - p_1)(1 - p_2)p_3 C_4 \\
+ p_1p_2(1 - p_3)C_5 + p_1(1 - p_2)p_3 C_6 + (1 - p_1)p_2p_3 C_7 \\
+ p_1p_2p_3 C_8,
\]
where \( C_i, 1 \leq i \leq 8 \), are shorthand for conditional CCDFs associated with each of eight scenario classes. Now suppose that agent number three is to be eliminated on the basis of small probability, i.e., \( p_3 \to 0 \). The reduced, total CCDF can then be expanded in terms of four scenario classes:
\[
G_2 = (1 - p_1)(1 - p_2)D_1 + p_1(1 - p_2)D_2 + (1 - p_1)p_2 D_3 + p_1p_2D_4
\]
(26)
where the \( D_j, 1 \leq j \leq 4 \), are shorthand for the conditional CCDFs associated with each of the four classes in the reduced problem. Next, note that because agent number three does not occur in the calculation of the conditional CCDFs
\( C_1, C_2, C_3, C_5 \) or any of the \( D_j \)'s,
\[
C_1 = D_1, \quad C_2 = D_2, \quad C_3 = D_3, \quad C_5 = D_4.
\]
(27)
Next, take the difference of Eqs. (25) and (26). On taking the equalities in Eq. (27) into account and rearranging terms,
\[
G_3 - G_2 = p_3 \left( (1 - p_1)(1 - p_2)[C_4 - C_1] + p_1(1 - p_2)[C_6 - D_2] \right. \\
+ (1 - p_1)p_2[C_7 - D_3] + p_1p_2[C_8 - C_5] \right);
\]
and so, by the triangle inequality (Abramowitz and Stegun, 1964, formula 3.2.6, p. 11),
\[
|G_3 - G_2| \leq p_3 \left[ (1 - p_1)(1 - p_2)|C_4 - C_1| + p_1(1 - p_2)|C_6 - D_2| \right. \\
+ (1 - p_1)p_2|C_7 - D_3| + p_1p_2|C_8 - C_5| \right].
\]
(28)
Because the \( C_i \)'s and \( D_j \)'s are conditional CCDFs (non-negative functions \( \leq 1 \)), \( |C_i - C_j| \leq 1 \) and \( |C_i - D_j| \leq 1 \). Accordingly, Eq. (28) becomes
\[
|G_3 - G_2| \leq p_3 \left[ (1 - p_1)(1 - p_2) + p_1(1 - p_2) + (1 - p_1)p_2 + p_1p_2 \right];
\]
and so, upon recognition that terms in \{...\} sum to one,
\[
|G_3 - G_2| \leq p_3.
\]
The inequality in Eq. (24) can be extended to give an upper-bound estimate of the error incurred when more than one agent is eliminated. If \( L \) agents, \( 1 \leq L < K \), are to be eliminated on the basis of their elementary probabilities, \( p_{k_1}, p_{k_2}, \ldots, p_{k_L} \),
\[
|G_K(m) - G_{K-L}(m)| \leq p_{k_1} + p_{k_2} + p_{k_3} + \ldots + p_{k_L}.
\]
(29)
Some practical implications of these results follow: elimination of an agent having elementary probability = 0.0001 (threshold allowed by the EPA, Chapter 2) will lead to a relative error in the CCDF of no more than 10 percent at the point where \( G(m) \) equals the regulatory value 0.001 [Eq. (3)], and elimination of ten agents that each have elementary probability = 0.0001 would lead to no more than a 100 percent relative error at that point. The relative error in this case is seen to be independent of the Monte Carlo method used to
construct the CCDF; therefore, it should be added to the relative error that arises when a finite number of sample state-variable vectors are used to construct the empirical CCDF [Chapter 3, Eq. (14)].
**Reducing the Number of Scenario Classes**
A careful, logical examination of the nature of agents that occur in a scenario class and ways in which those agents may interact to result in consequences that may be different from consequences of the undisturbed scenario classes may reduce the number of scenario classes. To see how such a reduction might be accomplished, consider the following simple example in which the total CCDF is expanded in terms of the 12 scenario classes whose probabilities are the terms in the sum on the right-hand side of Eq. (23):
\[
G(m) = \sum_{j=1}^{12} G_j(m)P_j,
\]
where the \(G_j(m)\)'s are the 12 conditional CCDFs associated with the scenario classes, and the \(P_j\)s are shorthand for the 12 scenario-class probabilities, namely,
\[
P_1 = (1 - p_1)(1 - p_2)p_{11}, \quad P_2 = (1 - p_1)(1 - p_2)p_{12}
\]
\[
P_3 = (1 - p_1)(1 - p_2)p_{13}, \text{ the undisturbed-class probabilities},
\]
and the disturbed-class probabilities
\[
P_4 = (1 - p_1)p_2p_{11}, \quad P_5 = (1 - p_1)p_2p_{12}, \quad P_6 = (1 - p_1)p_2p_{13},
\]
\[
P_7 = p_1(1 - p_2)p_{11}, \quad P_8 = p_1(1 - p_2)p_{12}, \quad P_9 = p_1(1 - p_2)p_{13},
\]
\[
P_{10} = p_1p_2p_{11}, \quad P_{11} = p_1p_2p_{12}, \quad P_{12} = p_1p_2p_{13}.
\]
Now suppose that the agent having elementary probability \(p_2\) can be shown (by logical or physical reasoning) to have little or no effect on releases to the accessible environment except when it occurs in conjunction with the agent having elementary probability \(p_1\) (e.g., the former may be an inert feature or neutral agent that requires the latter to make it a factor in determining the magnitude of the release to the accessible environment); the logical implication of this demonstration is that the three scenario classes involving only the occurrence of the agent with probability \(p_2\) will have associated conditional CCDFs that are identical with their undisturbed-class counterparts, i.e.,
\[ G_4(m) = G_1(m), \quad G_5(m) = G_2(m), \quad G_6(m) = G_3(m). \]
The need to calculate 3 of the 12 conditional CCDFs thereby is eliminated. Scenario-class probabilities \( P_4, P_5, \) and \( P_6 \) will add to the corresponding undisturbed-class probabilities to given new undisturbed-class probabilities,
\[
P'_1 = P_1 + P_4 - (1 - P_1)P_{11}, \quad P'_2 = P_2 + P_5 - (1 - P_1)P_{12}, \quad P'_3 = (1 - P_1)P_{13},
\]
and the sum of all scenario-class probabilities is still one, as is easily verified.
The reader may use the framework of this example to investigate the way the number of scenario classes may be reduced by examination of combinations of other kinds of inert or neutral agents. Of particular interest is the situation in which an agent is determined to be inactive except in the presence of a certain level of one of the processes. [Recall that levels of a process are specified by a finite number of "bins" in the representation of the CCDF by Eq. (15); the elementary probabilities of the bins in the example are the \( p_{lj}, \ l \leq j \leq 3. \)]
The situation exemplified above arises in connection with the WIPP system where, for reasons cited (Chapter 4), the feature "brine pocket below rooms or drifts" is determined to be inert with respect to events "mining alters ground-water regime" and "water-withdrawal wells provide alternate pathways."
4 APPLICATIONS TO THE WIPP SYSTEM
Events and Features That May Affect Releases from the WIPP
Hunter (1989) reexamined events, processes and features considered by previous workers to be significant agents of releases of radioactivity from a repository in bedded salt. The 24 agents examined plus one event added by Guzowski (1990) are named respectively and their types identified here (Table 4-1). Results of Hunter's preliminary screening of agents (column three of Table 4-1) and Guzowski's work indicate that only seven processes (if "seal performance" is regarded as a process), three events, and one feature should play significant roles in determining releases of radioactivity from the WIPP system.
The only independent processes (Appendix B) among the seven processes that survive (Table 4-1) are climatic change and, possibly, nuclear criticality. The possibility that nuclear criticality could occur at the WIPP site is judged by Project investigators to be small. So far, WIPP investigators (Marietta et al., 1989; Hunter, 1989; Guzowski, 1990) have assumed that all surviving processes (Table 4-1) except nuclear criticality will occur with certainty at some level throughout the period of performance. Consequently, processes of climatic change, ground-water flow, seal performance, leaching, waste/rock interactions, and gas generation are assumed to act in every scenario for release of radioactivity from WIPP; in other words, they are phenomena common to all scenario classes and uniquely specify conditions for the undisturbed-performance scenario classes (called the "base case" by Guzowski, 1990). Consequence models of these six processes have received the most attention from WIPP investigators (Lappin et al., 1989, Appendices D and E; Rechard et al., 1990). Phenomenological and probability models of all six processes are still in the process of development.
The three events and one feature that survive (Table 4-1) are not assumed to occur with certainty during the period of performance; WIPP analysts (Marietta et al., 1989; Guzowski, 1990) have therefore used these four agents to form the basis of disturbed-performance scenario classes. Current calculations of the conditional CCDFs for these classes (Marietta et al., 1989) have so far not been limited by the availability of consequence models; most of the consequence models that apply to the undisturbed-performance scenario classes can be adapted for use in determining consequences of disturbed-performance classes. What seems to be lacking in current preliminary performance assessments of the WIPP system are realistic (i.e., non-conservative) and acceptable probability models of these four agents. The following paragraphs will discuss some requirements of realistic probability models for the three events and one feature.
| Name of Agent | Type(1) | Dismissed(2) | Retained(3) |
|--------------------------------------------------|---------|--------------|-------------|
| Dissolution Other Than Leaching | P | PU, NC | |
| Migration of Brine Aquifer | p | NC | |
| Breccia-Pipe Formation | p,e,f | PU,LP,NC | |
| Migration of Intracrystalline Brine Inclusions | p | PU,NC | |
| Induced Diapirism | p | PU | |
| Diffusion Out of Repository | p | PU | |
| Exhumation, Sedimentation | p | NC | |
| Faulting | p,e,f | PU,LP | |
| Glaciation | p | NC,RG | |
| Igneous Intrusion | p,e,f | LP | |
| Meteorite Impact | e | LP | |
| Sabotage, Warfare | e | RG | |
| Subsidence | p | NC | |
| Thermal Effects | p | NC | |
| Ground-Water Flow | p | | x |
| Climatic Change | p | | x |
(1) \( p = \text{process}, \ e = \text{event}, \ f = \text{feature} \).
(2) Reasons for dismissal (Hunter, 1989):
- PU = physical unreasonability
- LP = low probability
- NC = negligible consequences
- RG = regulatory guidance
(3) Retained (Hunter, 1989).
### Table 4-1. Status of Agents Thought to Affect Releases from a Bedded-Salt Repository (continued)
| Name of Agent | Type(1) | Dismissed(2) | Retained(3) |
|----------------------------------------------------|---------|--------------|-------------|
| Drilling into Repository | e | | x |
| Brine Pockets | f | | x |
| Mining for Resources | e | | x |
| Seal Performance | p,e | | x |
| Leaching | p | | x |
| Nuclear Criticality | p | | x |
| Waste/Rock Interaction | p | | x |
| Waste Effects (e.g. gas generation, radiolysis) | p | | x |
| Placement of Water Withdrawal Wells(4) | e | | x |
(1) \( p = \text{process}, \ e = \text{event}, \ f = \text{feature} \).
(2) Reasons for dismissal (Hunter, 1989):
- PU = physical unreasonability
- LP = low probability
- NC = negligible consequences
- RG = regulatory guidance
(3) Retained (Hunter, 1989).
(4) Event added (Guzowski, 1990).
---
**ATTEMPTED BOREHOLES OVER ROOMS AND DRIFTS**
This problematic event deserves a rather detailed discussion of its meaning and ways in which it could be included in a realistic performance assessment. Hunter (1989) calls this event "drilling into repository." Guzowski (1990) splits the event into two dependent events, namely "drilling into a room or drift" (labelled E2 in Guzowski’s notation) and "drilling through a room or drift and into a brine reservoir" (labelled E1 by Guzowski).
In this report a broader definition of the event will be adopted. The event will be called "attempted boreholes over rooms and drifts," denoted by $E_1$, and defined as follows:
$E_1$ occurs if and only if at least one attempt is made in the period of performance to drill through the area which is the projection of WIPP rooms and drifts onto the surface of the controlled area.
Some probability models for estimating the elementary probability of $E_1$ and the distribution of the number of attempts during the period of performance are developed in Appendix C of this report.
Defined in this way, $E_1$ includes a variety of possible outcomes and therefore a variety of possible consequences. Given the occurrence of $E_1$, the attempt(s) could be aborted before any significant penetration of the earth's surface occurs or drilling to the desired depth could occur. If the attempt is aborted, no consequences ensue. Given a successful attempt, drilling could by intention be completed when the borehole has penetrated 1) some but not all of the rock layers that lie above rooms and drifts, or 2) rooms and drifts themselves, or 3) rock layers that lie below the rooms and drifts. In case 1), probably no significant consequences will occur; whereas, in cases 2) and 3), some waste material could be drawn to the surface along with drilling mud and borehole core materials, and recognition of such unusual conditions could lead to termination of drilling operations before reaching the intended depth. If drilling operations are not terminated on passing through the repository level and case 3) is intended, the borehole also could penetrate any pressurized brine pockets below the repository, possibly initiating flow of brine into rooms and drifts and a consequent transport of dissolved waste up the borehole, into overlying water-bearing rock layers and, possibly, to the surface. If pressurized brine pockets are not present or are not encountered, consequences of case 3) will probably be no different than consequences attending case 2).
Obviously, consequences of the occurrence of $E_1$ will depend upon other variables and factors besides the number and times of the attempts to drill during the period of performance: size of the borehole, manner of drilling, levels of radioactivity in wastes at the time of drilling, drilling crew's promptness in responding to unusual operational circumstances, and treatment of the borehole after drilling is completed (i.e., whether, by what means, and to what extent the borehole is sealed). Realistic, non-conservative probability models of $E_1$ should take account of all such variables and factors insofar as they are proven to be sensitive determinants of consequences and probabilities of outcomes of a drilling episode. WIPP investigators have studied various "worst case" consequences of the occurrence of $E_1$, i.e., a borehole that penetrates a room or drift in the repository and also penetrates
pressurized brine in the Castile Formation; in these studies, the event occurs only once during the period of performance, and the time of occurrence is drawn from a uniform distribution on the interval from 0 to 10,000 years (Marietta et al., 1989, Scenario E1).
**Explanation of Table 4-2**
An attempt has been made (Table 4-2) to make a structured list of some of the uncertain variables that could appear in a more realistic probability model of $E_1$ (this list is intended merely to be suggestive of variables that might be used in a complete probability model of $E_1$; WIPP investigators may want to add to the list, delete some of its entries, or create their own models depending upon outcomes of further sensitivity analyses of human-intrusion scenario classes). The list of variables is structured so that it can be read as instructions for efficient sampling of variables in a Monte Carlo calculation of conditional CCDFs for disturbed-case scenario classes that postulate the occurrence of $E_1$. The list may also be read as a verbal event tree (similar to Figure C-3, Appendix C) or as a verbal flow chart for a computer program. Each of the more than 11 variables (Table 4-2) is assumed to have a probability distribution associated with it so that, for example, variable (4) would be specified by drawing a random number, comparing that number with the probability distribution of variable (4), and deciding whether the attempt is aborted or is successful.
Variable (1) is set automatically to one for calculations that assume occurrence of $E_1$, and variable (2) simply specifies how many attempts are made during the period of performance for this particular realization of an attempted-drilling scenario; variable (3) provides the time of occurrence of each attempt for possible use in calculating radioactivity in the repository at the time of each attempt and the current state of other processes. The logic of the probability model really begins with variable (4), which tells whether the attempt has been successful: if unsuccessful, the logic of the calculation is terminated, and one would go on to evaluate the next attempt [provided that variable (2) > 1]; if successful, then one continues with the evaluation of the current attempt, and draws variable (5), intended depth of penetration of the borehole. Variable (5) is used to determine whether the borehole will or will not penetrate rooms and drifts. If the borehole does not penetrate rooms and drifts, the logic of the calculation is terminated, and one would go on to evaluate the next attempt [provided that variable (2) > 1]. If the borehole penetrates rooms and drifts, variables (6) through (8) are drawn, and consequences (in terms of releases of radioactivity to the accessible environment) are calculated and saved as part of the contribution of this particular scenario to the conditional CCDF. If variable (8) indicates that drilling is terminated at the level of the repository,
TABLE 4-2. VARIABLES IN A PROBABILITY MODEL OF THE EVENT
"ATTEMPTED BOREHOLES OVER ROOMS AND DRIFTS"
(see text for an explanation)
1. A binary variable for deciding whether the event does or does not occur during the period of performance.
If the event occurs, specify
2. The number of attempts made (≥1) during the period of performance,
3. The time of occurrence of each attempt,
and, for each attempt,
4. A binary variable for deciding whether the attempt is aborted or is successful.
If an attempt is successful, specify
5. Depth of penetration of the borehole.
If the borehole penetrates the rooms and drifts, specify
6. Variables giving details of drilling operations (e.g., diameter of borehole, drilling fluids used, casing of the borehole, etc.);
7. Variables giving time required to recognize and respond to unusual drilling conditions (e.g., radioactivity of drilling mud or unusual debris in core); and
8. A binary variable for deciding whether drilling operations are (or are not) terminated at the level of the repository, given recognition of unusual drilling conditions.
If drilling is terminated at the level of the repository, specify
9. Variables giving details of the post-drilling treatment of the borehole (e.g., use and nature of seals and plugs).
If drilling is not terminated at the level of the repository, specify
10. A binary variable for deciding whether the borehole penetrates (or does not penetrate) a pressurized brine pocket.
If the borehole penetrates a pressurized brine pocket, specify
11. Variables giving the time to recognize and respond to the fact that the borehole has punctured a pressurized brine pocket (i.e., the time required to close and seal the borehole), and variables giving details of the post-drilling treatment of the borehole.
Variable (9) is drawn, conditions of the borehole after drilling operations have terminated are recorded for possible future use, and the logic of the calculation is terminated. Provided that variable (2) > 1 and all attempts have not been evaluated, the next attempt is evaluated.
If drilling is not terminated at the level of the repository, either through oversight or by intention as determined by variable (8), variable (10) is drawn and used to decide whether the borehole has punctured a pressurized brine pocket [note that a puncture would be impossible unless a feature to be discussed in the next section, "Brine Pocket Below Room or Drift," is present; i.e., variable (10) is conditioned on the presence of this feature]. If the borehole reaches its intended depth and has not punctured a pressurized brine pocket, the post-drilling conditions of the borehole are recorded for possible future use, the logic of the calculation for this attempt is terminated, and the next attempt is evaluated [provided that variable (2) > 1 and all attempts have not been evaluated].
Finally, if the borehole punctures a pressurized brine pocket as determined by variable (10), variables (11) are drawn along with variables associated with the feature "Brine Pocket Below Room or Drift" (next section). These variables are used to determine consequences of intercepting a brine pocket in terms of releases of radioactivity to the accessible environment; the consequences are added to consequences of previous attempts as part of the contribution of this scenario to the conditional CCDF, and the logic of the calculation for this attempt is terminated. One would then go on to evaluate the next attempt, provided that variable (2) > 1 and all attempts have not yet been evaluated.
**BRINE POCKET BELOW ROOM OR DRIFT**
Hunter (1989) calls this feature "brine pockets" or "effects of brine pockets"; Guzowski (1990) calls it "drilling through room or drift and into brine reservoir" and labels it E1. In this report, the feature will be called "brine pocket below room or drift" and denoted by $F_2$. The feature can be defined formally as follows:
$F_2$ is present if and only if the area which is the projection of all brine pockets onto the surface of the controlled area overlaps the area which is the projection of the WIPP rooms and drifts onto the controlled area.
Assuming that drilling attempts would be placed randomly in the controlled area, the elementary probability of $F_2$ becomes the fraction of the projected area of the WIPP rooms and drifts that is overlapped by the projected areas of all brine pockets under the controlled area. Time domain electromagnetic surveys at WIPP have indicated that roughly 50 percent of the WIPP's waste-panel area could be overlapped by the area of brine reservoirs in the Castile Formation (Earth Technology Corporation, 1988). Thus, the elementary probability of $F_2$ could be relatively large at the WIPP site.
Feature $F_2$ is obviously inert: its presence alone, in the absence of other agents, will not alter consequences of the undisturbed-performance scenario classes in any known way. It becomes a significant agent only in conjunction with event $E_1$, and only if it is punctured by a borehole. Consequences of puncturing a brine pocket with a borehole, therefore, will depend not only upon physical characteristics of the pocket (e.g., depth and volume), but also upon other variables (Table 4-2): namely, details of drilling operations [variable (6) in Table 4-2]; time it takes the drilling crew to recognize and respond to the fact that the pocket has been breached [cited among variables (11) in Table 4-2]; and post-drilling treatment of the borehole [also cited among variables (11) in Table 4-2].
Distributions of physical parameters of brine reservoirs in the Castile Formation are unknown. Based on limited data, Lappin et al. (1989, Table 3-19) have tried to estimate ranges of physical characteristics of brine reservoirs in the Northern Delaware Basin. Ranges of initial pressures and effective thicknesses of reservoirs given in their summary table (Table 3-19) might be used to infer distributions of depth and volume for use in a probability model of $F_2$.
**MINING ALTERS GROUND-WATER REGIME**
WIPP investigators disagree on the definition of this event. Hunter (1989) defines the event to be solution mining for potash outside WIPP's controlled area (with possible inadvertent intrusion of the mine into the controlled area); subsequent collapse of overburden of the mine could change hydraulic conductivity of water-bearing strata downgradient from the repository, and thereby possibly change consequences of any releases of radioactivity along water pathways. Guzowski (1990), who calls the event "potash mining outside the WIPP boundary" and labels it TS, declines to specify the type of mining (conventional versus solution mining) and emphasizes increased recharge to the water-bearing strata through the collapsed mine as the major factor that could alter the ground-water regime (as opposed to Hunter's emphasis on increases in hydraulic conductivity).
In this report, the event is called simply "mining alters ground-water regime," denoted symbolically as $E_3$, and defined as follows:
$E_3$ occurs if and only if at least one episode of mine-induced alterations of ground-water flow occurs during the period of performance.
Further discussion of probability models for $E_3$ at this time seems inappropriate in light of the experts' differing opinions concerning the nature of this event. The size and nature of the mining operation and its
location relative to the WIPP controlled area would seem to be important factors for deciding whether significant alterations of ground-water flow could occur. Further calculations with computer models of the ground-water regime at the WIPP site may show that reasonably expected mining practices would have little effect on those properties of the ground-water system (e.g., distribution of groundwater travel times from the repository to the accessible environment) that determine consequences of a release of radioactive waste from the system along the ground-water pathway under undisturbed-performance conditions. A demonstration of insignificant effects would justify elimination of the event from consideration in performance-assessment calculations.
The current range of assumptions about the nature of $E_3$ indicates that it is intended to be a neutral event; its presence alone or in conjunction with other inert or neutral agents in disturbed-case scenario classes would not produce consequences that are different from consequences of undisturbed-performance classes, although it could affect consequences of a disturbed-case scenario class involving conjunctions of $E_1$, $F_2$, and $E_4$.
**WATER-WITHDRAWAL WELLS PROVIDE ALTERNATE PATHWAYS**
In addition to the two events and one feature thought to be significant by Hunter (1989), Guzowski (1990) has postulated a third event which he labels $E_3$ and calls "emplacement of withdrawal well downgradient from repository." Although few details of the characteristics of this event are supplied, he apparently considers one or more small water-withdrawal wells drilled into the Culebra Dolomite Member and (because of poor water quality) intended primarily for use as water for livestock; these wells would presumably be outside the controlled area, 5 km or more from the waste panels. Although a few wells of this kind would probably not affect the consequences of undisturbed-performance scenario classes (i.e., significantly change present water-table levels or rock hydrologic properties), they could possibly influence outcomes of disturbed-performance classes, i.e., in the event of a local release of radioactivity from the repository along ground-water pathways.
In this report, the event will be called "water-withdrawal wells provide alternate pathways," denoted symbolically by $E_4$, and defined as follows:
$E_4$ occurs if and only if at least one water-withdrawal well is successfully drilled and operated in the vicinity of the WIPP controlled area during the period of performance.
Defined in this way, $E_4$ is seen to include a variety of logically different events, and therefore a variety of consequences. But, for present purposes and pending further interpretations of the event by WIPP investigators,
Guzowski's (1990) definition of conditions associated with the event will be maintained.
Guzowski (1990, p. 46) notes that $E_4$ is a neutral event: "...withdrawal wells by themselves will not affect the escape of radionuclides from the waste panels, ..." and "this event must be combined with other events and processes that result in the escape of radionuclides." Processes that operate in the undisturbed-performance scenario classes do not appear to lead to releases of radionuclides to the accessible environment:
The demonstration analysis for undisturbed conditions indicates no releases from the repository in either the 1,000-yr period for Individual Protection Requirements (para. 191.15) or the 10,000-yr period for Containment Requirements (para. 191.13). (Marietta et al., 1989, p. V-1)
Thus, Guzowski's "other events and processes" must be events that can directly alter the undisturbed-performance classes, i.e., $E_3$ and $E_1$ in conjunction with feature $F_2$.
Guzowski (1990, p. 46) also remarks that "the number of wells, their geographic distribution, their pumping rate, their life expectancy, and their depth probably will be randomly selected as part of the consequence analysis of the scenarios that include this event." Some of these uncertain variables are listed in a structured form (Table 4-3).
Variable (1) (Table 4-3) is automatically set to one for those scenario classes that postulate the occurrence of $E_4$ in conjunction with other agents that lead to significant releases to the accessible environment. Variable (2), always $\geq 1$, specifies how many withdrawal wells are emplaced during the period of performance for this particular realization of a scenario involving the occurrence of $E_4$. The following procedure is repeated for each withdrawal well numbered by variable (2): draw variables (3) through (6) from their respective distributions to obtain a realization of conditions associated with the withdrawal well and use those variables to calculate consequences of the realization in terms of releases of radioactivity to the accessible environment; the consequences are saved as part of the contribution of this particular scenario to the conditional CCDF. (Note: because of ambiguity in the interpretation of EPA's definition of undisturbed performance, WIPP analysts also may wish to record consequences of withdrawal-well scenarios in a separate file for later use in evaluating compliance with EPA's Individual Protection Requirements and Ground Water Protection Requirements; these requirements are specified in § 191.15 and § 191.16 of the Standard [EPA, 1985].)
TABLE 4-3. VARIABLES IN A PROBABILITY MODEL OF THE EVENT
"WATER-WITHDRAWAL WELLS PROVIDE ALTERNATE PATHWAYS"
[suggested by Guzowski (1990)]
(see text for an explanation)
1. A binary variable for deciding whether the event does or does not occur during the period of performance.
If the event occurs, specify
2. The number of successful withdrawal wells ($\geq 1$) emplaced during the period of performance,
3. The time of emplacement of each withdrawal well,
and, for each withdrawal well:
4. Variables giving coordinates of location relative to the center of the WIPP controlled area;
5. Variables that specify the water-bearing formation from which water is to be withdrawn; and
6. Variables giving the duration of water withdrawal (i.e., lifetime of the withdrawal well) and average pumping rate during the well's lifetime.
Preliminary Scenario Classes for the WIPP System
The three events and one feature inferred to be significant agents by Hunter (1989) and Guzowski (1990) can be combined to form $2^4 = 16$ scenario classes according to methods outlined (Chapter 3), provided that the four agents are statistically independent. Guzowski (1990, Figure 19) forms 16 scenario classes in this way in his report, but two events are included that clearly are dependent (events E1 and E2 in his notation). For this reason, a reexamination of Guzowski's preliminary scenario classes for the WIPP system based on the four agents seems advisable.
Table 4-4 is a list of the 16 scenario classes that arise from the four agents, $E_1$, $F_2$, $E_3$ and $E_4$. The terminology and notation introduced in earlier sections of this report will be used in a discussion of Table 4-4; the classes are denoted by $S_j$, $j = 0, 1, 2, \ldots 16$, and numbered in an arbitrary fashion in column one. Agents involved in each class are named in column two: for instance, $E_1F_2$ means that the only disruptive agents involved in $S_5$ are "attempted boreholes over rooms and drifts" and "brine pockets below rooms and drifts." The probability of each class, $P(S_j)$, is given in column three (Table 4-4); these probabilities are formed from the elementary probabilities of agents $E_1$, $F_2$, $E_3$, and $E_4$, and are respectively denoted by $p_1$, $p_2$, $p_3$, and $p_4$.
Assessments of the contribution of each scenario class to total CCDF for cumulative releases of radioactivity from the WIPP system are made in column four; the reasoning behind these assessments is provided below.
**TABLE 4-4. PRELIMINARY SCENARIO CLASSES FOR THE WIPP SYSTEM**
(see text for an explanation)
| Class | Agents Involved\(^{(1)}\) | Probability-P(S\(_j\))\(^{(2)}\) | Contribution to CCDF\(^{(3)}\) |
|-------|---------------------------|----------------------------------|-------------------------------|
| S\(_0\) | none (base case) | q\(_1\)q\(_2\)q\(_3\)q\(_4\) | none |
| S\(_1\) | E\(_1\) | p\(_1\)q\(_2\)q\(_3\)q\(_4\) | > 0 |
| S\(_2\) | F\(_2\) | q\(_1\)p\(_2\)q\(_3\)q\(_4\) | none |
| S\(_3\) | E\(_3\) | q\(_1\)q\(_2\)p\(_3\)q\(_4\) | none |
| S\(_4\) | E\(_4\) | q\(_1\)q\(_2\)q\(_3\)p\(_4\) | none |
| S\(_5\) | E\(_1\)F\(_2\) | p\(_1\)p\(_2\)q\(_3\)q\(_4\) | > 0 |
| S\(_6\) | E\(_1\)E\(_3\) | p\(_1\)q\(_2\)p\(_3\)q\(_4\) | > 0 |
| S\(_7\) | E\(_1\)E\(_4\) | p\(_1\)q\(_2\)q\(_3\)p\(_4\) | > 0 |
| S\(_8\) | F\(_2\)E\(_3\) | q\(_1\)p\(_2\)p\(_3\)q\(_4\) | none |
| S\(_9\) | F\(_2\)E\(_4\) | q\(_1\)p\(_2\)q\(_3\)p\(_4\) | none |
| S\(_{10}\) | E\(_3\)E\(_4\) | q\(_1\)q\(_2\)p\(_3\)p\(_4\) | none |
| S\(_{11}\) | E\(_1\)F\(_2\)E\(_3\) | p\(_1\)p\(_2\)p\(_3\)q\(_4\) | > 0 |
| S\(_{12}\) | E\(_1\)F\(_2\)E\(_4\) | p\(_1\)p\(_2\)q\(_3\)p\(_4\) | > 0 |
| S\(_{13}\) | E\(_1\)E\(_3\)E\(_4\) | p\(_1\)q\(_2\)p\(_3\)p\(_4\) | > 0 |
| S\(_{14}\) | F\(_2\)E\(_3\)E\(_4\) | q\(_1\)p\(_2\)p\(_3\)p\(_4\) | none |
| S\(_{15}\) | E\(_1\)F\(_2\)E\(_3\)E\(_4\) | p\(_1\)p\(_2\)p\(_3\)p\(_4\) | > 0 |
\(^{(1)}\) Agents involved from the set \{E\(_1\),F\(_2\),E\(_3\),E\(_4\)\}. The 7 processes identified by Hunter (1989) and Guzowski (1990) are assumed to be acting in all scenario classes.
\(^{(2)}\) For brevity in the table, q\(_i\) = (1 - p\(_i\)), i = 1,2,3,4.
\(^{(3)}\) The contribution of scenario class S\(_j\) to the total CCDF G(m) is "none" if logic or bounding calculations show that the conditional CCDF G(m | S\(_j\)) vanishes for all m > 0. Otherwise, the contribution is "> 0" and S\(_j\) may contribute to the form of the total CCDF. See the text for the reasoning behind the assignment of the contributions listed in this column.
CLASSES NOT CONTRIBUTING TO THE CCDF
The reasoning behind the assessment of "none" (column four of Table 4-4) is explained in this section. To shorten the wording of these assessments, a certain convention will be used. The phrase "$S_j$ makes no contribution" should be interpreted as an abbreviation of the phrase "the conditional CCDF for scenario class $S_j$ takes values that are negligible, say $<<10^{-3}$, for all $m > 0$."
Scenario class $S_0$ (the base case or the undisturbed-performance class) is assumed to make no contribution on the basis of some preliminary calculations of its consequences (Marietta et al., 1989); these calculations, made with currently available consequence models and a fairly wide range of the variables that specify the significant processes, show that no releases from the repository will occur during the period of performance.
Scenario class $S_2$ will make no contribution to the total CCDF because only agent $F_2$ is involved; $F_2$ is an inert feature, and so $S_2$ would have consequences identical to those of $S_0$.
Scenario class $S_3$ will make no contribution because only event $E_3$ is involved and, under present assumptions about the nature of $E_3$, that event is neutral. Consequently, $S_3$ would have consequences identical to those of $S_0$.
Scenario class $S_4$ will make no contribution because only event $E_4$ is involved and $E_4$ is a neutral event. Consequently, $S_4$ would have consequences identical to those of $S_0$.
Scenario class $S_8$ will make no contribution because $F_2$ is an inert feature; consequently, $S_8$ would have consequences identical to those of $S_3$, and therefore identical to those of $S_0$.
Scenario class $S_9$ will make no contribution because $F_2$ is inert and $E_4$ is neutral; consequences of $S_9$ would therefore be identical to those of $S_0$.
Scenario class $S_{10}$ will make no contribution because $E_4$ is a neutral event; consequences of $S_{10}$ would be identical to those of $S_3$, and therefore identical to those of $S_0$.
Scenario class $S_{14}$ will make no contribution because $F_2$ is inert and $E_4$ is neutral; consequences of $S_{14}$ therefore would be identical to those of $S_3$, which in turn are identical with those of $S_0$.
CLASSES THAT MAY CONTRIBUTE TO THE CCDF
Scenario class $S_1$ could contribute to the shape of the total CCDF because of a significant probability that waste could be brought to the surface during an occurrence of $E_1$. This assessment assumes that no significant releases of radioactivity along ground-water pathways will result from an occurrence of $E_1$ when not in conjunction with $F_2$.
Scenario class $S_5$ could contribute to the shape of the total CCDF: waste could be brought to the surface during an occurrence of $E_1$ and/or a brine pocket could be punctured during exploratory drilling, possibly leading to release of radioactivity along ground-water pathways.
Scenario class $S_6$ could contribute to the shape of the total CCDF. Because only local releases could attend the occurrence of $E_1$ and $E_3$ is currently assumed to be a neutral event, consequences of $S_6$ would be identical to those of $S_1$.
Scenario class $S_7$ could contribute to the shape of the total CCDF. Because $E_4$ is neutral, consequences of $S_7$ would be identical to those of $S_1$.
Classes $S_{11}$ and $S_{12}$ could contribute to the shape of the total CCDF regardless of whether $E_3$ or $E_4$ are assumed to be neutral events.
Scenario class $S_{13}$ could contribute to the shape of the total CCDF. Because only local releases attend occurrence of $E_1$ and $E_4$ is neutral, the consequences of $S_{13}$ would be identical to those of $S_6$, which in turn are identical with those of $S_1$.
Finally, class $S_{15}$ could contribute to the shape of the total CCDF regardless of whether $E_3$ and $E_4$ are assumed to be neutral events.
Preliminary Conclusions Regarding the WIPP System's CCDF
According to assessments of contributions made (column four of Table 4-4), conditional CCDFs will have to be calculated by Monte Carlo simulation for only five scenario classes: $S_1$, $S_5$, $S_{11}$, $S_{12}$, and $S_{15}$. Because classes $S_6$, $S_7$, and $S_{13}$ will have the same conditional CCDFs as class $S_1$, there is no need to simulate consequences of these classes; however, in forming the total CCDF as a weighted sum of the conditional CCDFs [Eq. (15), Chapter 3], the conditional CCDF for class $S_1$ should be weighted with
$$P(S_1) + P(S_6) + P(S_7) + P(S_{13}) - p_1(1 - p_2),$$
as can be verified by summing the appropriate entries (column three of Table 4-4). The conditional CCDFs for classes $S_5$, $S_{11}$, $S_{12}$, and $S_{15}$ are weighted in the normal manner, i.e., with their respective probabilities (column three of Table 4-4).
The classes $S_1$, $S_5$, $S_{11}$, $S_{12}$, and $S_{15}$ may all have non-zero consequences, so the weighted sum of the conditional CCDFs associated with these classes will form that part of the total CCDF that represents the probability that the performance measure, $M$, is greater than zero; a hypothetical but qualitatively correct representation of the weighted sum of the conditional CCDFs for these classes is shown in Figure 4-1 as the step-like curve, $G(m)$, $m > 0$. This curve represents the part of the total CCDF that will be tested against the Standard.
Note that the testable part of the CCDF, $G(m)$, $m > 0$, is a "defective distribution" (Feller, 1966, Figure 8, p. 112); i.e., its intercept on the $m = 0$ axis is less than 1. In fact, summation of appropriate probabilities (column three of Table 4-4) will show that if the conditional CCDFs for classes $S_1$, $S_5$, $S_{11}$, $S_{12}$, and $S_{15}$ are not defective distributions, the intercept of the total CCDF on the $m = 0$ axis is
$$\Pr(M > 0) = P(S_1) + P(S_5) + P(S_6) + P(S_7)$$
$$+ P(S_{11}) + P(S_{12}) + P(S_{13}) + P(S_{15})$$
$$= p_1.$$
(30)
In the general case, one or more conditional CCDFs for the indicated scenario classes may prove to be defective distributions, and the intercept of the total CCDF on the $m = 0$ axis may be less than $p_1$.
Eq. (30) indicates that under current assumptions about significant agents affecting releases of radioactivity from the WIPP, the system's total CCDF will be bounded above by the elementary probability of event $E_1$, "attempted boreholes over rooms and drifts." From this result, the discrete part of the total CCDF, i.e., the probability that no releases of radioactivity from the WIPP system will occur, is greater than or equal to $(1 - p_1)$, with equality holding if none of the conditional CCDFs for scenario classes $S_1$, $S_5$, $S_{11}$, $S_{12}$, and $S_{15}$ is a defective distribution (Figure 4-1).
The foregoing analysis of the qualitative shape of the WIPP system's total CCDF substantiates the current inference of WIPP analysts (Bertram-Howery and Swift, 1990) that showing compliance of the WIPP system with the Standard will require a deeper understanding of the physical and probabilistic circumstances associated with future exploratory drilling at the WIPP site.
Figure 4-1. A Hypothetical but Qualitatively Correct Representation of the Total CCDF for the WIPP System (see text for an explanation).
APPENDIX A:
WORKING DEFINITIONS OF SOME COMMON TERMS
APPENDIX A:
WORKING DEFINITIONS OF SOME COMMON TERMS
Certain terms that frequently appear in the waste-management literature, such as "event," "process," and "scenario," are used in special ways in this report. Special working definitions of these terms were necessary for the purposes of keeping the main text brief, maintaining precision in communication, and facilitating translation of regulatory language into concepts usable in a quantitative performance assessment. With one exception (scenario), all terms defined below will follow these meanings throughout the report.
Event
An event is any natural or anthropogenic phenomenon that takes place during an interval of time that is short compared to the period of performance of the system. For all practical purposes, events are phenomena that occur instantaneously or comparatively rapidly; therefore, to ask whether an event does or does not occur during a finite period of time is meaningful. Examples of events are earthquakes, extrusive volcanism, and exploratory drilling.
Event Variables. In general, an event is specified by giving 1) number of times the event occurs during a fixed interval of time (including zero times, or non-occurrence of the event), 2) times of occurrence relative to the beginning of that fixed interval of time, and 3) one or more magnitude variables associated with each time of occurrence (e.g., for exploratory drilling: location of the borehole, size of the borehole, and depth of the borehole).
Process
A process is any natural or anthropogenic phenomenon that takes place continuously during intervals of time that are comparable to the period of performance of the system. Examples of processes are climatic change, erosion, corrosion, and human population growth. If a process is judged to be acting within or upon a system, it must act (perhaps at insignificant levels) throughout the period of performance. Therefore, to ask whether a process occurs or does not occur during a finite period of time is not meaningful; to ask whether the magnitude(s) of a process will exceed prescribed levels during predetermined intervals of time is meaningful (see Appendix B for process variables and ways of representing processes in performance assessment).
Feature
The noun "feature" is not used in the EPA's Standard, but the term "undetected feature" is explicitly used in the standard list of phenomenon potentially relevant to geologic repositories (IAEA, 1981) and has a meaning clearly different from the meanings of "event" or "process."
Here, a **feature** is any object or condition that 1) could exist within the defined boundaries of the system at the beginning of the period of performance, 2) could cause or promote releases of radioactivity to the accessible environment (i.e., affect the outcome of the performance assessment), and 3) has not been positively identified at the time of the performance assessment. To ask whether a feature is or is not present at the beginning of the period of performance is obviously meaningful. An immediate example of a feature is a suspected brine reservoir under the WIPP's waste-disposal area; other examples are dikes, breccia pipes, fault zones, undetected boreholes, and deviations from planned waste-emplacement patterns.
**Feature Variables.** A feature is usually specified by giving 1) a binary variable that determines its presence or absence, and 2) one or more magnitude variables (e.g., for a brine reservoir: its depth, its volume, and its projected area).
Alternative Conceptual Models
A **conceptual model** is a set of hypotheses formed by an investigator in the process of understanding the nature of some phenomenon. A conceptual model is said to be scientifically acceptable if the hypotheses 1) are logically consistent with one another, 2) agree with existing facts and data concerning the phenomenon in question, and 3) can be tested for their truth content or falsified by empirical observation or further application of logic (testable hypotheses). In addition, a conceptual model whose ultimate purpose is to make quantitative predictions about the phenomenon in question must be capable of being mathematicized in some way, e.g., cast in terms of equations or computer code.
For purposes of this report, **alternative conceptual models** are simply multiple, scientifically acceptable, and quantifiable sets of hypotheses about the nature of some definite type of event, process, or feature.
Logical Connection with Events, Processes, and Features. The concept of alternative conceptual models is interchangeable with the concepts of event and feature as the latter have been defined in this report. For practical purposes, there is no need to consider alternative conceptual models of
events: each model of an event can be viewed as a different type of event and the elementary probability that the model of the event is the "correct" one can be incorporated in the elementary probability that the event occurs during the period of performance. For the same reason, there is no need to consider alternative conceptual models of features: each model of a feature can be viewed as a different type of feature. It, therefore, makes no difference whether one speaks of a set of different ways of realizing a broadly defined event (or feature) or alternative conceptual models of the same broadly defined event (or feature).
There are logical problems with application of the concept of alternative conceptual models to processes; discussion of these problems is beyond the scope of this report. The author has not yet found an example of a set of alternative models of a process that cannot be constructed by forcing certain parameters that appear in one of the alternatives, a "master" model, to vanish or to become large.
**Agent**
The noun *agent* is used frequently in this report as a collective name for any of the following things: event(s), process(es), feature(s), and alternative conceptual models of a process. A *binary agent* is obviously an agent having two logical states: e.g., an event that does not occur or occurs more than once during the period of performance; a feature that is present or not present at the beginning of the period of performance; a process that is divided into two bins (Appendix B); or an alternative conceptual model with no more than two distinct sets of hypotheses.
**Scenario**
A *scenario* is a sequence of definite types of events and processes that act upon or occur within the system in the presence of definite types of features, at prescribed points in time (events) or with prescribed durations of time (processes), with prescribed magnitudes, and in a prescribed order. In simple terms, a scenario is a definite, quantitative description of a potential history of the model system throughout the period of performance; it may be pictorially and mathematically viewed as a single point in the space of all independent variables of the mathematical models used to describe the system.
As a corollary to the definition of scenario, *scenario class* may be defined as a set of scenarios that have some specified attributes in common (e.g., same types of agents), or the set of scenarios that results when one or more of the prescribed points in time, durations of time, magnitudes, or orders of occurrence associated with the agents are allowed to vary over subsets of
their natural ranges of numerical values instead of being tied to specific numerical values. In pictorial and mathematical terms, a scenario class can be imagined as a cloud of points in the space of all independent variables of the mathematical models used to describe the system.
Note on Usage of Scenario. Some authors of methodologies for testing compliance with the Standard (e.g., Cranwell et al., 1982b; Hunter et al., 1986) do not make a distinction between scenario and scenario class, although they usually intend the meaning of the latter term when they refer to "scenario." Distinction between the two terms is not merely academic: the likelihood of realizing any scenario is always vanishingly small; whereas, the likelihood that only scenarios from a given scenario class are realized is a finite number between zero and one (Chapter 3). Nevertheless, because use of "scenario" to mean both a broadly defined and a well-specified account of states of the system during the period of performance is too deeply ingrained in the waste-management literature to ignore, the terms scenario and scenario class will be used interchangeably in this report and reliance will be placed upon the context of the discussion to make clear which meaning is intended.
APPENDIX B:
REPRESENTATION OF PROCESSES IN PERFORMANCE ASSESSMENT
APPENDIX B:
REPRESENTATION OF PROCESSES
IN PERFORMANCE ASSESSMENT
The word "process" in this report means "any natural or anthropogenic phenomenon that takes place continuously during intervals of time that are comparable to the period of performance of the system" (Appendix A). This appendix outlines one way in which processes can be represented mathematically in performance-assessment calculations. Particular attention is given to representations of processes that are consistent with the performance-assessment methodology adopted by the WIPP Project, i.e., the scenario-based, conditional Monte Carlo simulations described in the second part of Chapter 3.
The mathematical representation to be discussed here applies only to independent processes that appear in a performance-assessment calculation. Roughly speaking, an independent process is one whose likelihood of occurrence is not changed or affected by the occurrence of any of the other kinds of agents that may affect the waste-disposal system. Climatic change appears to be the only potentially significant and independent process associated with the WIPP system (Chapter 4); so far, all other potentially significant processes that have been identified with the WIPP system, e.g., groundwater flow and leaching, would obviously not affect (but would be affected by) the process of climatic change. Given a realization of an independent process such as climatic change, realizations of other processes that are even partially influenced by it (e.g., groundwater flow) usually may be obtained through the use of mathematical models whose independent variables are independent process variables and a fixed but finite number of other kinds of uncertain variables (e.g., rock material properties) that are independent statistically of the process variables.
Representation by Finite-Dimensional Vectors
An independent process ideally is specified by one or more continuous (or piecewise continuous) functions of time, say $x_1(t)$, $x_2(t)$, $x_3(t)$, ..., $x_I(t)$, defined on a time interval that includes the interval $[0, t_m]$, where $t_m$ marks the end of the period of performance. For example, in an assessment of the effects of a changing regional climate on waste-disposal site performance, the ideal situation would be knowledge of the two quantities, regional air temperature ($^\circ$C) and regional precipitation rate (mm/yr), as functions of time over the next 10,000 years. Of course, regional air temperature and regional precipitation rate would be but two of the inputs to computer-implemented models that are intended to provide
output variables of more relevance to site performance, e.g., percolation flux at the level of the waste repository or recharge rates to aquifers. The analyst may wish to deal with these derived outputs from computer models as specifiers of the process instead of directly using the basic process variables; in either situation, process variables may be viewed ideally as a set of functions of time.
Even if measurements of a process variable over the period of performance were possible, practical considerations, such as finite response times of instruments used to measure process variables and discrete approximations necessary for calculations with digital computers, will usually dictate that continuous functions of time representing a process variable be measured not on the entire interval \([0, t_m]\) but at a finite number of points within that interval, say \(t_1, t_2, t_3, \ldots, t_J\). The process must be mathematically represented by a finite series of numbers that may be arranged as elements of an \(I \times J\) rectangular matrix or, more relevant to the present discussion, serially arranged as the \(I \times J\) components of a vector:
\[
\vec{x} = [x_1(t_1), x_1(t_2), \ldots, x_1(t_J); x_2(t_1), x_2(t_2), \ldots, x_2(t_J); \ldots; x_I(t_1), x_I(t_2), \ldots, x_I(t_J)].
\]
(B.1)
for the sake of brevity, components of \(\vec{x}\) will hereinafter be simply denoted by \(x_k\), \(1 \leq k \leq K\), where \(K = (I \times J)\). Components of \(\vec{x}\) defined in Eq. (B.1) can be regarded as a subset of components of the system’s state-variable vector \(\vec{y}\) defined in Chapter 3.
Allowing \(x_k\), \(1 \leq k \leq K\), to run over their natural ranges defines a subset of \(K\)-dimensional Euclidean space which here is called \(W_K\), the process-variable space. Clearly, \(W_K\) is a subset of the state-variable space \(S_N\) defined in Chapter 3.
**Representation of Process Uncertainty**
At present, experts are unwilling to make quantitative extrapolations of processes such as climatic change or human population growth to the distant future (witness the reliability of ordinary weather predictions for more than a few days in advance of the prediction date). At best, an investigator can use only indirect evidence and expert judgment to predict likelihoods that the process variables will fall within given ranges in given time intervals. Predictions of these likelihoods usually begin by treating process variables as random variables; the investigator may then attempt to associate a joint cumulative distribution function (CDF) with these random variables, much in the same way as a joint CDF was assigned to the system’s state-variable vector.
(Chapter 3) [indeed, the joint CDF for components of vector (B.1) forms part of the joint CDF for the system's state-variables]. But, unlike construction of the joint CDF for the system's state-variable vector which may include use of some empirical observations of the system parameters, construction of the joint CDF for process variables usually will be a matter of using professional judgment 100 percent of the time along with techniques such as the Maximum Entropy Formalism (Jaynes, 1978; Cook and Unwin, 1986; Unwin et al., 1989) for quantifying that judgment.
**Notation for the Joint CDF**
Observing the usual convention for distinguishing between an ordinary variable and its random-variable counterpart, the vector $\vec{x}$ will hereinafter denote a specific point in $W_K$, process-variable space, and $\hat{X}$ will denote the vector whose components are random variables $(X_k)$, $1 \leq k \leq K$. The joint CDF for the process variables then is defined by the function,
$$H(\vec{x}) = \Pr(X_1 \leq x_1, X_2 \leq x_2, X_3 \leq x_3, \ldots, X_K \leq x_K). \quad (B.2)$$
where $\Pr(e)$ stands for the probability that statement "e" is true. The function $H(\vec{x})$ can be visualized as points of a surface imbedded in $K + 1$ dimensional Euclidean space; the "relief" of the surface along the $(K + 1)$th dimension, $H(\vec{x})$ is bounded between zero and one.
To go into the practical ways of constructing empirical versions of (B.2) would exceed the scope of this report; in most cases, the joint CDF is representable only as a computer-implemented algorithm. In the following discussion, such an algorithm will be assumed to have developed and used to draw independent sample values, $\hat{X}$, for the process variables.
The joint CDF $H(\vec{x})$ is a probability measure on $W_K$ that defines the statistical properties of any reasonably well-behaved function, $f(\vec{x})$, of the process-variables. In particular, for $f(\vec{x}) = 1$, the normalization is
$$\int_{W_K} H(d\vec{x}) = 1 \quad (B.3)$$
and for any $f(\vec{x})$, the expectation,
$$E[f] = \int_{W_K} f(\vec{x})H(d\vec{x}). \quad (B.4)$$
The integrals in Eqs. (B.3) and (B.4) represent Lebesque-Stieltjes integration (Feller, 1966, Chapter V) of the integrands over the set $W_K$. In
Chapter 3, "Likelihoods of System States," it is noted that, when $K$ is large or when the integrands are complex functions of their arguments, Monte Carlo methods are virtually the only practical methods for estimating these integrals. Accordingly, the operations with integrals to be expressed in the remainder of this appendix should be interpreted as operations with the appropriate Monte Carlo estimators (see "Practical Monte Carlo Simulation," Chapter 3). For example, Eq. (B.4) could be interpreted as an application of the random-sampling estimator
$$E[f] \approx N^{-1} \sum_{n=1}^{N} f(X_n),$$
where the $X_n$, $1 \leq n \leq N$, are independent samples drawn from $H(\vec{x})$, the joint CDF for the process-variables.
**Elementary Probabilities of a Process**
In theory, partitioning the process-variable space $W_K$ into $B+1$ subsets is always possible (e.g., $W_\beta$, $\beta = 1,2,3,\ldots,B+1$), much in the same way that the state-variable space was partitioned into scenario classes in the second part of Chapter 3; in this instance, however, subsets will be called bins for the process in question. All that is needed to make a partition into bins is a set of $B$ rules that enable one to determine whether a sample of the process-variable vector $\vec{X}$ is or is not contained in any one of the subsets $W_\beta$; the rules should also ensure that subsets are disjoint (i.e., intersection of any two of the subsets is empty) and complete (i.e., union of all subsets is $W_K$). The former requirement on the rules assures a practical way of defining indicator functions of the form
$$I(x, W_\beta) = 1 \quad \text{if } x \in W_\beta,$$
$$= 0 \quad \text{if } x \notin W_\beta.$$
(B.5)
A purely hypothetical example will illustrate these ideas. Suppose one defines two bins for the climatic-change process mentioned above by the rule: "regional precipitation exceeds 1,000 mm/yr over any 500-year period." The first bin is the set
$$W_1 = \{\vec{x}: \text{regional precipitation exceeds 1,000 mm/yr over any 500-year period}\}$$
and the second bin is the complement of the first in $W_K$:
$$W_2 = \{\vec{x}: \text{regional precipitation does not exceed 1,000 mm/yr over any 500-year period}\}.$$
How to operate with the indicator functions defined in Eq. (B.5) for the bins $W_1$ and $W_2$ should be obvious: draw a sample of $\vec{X}$ from the joint CDF for process variables and determine whether appropriate components of $\vec{X}$ exceed 1,000 mm/yr; if these components are $\geq 1,000$ mm/yr, set $I(\vec{X}, W_1)$ equal to one and $I(\vec{X}, W_2)$ equal to zero; if components are $< 1,000$ mm/yr, set $I(\vec{X}, W_1)$ equal to zero and $I(\vec{X}, W_2)$ equal to one. Using these rules for indicator functions, elementary probabilities of bins $W_1$ and $W_2$ can be calculated,
$$p_\beta = \int_{W_K} I(\vec{x}, W_\beta) H(d\vec{x}), \quad \beta = 1, 2.$$ \hspace{1cm} (B.6)
Note that $p_1 + p_2 = 1$, so that in this two-bin example, one would only have to calculate one of the elementary probabilities. If neither $p_1$ nor $p_2$ are zero, the associated conditional joint CDFs can be defined,
$$H(\vec{x} \mid W_\beta) = (1/p_\beta) I(\vec{x}, W_\beta) H(\vec{x}), \quad \beta = 1, 2.$$ \hspace{1cm} (B.7)
Eqs. (B.6) and (B.7), and the obvious logical relationship,
$$I(\vec{x}, W_K) = I(\vec{x}, W_1) + I(\vec{x}, W_2) = 1 \quad \text{for all } \vec{x} \in W_K,$$
give
$$H(\vec{x}) = p_1 H(\vec{x} \mid W_1) + p_2 H(\vec{x} \mid W_2).$$ \hspace{1cm} (B.8)
Eq. (B.8) is, in effect, a representation of the joint CDF for the climatic-change process in which the probability, $p_1$, of meeting the rule "regional precipitation exceeds 1,000 mm/yr over any 500-year period" is explicitly exhibited. If that probability turns out to be less than the EPA threshold probability of 0.0001 (Chapter 2), the need for sampling from those parts of the process-variable space that comprise set $W_1$ could be eliminated. In the long run, eliminating the need to sample from certain regions of the process-variable space could lead to more efficient calculations of the empirical CCDF for cumulative releases of radioactivity.
The example above considered only one rule. The generalization to $B > 1$ rules is easy to see: Eqs. (B.6) and (B.7) are unchanged, except that $\beta = 1, 2, \ldots, B+1$, and Eq. (B.8) generalizes to
$$H(\vec{x}) = \sum_{\beta=1}^{B+1} p_\beta H(\vec{x} \mid W_\beta).$$ \hspace{1cm} (B.9)
Because almost all quantities appearing in Eq. (B.9) must be estimated by time-consuming Monte Carlo simulation, any benefits that could be realized by partitioning a process-variable space in this way are doubtful. The WIPP Project has so far not attempted to use such a representation in accounting for the process of climate change in its preliminary performance assessments.
APPENDIX C:
INADVERTENT DRILLING AT THE WIPP SITE:
AN EXAMPLE OF A PROBABILITY MODEL
OF AN ANTHROPOGENIC EVENT
APPENDIX C:
INADVERTENT DRILLING AT THE WIPP SITE:
AN EXAMPLE OF A PROBABILITY MODEL
OF AN ANTHROPOGENIC EVENT
In this appendix, several probability models are constructed for some uncertain variables associated with the event, "attempted boreholes over rooms and drifts" (Chapter 4). The models are intended to illustrate the idea of a probability model and also the kinds of reasoning an analyst might employ in constructing a probabilistic representation of variables that specify an anthropogenic event. Discussion will focus on construction of probability distributions for the number of attempts made to drill during the period of performance and the first time an attempt is made to drill through the WIPP site. Other necessary event variables associated with successful attempts to drill, such as borehole depth and diameter, will not be treated here.
The event under consideration can be described as follows: Supposing that the WIPP system eventually is constructed and operated, it is possible that at some time in the 10,000-year period following closure of the system, people will ignore or misread the evidence of markers and monuments that remain on the site of the former WIPP and will decide to conduct exploratory drilling operations within the former controlled area. Consequences of a decision to drill at the WIPP would depend upon the proposed location and depth of the boreholes (among other variables) and could be anything from a failed attempt and abandonment of the drilling program to joint penetration of a waste panel and underlying brine pocket by a successful borehole. Thus, consequences in terms of releases of radioactivity to the accessible environment could be anything from none to release of some waste products (in borehole cores) at the surface or release of some dissolved waste products via pressurized brine flowing from the pocket, through the punctured waste panel, to overlying bodies of groundwater. The probability of realizing any of these consequences is a product of terms, the first term of which is always the probability that inadvertent attempts are made to drill the WIPP site during the next 10,000 years.
Failure-Rate Functions
Probably the most direct way of constructing a probability model for inadvertent drilling of the WIPP site is a careful examination of conditions that must be placed on the form of the failure-rate function associated with the to-be-determined CDF for the first time of attempted drilling. The
failure-rate function (sometimes called the "hazard rate" or "intensity rate" [Elandt-Johnson and Johnson, 1980, p. 51]) is defined by
\[ r(t) = -\frac{d}{dt} \ln[1 - F(t)], \]
(C.1)
where \( t \) is time elapsed since the system was placed in operation, \( \frac{d}{dt}(\cdot) \) is the time derivative, \( \ln[\cdot] \) is the natural logarithm, and \( F(t) \) denotes the CDF for the first time, say \( T \), at which the disturbing event occurs, i.e., \( F(t) = \Pr\{T \leq t\} \). For the sake of brevity, the random variable \( T \) hereinafter will be called simply the time of drilling (in place of the correct but awkward "time of attempted drilling"); in other words, the distinction between an attempt to drill and the act of drilling will be ignored.
The quantity \( r(t)dt \) is the probability that the time of drilling occurs in a time interval \((t, t+dt)\), given that no attempts occurred prior to time \( t \) (Ross, 1985, p. 193). Note that the failure-rate function uniquely determines the CDF for the first time of drilling: Eq. (C.1) can be integrated to give
\[ F(t) = 1 - \exp(-\int_0^t r(\tau)d\tau). \]
(C.2)
**Some Examples**
1) If \( r(t) = k \), a constant > 0, \( F(t) \) is the exponential distribution,
\[ F(t) = 1 - \exp(-kt). \]
(C.3)
In this case, \( 1/k \) is the average time until first drilling occurs. Also note that for any finite time, say \( t_m < \infty \), Eq. (C.3) implies that \( F(t_m) < 1 \); in other words, a non-zero probability exists that drilling will not occur in the time interval \((0, t_m)\). If the times of drilling are assumed to follow a counting process known as a renewal process (Ross, 1985, Chapter 7), a non-zero probability also exists that drilling will occur more than once in the time interval \((0, t_m)\); the probability that the site is drilled \( n \) times, \( n = 0, 1, 2, 3, \ldots \), in \((0, t_m)\) is given by the Poisson distribution,
\[ \Pr(N = n) = \left[ (kt_m)^n/n! \right] \exp(-kt_m). \]
(C.4)
If \( t_m \) denotes the period of performance, the elementary probability of the event is simply \( 1 - \Pr(N = 0) = 1 - \exp(-kt_m) \).
Because this fact will be used in the sequel, note that Eqs. (C.3) and (C.4) generalize to non-constant failure-rate functions $r(t)$ (the inhomogeneous Poisson process [Ross, 1985, pp. 221-222]), provided that the renewal-process assumption is made and the quantity
$$m(t_m) = \int_0^{t_m} r(\tau) d\tau$$
is finite ($< \infty$). An inhomogeneous Poisson process is obtained by merely replacing $(kt_m)$ in Eqs. (C.3) and (C.4) with $m(t_m)$. The elementary probability of the event then is simply $1 - \exp[-m(t_m)]$. If $m(t_m)$ is infinite, the event is sure to happen in the interval $(0, t_m)$ and it can happen an infinite number of times.
2) Marietta et al. (1989, Table 3-10) assume that the time of drilling is uniformly distributed on the interval $(0, t_m)$, where $t_m = 10,000$ years; i.e., $F(t) = t/t_m$, $0 \leq t \leq t_m$. From Eq. (C.1), the failure-rate function in this case is $1/(t_m - t)$, a function whose integral over the interval $(0, t_m)$ diverges; hence use of a uniform distribution for the time of drilling is tantamount to assuming that drilling will occur with certainty during the period of performance. Marietta et al. (1989) ignore the possibility that drilling could occur more than once in the interval $(0, t_m)$.
3) The empirical failure-rate function for many statistical properties of engineered and biological systems often follows the "bathtub-shaped" or "U" shaped curve (Figure C-1) (the curve is adopted from Harr, 1987; see that text for its interpretation in terms of engineered systems). The age-dependent mortality of human beings is similar in shape, as is the observed frequency of birth defects in children born to human mothers as a function of the mother's age. This example is included to emphasize the point that failure-rate functions often can reflect the underlying causes of system failure more directly than the system's associated CDF for first time to failure.
**Models of First Time of Inadvertent Drilling**
The concept of failure-rate function will be used to construct four versions of a CDF for first time of drilling of the WIPP site during the next 10,000 years. Only the weakest of assumptions about the factors that could determine the time of first drilling will be used in the constructions, and
Figure C-1. Bathtub Failure-Rate Function for Many Engineered and Biological Systems (adopted from Harr, 1987).
Figure C-2. Four Models of a Failure-Rate Function for Inadvertent Attempts to Drill at the WIPP Site (see text for an explanation).
constraints imposed by the regulatory agency (EPA) in Appendix B of the Standard (EPA, 1985) will be included.
Four possible failure-rate functions (Figure C-2, curves labelled A-D) are considered as functions of time elapsed since site closure \((t = 0)\). Various time intervals of concern are also shown on Figure C-2:
\[
[0, t_0] \quad \text{the period of institutional control during which any attempts to drill at the site would be prevented by governmental authorities.}
\]
\[
[t_0, t_1] \quad \text{an ill-defined period of passive control during which the presence of markers or monuments at the site could warn potential drillers of the hazards of disturbing the site, thereby discouraging them from taking further action.}
\]
\[
[t_1, t_m] \quad \text{a period of no predictable control; it starts at an ill-defined time } t_1 \text{ at which markers and monuments have become ineffective as warning devices, and ends at } t_m = 10,000 \text{ years, the end of the period of performance.}
\]
Regulatory constraints and common sense have dictated the ordering of times \(t_0, t_1, t_2,\) and \(t_m\) (Figure C-2). Institutional control is limited by the Standard to no more than 100 years (EPA, 1985, Appendix B) and it seems reasonable to assume that modern technology can create markers and monuments that are durable and can be read (perhaps with increasing error) for periods much longer than 100 years. Nevertheless, ignoring regulatory constraints for the moment, circumstances can be imagined in which \(t_0 > t_1, t_1 > t_m,\) or both \(t_0\) and \(t_1\) are greater than \(t_m\). Models of human intrusion that are more sophisticated than those to be constructed here might treat the parameters \(t_0\) and \(t_1\) as random variables whose distributions would be determined by expert opinion.
**Period of Institutional Control**
It seems reasonable to suppose that the likelihood of inadvertent drilling of the site during the period of institutional control is virtually zero; accordingly, the failure-rate function during this period can be modeled by \(r(t) = 0\), as indicated for all four curves (Figure C-2). Thus, by Eq. (C.2), \(F(t) = 0\) for \(0 \leq t < t_0\).
Period of Passive Control
Once the period of institutional control has lapsed (i.e., for $t > t_0$), $F(t) > 0$ must be assumed, even though markers may be in place and their symbols may still be readable. The need for this assumption stems mainly from remarks in Appendix B of the Standard (EPA, 1985):
... the agency (EPA) believes that passive institutional controls can never be assumed to eliminate the chance of inadvertent and intermittent intrusion into these disposal sites.
A consequence of this assumption and Eq. (C.2) is that the failure-rate function must be $> 0$ during a finite fraction of the period of passive control. The EPA nevertheless allows the implementing agency to place a definite upper bound on the failure-rate function during this period:
... the Agency assumes that the likelihood of such inadvertent and intermittent drilling need not be taken to be greater than 30 boreholes per square kilometer per 10,000 years for geologic repositories in proximity to sedimentary rock formations, or more than 3 boreholes per square kilometer per 10,000 years for repositories in other geologic formations. (EPA, 1985, Appendix B)
Thus, for the WIPP system, an upper bound of
$$\lambda^* = \frac{30 \text{ boreholes}}{10^6 \text{ m}^2 \cdot 10^4 \text{ yr}} \times (\text{area of WIPP panels} = 1.2 \times 10^5 \text{ m}^2)$$
$$\approx 3.6 \times 10^{-4} \text{ yr}^{-1}$$
can always be placed on the failure-rate function for inadvertent drilling.
Curve A. The bounding line, $r(t) = \lambda^*$, $t > t_0$, (Curve A, Figure C-2) represents the most conservative of those models of inadvertent drilling at the WIPP site which take account of EPA guidance. In this model, the time of first drilling is exponentially distributed on the interval $(t_0, \infty)$, the mean time to first drilling is 2,878 years, a 3-percent chance of no drilling in 10,000 years exists, and (assuming that drilling is a renewal process) the expected number of drilling events in 10,000 years is about 3.6.
Though conservative, Curve A is unrealistic because the warning effects of markers and monuments that would be present during the period of passive control are ignored, and because of the possibly unrealistic value of the maximum exploration rate, $\lambda^*$, set by EPA guidance. The EPA's maximum exploration rate was developed apparently from data on successful drillings.
in sedimentary rocks in the 1970s and early 1980s; such data may not reflect rates of exploration (including unsuccessful attempts to drill) hundreds to thousands of years into the future when mineral resources have been depleted or new mineral needs have been identified.
**Curve B.** A qualitative representation of the envelope (bounding curve) of more realistic failure-rate functions for inadvertent drilling at the WIPP site is sketched as Curve B on Figure C-2. The main features of this curve are that it starts from zero at $t = t_0$ and gradually increases until, at the beginning of the period of no predictable control, it asymptotically approaches some maximum exploration rate, say $\lambda_m$. The line of reasoning that produced this form for the envelope of realistic failure-rate functions begins with the observation that the failure-rate function can be expressed as the following product:
\[
\text{exploration rate (successful and unsuccessful borehole/m}^2 \cdot \text{yr}) \\
x \text{ (area of WIPP panels in m}^2) \\
x \text{ (probability per encounter that a decision to drill is made)}.
\]
Or, in terms of symbols to be used for variables in the product,
\[
r(t) = \lambda(t)\Pi_d(t),
\]
(C.5)
where $\Pi_d$ denotes the probability per encounter at time $t$ that a decision to drill is made. Eq. (C.5) represents a failure-rate function which is bounded above by the envelope $\lambda_m\Pi_d(t)$, with
\[
\lambda_m = \max_{t_0 \leq t < t_m} \{\lambda(t)\}.
\]
If the form of the envelope were known, it could be used as an obviously conservative surrogate for the true failure-rate functions.
By making mostly weak assumptions about the natural and human factors that enter into a decision to drill a borehole at WIPP in the far future, it can be shown that $\Pi_d(t)$, the probability per encounter that a decision to drill is made, is an increasing function of time that is zero until $t = t_0$ and approaches one as $t$ exceeds a certain characteristic time. This demonstration
will be based on a decision tree (similar to a logic diagram) sketched in Figure C-3. Six decision points on the tree, at its branch points (labelled 1-6), have the following meanings:
(1) **Are markers/monuments evident?** Note that markers/monuments may have been removed or covered with sediments prior to an episode of exploration of the site. A "yes" answer (the positive [+] branch of the tree) has probability $\rho_1$ and a "no" answer (the minus [-] branch) has probability $(1 - \rho_1)$.
(2) **Are symbols representing messages on markers/monuments readable by contemporaries of their creators?** In other words, prior to the time of the exploratory episode, have the physical symbols representing the messages been so altered by vandals or erosion that even a person who knew the meanings of the symbols would have trouble reading them? The positive (+) branch has probability $\rho_2$ and the minus (-) branch has probability $(1 - \rho_2)$.
(3) **Should drilling commence, given an unreadable message?** The positive (+) branch has probability $\rho_3$ and the minus (-) branch has probability $(1 - \rho_3)$.
(4) **Are symbols representing messages on markers/monuments understood by explorers or their contemporaries?** This question accounts for a possible inability to understand the message, i.e., the possibility that symbolic meanings may become extinct with the passage of time. The positive (+) branch has probability $\rho_4$ and the minus (-) branch has probability $(1 - \rho_4)$.
(5) **Should drilling commence, given a message that is not understood?** The positive (+) branch has probability $\rho_5$ and the minus (-) branch has probability $(1 - \rho_5)$.
(6) **Does drilling commence, given that the message is understood?** The positive (+) branch has probability $\rho_6$ and the minus (-) branch has probability $(1 - \rho_6)$. Current moral and legal standards of behavior, if preserved into the far future, would dictate that the rational and responsible person would always choose the minus (-) branch unless overriding social or political reasons for ignoring the message exist. Accordingly, a choice of the positive (+) branch cannot be considered as an inadvertent action and, though it would lead to an attempt to drill, should not be counted in the computed, overall probability of inadvertent drilling.
Figure C-3. A Decision Tree Showing Steps in the Decision to Drill at the WIPP Site (see text for an explanation).
Probabilities $\rho_i$, $1 \leq i \leq 6$, are in general to be regarded as functions of time taking values in the interval $(0,1)$.
The seven distinct pathways through the decision tree (Figure C-3) are labelled A-G and are so marked on the right-hand side of the figure; also shown are the outcomes of each pathway (either "D" for drilling, or "ND" for no drilling). The probability of each outcome is computed easily: for example, pathways leading to drilling, probabilities $P(C)$, $P(E)$, and $P(G)$, are respectively $\rho_1\rho_2(1 - \rho_4)\rho_5$, $\rho_1(1 - \rho_2)\rho_3$, and $(1 - \rho_1)$. Thus, discounting $P(A)$ for the reason mentioned above, the probability per attempted borehole that inadvertent drilling actually occurs is
$$\Pi_d(t) = P(C) + P(E) + P(G) = \rho_1[\rho_2(1 - \rho_4)\rho_5 + (1 - \rho_2)\rho_3] + (1 - \rho_1). \quad (C.6)$$
Recalling the meanings of $\rho_i$s in Eq. (C.6), these quantities need only be assumed to have the following properties:
- $\rho_1$, $\rho_2$, and $\rho_4$ are decreasing functions of time with values = 1 at $t = t_0$
and
- $\rho_1 \to 0$ as $(t - t_0) \geq \tau_1$, where $\tau_1$ is a characteristic lifetime of the markers/monuments against removal by humans or covering by sediments;
- $\rho_2 \to 0$ as $(t - t_0) \geq \tau_2$, where $\tau_2$ is a characteristic lifetime of the symbols on the markers or monuments against defacement by vandals or erosion;
- $\rho_4 \to 0$ as $(t - t_0) \geq \tau_4$, where $\tau_4$ is a characteristic lifetime of the meaning of the symbols on the markers/monuments in cultural memory;
- $\rho_3$ and $\rho_5$ are constants in the range $(0,1)$. (Note: This assumption is not weak; it implies that human decision-making behavior will not change for many thousands of years. Actually, these probabilities are likely to change rapidly on a time-scale of 10,000 years because each decision to drill would balance current levels of caution against current incentives to explore or current levels of curiosity. But because of these rapid changes, it is plausible to assume that the time averages of the derivatives of $\rho_3$ and $\rho_5$ are zero.)
Given these five assumptions and Eq. (C.6), it follows that
\[ \Pi_d(t_0) = 0, \quad \Pi_d(t) \geq 0 \text{ for } t > t_0 \text{ and} \]
\[ \Pi_d(t) \to 1 \text{ as } (t - t_0) \geq \tau_{\text{max}}, \tag{C.7} \]
where \( \tau_{\text{max}} = \max (\tau_1, \tau_2, \tau_4) \). Evidently, \( \tau_{\text{max}} \) can be identified with \( t_1 \), "end" of the period of passive control. Furthermore, if \( \rho_3 \geq \rho_5 \), \( \Pi_d(t) \) is a non-decreasing function of time, i.e.,
\[ d/dt \Pi_d(t) \geq 0. \tag{C.8} \]
Eqs. (C.6)-(C.8) demonstrate that under the five stated assumptions about the probabilities in the decision model (Figure C-3), the failure-rate function for the first time of inadvertent exploratory drilling will be bounded by a curve, \( \lambda_m \Pi_d(t) \), which has quantitative properties similar to the sketch (Curve B, Figure C-2). The demonstration also suggests that several qualitatively different characteristic lifetimes of the marker/monument system, i.e., the \( \tau_1, \tau_2, \) and \( \tau_4 \) defined on the preceding page, enter into a determination of the length of the period of passive control.
**Curves C and D.** These curves represent analytic failure-rate functions that are intended to mimic the behavior of Curve B by a function that increases linearly with time up to \( t = t_1 \) and thereafter remains constant at some arbitrarily chosen \( \lambda_m \):
\[ r(t) = 0 \text{ if } t < t_0, \]
\[ = \lambda_m (t - t_0)/(t_1 - t_0) \text{ if } t_0 \leq t < t_1, \]
\[ = \lambda_m \text{ if } t \geq t_1. \tag{C.9} \]
In Curve C, \( \lambda_m \) and \( t_1 \) are arbitrary; in Curve D, \( \lambda_m = \lambda^* \) and \( t_1 = t_m \).
Integration of Eq. (C.9) and Eq. (C.2) gives a modified Rayleigh distribution of the form,
\[ F(t) = 0 \text{ if } t < t_0, \]
\[ = 1 - \exp \left\{ -\lambda_m (t - t_0)^2 / 2(t_1 - t_0) \right\} \]
if \( t_0 \leq t < t_1 \),
for the CDF for first time of inadvertent drilling of the site. The elementary probability of inadvertent drilling of the site is found from Eq. (C.10) by setting $t = t_m = 10,000$ years. The mean waiting time, $\bar{T}$, until first drilling occurs can also be obtained in a closed form for the models shown in Curves C and D:
$$\bar{T} = t_0 + \left( t_1 + \frac{1}{\lambda_m} - t_0 \right) \exp \left[ -\lambda_m \left( t_1 - t_0 \right)/2 \right]$$
$$+ \left( \pi \left( t_1 - t_0 \right)/2\lambda_m \right)^{1/2} P[3/2, \lambda_m \left( t_1 - t_0 \right)/2],$$
where $P[a,x]$ stands for the Incomplete Gamma Function (Abramowitz and Stegun, 1964, formula 6.51, p. 260).
Some numerical examples will illustrate properties of the models represented by Curves C and D. For Curve C, choose $t_0 = 100$ years, $t_1 = 4,000$ years, and $\lambda_m = \lambda* = 3.6 \times 10^{-4}/\text{yr}$. Then $\bar{T} = 4,600$ years, there is about a 6-percent chance of no drilling in 10,000 years, and (assuming a renewal process) the expected number of drillings in 10,000 years is about 2.9. To see the properties of Curve D, simply change $t_1$ to 10,000 years. Then $\bar{T} = 6,900$ years, about a 17-percent chance of no drilling in 10,000 years exists, and the expected number of drillings in the period of performance is about 1.8. Sensitivity of the model to maximum exploration rate, $\lambda_m$, is demonstrated by letting $\lambda_m = 0.5\lambda*$ in Curve C; in this case, $\bar{T} \approx 7,480$ years, there is about a 24-percent chance of no drilling, and the expected number of drillings in the period of performance is about 1.4.
**Uncertainty in Probability-Model Parameters**
**CLOSURE PROBLEM**
The probability models developed in the last section for inadvertent drilling of the WIPP site illustrate a conceptual problem associated with most probability models: the appearance of parameters that may themselves be uncertain variables as constants in the analytic form of a probability model. This problem can be called the "closure problem" because the appearance of uncertain parameters in models intended to predict uncertainty of system state variables results in a lack of closure in the accounting of
all sources of uncertainty that is required in performance assessments. For example, the model associated with Curve C of Figure C-2 had two free parameters: $t_1$, the end of the period of passive control, and $\lambda_m$, the maximum exploration rate (attempted boreholes/yr) during the period of performance. Obviously, uncertainty in these two free parameters is large and some attempt must be made to quantify this uncertainty if the model is ever to be used in a practical performance assessment.
The closure problem is especially acute for those parameters associated with probability models of anthropogenic events and processes; appeal to professional judgment may be the only way of assigning values to the parameters. But elicitation of professional judgment alone will not be enough; some means of translating that judgment into quantitative measures of the uncertainty in the parameters, e.g., CDFs for the parameters, is also required. The closure problem may not be so critical for those parameters associated with probability models of measurable physical properties of the system (e.g., rock hydraulic conductivity and radionuclide solubility); in principle at least, sufficient measurements can be taken of the physical property to enable construction of an empirical CDF which may be adequate to quantify the associated uncertainty. But in almost every instance, some recourse to professional judgment must be made.
Methodologies for formally eliciting professional judgment or expert opinion exist (e.g., Hora and Iman, 1989) and at least one well-established principle, Maximum Entropy Formalism (Jaynes, 1978; Cook and Unwin, 1986; Unwin et al., 1989), is recognized by which the information resulting from application of these methodologies can be converted into CDFs for uncertain parameters or variables. Once these CDFs are obtained (and provided that the CDFs no longer contain imprecise parameters), the closure problem can be solved in one of two ways:
1) Expand the system’s state-variable vector (Chapter 3) to include all uncertain parameters in the probability models, incorporate CDFs for uncertain probability-model parameters into the joint CDF for the state variables, and proceed with Monte Carlo simulation by methods indicated in Chapter 3.
2) Regard the probability distributions that arise from a probability model with uncertain (imprecise) parameters as distributions conditioned upon the realization of definite values of those parameters; then remove the conditioning through use of the parameter’s CDFs and integration over the range of the parameters.
The second way of solving the closure problem is best explained by an example.
**Example.** Suppose that occurrence of a certain kind of event is to be modeled as a Poisson process; that is, the probability that the event occurs \( n = 0, 1, 2, \ldots \) times in a fixed time period \( t \) is given by
\[
P(n \mid \lambda) = \frac{(\lambda t)^n}{n!} e^{-\lambda t},
\]
where \( \lambda \) is an uncertain parameter that is to be determined directly from data concerning past occurrences of the event or from expert interpretations of that data. Now suppose that, because of limited data or differences in interpretations of the data, the only quantitative statement about \( \lambda \) that experts in the subject matter of the event are willing to endorse is that \( \lambda \) lies between two numbers, say \( \lambda_1 \) and \( \lambda_2 > \lambda_1 \). Faced with this situation, the performance-assessment analyst could first use the Maximum Entropy Formalism to justify choosing the uniform distribution,
\[
p(\lambda) = \frac{1}{(\lambda_2 - \lambda_1)} \quad \text{if } \lambda \in (\lambda_1, \lambda_2),
\]
\[
= 0 \quad \text{otherwise},
\]
for the parameter \( \lambda \), and could next remove reference to the uncertain parameter in Eq. (C.12) by computing the unconditional probability,
\[
P_u(n) = \int_{\lambda_1}^{\lambda_2} P(n \mid \lambda) p(\lambda) d\lambda
\]
\[
= [1/(b - a)n!] \int_a^b x^n e^{-x} dx, \quad n = 0, 1, 2, \ldots
\]
where \( b = \lambda_2 t \), \( a = \lambda_1 t \). The unconditional probability in Eq. (C.13) and the associated CDF for first time of occurrence of the event, could be used then in place of the Poisson process, Eq. (C.12), with an uncertain parameter. Note that no uncertain parameters appear in Eq. (C.13). Also note that use of this method for solving the closure problem may lead to rather complicated analytic expressions for the probabilities to be associated with some of the event variables and it may be necessary to use numerical integration to remove the conditioning. In the present example, the integral in Eq. (C.13) can be evaluated in terms of the incomplete gamma functions (Abramowitz and Stegun, 1964, formula 6.5.3). The unconditional
elementary probability of the event treated in this example takes the simple form,
\[ 1 - P_u(0) = 1 - \frac{(e^{-a} - e^{-b})}{(b - a)}. \]
Solving the closure problem by either of the two methods mentioned above will complicate the process of screening elementary probabilities against the 0.0001 cutoff probability allowed by EPA (EPA, 1985, Appendix B; also, Chapter 3 herein). Obviously, if parameters in a probability model of an agent are uncertain, the elementary probability associated with the agent can take on a range of values and, upon assignment of prior CDFs to the uncertain parameters, will itself become a random variable. The question of how to apply the cutoff probability to screen a random variable immediately arises. Because EPA has provided no guidance for answering this question, its resolution must depend upon the judgment of the analyst and circumstances of the probability model being studied. The author thinks screening elementary probabilities by determining whether the cutoff probability does or does not lie within the calculated range of uncertainty of the elementary probability would almost always be conservative; if that range includes the cutoff probability, the event would be retained for inclusion in the performance-assessment analyses; whereas, if the cutoff probability lies above the upper limit of the range, the event could be eliminated.
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Rechard, R. P., W. Beyeler, R. D. McCurley, D. K. Rudeen, J. E. Bean, J. D. Schreiber. 1990. *Parameter Sensitivity Studies of Selected Components of the Waste Isolation Pilot Plant Repository/Shaft System*. SAND89-2030. Albuquerque, NM: Sandia National Laboratories.
Ross, B. 1987. *A First Survey of Disruption Scenarios For a High-Level Waste Repository at Yucca Mountain, Nevada*. SAND85-7117. Albuquerque, NM: Sandia National Laboratories.
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Thompson, B. G. J., C. J. Frizelle, D. B. Nicholls, and M. C. Thorne. 1988. *A Method of Overcoming the Limitations of Conventional Scenario-Based Risk Assessments By Using Monte-Carlo Simulation of Possible Future Environmental Changes*. DOE Disposal Assessments Technical Report, TR-DOE-12. London, UK: UK Government Department of Environment (HMIP).
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U.S. Department of Energy and State of New Mexico. 1981. *Agreement for Consultation and Cooperation Between the U.S. Department of Energy and the State of New Mexico on the Waste Isolation Pilot Plant*, modified 11/30/84, 8/4/87, and 3/22/88.
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Unwin, S. D., E. G. Cazzoli, R. E. Davis, M. Khatib-Rahbar, M. Lee, H. Nourbakhsh, C. K. Park, and E. Schmidt. 1989. "An Information-Theoretic Basis for Uncertainty Analysis: Application to the QUASAR Severe Accident Study." *Reliability Engineering and System Safety* 26: 143-162.
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Dist-12
| Code | Name |
|-------|-----------------------------|
| 1 | A. Narath |
| 20 | O. E. Jones |
| 1511 | D. K. Gartling |
| 1520 | L. W. Davison |
| 1521 | J. G. Arguello |
| 1521 | H. S. Morgan |
| 3151 | S. M. Wayland |
| 3200 | N. R. Ortiz |
| 6000 | D. L. Hartley |
| 6232 | W. R. Wawersik |
| 6233 | J. C. Eichelberger |
| 6233 | J. L. Krumhansl |
| 6300 | T. O. Hunter |
| 6301 | E. Bonano |
| 6310 | T. E. Blejwas, Acting |
| 6310A | L. E. Shephard |
| 6311 | A. L. Stevens |
| 6312 | G. E. Barr |
| 6312 | F. W. Bingham |
| 6313 | L. S. Costin |
| 6315 | P. C. Kaplan |
| 6316 | R. P. Sandoval |
| 6317 | S. Sinnock |
| 6320 | R. E. Luna, Acting |
| 6340 | W. D. Weart |
| 6340 | S. Y. Pickering |
| 6340A | A. R. Lappin |
| 6341 | J. M. Covan |
| 6341 | D. P. Garber |
| 6341 | R. C. Lincoln |
| 6341 | Sandia WIPP Central Files (100) |
| 6342 | D. R. Anderson |
| 6342 | B. M. Butcher |
| 6342 | L. S. Gomez |
| 6342 | M. Gruebel |
| 6342 | R. Guzowski |
| 6342 | R. D. Klett |
| 6342 | M. G. Marietta |
| 6342 | D. Morrison |
| 6342 | A. C. Peterson |
| 6342 | R. P. Rechard |
| 6342 | P. Swift |
| 6342 | M. Tierney (25) |
| 6342 | K. M. Trauth |
| 6342 | B. L. Baker* |
| 6342 | J. Bean* |
| 6342 | J. Berglund* |
| 6342 | W. Beyeler* |
| 6342 | R. Blaine* |
| 6342 | T. Blaine* |
| 6342 | K. Brinster* |
| 6342 | K. Byle* |
| 6342 | L. Clements* |
| 6342 | J. Garner* |
| 6342 | A. Gilkey* |
| 6342 | A. Hsia* |
| 6342 | H. Iuzzolino* |
| 6342 | J. Logothetis* |
| 6342 | R. McCurley* |
| 6342 | J. Orona* |
| 6342 | J. Rath* |
| 6342 | P. Roache* |
| 6342 | D. Rudeen* |
| 6342 | J. Sandha* |
| 6342 | J. Schreiber* |
| 6342 | P. Vaughn* |
| 6343 | T. M. Schultheis |
| 6344 | R. L. Beauheim |
| 6344 | P. B. Davies |
| 6344 | S. J. Finley |
| 6344 | E. Gorham |
| 6344 | A. M. LaVenue |
| 6344 | C. F. Novak |
| 6344 | S. W. Webb |
| 6345 | R. Beraun |
| 6345 | L. Brush |
| 6345 | M. A. Molecke |
| 6346 | D. E. Munson |
| 6346 | E. J. Nowak |
| 6346 | J. R. Tillerson |
| 6400 | D. J. McCloskey |
| 6413 | J. C. Helton |
| 6415 | R. M. Cranwell |
| 6415 | R. L. Iman |
| 6416 | M.S.Y. Chu |
| 6621 | L. D. Tyler |
| 9300 | J. E. Powell |
| 9310 | J. D. Plimpton |
| 9325 | J. T. McIlmoyle |
| 9325 | R. L. Rutter |
| 9330 | J. D. Kennedy |
| 9333 | O. Burchett |
| 9333 | J. W. Mercer |
| 8523-2 | Central Technical Files |
| 3141 | S. A. Landenberger (5) |
| 3145 | Document Processing (8) for DOE/OSTI |
| 3151 | G. C. Claycomb (3) | |
Subject: Administrative approval for the implementation of Centrally Sponsored Scheme-“Re-aligned National Livestock Mission” during 2021-22-reg.
Madam/Sir,
In pursuance to the approval of the Cabinet Committee, I am directed to convey Administrative Approval of Government of India for implementation of Centrally Sponsored Scheme-“Re-aligned National Livestock Mission”, a sub scheme of Development Programme with an total outlay of Rs.2300 Crores with immediate effect and Rs.350 Cr.(Rupees Three Hundred and Fifty Crore Only) for the financial year 2021-22. Detailed scheme guidelines have been issued and are available in the website of the Department of Animal Husbandry and Dairying, Ministry of Fisheries, Animal Husbandry and Dairying (www.dahd.nic.in)
2. The Department of Animal Husbandry & Dairying, Government of India is implementing the scheme of National Livestock Mission since the financial year 2014-15. The National Livestock Mission scheme has been realigned which will be implemented from F/Y2021-22. There aligned scheme aims towards employment generation, entrepreneurship development, increase in per animal productivity and thus targeting increased production of meat, goat milk, egg and wool under the umbrella scheme Development Programme. The realigned National Livestock Mission will have following three Sub-Missions:
(i) **Sub-mission on Breed Development of Livestock and Poultry**: proposes to bring sharp focus on entrepreneurship development and breed improvement in poultry, sheep, goat and piggery by providing the incentivization to the Eligible Entities like Individual, Farmers Producers Organizations (FPOs), Farmers Cooperative Organizations (FCOs) Joint Liability Groups (JLGs), Self Help Groups(SHGs), Section 8 companies for entrepreneurship development and also to the State Government for breed improvement infrastructure. Under entrepreneurship programme, the Central Government shall provide 50% capital subsidy to the Eligible Entities subject to subsidy ceiling as per scheme guidelines (subsidy ceiling for poultry entrepreneurship is 25 lakh, sheep and goat up to 50 lakh, Piggery 30 lakh). The remaining cost of the project need to be arranged by the Eligible Entities either through finance from bank or financial institution or shelf financing. The
Central Government is developing the online portal for submission of application. The subsidy will be channeled through the Small Industries Bank of India.
This submission also envisages for assisting the State Government for genetic upgradation of sheep, goat and pig through Artificial Insemination, introduction of exotic germplasm through import in order to increase the per animal productivity. Under these activities the State Government and Union Territories will be assisted for establishment of Regional Semen Station for Sheep or Goat, Semen Station for pig in each state, State Seen Bank and Strengthening of existing Artificial Insemination Centre for Goat frozen semen in the State. The funding will be provided as per the Government of India funding pattern.
(ii) **Sub-mission on Feed and Fodder Development**: This Sub-Mission aims towards strengthening of fodder seed chain to improve availability of certified fodder seed required for fodder production and encouraging entrepreneurs for establishment of fodder Block/Hay Bailing/Silage Making Units through incentivisation.
The Central Government will incentivize the fodder seed chain i.e. breeder, foundation and certified quality fodder seed production towards multiplication of seeds of high yielding fodder varieties which has been developed through research and innovations, significantly showing better performance, for which incentives will be provided. 100% incentivization for production of all categories of fodder seed production by ICAR, National Seed Corporation (NSC), Indian Farmers Fertilizer Cooperative (IFFCO), Krishak Bharati Cooperative Limited (KRIBHCO), National Agricultural Cooperative Marketing Federation (NAFED) and Central Agencies as well as State Agriculture Universities (SAU), Hindustan Insecticides Limited (HIL), State Government seed production corporations, public and private organizations, dairy cooperatives and milk federations and other organizations with good credibility. The production incentives will be given to central seed directly and to the State Implementing Agency for the applications received from the State seed producing agencies. However, the assistance for Dairy Cooperatives and Milk Federations will be routed through NDDB.
As regards to the entrepreneurship programme, capital subsidy will be provided to the Eligible Entities like Individual, Farmers Producers Organizations (FPOs), Farmers Cooperative Organizations (FCOs) Joint Liability Groups (JLGs), Self Help Groups (SHGs), Section 8 companies for establishment of Silage making plants, Fodder Block Making Plants and Total Mix Ration Plants. The Central Government shall provide 50% capital subsidy to the Eligible Entities subject to subsidy ceiling of Rs. 50 Lakh. The remaining cost of the project need to be arranged by the Eligible Entities either through finance from bank or financial institution or shelf financing. The Central Government is developing the online portal for submission of application. The subsidy will be channelized through the Small Industries Bank of India as per the scheme guidelines.
(iii) **Sub-mission on Innovation and Extension**: The sub-mission aims to incentivize the Institutes, Universities, Organizations carrying out research and development related to sheep, goat, pig and feed and fodder sector, extension activities, livestock insurance and innovation. Under this
sub-mission, assistance will be provided to the central Agencies, ICAR Institutes and University farms for applied research required for development of the sector, extension services including promotional activities for animal husbandry and schemes, seminars, conferences, demonstration activities and other IEC activities for awareness generation. Assistance will also be provided for livestock insurance and innovations.
3. The National Livestock mission will be implemented through the State Implementing Agency established under the State Animal Husbandry Department. In this regard, the State Animal Husbandry Department will need to establish their State Implementing Agencies or identify the agency already established for implementation of the National Livestock Mission. The State Government shall notify the State Implementing Agency to the DAHD. The Central share wherever eligible will be channeled through the State Implementing Agency.
**Function of the State Implementing Agency for implementation of NLM scheme.**
- The State Implementing Agencies of the Animal Husbandry Department or the State Animal Husbandry Department of the concerned State Government shall invite the names of entrepreneurs/ eligible entities through expression of interest.
- The applications submitted by the entrepreneurs/ eligible entities shall be scrutinized and the State Implementing Agency will recommend the application of the entrepreneurs/ eligible entities to avail balance financing for the project through scheduled banks or financial institutions like National Cooperative Development Corporation (NCDC) etc.
- Once the project funding for entrepreneurship components through financing for loan portion is committed then the same should be placed before the State Level Executive Committee (SLEC) for approval. After the approval of the projects by the SLEC, the projects will be sent to the Central Government through online portal developed for uploading applications under NLM.
- The implementing agency shall also send the proposals under the NLM other than the entrepreneurship project for seeking Central Share through online portal.
- The State Implementing Agency shall be responsible for monitoring the projects of the entrepreneurs and intimate the Department on their progress on half yearly basis. Utilisation certificate, physical and financial progress, on the other projects in respect of projects other than entrepreneurs to be furnished to the Department on half yearly basis.
4. The Re-aligned National Livestock Mission has three types of fund flow mechanism which are as under:
(i) **Fund Flow for the Entrepreneurship programmes (Central sector Component):**
**Fund Channelizing Agency:** The entire subsidy amount will be channelized through the Small Industries Development Bank of India (SIDBI). The Department of Animal Husbandry and Dairying, Ministry of Fisheries, Animal Husbandry and Dairying shall sign and Memorandum of
Understanding (MoU) with SIDBI regarding the managing of Subsidy, transfer of subsidy to the lending bank and financial institutions. The Department of Animal Husbandry and Dairying may provide administrative cost to SIDBI for working as fund channelizing agency for the entrepreneurship programme. The SIDBI shall also be liable for submitting all information and utilization of funds transferred to them. The Department will decide the modalities for fund channelizing work with SIDBI.
(ii) **Fund flow mechanism for the entrepreneurship programme**: In respect of the entrepreneurship programme, the subsidy will be provided by SIDBI to the lending scheduled bank or Financial Institutions like NCDC etc. to the subsidy account of beneficiaries. The SIDBI on receipt of the subsidy component shall release the first installment of subsidy to the appropriate account of Entrepreneurs/ Eligible Entities after the release of first installment of loan. The SIDBI needs to open dedicated account for subsidy and shall intimate the DAHD for mapping in PFMS System. The manner of subsidy release has been mentioned against each entrepreneurship component.
In case of the self-financing project, the first installment of back ended subsidy will be provided by SIDBI to the lending scheduled bank where the beneficiary has account. Such self-financed projects, prior to its sanction, would also be appraised by the Bank where the Entrepreneurs/ Eligible Entities has the account. The first installment of subsidy will be released only when the beneficiary has made expenditure of 25% cost for the project towards infrastructure and has been verified by the State Implementing Agency. Remaining amount of subsidy will be provided after completion of the project and verified by State Implementing Agency.
The beneficiaries interested in taking benefit under the entrepreneurship project in self-financing mode need to provide Bank Guarantee from the scheduled bank for the remaining cost of the project beyond the capital subsidy sought for support. This Bank Guarantee shall be valid for three years and to be drawn in favour of Department of Animal Husbandry and Dairying, Ministry of Fisheries, Animal Husbandry and Dairying. The original Bank Guarantee is to be kept in the safe custody of the State Implementing Agency. Also a copy of the Bank Guarantee and a declaration form need to be uploaded in the online portal at the submission of the application or to be attached with the application. The Format of the Bank Guarantee and declaration has been annexed with the guidelines.
(iii) **Fund Flow for the Centrally Sponsored Components**:
The funds for Centrally Sponsored Components of the NLM Scheme under the submissions will be released to the State Government’s RBI Account. Thereafter, the State Government need to transfer the fund to the Account of the State Nodal Agency / State Implementing Agency within 21 days and the State Share to be released within 40 days. Detailed procedure for handling of fund for CSS Scheme may be followed as per Department of Expenditure, Ministry of Finance Guidelines vide O.M. No. 1(13) PFMS/FCD/2020 dated 23.03.2021. The State Nodal Agency / State Implementing Agency needs to open a dedicated bank account to receive funds under NLM Scheme and mapped with PFMS system.
(iv) **Fund Flow for Other Central Sector Components for Central or State Government Agencies:**
The fund flow for assistance under the NLM Scheme to be provided to the Central Government Agencies or State Government Agencies or Start Ups etc. shall follow the norms prescribed by the Department of Expenditure and General Financial Rules.
The Funding pattern for the Centrally Sponsored components in the Realigned NLM Scheme shall follow the existing funding pattern i.e. 60: 40 in all the cases except for Himalayan States and North Eastern States where the funding pattern will be 90:10 and for Union Territories it will be 100%.
5. The following committees have been established for smooth implementation of the scheme and approval and monitoring of the projects:
(1) **Empowered Committee (EC):** established under the Chairmanship of the Secretary, Department of Animal Husbandry and Dairying, Ministry of Fisheries, Animal Husbandry and Dairying, Government of India. For overall monitoring of the progress of the scheme, approval of the scheme guidelines, provide policy direction, and approve necessary changes if any(such as deletion, addition and modification of any component or activities) with regard to the scheme, without altering the total funding, allocation and funding pattern. The Committee will also have the power to update the cost norms of different activities as required from time to time due to variation of the price index of different commodities related to a particular activity. The EC may also delegate powers too the Committees as may be required. The EC will also have power to delegate responsibilities to the Project Approval Committee for approval of projects.
(2) **Project Approval Committee(PAC):** established under the Chairmanship of Joint Secretary, National Livestock Mission to approve the projects including the project received from the State Level Executive Committee (SLEC) to verify the feasibility, viability of the project received from the SLEC appraised by the Project Appraisal and Monitoring Unit and recommend for release of grants. The PAC will also monitor the implementation of project(s) at the ground level. The PAC will also be empowered to suggest changes in guidelines which will be approved by the Empowered Committee.
(3) **State Level Executive Committee (SLEC):** The State Level Executive Committee (SLEC) will be established under the Chairmanship of Additional Chief Secretary/Principal Secretary/Secretary of State Animal Husbandry Department, of the respective State Governments. The SLEC will examine the project proposals submitted by beneficiaries and State agencies, for approval and will confirm the availability of State Share and beneficiary contribution, if any as per the specific scheme guidelines and will forward the same to NLM division of Department of Animal Husbandry and Dairying Ministry of Fisheries, Animal Husbandry and Dairying, Government of India for consideration and approval.
6. Department of Animal Husbandry, and Dairying (AHD) reserves the right to modify, add, delete any term/conditions without assigning any reason and its interpretation of various terms will be final. AHD reserves the right to recall any amount given under the scheme without assigning any reason thereof. Due to budget constraints, the prioritization of components to be covered may be done.
7. The State Government may ensure that, 16.6% and 8.6% of the funds are targeted for SC and ST farmers/beneficiaries respectively under Scheduled Castes Special Plan (SCSP) and Tribal Sub Plan (TSP) is being regularly monitored by M/o Social Justice. Where separate funds for women beneficiaries and for physically challenged/ differently-abled persons have not been provided, efforts may be made to cover 30% and 3% of the budget allocation respectively, as far as possible. Further, landless farmers, small and marginal farmers may be given preference in selection of beneficiaries. The Participating States need to supply information on number of people belonging to Schedule Castes/ Schedule Tribes / Women Benefitted from the Scheme on quarterly basis.
8. It has been decided to integrate under Direct Benefit Transfer (DBT) all transactions and benefits transferred, whether cash, infrastructure, goods and services under various components of National Livestock Mission (NLM). This is done to enable transparency and traceability of all benefits provided to the end beneficiary. Kindly integrate the Public Financial Management System (PFMS) and DBT, where applicable, for infrastructure development and for beneficiary-oriented components where cash, goods or services is transferred/ provided respectively. In case of beneficiary oriented components, the UID numbers of individual beneficiaries should be recorded and included in all project related documents. Similarly, for funds channelized through NABARD for bankable projects under Entrepreneurship Development and Employment Generation (EDEG) component of NLM, DBT/ linkage to AADHAR is essential.
9. National/ State environmental & pollution control laws/ Rules/ Regulations should be complied with. The signboard at implementation site must also display - “Assisted by Animal Husbandry and Dairying, Ministry of Fisheries, Animal Husbandry and Dairying, Government of India”.
10. Proposals, Utilization Certificate as per GFR, 2017, Physical Progress Report and other relevant correspondences complete in all respects may please be forwarded to Joint Secretary/Mission Director (NLM), Ministry of Fisheries, Animal Husbandry and Dairying, Department of Animal Husbandry and Dairying Room No. 246 -A, Krishi Bhawan, New Delhi-110001.
11. The Participating States /State Implementing Agencies will submit monthly progress reports (MPR), annual report, audit reports etc. alongwith Utilization Certificate as per GFR, 2017. The funds released under the scheme will be subjected to AG audit of the Concerned States.
12. This Administrative Approval is being issued subject to the following-
i. Pending appraisal/approval of the scheme for continuation beyond 12th Plan, an interim extension has been granted subject to the condition that there shall be no change in nature, scope and coverage of the scheme as approved for the 12th Plan.
ii. Provisions of General Financial Rules, 2017 shall be applicable henceforth
iii. Release of funds shall be as per Cash Management System guidelines issued by Budget Division ,Department of Economic Affairs , Ministry of Finance vide OM No.15(39)-B(R)/2016,dated 21.8.2017
iv. The flow of funds is to be ensured through PFMS/DBT platforms
v. The UCs shall be submitted through PFMS in accordance with guidelines issued in this regard by CCA, Ministry of Fisheries, Animal Husbandry and Dairying
12. The General Financial Rule 232(v) prescribes the release of funds to the State Governments and monitoring utilization of funds through PFMS. For better monitoring of availability and utilization of funds released to the States under the Centrally Sponsored Schemes (CSS) and to reduce
float, the Department of Expenditure vide letter of even number dated 16.12.2020 had shared a draft modified procedure for release of funds under CSS with all the State governments and Ministries/Departments of the Government of India to seek their comments. The comments received from the State governments and Ministries/Departments of the Government of India were considered and the procedure has been suitably modified.
13. With a view to have more effective cash management and bring more efficiency in the public expenditure management, all the State Governments shall follow the procedure regarding release and monitoring utilization off funds under CSS with effect from 1st July, 2021 as per the O.M. No. 1(13)PFMS/FCD/2020 dated 23.03.2021 issued by the Department of Expenditure.
14. The Head wise Budget Allocation under National Livestock Mission during 2021-22 furnished below:
| Head | BE 2021-22 |
|---------------|------------|
| 2403 | |
| OE | 100.00 |
| A&P | 700.00 |
| Professional Services | 200.00 |
| Grants-in-Aid General | 12000.00 |
| OC | 200.00 |
| 2403 (SCSP) | 3000.00 |
| 2403(TSP) | 1500.00 |
| 2552 (General)| 2500.00 |
| 2552(SCSP) | 300.00 |
| 2552(TSP) | 150.00 |
| 3601(General) | 3200.00 |
| 3601 (SCSP) | 700.00 |
| 3601(TSP) | 300.00 |
| 3602(General) | 6200.00 |
| 3602(SCSP) | 3000.00 |
| 3602(TSP) | 950.00 |
| **Total** | **35000.00** |
15. This issues with the approval of Joint Secretary (NLM) vide No.E-18784 dated 31.08.2021.
(Narendra Kumar)
Under Secretary to the Govt. of India
Copy forwarded for information and necessary action to:
1. Principal Secretary / Secretary, Animal Husbandry - All States & UTs.
2. Principal Secretary / Commissioner / Secretary, Dairy Development - All States & UTs.
3. APC / Principal Secretary / Secretary, Department of Agriculture - All States & UTs.
4. Principal Secretary / Commissioner / Secretary, Ministry of Finance, All States & UTs.
5. Principal Secretary / Secretary, Panchayati Raj, All States & UTs.
6. Principal Secretary / Secretary, Department of Forests, All States & UTs.
7. Commissioner/Director of Animal Husbandry & Veterinary Services of all States & UTs.
8. Chief Executive Officer, Livestock Development Board/ Agencies-All States & UTs.
9. Commissioner/Managing Director of Dairy Development/Milk Federation All States & UTs.
10. Principal Chief Conservator of Forest All States / UTs.
11. Advisor (Agriculture), Niti Aayog, New Delhi.
12. Secretary, Ministry of Environment and Forests, Ministry of Environment & Forests,
13. Paryavaran Bhawan, CGO Complex, Lodhi Road, New Delhi-110003.
14. Chief General Manager, Animal Husbandry / Technical Services Department, National Bank for Agriculture & Rural Development (NABARD), C-24,"G"-Block, Bandra-Kurla Complex, Bandra East Mumbai 400 051.
15. Chairman, NDDB, Anand, Gujarat.
16. Secretary, Department of Agriculture, Cooperation and Farmers Welfare, Krishi Bhawan, New Delhi.
17. Secretary, Deptt. Of Agricultural Research and Education, and DG, ICAR, Krishi Bhawan, New Delhi.
18. Secretary, Ministry of Panchayati Raj, Krishi Bhawan, New Delhi.
19. Secretary, Ministry of Women and Child Development, Shastri Bhawan, A Wing, Dr. Rajendra Prasad Road, New Delhi-110001.
20. Secretary, Ministry of Development of North Eastern Region, Vigyan Bhawan Annexe, Maulana Azad Road, New Delhi – 110011.
21. Secretary, Department of Food and Public Distribution, Krishi Bhawan, New Delhi.
22. Secretary, Ministry of Rural Department, Krishi Bhawan, New Delhi.
23. Secretary, Ministry of Tribal Affairs, Shastri Bhawan, A - Wing, Dr. Rajendra Prasad Road, New Delhi, 110001.
24. Secretary, Ministry of Minority Affairs, 11th Floor, Paryavaran Bhawan, CGO Complex, New Delhi-110003.
25. Chairman cum Secretary, Agricultural & Processed Food Products Export Development Authority, NCUI Building 3, Siri Institutional Area, August Kranti Marg, New Delhi - 110016, India.
26. Principal Pay & Accounts Office, Jeevan Tara New Delhi.
27. Directors- All central Organizations-RFS, CPDOs and CSBF
28. PAOs of concerned Central Organizations - RFS, CPDOs and CSBF
29. Sr.PPS to Secretary (AHD), Krishi Bhawan, New Delhi.
30. PPS to AS&FA, DAHD, Krishi Bhawan, New Delhi.
31. PSs to AHC / JS(NLM) & Mission Director / JS(CDD) /JS (LH)/JS(Admin)
32. Director (Budget)/ DS(Finance) Department of Animal Husbandry & Dairying, Krishi Bhawan, New Delhi
33. Director (NLM)/Deputy Commissioner (Poultry/SR & MP)/Guard File.
(Narender Kumar)
Under Secretary to the Govt. of India |
Tri-Subject Kinship Verification: Understanding the Core of A Family
Xiaoqian Qin, Xiaoyang Tan, and Songcan Chen
Abstract—One major challenge in computer vision is to go beyond the modeling of individual objects and to investigate the bi- (one-versus-one) or tri- (one-versus-two) relationship among multiple visual entities, answering such questions as whether a child in a photo belongs to given parents. The child-parents relationship plays a core role in a family, so understanding such kin relationship would have fundamental impact on the behavior of an artificial intelligent agent working in the human world. In this work, we tackle the problem of one-versus-two (tri-subject) kinship verification and our contributions are three folds: 1) a novel relative symmetric bilinear model (RSBM) introduced to model the similarity between the child and the parents, by incorporating the prior knowledge that a child may resemble a particular parent more than the other; 2) a spatially voted method for feature selection, which jointly selects the most discriminative features for the child-parents pair, while taking local spatial information into account; 3) a new tri-subject kinship database characterized by over 1,000 child-parents families. Extensive experiments on KinFaceW, Family101 and our newly released kinship database show that the proposed method outperforms several previous state of the art methods, while could also be used to significantly boost the performance of one-versus-one kinship verification when the information about both parents are available.
Index Terms—Kinship verification, tri-subject relationship, feature selection.
I. INTRODUCTION
Kinship verification from facial images is an emerging problem in computer vision. From an aspect of face recognition, kinship provides us with a valuable and operational opportunity to construct useful relationship between persons based on their visual signals, thus deepening our understanding on their semantics. Applications of kin relationships include face image retrieval [1] [2] [3]/annotation[4], [5]/organization, increasing face recognition rates [6] [7], social media analysis [8] [9], finding of missing children, children adoptions [10], and so on.
Besides its wide applications, kinship learning is also motivated by the long-term goal of computer vision to go beyond the understanding of a single visual entity (e.g., “whose face is this?”) and to investigate the bi- or tri- relationship among multiple visual entities, e.g., answering such questions as whether a child in a photo belongs to given parents. Actually, recent research has demonstrated that computer vision algorithms have been able to understand individual face image fairly well - the best result on the challenging LFW (labeled face in the wild) face verification database has reached an accuracy as high as 99.15% [11] - even better than what can be done by a human being. However, extending those techniques to characterise the complex relationship among multiple entities is not trivial. One major reason is due to the fact the appearance gap encountered in a kinship problem is much larger than that in a conventional face recognition setting (e.g. given two face images with different sex and different ages, verify whether those two subjects are father and daughter).
In this sense, kinship learning is a step towards such a trend to capture mutual information among different visual entities, particularly multiple face images. Most of current researches [12][13][14][15][16][17], however, mainly focus on the kinship involving only two subjects (one-versus-one) such as father-son or mother-daughter, while in practice, kin relationship involving more subjects are desirable, for example, in the problem of finding missing children, usually we have the photos of both parents, and there is no reason preventing us from using images of both parents at the same time for more effective kinship verification. As another application scenario of law enforcement, it would be beneficial to match the image of a criminal suspect with those of his/her parents to improve the performance of suspect searching. Motivated by this, [18] assembled a family database containing 45 families with an average of 120 near frontal facial samples per family. Fang et al. [19] collected the Family101 kinship dataset, containing 14,816 face images from 206 nuclear families. Both [18] and [19] ask questions concerning more general family membership (one-versus-multi) beyond father and son.
In this paper we focus on the problem of tri-subject (one-versus-two) kinship learning (i.e., son-parents and daughter-parents). This is an important special case of the more ambitious one-versus-multi verification and is largely overlooked in literatures. The child-parents is the core and the most basic unit formed in a family and understanding such kind of kin relationship would have fundamental impact on the behavior of an artificial intelligent agent working in a human world. Furthermore, compared to the problem of one-versus-multi kinship verification, the one-vs-two verification is a more convenient and more practical choice - not only because its scope is more controllable, but also because the problem by itself is easier to define since otherwise it could be difficult to determine kinship relations in a big family genetically and without ambiguity, especially for those people among whom the kinship ties are weak.
To address this problem of tri-subject kinship verification,
the key idea of our method is to fully exploit the dependence structure between child and parents in a few aspects: similarity measure, feature selection and classifier design. This is based on the observation that compared to the case with only one image from one of the parents, images from both parents could provide richer information about the kinship relation regards to a child, due to the genetic overlapping between a pair of parents and their child. To this end, our contributions are three folds. First, we use a bilinear function to model the similarity between the parents and the child, with the dependence between them captured by a covariance-like matrix learnt from the data. To make this more robust, we introduce a novel relative bilinear similarity model which effectively incorporates the prior knowledge [20] that children may resemble a particular parent more than another.
Second, we propose a spatially voted method for feature selection, which jointly selects the most discriminative features for the child-parents pair, while taking local spatial information into account. Compared to traditional group-based feature selection methods such as group lasso, we essentially allow the features in a whole image to compete with each other and then select the group in which higher portion of individual features in the corresponding local region win. By contrast, in group lasso, features are teamed together beforehand and have to compete with others as a group. Our method is more flexible than the latter in the sense that it permits fine-grained control over the contribution of each feature to the establishment of one-vs-two kin relationships.
Finally, we release a new face database specific to the tri-subject kinship problem, characterized by over 1,000 child-parents groups. State-of-the-art results are achieved using our method. Interestingly, our experimental results also show that the accuracy of one-vs-one bi-kinship verification benefits a lot by reformulating it as a specific case of one-vs-two tri-kinship verification when the information about a second parent is available.
This journal paper builds on the earlier conference work [21]. In what follows we briefly review some of the related work in Section 2, and detail our proposed method in Section 3. Our new kinship database is described in Section 4 and experimental results are given in Section 5. We conclude this paper in Section 6.
II. RELATED WORK
The aim of bi-subject (one-versus-one) kinship verification through computer vision is predicting whether a given pair of images has kin relation. The research in the field of human visual signal processing [22],[23] has provided strong evidence that facial appearance is a useful cue for genetic similarity, since children look more similar to their parents than other adults of the same gender. To find such distinguishable cues from facial appearance, in an early attempt, Fang et al. [12] used various features including the skin, hair and eye color, facial structure measures and local/holistic texture.
Later, researchers evaluated various types of feature descriptors for kinship verification. In [10], the DAISY descriptors are adopted to facilitate local facial patches matching for eyes, mouth and nose with spatial Gaussian kernels. In [24], a spatial pyramid learning-based feature descriptor is utilized to represent kinship faces. In [25], a gated autoencoder method is used to encode the resemblance between a parent and a child, which is trained through minimizing the reconstruction error given a set of randomly sampled local patches. In [7], dense stereo matching is used to determine kinship similarity. Other feature sets for kinship verification include Gradient Orientation Pyramid (GGOP) [8], Self Similarity Representation (SSR) [26] and prototype-based discriminative feature learning (PDFL) method [27]. Since semantic-related feature sets such as attributes usually show more tolerance to appearance changes, they are naturally used for kinship verification [14]. Based on the idea that people look more like their parents when they smile, [16] proposes to describe facial dynamics and spatio-temporal appearance over smile expression and uses these to improve the kinship verification rate.
In [15] the authors show that combining several types of middle-level features is useful. For that purpose, they introduced a multiview neighborhood repulsed metric learning method (MNRML) by learning a distance metric under which the samples with a kinship relation are pulled close and those without a kinship relation are pushed away. [17] and [28] extract multiple features to characterize face images and maximize the correlation of different features to exploit complementary information for kinship verification. Another way to reduce the appearance similarity gap is to use intermediate samples which bridge the two sides with large divergence. In [13], [29], [30] and [31], such a bridge is constructed by facial images of parents at the similar ages of their children. However, it is not easy to collect such an image set in practice.
While most of the above works focus on the bi-subject (one-versus-one) kinship verification, [18] and [19] deal with the one-versus-multi kinship relation. Particularly Ghahtamani et al. [18] addresses the problem of family verification, i.e., predicting whether a query face image has kin relation with multiple family members, by fusing similarity of each member’s facial image segments. Fang et al. [19] tackle the more general family membership classification, i.e., given a query face image, asking which family it belongs to, and they do this with a minimum sparse reconstruction method. Despite the partial success of these methods, we argue that in general it is difficult to establish the relationship between a subject and some members of his/her family through the face appearance if the kinship ties between them is weak\(^1\). Instead we focus on the verification of the most basic unit that forms a family, that is, the child-parents (one-versus-two) relationship. We call this tri-subject kinship verification. The methods developed here can be potentially extended to handle more complex relationship by treating a family tree as an ensemble of tri-relationships.
III. TRI-SUBJECT KINSHIP VERIFICATION
In this section, we present our method for tri-subject kinship verification. Assume that we are given a set of \(N\) training
\(^1\)For example, it makes no sense to reconstruct a man’s face image using his father-in-law’s.
samples $\{(x_f, x_m, x_c, y_i)\}_{i=1}^N$, where $x_f, x_m, x_c \in R^d$ respectively denotes the $i$-th sample of a father, a mother and a child, $d$ is the dimension of the feature representation of a sample, and $y_i \in \{+1, -1\}$ indicates whether this child has a valid kinship relation with the corresponding two parents. Here by kinship relation we mean a very close family type relation, that is, the child is produced by the two parents.
Our goal is to learn a function $f : (x_f, x_m, x_c) \rightarrow \{+1, -1\}$ from the training data to check whether such a kinship could be established for three previously never seen images $(x_f, x_m, x_c)$ of a couple and a child. For simplicity we assume that the gender of both parents images $(x_f, x_m)$ are known and that they indeed genetically produce some children, but we do not know whether $x_c$ is one of them. We also assume that the gender of the test image $x_c$ of the child is known.
### A. Two Bilinear Models for Kinship Verification
The overall architecture of the proposed method is shown in Figure 1, which can be roughly divided into three stages. Particularly, in the first stage, we partition an image into overlapping patches and extract a middle-level feature descriptor (e.g., 128-dimensional SIFT features) from each patch (location), which are then concatenated into a feature vector as the input to the next stage. In the second stage we use a spatially voted feature selection method to select the most discriminative local facial patches to improve the robustness. Finally in the third stage, we learn the similarity between parents and child using bilinear models, based on which the final kinship verification is made.
In this work, we explore two ways to encode the similarity between parents and a child. The first one is to decompose the triples of $(x_f, x_m, x_c)$ into two pairs $(x_f, x_c)$ and $(x_m, x_c)$, and the pairwise similarity between them is respectively,
$$s_f(x_f, x_c) = \langle x_f \rangle^T W_f x_c \equiv \langle x_f, x_c \rangle_{W_f}$$
$$s_m(x_m, x_c) = \langle x_m \rangle^T W_m x_c \equiv \langle x_m, x_c \rangle_{W_m}$$
where $\langle a, b \rangle_W \equiv a^T W b$, and the transformation matrix $W_f, W_m$ essentially encodes the “covariance” relationship between a parent and a child, to be learnt from the training data.
Since both $W_f, W_m$ are $d \times d$ matrix and the similarity function is a bilinear function, we call this Symmetric Bilinear Model (SBM). The bilinear model has many advantages compared to the simple Euclidean-based model: 1) it is a natural choice to model the similarity between two subjects; and 2) it is also a much richer model than a traditional linear model – actually the bilinear model is related to the Mahalanobis distance (especially when the energy of each feature vector is fixed) and hence it can effectively capture the correlation between any two feature variables. However, the bilinear model is different from the Mahalanobis distance in that its parameter matrix $W$ is not necessarily a positive definite matrix, which not only indicates that it could be more flexible than a traditional metric learning-based method, but also means that what a bilinear model learns is not a metric but a classifier. But this is exactly what we need – a model to predict directly whether a given pair of subjects has some kind of kinship, rather than the metric between them.
We further denote the probability that a child $x_c$ belongs to a pair of parents $(x_f, x_m)$ as $P(y = 1 | x_f, x_m, x_c)$, and it is linked to our verification function $f(x_f, x_m, x_c)$ through a sigmoid function, i.e.,
$$p(y = 1 | x_f, x_m, x_c) = \sigma(f(x_f, x_m, x_c))$$
where sigmoid function $\sigma$ is defined to be $\sigma(x) = \frac{1}{1 + e^{-x}}$. The verification function $f(x_f, x_m, x_c)$ is modeled as the linear combination of two pieces of evidence, i.e., the similarity of $x_c$ to $x_m$ and $x_f$, respectively,
$$f(x_f, x_m, x_c) = \beta_1 s_f(x_f, x_c) + \beta_2 s_m(x_m, x_c) + b$$
where the combination coefficients $\beta_1$ and $\beta_2$ are two scalars and $b$ is the similarity threshold term. To learn these parameters, we maximize the conditional likelihood defined by Eq. 2 by plugging Eq. 1 into it, with $L_2$ regularization added. How to learn the pairwise similarity Eq. 1 will be detailed in the next section.
Alternatively, one can treat the parents and the child as samples from two domains. Let us denote the parents domain as $\mathcal{P}$, with data points $(x_{f1}, x_{m1}), (x_{f2}, x_{m2}), \ldots, (x_{fN}, x_{mN})$, and the child domain as $\mathcal{C}$, with data points $x_{c1}, x_{c2}, \ldots, x_{cN}$. With these notations, one can model the similarity between a child $x_c$ and his/her parents $x_p = (x_f, x_m)$ as,
$$s_p(x_p, x_c) = \langle x_p, x_c \rangle_W$$
where $W_p$ is a $2d \times d$ matrix. This model is called Asymmetric Bilinear Model (ABM) in what follows.
For the ABM model, our verifier is defined as follows,
$$p(y = 1 | x_f, x_m, x_c) = \sigma(s_p(x_p, x_c) + b)$$
where $\sigma$ is the sigmoid function. The parameters $\{W_p, b\}$ are learnt using the following regularized logistic regression objective,
$$\min_{W_p, b} \sum_{i=1}^{N} \log(1 + \exp(-y_i(\langle x_{pi}, x_{ci} \rangle_W + b))) + \lambda \|W_p\|_*$$
where \( b \) is the threshold, and \( \|W_p\|_* \) is the trace norm, defined as \( \|W_p\|_* = \sum_i \sigma_i \) (the \( \sigma_i's \) are the singular values of \( W_p \)). With appropriate parameter \( \lambda \), the trace norm shall force a solution with many singular values of \( W_p \) being exactly zero. This allows a more compact representation of the data, thus being useful especially when the original feature space is high-dimensional. Equation 6 is a nonsmooth convex objective and one can use proximal methods to solved it, where at each step the singular values of the standard gradient update are replaced by their soft-threshold versions. See [32] for details on an efficient implementation of this.
Comparing the SBM model and the ABM model, the SBM learns two simple models first (i.e., by learning two \( d \times d \) parameter matrices \( W_f, W_m \) separately) and then combines them with coefficients \( \beta_1 \) and \( \beta_2 \), while the ABM learns a bigger model at one time (a \( 2d \times d \) parameter matrix \( W_p \)). In other words, the SBM essentially combines two sub-modules (one does the father-child kinship verification and the other for the mother-child relation), which not only makes the learning task easier, but also provides further flexibility to calibrate the outputs of the two sub-modules such that the final prediction (father/mother-child) is as accurate as possible. By contrast, the ABM model tries to do this in one big step, which is much harder especially when the size of dataset is relatively small (less than 2K images for training in our case) for a \( 2d \times d \) matrix (for \( d = 400 \), the total number of parameters would be \( 2 \times 400 \times 400 = 160,000 \)).
### B. Learning A Relative Pairwise Similarity Measure
Note that the SBM model introduced in Eq. 1 is a pairwise similarity model without exploiting the dependence structure among parents and child, which can be considered as a limitation. In fact, one can interpret the SBM as a likelihood model, while to better model the similarity between a father and a son for example, one should put it under the context of three subjects - i.e., instead of modeling the marginal pairwise similarity (e.g., \( p(\text{father is similar to son}) \)), modeling its conditional version (e.g., \( p(\text{father is similar to son}|\text{father,mother,and son}) \)). One major advantage of this is to allow us to embed various prior knowledge concerning tri-subject groups into the similarity model. In this work, we are particularly interested in the prior knowledge that children may resemble a particular parent more than another [20] - “Jack looks more like his father than his mother” or “John has similar appearance with her mother”.
Let us denote the probability that a child looks more like his/her father or his/her mother as \( p^{fc} \) and \( p^{mc} \) respectively, i.e., "\( p^{fc} = 1 \)" means that a child looks more like his father than his mother. Taking the parents as references, the child is either more like his/her father or more like his/her mother, so we have \( p^{fc} + p^{mc} = 1 \). We therefore define the two probabilities using the softmax function, based on the pairwise similarity model defined in Eq. 1,
\[
p^{fc} = \frac{\exp(s_f(x_f, x_c))}{\exp(s_f(x_f, x_c)) + \exp(s_m(x_m, x_c))}
\]
\[
p^{mc} = \frac{\exp(s_m(x_m, x_c))}{\exp(s_f(x_f, x_c)) + \exp(s_m(x_m, x_c))}
\]
Incorporating these into the SBM model, we obtain the following relative symmetric bilinear model (RSBM),
\[
s^R_f(x_f, x_c) = p^{fc} \cdot \langle x_f, x_c \rangle_{W_f}
\]
\[
s^R_m(x_m, x_c) = p^{mc} \cdot \langle x_m, x_c \rangle_{W_m}
\]
One remaining problem is how to determine these priors. Eq. 7 shows that they depend on the parameters \( W_f \) and \( W_m \), which suggests a natural iterative procedure - initialize \( p^{fc} \) and \( p^{mc} \) first, then optimize \( W_f \) and \( W_m \) in a supervised manner, finally update \( p^{fc} \) and \( p^{mc} \) again. In this work, we learn \( W_f \) and \( W_m \) separately using the same trace-norm regularized logistic regression model as that shown in Eq. 6.
However, updating \( p^{fc} \) and \( p^{mc} \) is somewhat subtle - the range of the sigmoid function of Eq. 7 is in \([0, 1]\), meaning that when one of \( p^{fc}, p^{mc} \) reaches 1 the other one must be nearly 0. This is risky, since for the one with 0 probability, the contribution of its corresponding similarity could be cancelled out. To prevent this from happening, we update the new \( p^{fc}, p^{mc} \) using a stabilizing term, as follows,
\[
\hat{p}^{fc}_{new} = \alpha p^{fc}_0 + (1 - \alpha)p^{fc}_{cur}
\]
\[
\hat{p}^{mc}_{new} = \alpha p^{mc}_0 + (1 - \alpha)p^{mc}_{cur}, \quad 0 < \alpha < 1
\]
where \( \alpha \in (0, 1) \) is a trade-off parameter, and the stabilizing terms \( p^{fc}_0, p^{mc}_0 \) are initialized to be 0.5 for each sample, and \( p^{fc}_{cur}, p^{mc}_{cur} \) are priors calculated according to the \( W_f \) or \( W_m \) values estimated in the current iteration. In other words, we choose not to trust the currently-estimated similarity prior too much and always regularize it with some fixed stabilizing value. Principally one can optimize the value of \( \alpha \) by plugging Eq. 9 into the corresponding regularized logistic regression objective function while treating \( W_f \) or \( W_m \) as a constant, but in our implementation we set it using a cross validation strategy\(^2\).
The proposed RSBM algorithm is summarized in Algorithm 1.
### C. Spatially Voting for Feature Selection
The total number of parameters (i.e., \( W_p, W_f \) and \( W_m \)) for our kinship verification model grows quadratically with the dimensions of input features, hence performing feature selection is needed. It can be observed that some important genetic characteristics for a kinship relationship are distributed locally in face images, and it is better to learn them by finding the most discriminative local facial regions (patches) with some supervised information. Furthermore, we want to select those most discriminative patches from both parents and the child images simultaneously such that good generalization can be obtained.
One simple way for this is to treat each patch in an image as a group and use existing techniques such as group lasso [33] to select a few groups (patches) such that they give the best prediction accuracy, see Fig.2 (a) for illustration. However, one drawback of this method is that the feature selection is performed at the level of groups (patches), i.e., the features have to be teamed together before competition and this may
\(^2\)In practice, a small value of \( \alpha = 0.1 \) usually works well.
Algorithm 1 Solving the Relative Symmetric Bilinear Model (RSBM)
Input:
Training images: $S = \{(x_{fi}, x_{mi}, r_{ci}, y_i)\}_{i=1}^N$;
Parameters: regularization term $\lambda$, iteration number $T$, and trade-off parameter $\alpha$
Output:
Symmetric transformation matrix $W_f$, $W_m$;
1: **Initialization**:
2: Decompose $S$ into two sets $S_f = \{(x_{fi}, x_{ci}, y_i)\}_{i=1}^N$ and $S_m = \{(x_{mi}, x_{ci}, y_i)\}_{i=1}^N$;
3: Set $p_0^f = [\frac{1}{2}, \frac{1}{2}, \cdots, \frac{1}{2}]$, $p_0^m = [\frac{1}{2}, \frac{1}{2}, \cdots, \frac{1}{2}]$;
4: For $L = 1, 2, ..., T$ do
5: Estimate $W^f$ and $W^m$ by solving regularized logistic regression objective (c.f., Eq. (6));
6: Update the pairwise similarity with Eq. (8);
7: Estimate $p_{cur}^{fc}$, $p_{cur}^{mc}$ using Eq. (7);
8: Update $p_{new}^{fc}$, $p_{new}^{mc}$ by using Eq. (9);
9: Set $p^{fc} = p_{new}^{fc}$; $p^{mc} = p_{new}^{mc}$.
10: end for
11: **Output** Symmetric transformation $W_f$ and $W_m$.
hurt the flexibility of feature selection. To overcome this, we adopt an alternative strategy – competition before grouping. That is, all features extracted at each location in a given image (c.f., Section III-A on how we extract features) are allowed to freely compete with each other and then select the groups (local regions) in which higher portion of individual features win. Hence our method works in a finer granularity than that of the group lasso. The process of our vote-based feature selection method and group lasso is shown in Fig.2.
Particularly, our algorithm has two steps. In the first step, we evaluate the discriminative power of each feature of a parent regard to the given child. For this we decompose the triple of $(x_f, x_m, x_c)$ into two pairs of $(x_f, x_c)$ and $(x_m, x_c)$. Then for a pair of father-child features $(x_f, x_c)$, we first concatenate them into a 2d-dimension vector denoted as $a^f$, and learn a weight vector $u^f$ with the same dimension using the following sparse $\ell_1$ regularized logistic regression objective,
$$\min_{u^f} \sum_{i=1}^N \log(1 + \exp(-y_i \cdot \langle u^f, a^f_i \rangle) + \gamma ||u^f||_1$$
where $y_i = 1$ if the pair is a positive sample and $-1$ otherwise. Solving this will give us a 2d-dimension vector $u^f$ with its first half and the second half respectively representing the importance of each feature of the father and the child. The same procedure is repeated for the mother-child pairs and yields a vector $u^m$.
Now, instead of performing feature selection directly using the information contained in $u$, we use this to vote the patches of face images and select those patches receiving high votes for face representation. Particularly, after solving the L1 logistic regression, we calculate separately for the parent and child how many votes per patch received from $u$. Intuitively, the more votes a patch receives, the more important it is.
Fig.2 (b) illustrates this procedure. Since we know the mapping structure between each feature and each patch beforehand, the votes $v_k$ received by the $k$-th patch can be simply calculated as the sum of weights of $u$ corresponding to this patch, i.e., $v_k = \sum_{j \in k} u_j$, where $u_j$ denotes the $j$-th element of vector $u$ corresponding to patch $k$. Note that for a patch of the child image, it would receive votes from the corresponding features of both $u^f$ and $u^m$, while for a father or a mother patch, its vote comes merely from $u^f$ or $u^m$ accordingly. After voting, we select the first $K$ patches with the highest $v_k$ value for parent and child respectively, where $K$ is set using cross validation over a validation set in our implementation (the best value is usually between 20 and 30 with 49 patches per face).
As mentioned previously, after patch selection, we collect for each image the selected $K$ patches and encode them with SIFT descriptor, which are further concatenated to form a feature vector $x$ for that face.
IV. THE TSKINFACE DATABASE AND EVALUATION PROTOCOL
To analyze the behavior of the proposed algorithm for tri-subject kinship verification, we constructed a new kinship face database named TSKinFace (Tri-Subject Kinship Face Database). All images in the database are harvested from the internet based on knowledge of public figures family and photo-sharing social network such as flickr.com. During images collecting, we impose no restrictions in terms of pose, lighting, expression, background, race, image quality, etc. Fig. 3 shows some image groups of child-parents pair from our TSKinFace database. This database will be made publicly available online\footnote{Available at: http://parnec.nuaa.edu.cn/xian/data/TSKinFace.html} to advance the research and applications related to this topic.
Table I gives a comparison between our TSKinFace database and other existing kinship databases of human faces. It can be seen that our database is characterized by the largest number of people and families. Specifically, the number of families contained in our database is over 20 times more than that of [18] and about 5 times more than that of the Family101
These features make our dataset particularly suitable for one-vs-two type kinship verification.
| Database | #People | #Images | #Groups | Family structure? |
|-------------------|---------|---------|---------|------------------|
| CornellKin [12] | 300 | 300 | 150 | NO |
| UB KinFace [34][14]| 400 | 600 | 200 | NO |
| KinFaceW [11][15] | 1066 | 1066 | 533 | NO |
| KinFaceW [15] | 2031 | 1970 | 1000 | NO |
| Family101 [19] | 607 | 14,816 | 206 | YES |
| Database[18] | | 5400 | 45 | YES |
| TSKinFace | 2589 | 787 | 1015 | YES |
In particular, we are interested in three kinds of child-parents families in real life, i.e., Father-Mother-Daughter (FM-D), Father-Mother-Son (FM-S) and Father-Mother-Son-Daughter (FM-SD). For each type, we collected 274, 285 and 228 family photos respectively, with one photo per family. Using these, we constructed two kinds of family-based kinship relations in the TSKinFace database: Father-Mother-Son (FM-S) and Father-Mother-Daughter (FM-D). The FM-S and the FM-D contain 513 and 502 groups of tri-subject kinship relations (c.f., Fig. 3), respectively. Hence we have 1015 tri-subject groups in our database totally. The families included in our database are diverse in terms of races as well. For FM-S relation, there are 343 and 170 groups of tri-subject kinship relations for Asian and non-Asian, respectively. And for FM-D relation, the numbers for Asian and non-Asian groups are respectively 331 and 171.
**Preprocessing** All downloaded images undergo the same geometric normalization prior to analysis: face detected and cropped using our own implemented Viola-Jones detector, rigid scaling and image rotation to place the centers of the two eyes at fixed positions, using the eye coordinates output from an eye localizer [35]; image cropping to $64 \times 64$ pixels and conversion to 8 bit gray-scale images. In our experiments, each face image was divided into $7 \times 7$ overlapping patches and the size of each patch is $16 \times 16$. For each patch, we extracted a 128-dimensional SIFT feature. Except mentioned otherwise, for all experiments described in this work, the SIFT is adopted as our default feature descriptor.
**Evaluation Protocol** We design a verification protocol for our database following [13] and [15]: the database is equally divided into five folds such that each fold contains nearly the same number of face groups with kinship relation, which facilitates five-fold cross validation experiments. Table II lists the face number index for the five folds of our TSKinFace database. For face images in each fold, we consider all groups of face images with kinship relation as positive samples, while the negative samples are a random combination with a child image and two parents images subjected to the constraint that the child was not produced by them. In general, the number of negative samples is much more than that of the positive samples. In our experiments, each couple and child images appeared only once in the negative samples. Hence, the number of positive groups and negative groups are the same.
| Fold | 1 | 2 | 3 | 4 | 5 |
|------|---------|---------|---------|---------|---------|
| FM-D | [1,100] | [101,200]| [201,300]| [301,400]| [401,502]|
| FM-S | [1,102] | [103,204]| [205,306]| [307,408]| [409,513]|
**V. EXPERIMENTS**
**A. The Tri-Subject Kinship Verification**
To the best of our knowledge, there are very few works that tackle the tri-subject kinship verification problem, and it is very difficult to find an existing method directly comparable to ours. We therefore design a naive baseline by concatenating the feature vectors of three visual entities and learning a linear SVM for verification. We denote this method as ‘concatenated+SVM’.
Alternatively, one can use any existing state-of-the-art bi-subject kinship verification model to score the similarity between a child and his/her parents separately, and then train a linear SVM over these to make the final prediction (c.f., Eq. 3). Here two best performers (on the KinFaceW dataset) on bi-subject kinship learning, i.e., neighborhood repulsed metric learning (NRML) [15], and gated autoencoder [25] are adopted as our base models. Furthermore, considering that the similarity modeling is related to metric learning, we also include two classical metric learning algorithms, i.e., Information-theoretic metric learning (ITML) [36] and large margin nearest neighbor classification (LMNN) [37] as the base models.
Although they deal with different problem, the image set based face verification bears some similarities to the problem of tri-subject kinship verification from the respect of methodology, i.e., both involve similarity matching between multiple faces. Hence in this work, we also adopt one of the best performers on the YouTube Face database, i.e., DDML (Discriminative Deep Metric Learning) [38], to score the pairwise similarity between a child and his/her parents, and then train a SVM over these to make the final prediction. Particularly, we train a deep metric learning network with three layers using our own implementation, with the threshold $\tau$, the learning rate $\mu$ and regularization parameter $\lambda$ set to be $3, 10^{-3}, 10^{-2}$, respectively.
Our method is also closely related to Fang et al. [19] in that both deal with the family structure. However, since their method is mainly designed for kinship classification, it is not directly comparable to ours. But we follow their ideas to build a linear SVM-based kinship verifier to make the comparison feasible. Particularly, we construct a reconstruction error-based representation (at the patch level) for each face using sparse group lasso [19], by treating images belonging to the same family as a group.
Finally, we compare several variants of the proposed method in our experiments, as follows,
- With/without feature selection (FS): to investigate the effectiveness of the proposed vote-based feature selection method, for both SBM and ABM models, we evaluate their with/without feature selection versions.
- Working at the block level: The proposed method can also be applied at the level of blocks (patches), i.e., selecting the most discriminative patches first, then learning the “covariance” relationship and making verification predictions based on each selected patches, and finally aggregating these meta-decisions through linear SVM for the final verification judgement.
In what follows, a notation like ‘RSBM-block-FS’ means a Relative Symmetric Bilinear Model (RSBM) with spatially voted feature selection (FS), working at the block level.
Unless otherwise noted, in all experiments we use the following default parameter settings: $\lambda = 5.0$ in Eq. 6 (but change to 0.1 if working at the block level); $\gamma = 0.08$ in Eq. 10; $\alpha = 0.1$ in Eq. 9; and the iteration number $T$ in Algorithm 1 is empirically set to be 5. The influence of some parameters will be investigated in details below, but the exact setting of these parameters is not critical: the method gives similar results over a broad range of settings.
**Comparison with the state of the art methods**
Fig. 4 gives the ROC (Receiver Operating Characteristic) curves of different methods and Table III summarizes the results. One can see from the table that the performance of the baseline SVM algorithm gives an average accuracy of 53.4%, indicating that the one-vs-two type tri-subject kinship verification is a very challenging problem. However, our proposed RSBM model working at the patch level improves this by over 30%, being the best performer among all the compared methods. The closest competitor of our method is the DDML [38], which gives an average accuracy of 81.0% - similar to our method of ‘SBM-FS’, but with the prior information exploited, our ‘RSBM-block-FS’ performs better.
Our method also significantly works better than the sparse group lasso based method proposed in Fang et al. [19] – one possible explanation is that for a core family group involved only three subjects, the assumption made in [19] that an image of a child should be best reconstructed by face images in his/her own family is too strong, although it is reasonable under their situation where dozens of face images per family are available.
Thirdly, we see that simply adopting state of the art metric learning methods for tri-subject kinship verification is not a good choice. This is partly due to the fact that these methods fail to model the dependence structure among the three visual entities. By contrast, the proposed RSBM model effectively exploits such priors during several stages of the verification pipeline (e.g., similarity modeling, feature selection) and achieves the best verification performance.
Last but not least, it is interesting to note that the gender plays a significant role in kinship verification - in all the cases tested, the verification rates on “FM-S” are consistently higher than those on “FM-D”. One possible reason is that the appearance variations appeared in a female subject (daughter) are more complex than those in a male subject (son). This seems to be in accordance with earlier psychological research results [39] that the kin recognition signal is less evident from daughters than from sons.
**The importance of prior knowledge**
Fig. 5 compares in detail the FM-S performance of the SBM model with/without exploiting the prior knowledge about the relative difference of a child to his/her parents, as a function of the number of patches selected for each face. One can see that when the number of patches selected for verification is relatively small, the RSBM method significantly performs better than the SBM method. For example, using only 20 patches, the accuracy of RSBM reaches an verification accuracy of 86.4%, 3.7% higher
| Method | FM-S | FM-D | avg. |
|-------------------------------|--------|--------|------|
| Concatenated+SVM | 53.5±0.2381 | 53.2±0.2037 | 53.4 |
| Sparse Group Lasso[19] | 71.6±0.9644 | 69.8±0.3485 | 70.7 |
| NRML [15] | 77.0±0.5831 | 71.4±0.5933 | 74.2 |
| Gated autoencoder [25] | 81.9±1.843 | 79.2±0.988 | 80.8 |
| DDML [38] | 82.9±1.0557 | 79.8±0.5879 | 81.0 |
| ITML [36] | 76.6±0.3753 | 71.4±0.4087 | 74.0 |
| LMNN [37] | 75.4±0.7293 | 70.3±0.7372 | 72.9 |
| ABM (proposed) | 78.5±0.3411 | 73.2±0.3888 | 75.9 |
| ABM-FS (proposed) | 78.6±0.3114 | 76.9±0.2927 | 77.8 |
| ABM-block-FS (proposed) | 83.4±0.2508 | 81.9±0.3025 | 82.7 |
| SBM (proposed) | 82.4±0.3568 | 78.2±0.3110 | 80.3 |
| SBM-FS (proposed) | 82.9±0.3031 | 79.9±0.2550 | 81.2 |
| SRM-bb (proposed) | 85.2±0.3031 | 83.5±0.2985 | 84.4 |
| RSBM-block-FS(proposed) | **86.4±0.4105** | **84.4±0.3601** | **85.4** |
Fig. 5. Comparison of FM-S performance of SBM and RSBM, under different number $K$ of patches.
Fig. 6. Illustration of the learned prior knowledge for four families. In each family, the image on the left is the input child image, and the two rows of images on the right are the parents images multiplied by the respective learnt prior density in 10 iterations (progressively from left to right) - the higher the probability the lighter the pixel value.
than that of the SBM model. This highlights the benefits of exploiting prior knowledge for complex kinship verification. To further illustrate this, we visualize the prior knowledge learned by multiplying it elementwise by the image: see Fig. 6 for an example. We can observe that some children do look more like his/her father than mother, or vice versa, and such information is effectively captured and utilized by our model.
Fig. 7 shows the average verification accuracy of our RSBM model as a function of the stabilizing term $\alpha$ (c.f., Eq. 9). We can see that the RSBM model obtains the best performance when $\alpha = 0.1$ for both FM-S and FM-D. In general, good performance could be obtained by setting the value of $\alpha$ between 0.05 and 0.3.
Fig. 8 shows the performance curve of the RSBM model as a function of the number of iterations. We can see that the performance of the RSBM model boosts to its highest value only after a few iterations. In practice we would recommend to set $T = 5$ to avoid overfitting.
**Effectiveness of spatially voting for feature selection**
To verify this, we compare our feature selection scheme with group lasso (GL) - both aim to automatically figure out a set of patches from face images for kinship verification. Particularly, we formulate the problem as the sparse group lasso penalized logistic regression in which the groups are defined as the patches. For a fair comparison, we set the parameter that controls the group weights as 0.88 for FM-D and 0.85 for FM-S, obtaining the same number of selected patches as that in our vote-based feature selection method. As the baseline we select the $l_1$ norm lasso algorithm, which performs the feature selection without using any spatial information.
Figure 9 gives the results. One can see that the proposed spatially voted feature selection scheme (“FS”) performs better than the group lasso “GL”, on average improving the performance by about 2.3% and 0.4%, respectively on both tasks, while the simple lasso method performs the worst.
To answer the question of how many patches it needs to be selected, we investigate the effect of the parameter $K$ (the number of patches selected) on the performance. Fig. 10 shows verification rate as a function of the number of patches selected for each face, with the ABM model as the verifier. One can see that the performance boots from about 60.0% to
Fig. 7. The average performance of “RSBM-block-FS” as a function of the amount of stabilization $\alpha$.
Fig. 8. The average verification accuracy of “RSBM-block-FS” as a function of the number of iteration $T$.
Fig. 9. Correct verification rates(%) for different feature selection methods on the TSKinFace database (where “FS” denotes our vote based feature selection method while “L1” denotes lasso and “GL” denotes group lasso)
Fig. 10. Influence of the number of patches $K$ selected on the verification rates.
over 73.0% with only 5 patches. The performance increases with more patches added until 20 patches are selected, and the improvement is not evident after that for the FM-S verification. While for the FM-D verification, the number of selected patches is better to be kept less than 20 so as to reduce the possible influence of noise.
**Influence of randomness in negative sample generations** In the previous experiments the negative samples are randomly generated by combining child and parents from different families but there is only one for each. We now investigate the impact of such randomness. Particularly, we first randomly generate a large negative samples pool containing both the FM-D and the FM-S negative relationship. Although there are many ways to distinguish less distinct negative samples (i.e., hard samples with features of child and parents not very different) from those very distinct negative samples (i.e., easy ones with features of child and parents quite different), for example, by simply measuring the similarity between the child and parents, we choose the “LMNN” method [37] here. That is, those samples correctly classified by the “LMNN” method as negative are categorized as “easy” ones, otherwise as “hard”. We use this criterion to randomly select 2,000 samples from the negative pool, with 1,000 each for the “easy” and the “hard” category respectively. Some of these samples are illustrated in Fig. 11. For experiment we equally split those samples into 10 sets, and run the model trained on the fifth fold of our TSKinFace database over them.
Table VI gives the results. One can see that all the methods investigated here work consistently and significantly better on the easy set than on the hard set, indicating that it makes sense to distinguish the two sets based on the outputs of the “LMNN” method, while our “RSBM-block-FS” method demonstrates the highest robustness against this random confusion. The table also reveals that although some of the methods work well on the easy negative samples, the performance on the hard ones are not satisfactory in general (with accuracy less than 70.0%), showing that further research is needed on this topic.
**Computational Complexity** We now briefly analyze the computational complexity of the RSBM method, which involves $T$ iterations. In each iteration we solve a regularized logistic regression problem and make the estimation of the weights of $p^{fc}$ and $p^{mc}$. To solve the regularized logistic regression problem, we use a fast implementation [32] with its computational complexity $O(d^3 N/g^2)$, where $g$ is the iteration counter, while the computational complexity of the estimating part is $O(N)$. Hence the total computational complexity of our proposed RSBM is $O(d^3 N/g^2 T)+O(NT)$.
**B. Enhancing Bi-Subject Kinship Verification**
Intuitively, having more information about one’s parents is potentially useful to improve the performance of bi-subject kinship verification. In order to verify this hypothesis, another series of experiments are conducted. This is similar to the traditional bi-subject verification in that four types of kinship relations will be evaluated, i.e., Father-Son(FS), Father-Daughter (FD), Mother-Son (MS), and Mother-Daughter (MD). However, the key difference lies in that we are now given a triple including two parents and a child as a test sample. In other words, we are interested in, for example, whether the information about one’s father is useful to verify the Mother-Daughter (MD) relation.
One simple way for this is to reformulate the bi-subject kinship verification problem as a tri-subject problem, since once a FM-D relationship is established, a FD and a MD relationship must be established as well, see Fig. 12 for an example. For a bi-subject verification problem shown in Fig. 12(a), one can treat it as a tri-subject problem shown in Fig. 12(b) when the father’s information is available, and use that result to answer the question of one-vs-one kinship verification.
Table IV compares the results of these two approaches for bi-subject kinship verification. One can see that exploiting
| Method | Easy avg. | Hard avg. |
|-------------------------|-----------|-----------|
| LMNN [37] | 100.0 | 0.0 |
| Concatenated+SVM | 46.4±0.0224 | 38.1±0.0173 | 42.9±0.0176 |
| NRML [15] | 78.4±0.0046 | 51.4±0.0256 | 64.9±0.0053 |
| DDMI [38] | 77.6±0.0083 | 55.1±0.0163 | 66.4±0.0086 |
| ABM-block-FS (proposed) | 87.1±0.0044 | 54.0±0.0146 | 70.7±0.0030 |
| SIM-block-FS (proposed) | 92.4±0.0077 | 57.4±0.0142 | 74.9±0.0036 |
| RSBM-block-FS (proposed) | 94.7±0.0040 | 63.1±0.0142 | 78.9±0.0032 |
TABLE IV
Correct rates (%) of different methods for bi-subject kinship verification with triple inputs (column 2 and 5) and pair inputs (column 3, 4, 6 and 7. “*” denotes that the result (P-values) of t-test for the performance comparison between pair inputs and triple inputs verification is less than 0.05).
| Method | FM-S | FS | MS | FM-D | FD | MD |
|-------------------------|----------|---------|---------|----------|---------|---------|
| Sparse Group Lasso [19] | 71.6±0.9644 | 69.1±0.6093 | 68.7±1.2204 | 69.8±0.3485 | 67.9±0.4627(*) | 67.9±0.5977 |
| NRML [15] | 77.0±0.5831 | 74.8±0.7279(*) | 72.2±0.3360(*) | 71.4±0.5933 | 70.0±0.6716(*) | 71.3±0.5853 |
| Gated autoencoder [25] | 81.9±0.4433 | 79.9±0.6790(*) | 78.5±0.5963(*) | 79.6±0.3686 | 74.2±0.3170(*) | 76.3±0.2296(*) |
| ITML [36] | 76.6±0.3753 | 75.6±0.3866(*) | 72.1±0.3330(*) | 71.4±0.4087 | 70.5±0.4000(*) | 70.7±0.4435(*) |
| LMNN [37] | 75.4±0.7293 | 72.7±0.7305 | 71.5±0.7458(*) | 70.3±0.3732 | 69.8±0.7243(*) | 70.1±0.3846 |
| ABM-block-FS (proposed) | 83.4±0.2508 | 83.0±0.3558 | 82.8±0.5037(*) | 81.9±0.3025 | 80.5±0.4301(*) | 81.1±0.4003(*) |
| SBM-block-FS (proposed) | 85.2±0.3031 | 83.0±0.3558(*) | 82.8±0.5037(*) | 83.5±0.2983 | 80.5±0.4301(*) | 81.1±0.4003(*) |
| RSBM-block-FS (proposed)| **86.4±0.4105** | **83.0±0.3558(*)** | **82.8±0.5037(*)** | **84.4±0.3601** | **80.5±0.4301(*)** | **81.1±0.4003(*)** |
TABLE V
Correct verification rates (%) for different methods on the TSKinFace database (where “FS-M”, “MS-F”, “FD-M” and “MD-F” denote “FATHER-SON AND MOTHER”, “MOTHER-SON AND FATHER”, “FATHER-DAUGHTER AND MOTHER” and “MOTHER-DAUGHTER AND FATHER”, respectively.)
| Method | FS-M | MS-F | FD-M | MD-F | avg. |
|-------------------------|----------|----------|----------|----------|---------|
| Concatenated+SVM | 53.5±0.2066 | 53.8±0.1337 | 53.0±0.1732 | 53.3±0.2253 | 53.4 |
| Sparse Group Lasso [19] | 69.9±0.4927 | 70.3±0.7489 | 68.6±0.5150 | 68.9±0.5070 | 69.4 |
| NRML [15] | 75.6±0.5931 | 75.8±0.3788 | 70.8±0.9266 | 70.2±0.3189 | 73.1 |
| Gated autoencoder [25] | 79.7±0.4077 | 80.9±0.4023 | 78.4±0.4022 | 79.2±0.4113 | 79.6 |
| ITML [36] | 73.8±0.4921 | 74.6±0.2564 | 70.1±0.3372 | 70.0±0.4950 | 72.1 |
| LMNN [37] | 71.9±0.2712 | 72.6±0.2132 | 70.3±0.3025 | 70.2±0.3852 | 71.1 |
| ABM (proposed) | 78.0±0.4113 | 78.7±0.3117 | 73.7±0.4190 | 73.3±0.5101 | 75.8 |
| ABM-FS (proposed) | 77.9±0.3104 | 78.0±0.4235 | 75.1±0.3008 | 76.5±0.4730 | 76.9 |
| ABM-block-FS (proposed) | 81.3±0.2791 | 81.8±0.3984 | 80.4±0.3604 | 80.7±0.3309 | 81.1 |
| SBM (proposed) | 79.2±0.4113 | 80.4±0.4103 | 76.8±0.4216 | 77.1±0.4010 | 78.4 |
| SBM-FS (proposed) | 81.0±0.3716 | 81.7±0.3002 | 78.7±0.3919 | 79.0±0.2637 | 80.1 |
| SBM-block-FS (proposed) | **82.9±0.1841** | **83.9±0.4197** | **81.9±0.1071** | **81.8±0.2157** | **82.6** |
Fig. 12. When the images of a second parent is available, the traditional one-vs-one type bi-subject kin verification problem can be reformulated as a one-vs-two one. In this example, once the Father/Mother-Father (FM-D) relationship is established for the three subjects shown on the right, one can safely infer that the Mother-Daughter (MD) kinship is validated for the subjects shown on the left.
It is well known that a problem like MS or FD verification is quite difficult due to the different genders of two subjects to be verified. Our method essentially provides a new solution to this, and we consider it as one of the major motivations to study the tri-subject kinship verification problem.
C. Comparisons with Human Beings in Kinship Verification
To investigate human beings’ performance on the kinship verification problem, we randomly selected 100 groups of cropped grayscale face samples, including 50 positive groups and 50 negative ones. Then we presented these to 10 human observers with ages of 20 to 40 years old to ask their opinions about the kinship relation. These human observers did not receive any training on how to verify kinship from facial images before the experiment, and will completely rely on their own knowledge accumulated to answer the questions.
Particularly, we conduct two parts of tests on kinship verification. For the first part, 100 child-parent pairs (one-vs-one) are shown to human observers (“A”), and for the second part, 100 child-parents groups (one-vs-two) are presented to these observers (“B”). Obviously, these two types of testing are respectively corresponding to the problem of bi-subject and tri-subject kinship verification. We repeated this procedure two times, one for the FM-S subset and other for the FM-D subset, both from our TSKinFace database. We also run the same experiments using our SBM method for comparison.
Table VII and Table VIII give the results. One can see that “B” can obtain better performance than “A” on the two
subsets, which indicates that human beings are able to combine the information from both parents to make better kinship judgement. For example, the performance of the mother-son (MS) verification is 74.2%, but if the face image of one’s father is also available, the performance increases to 79.9%. Moreover, it is worth mentioning that our proposed SBM methods achieve higher verification accuracies than “B”.
D. Robustness under Different Lighting Conditions
Since all the face images in a family in our database are extracted from the same photo, it could introduce unnecessary bias in learning. In order to investigate the behavior of our algorithm when encounters face images from completely different lighting conditions, we construct a new dataset based on the Family101 [19].
Particularly, we manually selected 48 families from 206 nuclear families of Family101, with the following conditions: 1) each family contains four members, i.e., father, mother and two children and 2) at least 3 face images exist for each family member. We then cropped these images to $64 \times 64$ pixels and converted them to 8 bit gray-scale, divided them into $7 \times 7$ overlapping patches and extracted SIFT features. Fig. 13 gives some examples of the preprocessed images.
Then, to construct tri-subject groups for our tri-subject kinship verification, we do the following iterations for each of the selected family:
1) select one image among 3 images from the father’s.
2) select one image among 3 images from the mother’s.
3) select one image among 6 images from the two children’s.
This will give us $3 \times 3 \times 6 = 54$ different groups per family. In the experiments, we follows the four-fold cross validation protocol, which means that for each round of evaluation, 36 families will be used for training while the remaining 12 for testing. In other words, in training we will have 36 families $\times$ 54 groups/family = 1944 groups in total. And no any three face images in each group appear in one photos before. This will suppress the bias for the positive samples to have similar lighting conditions as much as possible.
Figure 14 gives the results. One can see that all the methods are influenced by the illumination changes introduced in the dataset. However, the proposed ‘RSBM-block-FS’ performs the best among the compared ones, about 18.2% higher than the baseline algorithm in terms of accuracy. The table also reveals that by replacing the pairwise bilinear similarity with the proposed relative similarity measure, one can improve the performance from 68.7% (‘SBM-block-FS’) to 69.6% (‘RSBM-block-FS’).
E. Other Forms of Tri-Subject Kinship Verification
In previous sections we focus on the child-parents type tri-subject kinship verification, but the same method could also be applied to verify other types of tri-subject kin relations, i.e., Father/Son-Mother (FS-M), Mother/Son-Father (MS-F), Father/Daughter-Mother (FD-M), Mother/Daughter-Father (MD-F). For example, the task of FS-M is to verify whether a valid kin relation could be established between a mother and a father-son pair, given their face images.
For this series of experiments, we adopt the same 5 cross-validation evaluation protocol introduced in Section IV for each type of verification, with the only exception that images in each fold are partitioned according to the type of kinship of interest. We use SIFT features for face representation and follows the same parameter settings as previous experiments.
Table V gives results. It can be seen that the performance obtained here for different methods generally decreases by about 2-3% compared to that in the child-parents verification (c.f., Table III). One possible explanation could be this: for a mixed one-vs-two relation, taking the FS-M relation for example, one has to decompose the triples of \((x_f, x_c, x_m)\) into two pairs of \((x_f, x_m)\) and \((x_c, x_m)\), and learn the pairwise similarity respectively. But the appearance similarity between a father and a mother is more difficult to learn, compared to that between a child and a mother. However, even under such a scenario, it can be seen that our proposed method (SBBM-block-FS) obtains the best verification performance.
One interesting question naturally arises here is whether the appearance between a father and a mother is really similar to each other? Possibly not, because a father and a mother have different gender and have no blood relationship. But a positive father-mother pair is actually spouses who have lived together under the same living environment for a period of time, which, according to some research [40], could make their appearance look more similar to each other than to others. While the size of our database is still not big enough to support this, it deserves more attention in our future research.
F. The Bi-Subject Kinship Verification
In the final series of experiments, we briefly evaluate the performance of the proposed method on the task of the bi-subject kinship verification. Particularly, we do this on two largest datasets for bi-subject verification: KinFaceW-I [15] and KinFaceW-II [15]. The KinFaceW-I database consists of 156 FS (Father-Son), 134 FD (Father-Daughter), 116 MS (Mother-Son) and 127 MD (Mother-Daughter) pairs, while the KinFaceW-II contains 250 pairs of these bi-subject kin relations each. The major difference between KinFaceW-I and KinFaceW-II lies in that each pair of faces in KinFaceW-I comes from the same photo while from different photos in KinFaceW-II. Hence the latter one is easier than the former.
We follow the evaluation protocol as proposed in [41]. Table IX and Table X give the baseline and other latest state-of-the-art results, where the performance of the methods are directly cited from the corresponding paper. It can be seen that our original method (i.e., “NUAA”) obtains rank 3 with a simple bilinear model and without using any other features except SIFT (while both the top two methods combine several kinds of features).
It can be conjectured that combining multiple feature information could be beneficial to the performance. Hence in the next round of experiments we add two other features (i.e., the C-SVDD features [42] and TPLBP [43]) and fuse them at the decision level. This multiple feature version is denoted as “M-NUAA” in Table IX and Table X. One can see that the improved “M-NUAA” method achieves results better than or comparable to the state of the art methods on both kinship datasets, in terms of average performance (last column in both tables). Note that our algorithm is the first one designed for handle the one-vs-two tri-kinship problem and others do not, which is actually the main advantage of the proposed method: it can be thought of as a framework which can encompass any algorithm of bi-subject kinship verification for tri-subject kinship verification, while effectively incorporating useful prior knowledge.
| Label | FS | FD | MS | MD | avg. |
|----------------|------|------|------|------|------|
| Polito [41] | 85.30| 85.80| 87.50| 86.70| 86.30|
| LIRIS [41] | 83.04| 80.63| 82.30| 84.98| 82.74|
| ULPGC [41] | 71.25| 70.85| 58.52| 80.89| 70.01|
| BIU [41] | 86.90| 76.48| 73.89| 79.75| 79.25|
| NUA(proposed)[41] | 86.25| 80.64| 81.03| 83.93| 82.96|
| M-NUA(proposed) | **87.84**| 85.47| 86.16| **87.50**| **86.74**|
| SILD(LBP)[41] | 78.22| 69.40| 66.81| 70.10| 71.13|
| SILD(HOG)[41] | 80.46| 72.59| 69.82| 77.10| 74.94|
| Label | FS | FD | MS | MD | avg. |
|----------------|------|------|------|------|------|
| Polito [41] | 84.00| 82.20| 84.80| 81.20| 83.10|
| LIRIS [41] | **89.40**| 83.60| **86.20**| 85.00| 86.05|
| ULPGC [41] | 85.40| 75.80| 75.60| 81.60| 80.00|
| BIU [41] | 87.51| 80.70| 79.70| 75.60| 80.94|
| NUA(proposed)[41] | 86.90| 80.60| 82.80| 80.50| 82.50|
| M-NUA(proposed) | 88.40| **86.20**| 86.00| **85.20**| **86.45**|
| SILD(LBP)[41] | 78.20| 70.00| 71.20| 67.80| 71.80|
| SILD(HOG) [41] | 79.60| 71.60| 73.20| 69.60| 73.50|
VI. Conclusions
In this work, we made the first attempt to investigate the tri-subject kinship verification problem extensively. Instead of using information from a single parent, we exploit information from both parents to learn the kinship relationship between them and their child, which is arguably one of the most important relationships formed in a family. For this we proposed a novel relative symmetric bilinear model (RSBM) and a spatially voted feature selection method, both incorporate prior knowledge about the dependence structure between a child and his/her two parents. Furthermore, we collected a new kinship face database characterized by over 1,000 groups of triples, on which we show that our method achieves state of the art verification accuracy. Our experimental results also reveal that the proposed method could be used to significantly boost the performance of bi-subject kinship verification when the information about both parents is available. Additionally, we show that our method can be applied with encouraging performance on other types of tri-subject kinship verification such as Father/Son-Mother verification, and on the traditional one-vs-one kinship problem.
Future works include further improvement based on exploiting other types of prior knowledge and learning multiple complementary features to better represent the discriminative information that is useful for our task. We also plan to extend our framework to handle more general family structure.
Acknowledgements We thank the anonymous reviewers for your in-depth comments, suggestions, and corrections, |
Autophagy-urea cycle pathway is essential for the statin-mediated nitric oxide bioavailability in endothelial cells
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Recommended Citation
Chen, Wen-Hua; Guo, Bei-Chia; Chen, Chia-Hui; Hsu, Man-Chen; Wang, Chih-Hsien; and Lee, Tzong-Shyuan (2023) "Autophagy-urea cycle pathway is essential for the statin-mediated nitric oxide bioavailability in endothelial cells," Journal of Food and Drug Analysis: Vol. 31 : Iss. 3 , Article 10.
Available at: https://doi.org/10.38212/2224-6614.3472
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Autophagy—urea cycle pathway is essential for the statin-mediated nitric oxide bioavailability in endothelial cells
Wen-Hua Chen\textsuperscript{a}, Bei-Chia Guo\textsuperscript{a}, Chia-Hui Chen\textsuperscript{a}, Man-Chen Hsu\textsuperscript{a}, Chih-Hsien Wang\textsuperscript{b,*,*}, Tzong-Shyuan Lee\textsuperscript{a,*}
\textsuperscript{a} Graduate Institute and Department of Physiology, College of Medicine, National Taiwan University, Taipei, Taiwan
\textsuperscript{b} Cardiovascular Surgery, Department of Surgery, National Taiwan University Hospital and College of Medicine, Taipei, Taiwan
Abstract
Statin induce nitric oxide (NO) bioavailability by activating endothelial nitric oxide synthase via kinase- and calcium-dependent pathways in endothelial cells (ECs). However, their effect on the metabolism of L-arginine, the precursor for NO biosynthesis, and regulatory mechanism have not yet been investigated. In this study, we investigated the role of the autophagy—urea cycle-L-arginine pathway in simvastatin-mediated NO bioavailability in ECs. Griess’s assay was used to determine the NO bioavailability. Protein expression was assessed using Western blot analysis. Further, immunocytochemistry was performed to observe autophagosome formation, while conventional assay kits were used to quantify the levels of different intermediate substrates of the urea cycle. In ECs, treatment with simvastatin induced the activation of autophagy flux, as evidenced by the increased levels of microtubule-associated protein 1A/1B-light chain 3 II and autophagolysosome formation and decreased levels of p62. Inhibition of autophagy by ATG7 small interfering RNA (siRNA), chloroquine and bafilomycin A1 abolished simvastatin-induced NO bioavailability, EC proliferation, migration, and tube formation. Additionally, simvastatin increased the intermediate substrates levels of the urea cycle, including glutamate, acetyl-CoA, urea, and L-arginine, all of which were abrogated by chloroquine or bafilomycin A1. Genetic knockdown of argininosuccinate lyase using siRNA abrogated simvastatin-induced increase in NO bioavailability and EC-related functions. Moreover, inhibition of AMP-activated protein kinase (AMPK) and transient receptor potential vanilloid 1 (TRPV1) prevented simvastatin-induced activation of the autophagy—urea cycle pathway and NO production. Our findings suggest that simvastatin activates the autophagy—urea cycle pathway via TRPV1-AMPK signaling, which increases L-arginine bioavailability and ultimately promotes NO production in ECs.
Keywords: Autophagy, Nitric oxide, Statin, Urea cycle
1. Introduction
Statin, inhibitors of 3-hydroxy-3-methylglutaryl coenzyme A (HMG-CoA) reductase, are widely used to treat hypercholesterolemia and reduce the risk of cardiovascular events [1]. Mechanistically, statins promote low-density lipoprotein (LDL) clearance by upregulating LDL receptor (LDLR)
expression in the liver, leading to a decrease in circulating levels of LDL [2]. In addition to the cholesterol-lowering effect, statins have pleiotropic effects on the physiological functions of endothelial cells (ECs) to improve endothelial function by increasing nitric oxide (NO) bioavailability and protecting against cardiovascular diseases [3–6]. We and others have previously reported that simvastatin-induced NO production is due to the activation of endothelial nitric oxide synthase (eNOS) through transient receptor potential vanilloid receptor 1 (TRPV1)/calcium (Ca\(^{2+}\))- and AMP-activated protein kinase (AMPK)-dependent signaling pathways [7–11]. Subsequently, activated eNOS catalyzes the conversion of L-arginine to NO and the co-product L-citrulline [11–13]. Additionally, endogenous de novo L-arginine production is tightly regulated by the enzymes involved in urea cycle such as argininosuccinate lyase (ASL) [14]. Although the mechanisms by which simvastatin regulates eNOS activity have been well-established [7–13], the effect of simvastatin on L-arginine metabolism and its molecular regulation remain elusive.
Autophagy is a conserved self-eating process that is important for cellular homeostasis; the macromolecules are degraded and cellular components are recycled, particularly to maintain the energy balance and amino acid pools under pathophysiological conditions [15–18]. The autophagy pathway is a complex process that starts with the formation of the phagophore and ends with the death of the autophagosome [19]. Several key kinases and regulators, including mammalian target of rapamycin complex 1, autophagy-related proteins, AMPK, beclin-1, microtubule-associated protein 1A/1B-light chain 3 (LC3), and p62, are known to be involved in this conserved process [19,21]. Upon amino acid deprivation or glucose starvation, AMPK triggers the activation of autophagy flux to generate amino acids for new protein synthesis and to maintain glucose homeostasis for cell survival [20–23]. Hence, autophagy is a crucial process for regulating cell survival and physiological functions of the cardiovascular system, while defective autophagy accelerates the progression of cardiovascular diseases [24,25]. For instance, deficiency in endothelial autophagy leads to endothelial dysfunction and promotes atherosclerosis [26,27], while activation of autophagy restores impaired eNOS activation and enhances NO production under high-glucose conditions [28]. Moreover, several lines of evidence suggest that autophagy is required for shear stress-induced NO production, which prevents ECs from inflammation and confers an atheroprotective effect [28–30]. However, the role of autophagy and the molecular mechanisms underlying the beneficial effects of simvastatin on NO production and EC function remain to be elucidated.
Given the beneficial effects of statins on the vascular system, in this study, we aimed to investigate the role of the autophagy–urea cycle-L-arginine pathway in simvastatin-upregulated NO bioavailability in ECs. We first investigated the role of autophagy in simvastatin-induced NO production and its proangiogenic effects. Second, we examined the effect of simvastatin on activation of the urea cycle-L-arginine pathway. Third, we defined the interplay between TRPV1-AMPK signaling and the autophagy–urea cycle-L-arginine pathway in simvastatin-induced NO bioavailability. We show that simvastatin triggers TRPV1-AMPK signaling and activates the autophagy–urea cycle pathway, which leads to eNOS activation and L-arginine bioavailability, promoting NO production. Therefore, our results suggest that the autophagy–urea cycle-L-arginine pathway plays a crucial role in regulating simvastatin-mediated NO production in ECs.
2. Materials and methods
2.1. Reagents
Simvastatin, lovastatin, rosuvastatin, atorvastatin, acridine orange, bafilomycin A1 (BafA1), chloroquine (CQ), and Compound C (C.C.) were purchased from Cayman Chemicals (Ann Arbor, MI, USA). 3-(4,5-Dimethylthiazol-2-yl)-2,5-diphenyltetrazolium bromide (MTT) assay kit, Griess reagent, capsazepine (CPZ), and SB-366791 were purchased from Sigma–Aldrich (St. Louis, MO, USA). LY294002 was obtained from Calbiochem (San Diego, CA, USA). Matrigel was purchased from Corning Inc. (Corning, NY, USA). Rabbit antibodies for LC3 (#4108) and p62 (#5114) were purchased from Cell Signaling Technology (Beverly, MA, USA). Rabbit antibodies against AMPK (A12718) and cation amino acid transporter 1 (CAT1, A14784) were purchased from ABclonal Science (Woburn, MA, USA). Rabbit antibodies for autophagy related 7 (ATG7, ab133528) and LDLR (ab52818) were from Abcam (Cambridge, MA, UK). Mouse antibody for \(\alpha\)-tubulin was purchased from Croyez (Taipei, Taiwan). Mouse antibody against ASL (sc-16687), ATG7 siRNA (siATG7, sc-41447), AMPK siRNA (siAMPK, sc-45312), and ASL siRNA (siASL, sc-61998) were purchased from Santa Cruz Biotechnology (Santa Cruz, CA, USA). Lipofectamine RNAiMAX transfection reagent was purchased from
Thermo Fisher Scientific (Waltham, MA, USA). Mouse antibody against sterol regulatory element-binding protein 2 (SREBP2, 557037) was from BD Bioscience (San Jose, CA, USA). Colorimetric/fluorometric kits for acetyl-CoA (#K317-100), urea (#K375-100), arginine (K384-100), glutamate (#K629-100), and ornithine (#K939-100) were purchased from BioVision (Milpitas, CA, USA).
2.2. Cell culture
Human microvascular ECs (HMECs) were obtained from the Centers for Disease Control (Atlanta, GA, USA). HMECs were cultured in Dulbecco’s modified Eagle’s medium (DMEM) supplemented with 5% fetal bovine serum (FBS), 100 U/mL penicillin, 100 μg/mL streptomycin, and 20% EC Growth Medium MV2 (Promocell, Heidelberg, Germany) containing 5% fetal calf serum, 5 ng/mL epidermal growth factor, 10 ng/mL basic fibroblast growth factor, 20 ng/mL insulin-like growth factor, 0.5 ng/mL vascular endothelial growth factor 165, 1 μg/mL ascorbic acid, and 0.2 μg/mL hydrocortisone.
2.3. Western blot analysis
Cells were lysed in immunoprecipitation lysis buffer, which contained 50 mM Tris—HCl pH 7.5, 5 mM EDTA, 300 mM NaCl, 1% Triton X-100, 1 mM phenylmethylsulfonyl fluoride, 10 μg/mL leupeptin, and 10 μg/mL aprotinin. Aliquots of lysates were separated by sodium dodecyl sulfate-polyacrylamide gel electrophoresis (SDS-PAGE) and transferred onto a polyvinylidene fluoride membrane (Millipore, Bedford, MA, USA). After being blocked with 5% skim milk for 1 h at 25 °C, the blotting membrane was incubated with primary antibodies overnight and then with corresponding secondary antibody for 2 h. Protein bands were visualized using an enzyme-linked chemiluminescence detection kit (PerkinElmer, Boston, MA, USA) and quantified using TotalLab 1D (Newcastle Upon Tyne, UK).
2.4. Visualization of acidic vesicular organelles
Living cells were stained with acridine orange (2.7 μM) in the culture medium for 15 min at 37 °C to visualize intracellular acidic vacuoles, including lysosomes, endosomes, and autophagosomes. The fluorescence of acridine orange staining was analyzed at the excitation/emission spectra of 502/525 nm, 460/650 nm, and 475/590 nm and was measured using SpectraMax i3x fluorometry (San Jose, CA, USA). The ratio of red to green fluoresce indicated the levels of acidic vesicular organelles and represents the levels of autolysosome formation. Images were captured under a Nikon TE2000-U microscope with an image analysis system.
2.5. Immunocytochemistry
HMECs were seeded into 4-well plate and incubated with the test reagents for 9 h, and fixed with 4% paraformaldehyde for 15 min. After permeabilization with 70% alcohol for 30 min at 25 °C, cells were blocked with 2% bovine serum albumin (BSA) for 1 h at 25 °C. Cells were incubated with the rabbit anti-LC3 antibody for 2 h at 25 °C and subsequently with the corresponding secondary antibody overnight at 4 °C. The number of LC3-II puncta was counted under photomicrographs which were digitally captured using a Leica DMIRB microscope equipped with LAS V4.12 software.
2.6. Measurement of urea cycle intermediates
The levels of urea cycle intermediates, including acetyl-CoA, glutamate, arginine, ornithine, and urea in HMECs were measured using assay kits, according to the manufacturer’s instructions. The fluorescence of acetyl-CoA, arginine, and ornithine was analyzed at the excitation/emission spectra of 535/587 nm and was measured by SpectraMax i3x fluorometry. The amount of glutamate and urea was quantified by microplate spectrophotometer (Thermo Fisher Scientific, Waltham, MA, USA) at 450 nm. The value of Δ represents the concentration difference from each group and the group of 0 h or vehicle group.
2.7. Small interfering RNA transfection
HMECs were seeded in 3.5 cm dishes and then starved for 6 h in DMEM with 0.5% FBS and 2% EC Growth Medium MV2. After starvation, scramble siRNA, ASL siRNA, AMPK siRNA, or ATG7 siRNA mixed with Lipofectamine RNAiMAX transfection reagent was added to DMEM with 0.5% FBS and 2% EC Growth Medium MV2 and incubated for 24 h. The medium was replaced with fresh and normal DMEM and transfected cells were subjected to further experiments.
2.8. Determination of nitrite production
NO is metabolized to nitrites and nitrates. Hence, the nitrite levels were determined by mixing cell culture medium with an equal volume of Griess
reagent and incubating for 15 min at 25 °C. The absorbance of the samples was determined at 540 nm using a microplate spectrophotometer. Sodium nitrite was used as a standard to calculate the level of nitrite in culture medium, which was normalized relative to the cellular protein concentration.
2.9. Cell proliferation assay
HMECs were cultured in 12-well plates in serum-free medium for starvation for 12 h. After treatment, the cells were incubated with the MTT reagent for 3 h. The absorbance of the samples was measured at 570 nm wavelength using a microplate spectrophotometer.
2.10. Cell migration assay
The transwell migration assay was performed using modified chambers inserted into 24-well plates. HMECs were added to the upper chamber with serum free medium, and 5% FBS medium was added to the lower chamber. After the indicated treatment, the chamber was fixed with 4% paraformaldehyde for 10 min, and unmigrated cells on the upper side of the membrane were removed, while the migrated cells on the lower side of the membrane were stained with crystal violet. The number of migrating cells on the lower side of the membrane was counted in three randomly selected areas, which were captured using a Nikon TE2000-U microscope equipped with an image analysis system (QCapture Pro 6.0, QImaging, Surrey, BC, Canada).
2.11. Wound healing assay
HMECs were seeded onto 3.5 cm dishes in serum-free medium for starvation. A linear wound was made by scratching the bottom of the dish using a sterile 1 mL pipette tip. After scratching, the cells were washed with PBS and incubated in serum-free medium in indicated treatments for 18 h. The number of migrating cells between the dotted lines was quantified in three areas chosen randomly and compared with vehicle-treated group, and images were captured using a Nikon TE2000-U microscope with an image analysis system.
2.12. Tube formation
Matrigel was coated onto 3.5 cm dishes and polymerized for 2 h at 37 °C. HMECs were seeded onto the Matrigel layer and incubated with the indicated treatments for 12 h. The number of circles surround by HMECs, which is defined as tube formation, was calculated in three areas chosen randomly, and images were captured using a Nikon TE2000-U microscope equipped with an image analysis system.
2.13. Statistical analysis
The results are presented as mean ± standard error of the mean (SEM) calculated from five independent experiments. The Mann–Whitney U test was used to compare data between the two groups. One-way analysis of variance (ANOVA) followed by Fisher’s Least Significant Difference was used to compare data of more than two groups. SPSS software v8.0 (SPSS Inc., Chicago, IL, USA) was used for all statistical analyses. Differences were considered statistically significant at P < 0.05.
3. Results
3.1. Simvastatin promotes NO bioavailability by activating autophagy
To determine whether simvastatin activated autophagy in ECs, HMECs were treated with simvastatin (1 μM) for the indicated time period. Western blot analysis showed that compared with the vehicle-treated group, treatment with simvastatin increased the protein level of LC3-II and decreased the protein level of p62 in a time-dependent manner (Fig. 1A–C) and concentration-dependent manner (Fig. S1). The exposure of HMECs to various statins including simvastatin, rosuvastatin (1 μM), lovastatin (1 μM), and atorvastatin (1 μM) and the results showed that autophagic pathway was activated with increased the protein levels of LC3-II at 9 h and decreased the protein levels of p62 at 18 h after the treatment (Fig. 1D–F). Additionally, acridine orange staining showed that simvastatin increased autolysosomal activity in a time-dependent manner, as evidenced by a significant increase in intracellular levels of acidic vacuoles as early as 3 h, with a peak at 9 h within 18 h of treatment (Fig. 1G and H). Moreover, immunocytochemistry showed that simvastatin stimulated the formation of autophagosomes, as evidenced by the increased levels of LC3 puncta (Fig. 1I and J). To address the involvement of autophagy in simvastatin-induced NO production, HMECs were transfected with ATG7 siRNA to interfere with autophagosome formation. Results showed that simvastatin-induced activation of autophagic pathway and NO production were abrogated by pretreating with ATG7 siRNA (Fig. 2A–E). HMECs
were also pretreated with CQ or BafA1, a pharmacological inhibitor of autophagy activation. As shown in Fig. 2F–I, pretreatment with CQ or BafA1 for 2 h abolished the simvastatin-elicited activation of autophagic flux (Fig. 2F–H) and NO production (Fig. 2I). These findings suggest that activation of autophagy is required for simvastatin-induced NO production in ECs.
3.2. Autophagy mediates simvastatin-induced proliferation, migration, and tube formation in HMECs
We subsequently examined whether autophagy regulated the proangiogenic effect of simvastatin on ECs. Our results revealed that simvastatin-induced increase in EC proliferation, migration, and tube formation were eliminated by pretreatment with CQ or BafA1 (Fig. 3), suggesting that autophagy plays a crucial role in the statin-mediated alterations in the physiological functions of ECs.
3.3. Inhibition of autophagy abolishes the simvastatin-induced activation of urea cycle in HMECs
We next examined the effect of simvastatin on *de novo* L-arginine availability by evaluating the urea cycle activity. We found that treatment with simvastatin increased the levels of urea cycle intermediates, including glutamate, acetyl-CoA, L-arginine, and urea, and decreased the levels of ornithine in a time-dependent manner (Fig. 4A–E). Additionally, knockdown of ASL expression by a specific siRNA abrogated the simvastatin-induced increase in the levels of Larginine, urea, and NO (Fig. 4F–H), suggesting that activation of the urea cycle is required for simvastatin-elicited NO production. We subsequently examined whether autophagy is involved in simvastatin-induced activation of the urea cycle. As shown in Fig. 4I–L, pretreatment with autophagy inhibitors, CQ and BafA1, prevented the simvastatin-induced increase in glutamate, acetyl-CoA, L-arginine, and urea in ECs. Moreover, pretreatment with ASL siRNA prevented simvastatin-induced proangiogenic effects (Fig. 5). These results suggest that simvastatin induces autophagy activation and provides glutamate and acetyl-CoA for the initiation of the urea cycle, leading to an
Fig. 2. Simvastatin promotes NO bioavailability by activating autophagy in ECs. HMECs were pretreated with ATG7 siRNA (100 nM) for 24 h or pretreated with autophagy inhibitor, chloroquine (CQ, 40 μM) and bafilomycin A (BafA1, 10 nM) for 2 h, and then treated with simvastatin (1 μM) for another 9 h or 18 h. (A–C) The representative images and quantitative results of Western blot analysis of LC3 at 9 h, and p62 and ATG7 at 18 h. (D) The intracellular levels of nitrite were evaluated by Griess’ assay. (E–H) The representative images and quantitative results of Western blot analysis of LC3, p62 and α-tubulin. (I) The intracellular levels of nitrite were evaluated by Griess’ assay. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group; †P < 0.05 vs. the simvastatin-treated group.
Fig. 3. Autophagy mediates simvastatin-induced proliferation, migration, and tube formation in ECs. HMECs were pretreated with CQ (40 μM) or BafA1 (10 nM) for 2 h and then incubated with simvastatin (1 μM) for additional 18 h. (A) The EC proliferation was assessed using the MTT assay. (B–D) The EC migration and tube formation were evaluated by the wound healing assay, trans-well assay, and tube formation assay. (E–G) The representative images of (E and F) HMEC migration and (G) tube formation. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group; †P < 0.05 vs. the simvastatin-treated group.
increase in de novo L-arginine availability, promoting NO production in ECs.
3.4. AMPK is required for simvastatin-mediated activation of autophagy and urea cycle in ECs
We examined the role of AMPK in simvastatin-mediated autophagy and L-arginine availability using AMPK siRNA and AMPK inhibitor, C.C. Pretreatment with AMPK siRNA or C.C. abolished simvastatin-induced activation of autophagy and the formation of LC3 puncta (Fig. 6A–J). Moreover, simvastatin-induced increase in the levels of urea, L-arginine, and NO were prevented by AMPK siRNA and AMPK inhibitor (Fig. 6I–L). These findings suggest that AMPK plays a crucial role in simvastatin-induced activation of the autophagy—urea cycle-L-arginine pathway in ECs.
3.5. TRPV1 is involved in simvastatin-mediated autophagy in ECs
We previously reported that TRPV1/AMPK signaling is required for simvastatin-mediated eNOS activation and NO production in ECs [9]. Thus, we investigated whether TRPV1 is involved in simvastatin-induced activation of the autophagy—urea cycle-L-arginine pathway. Pretreatment with TRPV1 antagonists, CPZ and SB366/91, abrogated the simvastatin-induced activation of autophagy and the formation of LC3 puncta (Fig. 7A–E). Additionally, inhibition of TRPV1 activity prevented the simvastatin-induced increase in the levels of urea, L-arginine, and NO production (Fig. 7F–H). Collectively, these results suggest that TRPV1/AMPK signaling is crucial for simvastatin-mediated activation of the autophagy—urea cycle-L-arginine pathway and NO production in ECs (Fig. 8).
4. Discussion
eNOS-derived NO production in ECs is known to play an important role in the pleiotropic effects of statins in the primary prevention of cardiovascular diseases. Although the mechanisms by which statins regulate eNOS activity have been extensively studied [9,31–33], the effects of statins on the metabolism of eNOS substrate L-arginine and its regulatory mechanism remain unclear. In this study, we characterized a potential mechanism of autophagy and the urea cycle of simvastatin in the regulation of NO bioavailability and related physiological functions in ECs. In ECs, simvastatin-induced NO production was prevented by the inhibition of autophagy and the urea cycle. Mechanistically, simvastatin-activated autophagy flux to increase the levels of glutamate and acetyl-CoA, two key substrates for the initiation of the urea cycle, and resulted in an increase in L-arginine bioavailability, leading to NO production in ECs. Moreover, we previously reported that simvastatin increases EC proliferation, migration, and angiogenesis by activating the TRPV1-AMPK-eNOS signaling pathway [9]. Our current findings further showed that the TRPV1-AMPK signaling pathway is required for simvastatin-induced activation of autophagy flux and the urea cycle, and L-arginine bioavailability. Hence, simvastatin elicits TRPV1-AMPK signaling to activate eNOS and the autophagy–urea cycle pathway, which may work in concert to increase eNOS activity and L-arginine bioavailability, consequently promoting the NO production in ECs (Fig. 8). Collectively, we provide new insights into the comprehensive molecular mechanisms of simvastatin in the regulation of NO bioavailability and EC function.
Notably, Bharath et al. reported that EC autophagy is essential for the activation of eNOS and NO synthesis under shear stress stimulation [29,30], which is in line with our findings that autophagy plays a crucial role in simvastatin-induced NO production in ECs. However, the detailed molecular mechanism of autophagic flux in the biological process of NO synthesis in ECs is not fully understood. Autophagy is a key biological process for cellular homeostasis and is activated by AMPK under nutrient starvation to restore the amino acid pool by degrading and recycling proteins or cellular organelles [17–20]. Onodera and Ohsumi reported that autophagy-defective yeast failed to synthesize new proteins because of decreased intracellular levels of free amino acids [34]. Liu et al.
Fig. 6. AMPK mediates simvastatin-induced activation of autophagy and urea cycle, and NO production in ECs. HMECs were pretreated with AMPK siRNA (100 nM) for 24 h or compound C (C.C., 10 μmol/L) for 2 h, then incubated with simvastatin (1 μM) for additional 9 h or 18 h. (A–D) The representative images and quantitative results of Western blot analysis of LC3 at 9 h, and p62 and AMPK at 18 h. (E–G) Western blot analysis of LC3 at 9 h and p62 at 18 h. (H and I) The representative images and quantitative results of LC3 puncta after treatment with simvastatin for 9 h. Arrowheads refer to (H) LC3 puncta. (J and K) The changes in the levels (J) of urea and L-arginine. The value of Δ is defined by the concentration difference between each group from the control group. (L) The levels of nitrite in culture medium were analyzed by Griess’s assay. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group; #P < 0.05 vs. the simvastatin-treated group.
demonstrated that autophagy is crucial for maintaining the amino acid pool and promoting glutamate synthesis under nitrogen deprivation in yeast [35]. Moreover, Huang et al. reported that cell proliferation and vessel formation are associated with amino acids [36]. Recently, Fan et al. suggested that transcription factor EB-AMPK signaling pathway-mediated autophagy activation improves blood perfusion by increasing EC tube formation after ischemic injury [37]. In this study, we found that autophagy is required for simvastatin-induced increase in L-arginine bioavailability, NO production, and EC function. Collectively, these observations suggest that autophagy could be an important regulatory mechanism for statin-induced NO production in ECs by regulating L-arginine metabolism.
In addition to its crucial role in autophagy activation, AMPK is also involved in shear stress-induced eNOS activation and NO bioavailability [8]. Moreover, Su et al. demonstrated that simvastatin induces Ca^{2+} influx through TRPV1 channels and promotes the formation of the TRPV1-Akt-calcmodulin protein kinase II-AMPK-eNOS complex, which in turn induces eNOS activation, NO production, and angiogenesis in ECs [9,10]. Therefore, it was important to determine the role of TRPV1-AMPK signaling in autophagy activation and NO production. Our results confirmed that inhibition of the TRPV1-AMPK signaling pathway abolished simvastatin-induced activation of the autophagy–urea cycle pathway, L-arginine availability, and NO production. Collectively, our findings suggest that simvastatin elicits TRPV1-AMPK signaling to activate autophagy flux and leads to the production of glutamate and acetyl CoA, which promotes the L-arginine biosynthesis through the urea cycle. Here, we provide evidence supporting a novel molecular mechanism by which simvastatin regulates NO production. Nevertheless, whether this regulatory pathway contributes
to NO bioavailability induced by other stimuli requires further investigation.
L-arginine, an essential amino acid, serves as a precursor for the synthesis of NO, urea, and protein, and plays a crucial role in cell metabolism and human health [13,38]. In addition to the regulation by eNOS enzymatic activity, NO biosynthesis is tightly controlled by the levels of L-arginine, which is converted from citrulline through the activity of argininosuccinate synthase and ASL, two key enzymes of the urea cycle [39–42]. The urea cycle is responsible for detoxification of ammonia and *de novo* L-arginine synthesis [14,43]. Defective functions of urea cycle enzymes, called urea cycle disorders, can cause hyperammonemia and impairment in NO biosynthesis due to the decreased L-arginine levels, suggesting an interplay between the urea cycle and NO bioavailability [44].
**Fig. 7.** Inhibition of TRPV1 abolishes simvastatin-induced activation of autophagy and urea cycle, and NO production. HMECs were pretreated with TRPV1 pharmacological antagonist, capsazepine (CPZ, 10 μM) or SB-366791 (10 μM) for 2 h and then incubated with simvastatin (1 μM) for another 9 h or 18 h. (A–C) Western blot analysis of LC3 at 9 h and p62 at 18 h. (D and E) The representative images and quantitative results of LC3 puncta after treatment with simvastatin for 9 h. Arrowheads refer to (D) LC3 puncta. (F and G) The changes in the levels (Δ) of urea and L-arginine were determined as compared with vehicle-treated group. The value of Δ is defined by the concentration difference in each group from vehicle-treated group. (H) The levels of nitrite in culture medium were assessed by Griess’ assay. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group; **P < 0.05 vs. the simvastatin-treated group.
**Fig. 8.** Schematic illustration of the proposed molecular mechanisms by which simvastatin elicits TRPV1-AMPK signaling and in turn activates the autophagy–urea cycle pathway to induce an increase in L-arginine bioavailability, leading to NO production in ECs.
To the best of our knowledge, the detailed molecular mechanism of the urea cycle and NO synthesis is not fully understood. To this notion, our findings demonstrate that the activity of the urea cycle is increased by simvastatin treatment, increasing the levels of L-arginine and urea. Our results agree with those of Trupp et al. who found that administration of simvastatin altered the metabolic signature in the plasma of patients, including increased levels of citrulline and ornithine [45]. However, we observed that simvastatin treatment decreased the ornithine levels; this discrepancy could be due to the high consumption of ornithine to overcome the increased activity of the urea cycle by simvastatin in a cell culture system.
Interestingly, several lines of evidence suggest that extracellular L-arginine can be transported into cells via CAT-1 for NO production in ECs under normal physiological condition [46–49]. However, effects of simvastatin on the protein expression of CAT-1 and the subsequent transportation of L-arginine to ECs remain elusive. To this end, we examined the effect of simvastatin on the protein expression of CAT-1 and found that simvastatin did not alter the protein expression of CAT-1 in ECs (Fig. S3), consistent with previous findings that exposure to laminar shear stress did not change mRNA and protein levels of CAT-1 in ECs [50]. Taken together, our findings suggest that simvastatin increases the levels of L-arginine in ECs to promote NO biosynthesis, which may be attributed to the urea cycle activation. However, we cannot rule out the possibility of CAT-1 activity-mediated L-arginine uptake from extracellular fluid, as suggested by previous studies using other experimental conditions [46–49]. Regardless of these possibilities, our results indicate the importance of L-arginine derived from the urea cycle in simvastatin-induced NO production.
The physiological function of L-arginine in human health is mainly determined by NO, which is the major end product of L-arginine metabolism [51]. Several lines of evidence showed that NO increases glucose uptake and fatty acid oxidation in various tissues [51,52], suggesting the potential role of L-arginine in the regulation of carbohydrate and lipid metabolism, as well as the development of related metabolic diseases. Growing clinical observations indicated that *de novo* arginine synthesis is decreased in individuals with obesity [53–58]. Supplementation with L-arginine improves insulin sensitivity and endothelial function, and thus ameliorates metabolic syndrome in patients with obesity and type 2 diabetes (T2D) [51,54–58]. Here, we provide the evidence that simvastatin increases the intracellular levels of L-arginine in ECs via autophagy—urea cycle pathway, suggesting the key role of L-arginine metabolism in the protective effect of statins against cardiovascular diseases and metabolic syndrome. Notably, several clinical studies by meta-analysis demonstrated that long-term statin therapy is associated with impaired carbohydrate metabolism and an increased risk of developing T2D, particularly in patients with metabolic syndrome [59–61]. Mechanistically, *in vitro* and *in vivo* studies showed that treatment with statins downregulate the expression and translocation of glucose transporter 4 in adipocytes and skeletal muscle myotubes, and thus impair the activation of insulin signaling pathway, which may be the key molecular mechanism underlying the unfavored effect of statins on glucose metabolism and the development of T2D [62–64]. Accordingly, the effect of statins on L-arginine metabolism and glucose homeostasis seems to be controversial. To this notion, the benefit-to-harm balance of long-term statin therapy on patients with metabolic syndrome warrants further investigations.
Importantly, TRPV1 is non-cation channel with a preference for Ca$^{2+}$ that is “directly” activated by capsaicin and noxious temperature (>43 °C). Moreover, TRPV1 activity can be “indirectly” regulated by protein kinases activated by inflammatory mediators or arachidonic acid metabolites [65]. Protein kinases A (PKA) induces the phosphorylation of TRPV1 channels and increases its activity; in contrast, PKC causes the dephosphorylation of TRPV1 channels and decreases its activity. This notion was supported by our previous findings that simvastatin activates TRPV1 and increases the intracellular levels of Ca$^{2+}$, which leads to phosphorylation of AMPK, increases in the formation of TRPV1-AMPK-eNOS complex, eNOS phosphorylation and activation, NO production and, ultimately, angiogenesis in ECs [9]. Although we cannot rule out the possibility that statins can “directly” activate TRPV1 channels; we believe that the protein kinase-dependent activation is involved in the statin-mediated regulation of TRPV1 activity. Regarding to the role of TRPV1 in inhibition of HMG-CoA reductase by statins, we performed additional experiments to examine the role of TRPV1 channels in the cholesterol-lowering effect of simvastatin by assessing the protein levels of SREBP2, the transcription factor for *de novo* cholesterol synthesis, and LDLR, the receptor for LDL internalization in ECs. Pretreatment with TRPV1 inhibitors, CPZ or SB366791 did not alter simvastatin-induced increase in protein levels of SREBP2 and LDLR (Fig. S5), indicating the inhibitory effect of simvastatin on HMG-CoA reductase was independent from TRPV1 activation. These findings were consistent with the previous findings that the
pleiotropic effects of statins are independent of LDL-cholesterol lowering effect [66, 67]. Collectively, these findings suggest that in addition to their lipid-lowering effect, statins may activate TRPV1/Ca$^{2+}$ signaling and increase the interaction of TRPV1, AMPK and eNOS, and lead to NO bioavailability. These two events may work in concert to reduce cardiovascular risk.
However, our study contains several limitations. First, we used only *in vitro* model to investigate the role of the autophagy–urea cycle-L-arginine pathway in statin-induced NO production and related EC functions. Our *in vitro* results from ECs cannot be fully extrapolated to *in vivo* conditions, and hence, additional studies are warranted to define the specific role of the autophagy–urea cycle-L-arginine pathway in statin-mediated EC protection. Second, using autophagy-related gene deficiency *in vivo* models of cardiovascular diseases will be helpful in clarifying the role of autophagy-mediated NO production in the vascular protection of statins. Third, we did not conduct clinical trials to support our observations from *in vitro* studies. Further *in vivo* studies or clinical trials describing the implications of the autophagy–urea cycle pathway in statin-conferred vascular protection against EC dysfunction and atherosclerosis are warranted.
In conclusion, our results provide new evidence for a better understanding of the vascular protection of statins on NO production in ECs by stimulating TRPV1-AMPK signaling to activate the autophagy–urea cycle-L-arginine pathway and eNOS activation. These two key events work in concert to promote the NO production. Further, we provide new insights into the role and molecular mechanism of autophagy in the regulation of NO bioavailability, which broadens the impact of autophagy in the regulation of vascular physiology and highlights its therapeutic potential in the treatment of cardiovascular diseases.
**Author contributions**
Conceptualization: WH Chen, TS Lee; methodology: WH Chen, BC Guo, CH Chen, MC Hsu; formal analysis: WH Chen, BC Guo; investigation: WH Chen, BC Guo, CH Chen, MC Hsu; data curation: WH Chen, BC Guo, TS Lee; writing—original draft preparation: WH Chen, TS Lee; supervision: TS Lee; funding acquisition: TS Lee. All authors have read and approved the published version of the manuscript.
**Data availability**
Data supporting the findings of this study are available from the corresponding author upon reasonable request.
**Conflicts of interest**
The authors declare no conflict of interest.
**Acknowledgements**
This study was supported by grants from the National Science and Technology Council, Taiwan (108-2320-B-002-032-MY3, 108-2811-B-002-542, 109-2811-B-002-566, 110-2811-B-002-534, 111-2320-B-002-016-MY3, 111-2314-B-002-071 and 111-2811-B-002-093) and Collaborative Research Projects of National Taiwan University College of Medicine, National Taiwan University Hospital and Min-Sheng General Hospital (109F005-111-N). We thank the staff of the imaging core at the First Core Labs, National Taiwan University College of Medicine, for technical assistance.
**Appendix**
*Fig. S1–5 (Results).*
Fig. S2. ASL expression in response to ASL siRNA. (A and B) HMECs were treated with ASL siRNA at the indicated concentrations for 24 h. Western blot analysis of ASL protein levels. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group.
Fig. S3. CAT-1 expression in HMECs treated with simvastatin. (A and B) HMECs were treated with simvastatin at indicated concentrations for 18 h. Western blotting analysis of protein levels of CAT-1. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group.
Fig. S4. Akt mediates simvastatin-induced activation of autophagy. HMECs were pretreated with Akt inhibitor, LY294002 (10 μmol/L) for 2 h, then incubated with simvastatin (1 μM) for additional 9 h or 18 h. (A-C) The representative images and quantitative results of Western blot analysis of LC3 at 9 h, and p62 at 18 h. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group; #P < 0.05 vs. the simvastatin-treated group.
Fig. 55. The activation of TRPV1 by simvastatin is independent from cholesterol-lowering effect. HMECs were pretreated with TRPV1 inhibitors, capsazepine (CPZ, 10 μM) or SB-366791 (10 μM) for 2 h, then incubated with simvastatin (1 μM) for additional 9 h or 18 h. (A) The representative images and quantitative results of Western blot analysis of pre-SREBP2 and m-SREBP2 at 9 h, and LDLR at 18 h. One-way ANOVA followed by Fisher’s Least Significant Difference was used to compare data from more than two groups. Data are the mean ± SEM from five independent experiments. *P < 0.05 vs. the vehicle-treated group; #P < 0.05 vs. the simvastatin-treated group.
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Bistability coordinates activation of the EGFR and DPP pathways in *Drosophila* vein differentiation
Shian-Jang Yan\(^1\), Jeremiah J Zartman\(^2\), Minjie Zhang\(^1\), Anthony Scott\(^1\), Stanislav Y Shvartsman\(^{2,*}\) and Willis X Li\(^{1,*}\)
\(^1\) Department of Biomedical Genetics, University of Rochester Medical Center, Rochester, NY, USA and \(^2\) Department of Chemical Engineering and Lewis-Sigler Institute for Integrative Genomics, Princeton University, Princeton, NJ, USA
* Corresponding authors. SY Shvartsman, Department of Chemical Engineering, Lewis-Sigler Institute for Integrative Genomics, Princeton University, Washington Road, Princeton, NJ 08544, USA. Tel.: + 1 609 258 4694; Fax: + 1 609 258 3585; E-mail: firstname.lastname@example.org or WX Li, Department of Biomedical Genetics, University of Rochester Medical Center, Rochester, NY 14642, USA. Tel.: + 1 585 273 2408; Fax: + 1 585 273 1450; E-mail: email@example.com
Received 3.11.08; accepted 23.4.09
Cell differentiation in developing tissues is controlled by a small set of signaling pathways, which must coordinate the timing and levels of activation to ensure robust and precise outcomes. Highly coordinated activation of signaling pathways can result from cross-regulatory interactions in multi-pathway networks. Here we explore the dynamics and function of pathway coordination between the EGFR and DPP pathways during *Drosophila* wing-vein differentiation. We show that simultaneous activation of both the EGFR and DPP pathways must be maintained for vein cell differentiation, and that above threshold ectopic activation of either pathway is sufficient to drive vein cell differentiation outside the proveins. The joint activation of the EGFR and DPP signaling systems is ensured by a positive feedback loop, in which the two pathways stimulate each other at the level of ligand production.
*Molecular Systems Biology* 5: 278; published online 16 June 2009; doi:10.1038/msb.2009.35
**Subject Categories:** development
**Keywords:** bistability; DPP; EGFR; vein; wing
This is an open-access article distributed under the terms of the Creative Commons Attribution Licence, which permits distribution and reproduction in any medium, provided the original author and source are credited. Creation of derivative works is permitted but the resulting work may be distributed only under the same or similar licence to this one. This licence does not permit commercial exploitation without specific permission.
**Introduction**
The idea that switch-like transitions in positive feedback systems can control cell differentiation goes back almost half a century to the seminal paper by Monod and Jacob (1961). In the simplest model for switch-like dynamics, positive feedback generates bistability, a regime where transient stimuli can switch the system between two stable steady states (Perrell, 2002). Mathematical analysis of bistability is quite advanced, but there have been just a few experimental studies unambiguously connecting bistability to cell differentiation (Xiong and Ferrell, 2003; Angeli *et al.*, 2004; Laslo *et al.*, 2006; Ingolia and Murray, 2007; Palival *et al.*, 2007). Studies on positive feedback loops are especially challenging in developing tissues, because of the relative difficulty of implementing the quantitative spatiotemporal perturbations that can probe the possible dynamic regimes (Freeman and Gurdon, 2002). Previous studies of spatial bistability in *Drosophila* have been limited to special contexts (the syncytial embryo) (Lopes *et al.*, 2008), or, for cellular tissues, inferred indirectly (Wang and Ferguson, 2005; Serpe *et al.*, 2008). Although the connections that form the positive feedback circuit can be deduced from genetic studies and biochemical experiments, information about the feedback architecture alone is not sufficient to determine whether the closed-loop system operates in a bistable regime (Angeli *et al.*, 2004; Li and Carthew, 2005; Mikeladze-Dvali *et al.*, 2005; Ingolia and Murray, 2007). Indeed, an isolated positive feedback module might function either reversibly or as a hysteretic switch, depending on the choice of network parameters, such as the gains of the feedback connections as well as the relative time scales of the pathways (Perrell and Xiong, 2001; Angeli *et al.*, 2004; Ingolia and Murray, 2007).
Here we show how bistability emerges from the self-sustaining interactions of the highly conserved epidermal growth factor receptor (EGFR) and decapentaplegic (DPP) signaling pathways during the patterning of the *Drosophila* wing, an established model for studying the connections between signaling and cell differentiation (de Celis, 2003; Blair, 2007). Previous loss-of-function experiments using a vein-specific expression system suggested that the EGFR and DPP pathways form a positive feedback loop, and that DPP signaling has a central role in vein fate induction (Sotillos and De Celis, 2005). Using a combination of genetic and imaging...
experiments, we show that high levels of EGFR activation are equally essential. Thus, vein differentiation requires sustained activation of both pathways. This high level of activation can be interpreted as the ‘on’ state of an inter-pathway positive feedback loop, whereby the EGFR and DPP systems operate on similar time scales and cross-activate each other at the level of ligand production.
Results and discussion
Vein differentiation depends on the joint action of the EGFR and DPP pathways
Around 22 h after puparium formation (APF) (Yu et al., 1996; de Celis, 1997; Guichard et al., 1999; Martin-Blanco et al., 1999; Sotillos and De Celis, 2005), phosphorylated MAD (PMAD), which marks DPP activity, and doubly phosphorylated ERK (dpERK), which provides a readout of EGFR activity, co-localize in the provein cells of pupal wing discs (Guichard et al., 1999; Martin-Blanco et al., 1999; Conley et al., 2000) (Figure 1A–C). Both pathways are required for vein differentiation, as inhibition of either of them by expressing a dominant-negative form of the receptors leads to the cell-autonomous loss of vein cell fate (Figure 1D and E) (de Celis, 2003; Blair, 2007). Previous studies led to a model in which EGFR signaling is spatially restricted to the provein cells by the Notch pathway (de Celis et al., 1997), and then interacts with the DPP pathway, which provides a direct input for vein cell differentiation (Sotillos and De Celis, 2005).
Although the activation of either of the two pathways can induce ectopic veins (Table I; Supplementary Figure S1), it has been proposed that the DPP pathway alone is sufficient for vein differentiation, and that the EGFR pathway is required mainly to maintain the high level of DPP signaling (de Celis, 1997). This model predicts that the DPP pathway should induce vein cell fates even when the EGFR signaling is inhibited. To verify this, we examined the consequence of simultaneously expressing a constitutively active component of DPP signaling (TKV\textsuperscript{DD}) and a dominant-negative variant of EGFR, EGFR\textsuperscript{DN}, thus keeping one pathway (DPP) constitutively active, while repressing the other pathway. In contrast to the results obtained upon expressing TKV\textsuperscript{DD} alone (Supplementary Figure S1A–C), co-expressing TKV\textsuperscript{DD} and EGFR\textsuperscript{DN} not only failed to induce ectopic vein cells, but also inhibited endogenous vein formation (Figure 1F), suggesting that activation of the DPP pathway alone is not sufficient for vein differentiation. A similar effect was observed on co-expressing constitutively active DRAF (DRAF\textsuperscript{DD}) and the dominant-negative form of the type-II DPP receptor (PUT\textsuperscript{DN}) (data not shown). These results strongly support a model wherein the vein-differentiation program requires the sustained activation of both pathways (Supplementary Figure S2).
Simultaneous activation of the EGFR and DPP systems could reflect the action of an upstream signal that controls both pathways. Alternatively, the observed co-activation can result from inter-pathway interactions. Our experiments support the latter model. We found that ectopic activation of either of the pathways led to a cell-autonomous increase in the production of the other pathway’s ligand. In particular, the expression of \textit{dpp-lacZ} (\textit{dpp}\textsuperscript{P108,5}), a P-element enhancer trap at the \textit{dpp} locus; Supplementary Figure S3A) was strongly upregulated in clones of cells expressing a constitutively active form of EGFR (Queenan et al., 1997) (Figure 1G–I; Supplementary Figure S3A–H). Furthermore, the DPP pathway similarly triggers EGFR signaling by upregulating \textit{rhomboid} (\textit{rho}) expression, a gene encoding a protease responsible for processing of the secreted ligands that bind and activate EGFR (Urban et al., 2002). Consistent with the mutual cross-activation of both pathways, we found ectopic and cell-autonomous \textit{rho-lacZ} expression in TKV\textsuperscript{DD}-expressing clones (Figures 1J–L and 3 I–S). These results identify an inter-pathway positive feedback loop whereby the EGFR and DPP systems cross-activate each other at the level of ligand production. This feedback loop can account for the observed co-localization of EGFR and DPP signaling in the provein cells (Figure 1A–C). Cell-autonomous activation of the EGFR and DPP pathways suggests that the spatial range of signaling is limited by negative feedback. Previous work argues that this is true for DPP signaling (Sotillos and De Celis, 2005) and is likely true for sSPl (Reeves et al., 2005). Although the mechanism restricting the diffusion of Vein has not been shown, negative feedback through Notch signaling has an important role in downregulating EGFR and DPP signaling in adjacent cells (de Celis et al., 1997) (Supplementary Figures S4 and S5).
The EGFR–DPP positive feedback operates in bistable regime
One of the possible functions of the EGFR–DPP feedback loop is to generate bistability, but this regime will be realized only for a subset of network parameters (Ferrell and Xiong, 2001; Angelu et al., 2004). The ‘on’ state of the positive feedback in the bistable regime would then maintain high levels of both EGFR and DPP signaling. In the absence of positive feedback, transient activation of any single pathway alone would be reversible and insufficient to ensure vein differentiation. However, in the presence of positive feedback, a sufficiently strong transient stimulation of either pathway might generate long-term activation of both pathways, which, as discussed previously, is a requirement for ensuring vein differentiation (Figure 2A–C). It should be noted, however, that the presence of the positive feedback motif is not sufficient for bistability. \textit{In vivo}, the EGFR and DPP pathways are embedded in a more complex network wherein additional interactions can either suppress bistability or lead to more complex dynamics, such as oscillations (Tyson et al., 2003).
To determine whether the EGFF–DPP feedback loop \textit{in vivo} operates in the bistable regime, we tested whether transient activation of either the EGFR or the DPP pathway induces long-term activation of the coupled system. Long-term activation can be assayed in the adult fly (after eclosion, approximately 120 h APF) by ectopic vein differentiation. We used the heat-shock-driven GAL4-UAS system to transiently activate either the DPP or the EGFR pathway by expressing \textit{tkv}\textsuperscript{DD} or \textit{Draf}\textsuperscript{DD}, respectively, during early pupal growth. Although it is currently impossible to study the protein perdurance for TKV\textsuperscript{DD} and DRAF\textsuperscript{DD}, we examined the kinetics of GAL4 expression due to hsp-driven expression of GAL4 (Supplementary Figure S6). For a 30-min heat shock at 37°C,
we found that GAL4 expression is strongest at 20.5 h APF and then decreases to the level of background fluorescence by 22 h APF. We found that transient activation of either pathway at 18 h APF resulted in discrete ectopic vein cells in the adult wing (Figure 2D–F), showing that transient expression of TKVQD or DRAFDN can produce long-lasting activation of both pathways in discrete cells, sufficient for inducing vein differentiation.
Transiently co-expressing a dominant-negative receptor for the second pathway, such as in combinations of TKVQD and EGFRDN or DRAFDN and PUTDN, respectively, not only resulted in significantly fewer ectopic veins, but also disrupted endogenous vein formation (Figure 2D–F). Failure to induce ectopic vein cell differentiation is consistent with a similar effect observed in experiments in which the pathways were perturbed in a persistent manner (Figure 1F). Thus, transient activation of either pathway can induce an irreversible transition from low to high signaling states in the DPP—EGFR-positive feedback circuit, which in turn leads to vein differentiation.
**Symmetry constrains a model on positive feedback between the EGFR and DPP pathways**
The most striking result of the transient-activation assay is the relative symmetry in the number of detected ectopic veins as a function of heat-shock induction time between the DPP...
Table 1 EGFR and DPP signaling are both required for vein differentiation
| Background | Effect on signaling | Effect on vein differentiation |
|------------|---------------------|-------------------------------|
| $EGFR^{DN}$ clones | Loss-of-function EGFR | - |
| $enGAL4/UAS-puf^{DN}$ | Loss-of-function DPP | - |
| $Draf$ or $EGFR^{DN}$ clones | Gain-of-function EGFR | + |
| $tkv^{DN}$ clones | Gain-of-function DPP | + |
| $tkv^{DN}$ and $EGFR^{DN}$ clones | Gain (DPP) + Loss (EGFR) | - |
| $Draf$ and $puf^{DN}$ clones | Gain (EGFR) + Loss (DPP) | - |
Figure 2 Transient EGFR or DPP pathway activation leads to vein differentiation. (A) Model of vein differentiation, which depends on the joint activation of the EGFR and DPP systems and is mediated by positive feedback. (B) Phase plot showing three steady states marked by white circles (stable) or a black circle (unstable). The red and blue lines are the nullclines. (C) Depending on network parameters, transient perturbations (left panel) can lead to irreversible activation of the system (left) or an ‘on’ state (right panel). Parameters for (C): $\omega_x = 1$, $\lambda_1 = 2$, $\lambda_2 = 0.5$, $\mu = 1$ and $\alpha_{xy} = 0.5$. (D) Pupae were heat-shocked for 20 min at 37 °C at 18 h APF. Adult wings of indicated genotypes and a magnified visualization of the boxed region (right) are shown. Transient expression of activated DPP signaling ($TKV^{DN}$) or activated EGFR signaling ($DRAF^{DN}$) by heat shock-induced GAL4, resulted in the formation of ectopic vein cells (discrete darker spots). Transient co-expression of a dominant-negative receptor, $EGFR^{DN}$ or $PUT^{DN}$, suppressed the ectopic vein formation and disrupted the formation of endogenous veins (gap in L4). (E, F) Quantification of ectopic vein induction as a function of heat-shock duration of 18-h APF pupae bearing $hsp70-GAL4$ and the indicated UAS transgenes.
(Figure 2E) and EGFR pathways (Figure 2F). In each case, the growth in the number of ectopic veins and saturation levels of ectopic differentiated vein cells is roughly similar for a given duration of heat shock, which potentially provides insight into the signaling dynamics of the coupled signaling system. As a first step towards exploring this effect, we analyzed a simple mathematical model. As the effects of pathway cross-activation were found to be of cell-autonomous nature (Figure 1, Supplementary Figures S1–S3), a lumped model is appropriate.
In the model, the two components, X and Y, correspond to the DPP and EGFR signaling pathways, respectively (Figure 2A). In the absence of stimuli, each signaling pathway relaxes with a characteristic time constant ($\tau_X$, $\tau_Y$), and increases linearly in amplitude in response to an exogenous input ($U_X$, $U_Y$), corresponding to either constitutively active...
TKV\textsuperscript{G0} or EGFR\textsuperscript{2}, which can be switched on either transiently, as in the heat-shock experiment, or in a sustained manner, as in experiments with the en-GAL4 driver. Cross-activation of either pathway is approximated as a non-linear step function that is triggered when the other component is greater than a certain threshold value ($\Sigma_{XY}, \Sigma_{YX}$). A step function was chosen for the sake of simplicity to limit the number of parameters for the model. Choosing a smoothly varying Hill function ($n > 1$) does not significantly change the results discussed below (Supplementary Figure S7). The amplitude of cross-activation of component X by Y is given by $A_X$, and the amplitude of cross-activation of component Y by X is described by $A_Y$. The model is described by the following equations:
$$dX/dt = -X/\tau_X + A_X H(Y - \Sigma_{YX}) + U_X$$
$$dY/dt = -Y/\tau_Y + A_Y H(X - \Sigma_{YX}) + U_Y$$
The maximal levels of X and Y in the absence of exogenous inputs ($U_X=U_Y=0$) are given by $A_X \tau_X$ and $A_Y \tau_Y$, respectively. Using these to rescale the levels of X and Y, rescaling time by $\tau_X$ ($\tau=\tau/\tau_X$), and both $U_X$ and $U_Y$ by $A_X$ ($u_x=U_X/A_X$ and $u_y=U_Y/A_X$), reduces the number of free parameters in the model:
$$\dot{x} = -x + H(y - \sigma_1) + u_x$$
$$\dot{y} = (-y + H(x - \sigma_2))/\varepsilon - z u_y$$
where $\sigma_1 = \sum_{YX}/A_X \tau_X$ and $\sigma_2 = \sum_{YX}/A_Y \tau_Y$ are the dimensionless cross-activation thresholds, and $\varepsilon = \tau_Y/\tau_X$ is the ratio of relaxation time scales in the two pathways; $\alpha = A_X \tau_X/A_Y \tau_Y$ is the ratio of the maximal levels of X and Y stimulation and provides a measure of the difference in the sensitivity to external inputs for the two pathways.
In the experiments described in the previous section, both pathways were activated by heat shocks of identical duration and it was found that activation of either of the pathways led to ectopic veins, interpreted as the ‘on’ state in our simple model. Analyzing the model, we found that such symmetric responses require that the two pathways operate on similar timescales (shaded gray area in Figure 3A). For a given duration of stimulus that is just long enough to ensure vein differentiation by activating one pathway ($\Delta t_{\text{min}} < \Delta t_{\text{stimulus}} \ll \Delta t_{\text{vein differentiation}}$), the ratio of time scales is bound, even for large values of $\alpha$, which can be viewed as a measure of the differences of the sensitivities of the EGFR and DPP systems to a heat-shock stimulation (Figure 3B).
Thus, we interpret the co-activation state of the EGFR and DPP pathways in the provein cells as the ‘on’ state of the positive feedback system and predict that the two pathways are operating on similar time scales. To test this prediction, we
---
**Figure 3** Symmetry in EGFR and DPP signaling dynamics. (A) Plot of parameter space shows that bounded values for $\alpha$ and $\varepsilon$ allow a stimulus of duration $\Delta t_{\text{min}}$ required to ensure vein induction, given that ectopic activation of either pathway is sufficient. The shaded region includes values of $\Delta t$ and the ratio of time scales, $\varepsilon$, that are consistent with symmetric bistable switching from transient activation of either of the two signaling pathways, X or Y. The cross-activation thresholds, $\sigma_1=\sigma_2=\sigma$, the exogenous signal strength ($u_x$ or $u_y$), and $\varepsilon$ are set to 1. (B) Plot of parameter space showing allowed for a given transient activation of time, $\varepsilon$, is bound and centered on 1, even for a large variation in the sensitivity ratio, $\alpha$. (C) Pupae with transient expression of activated DPP signaling (TKV\textsuperscript{G0}) by hs–GAL4 were heat-shocked for 30 min at 37°C at 18 h APF. Representative pupal wings (left) are shown with pMAD staining (right). (D) Pupae expressing both high and moderate levels of mixed region, right between L4 and L5. (D) Representative 22.5 h APF pupal wing between L4 and L5 with pMAD and dpERK staining of pupae bearing hs70-Ga4l and US–tkv\textsuperscript{G0} after 30-min heat-shock treatment at 18 h APF. (E, F) Quantification of ectopic pMAD-positive cell number in selected boxed areas at different pupal stages for (E) hs70–Ga4l\textsuperscript{G0} (22.5 h APF pupal wings) and (F) hs70–Ga4l\textsuperscript{G0} (24.5 h pupal wings) which were heat-shocked at 37°C for 30 min at 18 h APF. (G, H) Quantification of ectopic dpERK and pMAD intercalaries at different pupal stages of a selected boxed area between L4 and L5 of 18 h APF pupae for (G) hs> tkv\textsuperscript{G0} and (H) hs70–dpERK\textsuperscript{AV} that were heat-shocked at 37°C for 30 min at 18 h APF ($n=4$).
examined the expressions of pMAD and dpERK at various pupal stages after the activation of the two pathways by expressing TKV\textsuperscript{DD} or dRaf\textsuperscript{AN} for a short period of time (30-min heat shock at 18 h APF, Figure 3C). Co-staining of pMAD and dpERK shows strong co-localization (Figure 3D). The number of ectopic pMAD-positive cells as well as intensity levels of pMAD and dpERK show similar temporal dynamics (Figure 3E–H) when ectopically stimulating either the DPP or the EGFR pathway, consistent with the model’s prediction of equal pathway decay rates and stimulation sensitivities. The ‘off’ state of low PMAD/low dpERK is similarly reached by transiently downregulating either the EGFR or the DPP signaling pathways. The switching dynamics to the ‘off’ state are also symmetric with respect to perturbations of either pathway (Supplementary Figure S8).
**Conclusions**
To summarize, we have shown that vein cell differentiation requires simultaneous activation of both the EGFR and DPP pathways (in contrast to an earlier model (Sotillos and De Celis, 2005), which emphasizes the importance of DPP signaling in regulating differentiated veins). Our results strongly suggest that their synchronous activation is mediated by a bistable positive feedback loop that is formed by the stimulated production of each other’s ligands. A phenomenological model of the system, constrained by the observed symmetric irreversible switching between the two states of differentiation, gives predictions on the bounds of system parameters. In particular, the observed symmetry in vein differentiation and signaling dynamics after equivalent short pulses of heat shock suggests that both pathways signal at similar rates, irrespective of the relative sensitivity of either pathway to heat shock.
Although our data suggest that the EGFR–DPP system can function as a vein-differentiation module throughout the pupal wing, further work is required to explore its region-specific regulation. For example, the loss of veins in response to transient inhibition of EGFR and DPP systems is limited to vein 4 in the heat-shock experiments (Figure 2D), indicating that the essential requirement of both the EGFR and DPP pathways in vein differentiation might be applicable to a subset of proveins. Our study highlights the subtleties associated with establishing the presence of bistable regimes in development, and the usefulness of simple phenomenological models to make prediction on signaling dynamics based on regulatory network topology.
One surprise from the heat-shock experiments was the decrease in the cluster size of ectopic pMAD/dpERK cells at long time periods (Figure 3C–E), suggesting a negative feedback signal, which limits the spread of diffusing ligands. One such negative feedback mechanism is Notch signaling, which is found in the proveins on either side of pMAD-expressing cells (Supplementary Figure S4A–C). In support of this model, we found that flip-out clones of TKV\textsuperscript{DD} induced ectopic N expression in the cells (2–3 cells in the radial direction) surrounding TKV\textsuperscript{DD}-expressing cells (Supplementary Figure S4D–J). Furthermore, ectopic N\textsuperscript{EGFR} clones lead to ectopic vein differentiation and increased pMAD signaling (Supplementary Figure S5A–L). However, N\textsuperscript{I} clones lead to loss of pMAD (Supplementary Figure S5M–O). On the basis of the initial spread of ectopic pMAD cells at intermediate time points, the negative feedback created by increasing N levels must be operating at a slower time scale (Supplementary Figure S5P).
**Materials and methods**
**Fly strains and genetics**
Stocks used in the study are: UAS-\textit{dRaf}\textsuperscript{AN} (\textit{tkc2531}) (Nellen \textit{et al.}, 1996), UAS-\textit{TKV}\textsuperscript{DD} (Baldissini and Perrimon, 1994), UAS-\textit{EGFR}\textsuperscript{DD} (Freeman, 1996), UAS-\textit{puf}\textsuperscript{AN} (\textit{pun}\textsuperscript{AN}) (Haerty \textit{et al.}, 1998), UAS-\textit{EGFR}\textsuperscript{AN} (Queenan \textit{et al.}, 1997), UAS-\textit{rho} (Xiao \textit{et al.}, 1996), UAS-\textit{N}\textsuperscript{EGFR} (provided by S Artavanis-Tsakonas), UAS-\textit{N}\textsuperscript{I} (provided by S Artavanis-Tsakonas), UAS-\textit{dpp} (424B, Bloomington), \textit{rhoAA69} (Nambo \textit{et al.}, 1990), and \textit{hsp70-GFP}, \textit{ACTSC>gfp} (provided by T Schüpbach). To express UAS transgenes in random clones, we crossed \textit{hsp70-Gfp; ACTSC>gfp > GAL4 UAS-GFP} flies to UAS transgene flies and raised the progenies at room temperature (22 °C). Details are included in the Supplementary information section. In short, we induced clones in the respective tissues at 96–120 h after egg laying (AEL, corresponding to late third-instar stage) by heat shock for 20 min at 37 °C in a water bath. This heat-shock regimen resulted in clone induction at the late third-instar stage, ensuring a large enough clone size without affecting A–P patterning or provein cell fate determination as UAS transgenes are not immediately expressed in hip-out cells when vein determination takes place (data not shown).
**Immunocytochemistry and imaging**
The following primary antibodies were used: monoclonal mouse anti-\beta-gal (1:1000, Promega), rabbit anti-pMAD (1:100, PSI, provided by P ten Dijke and C-H Heldin), monoclonal mouse anti-dpERK (1:200, Sigma), monoclonal mouse anti-Notch (C17.9C6, 1:100, DSHB), and mouse anti-GAL4 (UBI). Rabbit RKS11, Santa Cruz Biotechnology). The following secondary antibodies were used: goat anti-mouse Alexa Fluor 488, 546 and 660 (1:200, Molecular Probes) and goat anti-rabbit Alexa Fluor 660 (1:200, Molecular Probes). Immunostaining of imaginal discs was carried out as described in Yan \textit{et al.} (2004), and detailed notes are provided in the Supplementary information text. Fluorescence images were obtained using a Leica TCS confocal microscope and quantified by Photoshop image analysis. Adult wings were mounted in Halocarbon oil (Sigma) in order to preserve GFP activity, images were photographed using a Zeiss Axioptot microscope.
**Supplementary information**
Supplementary information is available at the \textit{Molecular Systems Biology} website (www.nature.com/msb).
**Acknowledgements**
We thank Drs S Artavanis-Tsakonas, S Blair, D Bohmann, T Korberg, J Nambu, T Schüpbach, P ten Dijke, C-H Heldin, and the Developmental Studies Hybridoma Bank (DSHB) at University of Iowa, and the Bloomington Stock Center for fly stocks and reagents, and all the members of the Bohmann, Fleming, and Jasper, and Li laboratories for helpful discussions. We also thank Drs H Land, L Silver-Morse, R Angerer, G Fitzpatrick, D Bohmann, R Fleming, and G Reeves for suggestions. Research on the paper by JZ is supported by the Fannie and John Hertz Foundation and the Princeton Postdoctoral Fellowship. AS received the deKiewiet Fellowship at University of Rochester. This study was supported in part by NIH grants (R01GM070746, R01GM65774), an American Cancer Society Research Scholar Grant (RSG-06-196-01-TBE), and a Leukemia & Lymphoma Society
Career Development Program Scholar Grant (1087-08) to WXL. This work has been supported by NIH grants P50 GM071508 and R01 GM078079 to SYS.
Conflict of interest
The authors declare that they have no conflict of interest.
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Household-level effects of providing forecast-based cash in anticipation of extreme weather events: Quasi-experimental evidence from humanitarian interventions in the 2017 floods in Bangladesh
Clemens Gros\textsuperscript{a,}\textsuperscript{*}, Meghan Bailey\textsuperscript{a,b}, Saroja Schwager\textsuperscript{c}, Ahmadul Hassan\textsuperscript{a}, Raymond Zingg\textsuperscript{d}, Muhammad Mamtaz Uddin\textsuperscript{d}, Mohammad Shahjahan\textsuperscript{d}, Hasibul Islam\textsuperscript{d}, Stefanie Lux\textsuperscript{e}, Catalina Jaime\textsuperscript{f}, Erin Coughlan de Perez\textsuperscript{a,g,f}
\textsuperscript{a} Red Cross Red Crescent Climate Centre, Anna van Saksenlaan 50, 2593 HT, The Hague, the Netherlands
\textsuperscript{b} Environmental Change Institute, University of Oxford, 34 Broad Street, Oxford, OX1 3QD, UK
\textsuperscript{c} International Research Institute for Climate and Society, Earth Institute, Columbia University, Palisades, NY 10964, USA
\textsuperscript{d} German Red Cross Bangladesh, 684-686 Red Crescent Sarak, Bara Moghbazar, Dhaka, 1217, Bangladesh
\textsuperscript{e} German Red Cross, Carstenstr. 58, 12205, Berlin, Germany
\textsuperscript{f} Institute for Environmental Studies (IVM), VU University, De Boelelaan 1087, 1081 HV, Amsterdam, the Netherlands
ARTICLE INFO
Keywords:
Cash transfer
Climate adaptation
Vulnerability
Forecast
Floods
Bangladesh
ABSTRACT
In 2017, Bangladesh experienced the worst floods in recent decades. Based on a forecast and pre-defined trigger level, a Red Cross Red Crescent project distributed an unconditional cash grant of BDT 5000 (USD 60 equivalent) to 1039 poor households in highly vulnerable, flood-prone communities in the Brahmaputra river basin before an early flood peak. Systems that can deliver forecast-based cash grants are a potential adaptation strategy to deal with changes in extreme events linked to climate change. This paper presents the results of a mixed-methods, quasi-experimental study, based on a post-disaster household survey. The research assesses the effectiveness of the forecast-based cash distribution in helping beneficiaries take preparatory early actions and reduce the negative impacts of the flood on their health, well-being, assets and livelihoods. The assessment shows that the cash grants contributed to improving households’ access to food, a reduction in high-interest debt accrual of vulnerable households, and reduced psychosocial stress during and after the flood period, compared to a control group of similarly vulnerable and flood-affected communities that did not receive the forecast-based cash assistance. The intervention may also have prevented households from being forced to make destitution sales of valuable assets, as indicated by qualitative data collected in July, but we do not see these benefits sustained after a second flood peak in August 2017. There is a need for further research to assess the longer-term effects of forecast-based cash on the socio-economic development and well-being of the most vulnerable.
1. Introduction and literature review
Forecast-based Financing (FbF) refers to the use of weather forecast and risk data to trigger funding for action before a disaster event or before acute impacts are experienced by the population at risk [1]. It is an innovative approach in the humanitarian sector to reducing disaster impacts through anticipatory action, rather than waiting to initiate action in a post-disaster response capacity [2]. FbF builds on an extensive body of Early Warning Early Action (EWEA) work within the humanitarian sector and was born out of considerable institutional learning on implementing early actions based on early warnings [3–6].
Forecasts have been used successfully to inform early warnings across a growing set of hazards and time scales. The range and extent of anticipatory actions taken typically varies with the forecast’s lead time and thus the degree of uncertainty: storms and cyclones are short-term risks that can be forecast with relatively high skill; actions based on early warning systems in cyclone-prone areas have saved millions of lives and prevented significant damage, in part because affected populations can act when they know with near certainty that a cyclone is imminent to strike [7,8,9,39]. Based on weather forecasts, as many as...
800,000 people were evacuated within the 48 h before Cyclone Phailin made landfall in India in 2013 [10]. These large-scale anticipatory measures are less feasible in the context of long-term risk or when forecasts have high uncertainties, as is often the case for floods, especially in data-scarce areas. However, there are a number of risk reduction actions that can be taken at a seasonal level to help prevent disaster losses during months. In the Sub-African regional office of the International Federation of Red Cross and Red Crescent Societies (IFRC), disaster management supplies were sourced ahead of time based on a 2008 seasonal forecast of above-normal rainfall. The anticipatory action improved the supply availability from about 40 days to two days when flooding did occur in the region [11]. In other locations, volunteers have used information about heightened risk at seasonal time scales to reinforce latrines to reduce the risk of diarrheal disease outbreaks when above-normal rainfall is likely to occur [12].
The number of successful examples of institutionalized early warning systems in the development and humanitarian sectors is growing; prominent examples include the regional Famine Early Warning System Network [13] and the Global Framework for Climate Services [14]. Heatwave early warning systems tend to have longer lead times and also trigger action to reduce mortality, but these are more frequent in developed countries [15–17].
Previously, the ability to release humanitarian funds based on a forecast and within the lead time afforded by a forecast was a significant barrier to effective implementation. With FbF, the financing mechanism enables an automated release of funds in anticipation of an extreme weather event to implement predefined actions through an Early Action Protocol (EAP). In the EAP, all involved parties pre-agree on a set of actions, the forecast-based trigger that initiates them, how they are to be implemented and by which institutional actors [1]. In doing so, decisions are automatic once a disaster event of a specified magnitude is forecasted above a specified threshold of probability, which allows actors to make the best use of limited lead-times, avoid making rushed decisions, and better enables plans to be made with sufficient consultation of stakeholders.
Bangladesh is one of the most disaster-prone countries in the world and highly vulnerable to climate change because of its geophysical settings. Investments in flood forecasting in the country have enabled strong early warning systems, including impact-based forecasting, flood damage functions to anticipate who will be flooded in any given event [18], and warnings for at-risk communities [19–21]. Such early warning systems to reduce disaster impacts are a key strategy to address the rising risks due to climate change [22].
Based on well-developed early warning systems, Bangladesh was one of the first countries to operationalize FbF and the first ever to implement a forecast-based cash distribution in anticipation of a natural disaster due to flooding. The district of Bogra is located in the northern part of Bangladesh within the Brahmaputra basin, the country’s biggest river. Flooding is an annual recurring event during the monsoon season, when 80% of the annual amount of rain falls. Two to three weeks after peak rainfall in July, the rivers in the Jamuna/Brahmaputra basin reach their maximum discharge [23], in an area that is prone to severe flooding and waterlogging, constituting one of the most vulnerable and fragile ecosystems in the country.
Poor and landless families are most severely impacted by the floods as they regularly settle on temporary islands known as chars, riverine sand and silt land masses which are created and older ones washed away by the river [20]. River flooding therefore acutely threatens the assets and livelihoods of entire communities in northern Bangladesh if they are unable to evacuate before the floods occur [24]. The population has developed a level of resilience and adapted their livelihood strategies to the flood patterns [25,26]. However, in some years the magnitude of the floods far exceeds the usual area covered and the coping capacity of communities, leading to the destruction of homes, assets and crops. Floods in Bangladesh have been linked to physical and mental illness in affected populations, as well as economic losses and damage to infrastructure [18,24,27].
While conditional and unconditional cash transfers to assist vulnerable populations have long become widely used in development programs [28], their deployment in humanitarian relief is a more recent phenomenon. Although there are examples of cash being provided as a form of emergency assistance as early as the 1980s, the use of cash for disaster response has started to increase significantly since the early 2000s, along with the number of studies and evaluations commissioned by humanitarian agencies and donors on the topic [29].
This Bangladesh study is part of the Action Plan of the German Federal Foreign Office for humanitarian adaptation to climate change. It aims to assess the effectiveness of forecast-based cash distributions in helping vulnerable populations to take preparatory early actions, and to prevent and reduce negative natural disaster impacts on their health, well-being, assets and livelihoods. It was implemented in the FbF pilot phase during which project countries focused on small-scale interventions to test and refine the approach. The FbF project in Bogra district subject to this study was piloted by the Bangladesh Red Crescent Society (BDRCS), with support from the German Red Cross (GRC) and technical assistance from the Red Cross Red Crescent Climate Centre (RCCC).
The expected benefits of forecast-based cash in advance of flooding in Bogra were identified based on community-level consultations, a literature review, and consultations with RCCC, GRC and BDRCS staff. In this paper, we test the hypothesis that households who receive forecast-based cash before the flood are better able to evacuate, flood-affected areas when needed, make fewer destitution sales of valuable assets to cope with the flood impacts, accrue fewer debts during the flood period, consume more and better-quality food, experience less psychosocial stress, suffer less from diseases in the aftermath of the flood, and resume productive activities sooner than non-FbF-assisted households after the flood period.
2. Methods
2.1. Forecast-based cash eligibility criteria, trigger methodology and selection of early actions
The eligibility of households to be included as beneficiaries in the FbF project was assessed based on a vulnerability score for each household using six criteria: the quality of the housing structure; level of inundation during previous floods; monthly expenditure; number of household members who are children, elderly, or disabled; being a female-headed household, widowed or divorced, and livelihood strategies. About 50% of households in the survey area primarily pursued an off-farm day labor business, 13% had small-scale farm enterprises on their own land, while five to six per cent are sharecroppers. The livelihood sources of the remaining households included other small-scale agriculture, petty trading, other informal activities, social protection payments and remittances. The 1045 most vulnerable households from across the four communities were selected as beneficiaries for the FbF intervention.
An unconditional cash transfer of BDT 5000 (USD 60 equivalent as of 1 July 2017) was selected as the most viable forecast-based action, in
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1 Supplementary Material, Table S1 provides the details of the vulnerability scoring system; Fig. S1 contains an overview of the main livelihood sources across the intervention and comparison households. There are no statistically significant differences between the intervention and comparison groups.
consultation with the beneficiary population,\(^2\) for the following reasons: (1) many of the likely flood impacts identified in the community focus group discussions could be addressed by the availability of cash; (2) the BDRCS and GRC in-country teams had experience with post-disaster cash distributions and at the time BDRCS was receiving cash readiness support such that they felt able to anticipate forecast-based cash distributions; (3) there is strong evidence in the literature on the value of unconditional cash transfers [28]; and (4) no other action being considered appeared to have greater benefits than an unconditional cash distribution. The cash amount was determined broadly following the BDT 5400 monthly average value of the 2016/2017 Minimum Expenditure Basket (MEB) for Northwest Bangladesh, and in consultation with Bangladesh’s Cash Working Group (Cash Working Group in Bangladesh, 2017). In 2017, the working group recommended a Multi-Purpose Cash Grant (MPCG) of BDT 4,000, later revised to BDT 4,500, to cover 75% of the average MEB in the aftermath of any disaster (Cash Working Group in Bangladesh, 2018). The MPCG value is based on a review the Government of Bangladesh *Cash Assistance Packages* for humanitarian crisis and a Household Economic Approach (HEA) study of *char* and river basin communities in Northwest Bangladesh [30]. The amount of FbF cash per household is thus set between the MPCGs of BDT 4500 and the MEB of BDT 5400.
Based on a review of secondary data and a household survey in early 2016, four flood-prone communities with the highest concentration of vulnerable households were selected as FbF intervention communities in Bogra district, with two of the communities located on *char* islands and two communities on the banks of the Brahmaputra river (see map, Fig. 1 below). The beneficiary communities would only receive the intervention in the event that a forecast of an extreme weather event triggered the activation of the program.
The trigger for the intervention was based on a hydrological model for fluvial inundation which takes into consideration upstream conditions, rather than rainfall within the program area. River gauges were installed in each of the four selected communities and their readings correlated with an official gauge station in Sariakandi of the Bangladesh Flood Forecasting and Warning Centre (FFWC). In early 2017, the GRC in-country team adjusted the trigger points for flood events to allow for an increased preparatory time ahead of the flooding. A trigger was considered to be reached when the flood crossed the pre-determined Danger Level (DL) and stayed above the DL for at least three days.
### 2.2. Triggering of forecast-based cash distributions during the 2017 floods in Bangladesh
Beginning in June 2017, heavy monsoon rains throughout the region, including Bangladesh, India, Nepal and Bhutan, created severe riverine flooding. In Bangladesh, the network of rivers overflowed their banks in areas covering one third of the country; this was considered to be the worst flooding in Bangladesh in the past 30–40 years [23]. Flash flooding and landslides also occurred throughout the affected areas. The National Disaster Response Coordination Centre (NDRCC) reported almost 6.9 million people affected, with 114 people reported dead and at least 297,250 people displaced. Approximately 593,250 houses were destroyed [23].
Observations of upstream flooding across borders improved the ability to anticipate peak flood impacts downstream in Bangladesh – especially in the Ganges, Jamuna and Brahmaputra rivers. There were multiple flood peaks in the Brahmaputra river, with the most severe flooding occurring in mid to late August. The FbF pilot project in Bogra district triggered for an earlier flood peak between 4th and 9th July 2017. While the danger level crossed the predetermined threshold again in August, a second triggering for the next peak was not initiated because early action for multiple peaks was not part of the pre-defined standard operating procedure at the time and resources were not available for a second activation. This experience has informed the development of improved trigger models.\(^3\)
The Bangladesh Red Crescent Society, through a collaboration with the Post Office, implemented the cash distribution to a total of 1039 pre-registered beneficiaries in the four intervention communities between 7th and 11th July 2017; this was seven days before the flood peak in Kamalpur, five days ahead of the flood peak in Kazia, while in Bhandarbari 68.7 as well as Bhandarbari 3 cash was distributed four and three days in advance of the flood peak, respectively. The peak flood level occurred on 14 July which was also the median evacuation date of the sample households.
### 2.3. Study design
The flood-related activation of FbF in Bangladesh’s Bogra district in July 2017 was accompanied by an empirical, quasi-experimental study to estimate the impact of the forecast-based provision of cash (the intervention) on the target population of vulnerable households. The assessment sought to test the pilot project’s hypotheses about the expected benefits of the FbF cash distribution as summarized in the introduction.
The project resources were sufficient to assist four at-risk communities only. Therefore, in the flood-prone area, the intervention was assigned to four communities based on their vulnerability profile. For the purposes of this study, four nearby communities with a similar vulnerability profile were selected to serve as the comparison group that would constitute the counterfactual. In the intervention communities, the 1039 most vulnerable households who received forecast-based cash assistance constitute the intervention group of the study. In the comparison communities, the same vulnerability criteria as described in section 2.1 were applied to select the most vulnerable households to be eligible for inclusion in the survey sample; they constitute the comparison group that did not receive FbF cash assistance.
A random sample of 410 households was drawn from the
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\(^2\) First, a long-list of early actions was generated via community level consultations. Multiple focus groups were organized to discuss previous flood impacts, indigenous coping strategies, livelihoods and adaptive actions and response interventions they had experienced in the past. The early actions considered by the communities included: (1) Unconditional cash as the most fungible resource; (2) fortifying homes with rope and bamboo; (3) distributing saline, food (rice, lentils, potato, oil) and fodder; (4) temporary latrines and tube wells; (5) vaccines for livestock; (6) containers to keep items dry above water; (7) after evacuation: standard relief items, including tarps/tenis, fuel jelly cans, mosquito nets, blankets for persons developing fever problems; candles, kerosene, cooking tools; (8) food for fish farmers; (9) nitrogen fertilizer to protect harvested yields. During these consultations, a number of impact areas were brought forward that the FbF intervention could aim to mitigate: Taking out high-interest loans for need of emergency cash; selling assets at destitution prices to access cash; experiencing water-borne disease; losing privacy/dignity while evacuated; having assets stolen from the homestead while in evacuation; inability to pay for boat transport to evacuate; and meal reduction and drinking dirty water came out as strong recurring themes in each of the focus groups.
\(^3\) Apart from the FbF trigger early in the monsoon season, an IFRC Emergency Appeal was issued and approved for the Bangladesh floods with CHF 4,813,498 released on 23 August 2017. This enabled the Bangladesh Red Crescent and IFRC to provide 100,000 vulnerable persons with support in health, shelter, relief items, water, sanitation and hygiene, food security and livelihoods. By the end of August, as the flood levels were receding, the number of affected persons in the country was estimated at 8.1 million, with 140 people dead, 7,000 damaged or destroyed homes, 4,680,000 ha of inundated farmland and widespread damage to roads and embankments (see [http://media.ifrc.org/ifrc/2017/08/28/millions-flood-affected-people-bangladesh-live-life-uncertainty-despite-decreasing-water-levels/](http://media.ifrc.org/ifrc/2017/08/28/millions-flood-affected-people-bangladesh-live-life-uncertainty-despite-decreasing-water-levels/), accessed on 1 August 2018). The crisis added additional pressure on displaced persons, including Rohingya refugees, both in terms of the flood-related impacts they experienced as well as reducing the capacity of state and non-state actors to provide them with ongoing support.
intervention and comparison groups and interviewed during a baseline survey that was conducted in May 2016 to gather socio-economic background data on variables that could potentially mediate the effect of the intervention on outcomes. A follow-up household survey was carried out in early October 2017, approximately one month after the flood waters had receded. 390 complete responses were collected, 174 (or 45%) from intervention households and 216 (55%) from comparison households. For both surveys, BDRCS volunteers were trained on a structured questionnaire and deployed to the field using Open Data Kit (ODK) as a mobile data entry and management platform.
Qualitative data was collected by means of 16 focus group discussions and 16 key informant interviews in intervention and comparison communities, conducted in late July 2017, at a time when many households were still experiencing direct flood impacts but before the second flood peak in August 2017.\(^4\) The purpose of the qualitative data collection was to triangulate the quantitative information about people’s experiences during the flood period, to generate a deeper understanding of the early warning information they had access to, the early actions they took and the impacts they experienced.
### 2.4. Addressing potential bias due to confounding factors
Table 1.a shows that the FbF-assisted households and non-FbF-assisted households are comparable on most socio-economic key variables. However, there were several significant differences in these pre-treatment covariates: The intervention group appears to be more vulnerable on several economic indicators. FbF-assisted households live in lower quality housing than comparison households and prospective land ownership is significantly more prevalent among comparison households than among intervention households, although the average monthly cash income of both groups is nearly identical, around 5000 Bangladeshi Taka. A greater proportion of FbF-assisted households were headed by a woman, indicating potentially more fragile livelihood conditions. However, the primary school completion rate among intervention households was more than double that of comparison households (13.2 vs. 6.0%). The correlation between the two variables, sex of the household head and educational attainment, is weak and statistically insignificant in this sample.
There is a significant difference between intervention and comparison households regarding the location of their houses from the relative flood safety of the embankment. The houses of the intervention group are an average of 806 m away from the nearest embankment (median distance: 524 m), compared to 285 m for the comparison group (median distance: 91 m). This could mean that the evacuation of the household in the event of flooding is logistically and financially more demanding of intervention households as compared to non-FbF-assisted households.
Given the differences in pre-treatment covariates, propensity score matching (PSM) was used to reduce bias due to potentially confounding
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\(^4\) The use of BDRCS volunteers as enumerators constitutes a potential source of bias in the survey data. The respondents in the intervention communities may have felt reluctant to share criticism openly with representatives of the organization that provided the pre-flood assistance, and the BDRCS volunteers may have had a - conscious or unconscious - predisposition for recording the most favorable feedback possible. While the enumerator training sought to minimize this potential bias and the authors carefully analyzed the data with this caveat in mind, an influence on the results cannot be ruled out.
\(^5\) Focus group participants comprised randomly selected members of the most vulnerable groups: landless, elderly, disabled, and laborers. Discussions were brought together separately by age and gender, i.e. younger and older, men and women groups were convened separately. Key informants were selected based on their roles and access to information during and after the flood period: health centre staff and community health committee members; disaster management committee members; local agricultural office and livestock department staff; women’s group or other active civil society group leaders; as well as boatmen and shopkeepers.
variables. Non-matching observations were dropped from the dataset.\(^5\)
Table 1.b shows the differences in covariate means after the propensity score matching. Note that the total number of complete observations was reduced from \(N = 396\) to \(N = 348\) matching units between the intervention and comparison group. The PSM procedure has effectively eliminated the significant difference in variables related to housing structure, to a lesser extent, land ownership. However, the other differences remain as discussed above and are statistically significant. The review of covariates confirms that the FbF project appropriately targeted the most vulnerable households and suggests that the intervention group is likely to be significantly more vulnerable than the comparison group. Other research has confirmed that the \textit{char} island dwellers, in addition to facing natural hazards such as floods and soil erosion, are subject to complex power dynamics, discrimination [34] and forced displacement [35]. This caveat regarding the difference in vulnerability must be considered when interpreting the survey results.
3. Results and discussion
The post-disaster survey data, together with the qualitative information collected from intervention and comparison households, was used to test the hypothesis about the expected benefits of the FbF cash distribution in Bogra district in anticipation of the flood.
3.1. Uses of FbF cash
Beneficiary households were asked what they used the FbF cash for, how much they spent and when they made the majority of their purchases. Fig. 2 shows that almost all beneficiaries (92%) spent a portion of their cash grant on food; two thirds of the intervention group (65%) used FbF money to pay for health expenses; and nearly half of the beneficiaries (45%) purchased non-food items (NFIs) such as soap, jerry-cans, house clothing. One third (35%) spent some FbF cash towards evacuation costs, including boat transport and hiring labor to help move household items or livestock.
Beneficiaries who spent FbF cash on food or evacuation expenses used almost half of the value of their BDT 5000 cash grant towards these purposes (on average BDT 2337 and 2332 respectively; Supplementary Material, Fig. S2). The asset purchase category, which included livestock such as goats, fishing equipment or tin sheets, registered the highest spending by individual households with an average expenditure of BDT 3,540, and was only surpassed by debt repayments with BDT 3844. However, since only one in ten beneficiary households (9%) used the FbF cash to buy assets and one in twenty beneficiaries (5%) paid back debts with FbF resources, the amounts spent on these purposes are almost negligible when weighted by the proportion of beneficiaries who spent FbF cash on the respective categories and when compared to the amounts spent on food (Fig. S3). Nearly 90% of the FbF recipients spent the majority of their cash assistance before the flood peak, indicating that the additional resources were put to use immediately in support of preparatory actions and coping strategies.
3.2. Household-led early actions
The decision and timing to take early actions, including to evacuate may depend on whether the household received an early warning of the impending flood. The data show that virtually all households in intervention and comparison communities (99%) received an early warning. FbF-assisted households on average three days earlier than comparison households (7 July 2017 vs. 10 July 2017), mainly through BDRCS volunteers in conjunction with the cash distribution.\(^6\) The most important sources of early warnings were word of mouth, radio/TV, and people’s flood experience from previous years.
Fig. 3 shows the early actions that households took in anticipation of the flood; the following differences between the two groups are statistically significant: 57% of FbF beneficiary households purchased food compared to 38% of comparison households. The proportion of households who reinforced the roof or walls of their house is almost twice as high in the intervention group (32%) compared to the group who did not receive FbF cash assistance (17%). Strikingly, almost one fifth of the comparison group indicated that they did not take any early action, compared to only seven per cent of intervention group households who did not act early. Among those who did not take any early actions, 70% of the comparison households said that they did not think the warning was correct, compared to only 25% among beneficiary households (Supplementary Material, Table S4). This may point to the greater trustworthiness of BDRCS volunteers as a source of early warning compared to TV/radio or other means of communication.\(^7\)
The ability to evacuate the entire household from the flood-affected areas when needed can be assessed by analyzing (a) whether households evacuated or stayed, (b) how timely the relocation occurred (sooner than later) and (c) how it was financed which will be assessed further below.
86% of FbF-assisted households evacuated their homes entirely in response to the rising flood waters, compared to 76% of comparison households.\(^8\) While intervention households evacuated a day earlier than non-FbF-assisted households on average, there is no significant difference when comparing the median evacuation dates and times. Therefore, it appears to be unlikely that the timing of the early warning influenced the timing and decision to evacuate the household in its entirety. Differences observed in evacuation times may also be due to the location of the communities and the individual households regarding their elevation and flood exposure.
The results from the logistic regression analysis presented in Table 2 confirm a strong positive and statistically significant effect of FbF assistance on the odds of households evacuating the flood-affected areas. The effect persists when controlling for other factors that may influence the necessity and ability of households to relocate. Note that the intervention households are generally located farther from the relative safety of the embankment than comparison households, as noted above. When controlling for the household distance from the embankment, the effect of FbF assistance on the odds of evacuating is reduced from a 90% increase (model 1) to a 74% increase (model 2) but remains strong and significant. The other predictor variables do not significantly affect the log odds of evacuation.
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\(^5\) A propensity score was estimated for each survey respondent, indicating the predicted probability of receiving FbF assistance, based on a logistic regression model with a binary treatment/non-treatment outcome variable and independent variables as listed in Fig. 4 below. In a second step, a nearest neighbor matching algorithm was executed whereby comparison matches are chosen for each treated unit one at a time, selecting the comparison unit that is not yet matched but is closest to the treated unit on the distance measure (smallest difference in propensity scores).
\(^6\) The difference between the two groups in the timing of the early warning was not intentionally designed. It is partially explained by the distribution of FbF cash between 7th and 11th July 2017 when warnings may have been issued by the BDRCS who managed the distribution process. However, only 45% of beneficiary households indicated that a warning came from a (BDRCS) volunteer, among other sources (Supplementary Material, Table S2), and only a small majority of 57% of intervention households were warned on or before 7th July. It did not have a significant effect on households’ ability to evacuate the flood area.
\(^7\) Fig. 3 also indicates that sixty per cent of beneficiary households started to evacuate individual household members after having received the early warning, compared to 54% of non-beneficiaries, although this difference is not statistically significant; this also applies to the remaining early action categories.
\(^8\) The difference between the two groups is statistically significant (p-value = 0.02).
Table 1
Comparison of sample means before and after propensity score matching; intervention = FbF assistance (statistically significant differences in bold print).
| Variables | a. Before propensity score matching | b. After propensity score matching |
|----------------------------------|------------------------------------|-----------------------------------|
| | Intervention | Comparison | p-value | Intervention | Comparison | p-value |
| Age of household head | 49.99 | 49.26 | 0.62 | 49.99 | 49.74 | 0.87 |
| Size of the household | 4.30 | 4.34 | 0.86 | 4.30 | 4.40 | 0.83 |
| Woman-headed household | 27.0 | 16.7 | 0.01*** | 27.0 | 19.0 | 0.08* |
| Education attainment | | | | | | |
| No formal education | 14.9 | 14.4 | 0.87 | 14.9 | 16.1 | 0.77 |
| Some primary | 17.2 | 22.7 | 0.18 | 17.2 | 18.4 | 0.78 |
| Completed primary | 13.2 | 6.0 | 0.02** | 13.2 | 7.5 | 0.09* |
| Some secondary | 28.7 | 27.8 | 0.94 | 28.7 | 28.7 | 1.00 |
| Completed secondary | 14.4 | 16.7 | 0.53 | 14.4 | 17.2 | 0.46 |
| Any post-secondary | 11.5 | 12.0 | 0.87 | 11.5 | 12.1 | 0.87 |
| Housing structure | | | | | | |
| Kutcha | 76.4 | 67.1 | 0.04** | 76.4 | 71.8 | 0.53 |
| Single roofing | 23.0 | 31.0 | 0.07* | 23.0 | 26.4 | 0.46 |
| Semi paeca | 0.6 | 1.9 | 0.24 | 0.6 | 1.7 | 0.32 |
| Land tenure | | | | | | |
| Landless | 51.2 | 45.1 | 0.11 | 51.2 | 49.2 | 0.75 |
| Don’t own any land, lease some land | 28.3 | 11.1 | 0.00*** | 28.3 | 13.8 | 0.01*** |
| Own some land and lease some land | 5.7 | 7.4 | 0.51 | 5.7 | 8.1 | 0.40 |
| Own land and don’t lease any to others | 10.9 | 20.8 | 0.01*** | 10.9 | 20.1 | 0.02** |
| Own land and lease some land to others | 5.7 | 17.6 | 0.00*** | 5.7 | 8.6 | 0.30 |
| Monthly household income (Taka) | 5046 | 5488 | 0.11 | 5046 | 5454 | 0.19 |
| Received any remittance | 26.4 | 19.9 | 0.15 | 26.4 | 19.5 | 0.13 |
| Distance from embankment (meters)| 806 | 285 | 0.00*** | 806 | 332 | 0.00*** |
| N | 174 | 216 | | 174 | 174 | |
Note: *p < 0.1; **p < 0.05; ***p < 0.01.
Fig. 2. Proportion of intervention beneficiaries who spent FbF cash, by spending category (multiple mentions possible; total can be greater than 100%).
The evidence points towards a confirmation of the effectiveness of FbF in helping households to evacuate in a timely manner when needed. However, reliable household-level data on the impact of the flood, such as rising water levels over time, are not available. Therefore, the observed evacuation patterns cannot be assessed in relation to the de facto urgency and needs the effectiveness of FbF in this regard can be confirmed with a note of caution only.
3.3. Destitution sales of valuable assets to cope with the flood impacts
Selling valuable household assets, such as furniture, cookstoves or livestock, in exchange for money or food is a common coping strategy in times of crisis. The survey data showed that 20% of households in FbF-assisted communities and 23% of households in comparison communities sold any type of valuable asset. The difference between the two groups is not statistically significant (p-value = 0.251). The majority sold their cook stove, others a variety of goods such as goats, chickens or jute fibers. For example, a male focus group participant in a comparison community shared that “I sold my goat to manage the money. I got 1000 taka less price than the usual”.
There is a revealing discrepancy between the quantitative and the qualitative findings regarding destination sales: In the 16 community focus group discussions that were held in the four intervention and four comparison communities in late July 2017, before the second flood peak in August 2017, the sale of valuable assets - predominantly livestock - was only mentioned three times by FbF beneficiaries and 18 times in the discussions with comparison community groups. By the time the quantitative survey was conducted in early October 2017, all households had
experienced a second flood peak in August 2017 and a significant difference between the two groups in undertaking destitution sales was not detected anymore.
Therefore, there is not enough evidence from the Bangladesh FbF project to conclusively confirm or disprove the effectiveness of FbF cash to prevent destitution sales. In this study, we did see an indicative difference between the intervention and the comparison group in their behavior to sell valuable assets in response to the first flood peak, but not to the second flood described in section 2.2. It is also important to note that the intervention group was considerably more vulnerable than the comparison group based on the differences in their housing conditions, productive land ownership and proportion of women-headed households which could have influenced these results.
### 3.4. Debt accrual during the flood period
In addition to selling valuable assets, households may take out new loans to finance immediate needs during the flood period. Fig. 4 shows a large and statistically significant difference in the borrowing behavior between the intervention and comparison groups. 58% of FbF-assisted households indicated that they did not need to take out any new loans during or immediately after the floods to cope with the impacts, compared to only 40% in households who did not receive forecast-based cash assistance. Comparison households are also three times more likely to have taken out large loans of over BDT 10,001 and over BDT 20,001, respectively. The differences observed in the other loan size brackets are not statistically significant (Supplementary Material, Table S6).
The majority of households in intervention and comparison communities who took out new loans borrowed money from family members. However, households who did not receive FbF cash assistance were more than four times as likely to borrow from banks at interest rates typically above 20%, depending on the total loan amount and repayment schedule [36]. They were also more than twice as likely to take out loans from private money lenders at potentially even higher interest rates (Supplementary Material, Table S6). It must be noted that the proportion of households who borrowed from other sources or did not indicate the type of lender was substantially higher in the intervention group. If they were evenly distributed across the other three sources of funding (family, banks, private lenders), there would still be a significant difference between the intervention and comparison groups in borrowing from banks, although the significance in the difference in borrowing from private lenders would disappear.
The data thus confirm that households who received FbF cash assistance before the flood accrued fewer debts during and immediately after the flood period.
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**Table 2**
The effect of receiving FbF assistance on the odds of evacuating (logistic regression analysis).\(^a\)
| Dependent variable: Evacuated (yes/no) | (1) | (2) |
|--------------------------------------|-------|-------|
| **FbF assistance** | 0.604** (0.288) | 0.553* (0.301) |
| Age of household head | -0.012 (0.010) | -0.012 (0.010) |
| Size of household | 0.120 (0.083) | 0.126 (0.084) |
| Woman-headed household | 0.172 (0.371) | 0.175 (0.371) |
| Completed secondary education | 0.290 (0.316) | 0.291 (0.316) |
| Land tenure (don’t own any land, leasing same land) | 0.277 (0.385) | 0.229 (0.391) |
| Monthly household income (Taka) | -0.00004 | -0.00004 |
| Received any remittances | 0.00001 | 0.0001 |
| Distance to embankment (m) | -0.257 (0.335) | -0.235 (0.337) |
| Constant | 1.425* (0.731) | 1.357* (0.743) |
| N | 348 | 348 |
| Log Likelihood | -165.149 | -164.889 |
| Akaike Inf. Crit. | 348.297 | 349.978 |
Note: *p < 0.1; **p < 0.05; ***p < 0.01. Significance indicated in bold print. Standard errors in (parentheses).
\(^a\) For all logistic regression analysis results presented in this paper, the coefficients shown in the table indicate the change in the log odds of the outcome for a one unit increase in the independent (predictor) variable. How to interpret the results: For every one unit change in FbF assistance (i.e. from ‘not being assisted’ to ‘receiving assistance’), the log odds of evacuating the flood-prone area (versus not evacuating) increase by 0.553. This means that receiving FbF assistance increases the odds of evacuating by 74% since \( \exp(0.553) = 1.738 \).
3.5. Effects of FbF cash on the quantity and quality of food consumed by households
When the availability of food in the market is limited and livelihood opportunities are constrained due to the impacts of the flood, families may be forced to reduce the number, size and variety of their meals because they cannot access or afford the foodstuffs they need. 89% of households in the intervention group and 93% of households in the comparison communities said that they had to reduce the number of meals or the size of their meals at some point during the flood period, with no significant differences between the two groups.
When asked about how frequently they had to skip meals or reduce the size of their meals, the comparison group was over three times more likely to have had to skip meals or reduce meal sizes more than ten times (28%), compared to only 8% of households in the intervention group (Supplementary Material, Fig. S4). The difference is statistically significant.
Regarding the quality of the food that households consumed during and immediately after the flood period, it is considered a danger sign when any household member is forced to eat only rice for a whole day because they cannot access or afford anything more nutritious. Almost all respondents from comparison communities (95%) indicated that this happened in their households, while it occurred significantly less frequently in the intervention group (71%, p-value = 0.00) (Fig. 5). The deprivation of nutritious food was significantly more severe among households that did not receive FbF assistance before the flood, with one third indicating that they had only rice to eat on more than ten days during the month immediately after the flood period. This is twice the incidence experienced by households in the intervention group (16%) and is not surprising given that 92% of beneficiaries spent some portion of their FbF cash grant on purchasing food. The results confirm the effectiveness of forecast-based cash in increasing the beneficiaries’ ability to eat regularly and nutritious food during the flood period.\(^{10}\)
3.6. Morbidity and psychosocial distress in the aftermath of the flood
One expected benefit of providing a cash transfer before the flood peak was a reduced disease incidence in beneficiary households due to their increased ability to afford medical treatment, nutritious food and water purification means. While health expenses were the second most frequent expenditure category for the use of FbF cash, as discussed in the beginning of section 3.3, this did not result in significant differences between the intervention and comparison group in the experience of illnesses among adults or children, a significant effect of forecast-based
\(^{10}\)The different food consumption patterns could be due to communities having received different emergency distributions of food aid from external organizations after the flood peak. Independent of the FbF pilot project, the government handed out a variety of food assistance packages that varied by location. When asked what type of external food aid the households had received, the only statistically significant difference was that about one in every eight intervention households had received a small package of lentils and soybean oil from the government, compared to one in twenty comparison households who received the same package (Supplementary Material, Table S9). It is unlikely that this accounts for the large difference in the frequency with which the two groups had only rice to eat for ten days or more; further statistical tests confirmed the significance of FbF assistance and found no significant effect of the lentil and soybean oil package. When testing the effect of FbF assistance and the smallest food package on the odds of (a) having to eat only rice for a whole day and (b) having had only rice to eat for ten days or more, FbF assistance significantly decreases the odds for (a) by 50% and the odds for (b) by 67%, while the effect of the food package is insignificant (Supplementary Material, Table S10). The modeling also shows that living in a woman-headed household decreases the odds of any household member having had only rice to eat for a whole day by 50%; leasing some land reduces the odds by 66%. It is also worth noting that a greater proportion of the comparison group reported to have some savings (21% vis-à-vis 14% of FbF beneficiary households) which does not appear to have influenced their ability to access food.
cash could not be detected (Supplementary Material, Figs. S5 and S6).
Experiencing a severe flood may also cause psychological distress. The quantitative survey and the qualitative data collection included questions to gauge anxiety and stress among the responding household heads. The survey items were loosely based on the standardized Perceived Stress Scale (PSS [37]; but reduced to three questions to keep the survey as short as possible, given the respondents’ difficult circumstances. Thus, we only have a crude measure of psychosocial distress. The survey data show that households who did not receive FbF assistance felt miserable or unhappy significantly more frequently after the flood than the intervention group who received cash assistance. Similarly, FbF-assisted households were significantly less likely to have felt anxious or depressed in the last seven days before the survey (29 vs. 43%, Supplementary Materials, Figs. S7 and S8). There are no statistically significant differences disaggregated by gender or age groups.
The quantitative results align with the findings observed in the qualitative data from focus group discussions immediately after the flood peak period. Respondents from comparison communities spoke about anxiousness and stress significantly more than focus group participants from intervention communities. For example, a woman from a comparison community shared that “I could not sleep last night. I heard that the dacoits [NB: bandits/criminals] came to loot our animals. I was very scared”. A female focus group participant from another community said that “we are in great misery, I was thinking of what to cook today, how to feed my children”.
The findings from the quantitative and qualitative data analysis, although based on a crude measure and therefore not to be over-interpreted, appear to corroborate the project hypothesis that FbF-assisted households experience less psychosocial distress than non-FbF-assisted households in the aftermath of the flood.
3.7. Productive activities and livelihoods
Livelihood opportunities can be negatively affected by psychosocial distress, physical injury or illness, poor nutrition, damages to productive assets such as fields, livestock or tools, or the inaccessibility of places of work. Forecast-based cash is expected to mitigate some of these effects by giving families the means to care for, prepare and protect their family members and their assets, saving them from psychosocial and physical stress. The study sought to assess the effect of FbF cash on household livelihoods by means of a proxy indicator: the ability of working household members to pursue their livelihood activities and the duration for which they were unable to work due to the flood impacts.
Almost all households in intervention (87%) and comparison communities (86%) indicated that at least one adult household member was unable to work as a consequence of the flood, for an average duration of 17 days among the intervention and 18 days among the comparison group, although the difference is not statistically significant (Supplementary Material, Table S14).
The main reason for adults being unable to work were damages to farms, fields and productive assets (77% in FbF-assisted communities and 83% in comparison communities, no statistically significant difference). Around one fifth of respondents across both groups also reported illness as a reason for being unable to work. Only a small minority of respondents said that they were unable to work because their place of work - farms, livestock shelters or shops - were not accessible due to the flood waters (Supplementary Material, Table S15). The data do not lend support to the hypothesis that FbF-assisted households resumed productive activities sooner than non-FbF-assisted households after the flood period.
4. Conclusion
The analysis of household-level effects of a forecast-based cash distribution in Bangladesh’s Bogra district in anticipation of the 2017 floods has shown that the FbF cash transfer increased the regularity and quality of beneficiary households’ food intake, reduced the need to take out high-interest loans and appears to have reduced psychosocial stress in the aftermath of the flood. The intervention may have also prevented households from having to make destitution sales of valuable assets when compared to similar control households, as suggested by the qualitative data; however, after a second flood peak occurred in August 2017, this benefit was not detected anymore in the survey data from early October 2017.
While the evidence on the effect of FbF cash on the efficiency of household evacuations is not conclusive, the data suggest that the forecast-based cash distribution did not reduce the disease incidence in beneficiary households compared to non-FbF-assisted households or the time period that adults were unable to work due to the consequences of the flood.
Two important caveats apply to these results and have likely reduced any observable positive effects of forecast-based cash on beneficiary households: the intervention group, especially the char island dwellers, was considerably more vulnerable than the comparison group, based on the differences in their level of education, productive land ownership and proportion of women-headed households. More importantly, all study households were affected by a second extreme flood peak in August 2017, a month after the first flood instance which triggered the intervention. The project was not designed to address two events of this magnitude. Therefore, any positive effects would have been observable after the first flood peak in May may have been wiped out by the second flood peak in August and before the survey in October.
The learnings from this research have led to the re-definition of the forecast-based trigger methodology and the scale of the program in Bangladesh. The Government of Bangladesh is currently reviewing its Standing Orders on Disaster (SOD), integrating FbF into the country’s disaster risk reduction (DRR) system. The new draft SOD includes a section on FbF with its definition and future setup in Bangladesh; the policy-related section two of the SOD includes details on operationalization and the establishment of an FbF Technical Advisory Committee with key DRR stakeholders in Bangladesh.
The results of this assessment have also informed a new design of FbF projects more widely: Countries now strive to implement FbF at national-level scale using an impact-based forecasting approach that integrates weather forecasts, impact analysis and risk data for the definition of trigger points. The International Federation of Red Cross and Red Crescent Societies (IFRC) has created a funding window dedicated to forecast-based action as part of its Disaster Relief Emergency Fund [38]. The systemic adoption of FbF can be considered to be systems-level adaptation: Where FbF is integrated into the national disaster risk
management and DRR institutional ecosystems, flexibility is established to use the window of opportunity between forecast and extreme event to prevent and mitigate disaster impacts on the most vulnerable.
The experience and findings from this study point to several areas for further research; our survey did not collect independent observational data on the physical, economic and health impacts of the flood. More reliable data on quantifiable losses and the degree of loss incurred by households would enable a more robust analysis of the extent to which FbF cash influenced the beneficiaries’ preparatory and evacuation behavior and whether it helped to mitigate physical flood impacts of housing structures and assets. The provision of forecast-based cash in advance of the flood peak may also have contributed to mitigating some long-term negative consequences of taking out high-interest loans, poor nutrition and high stress levels. A longitudinal study with periodic, longer-term data collections would be required to assess these long-term effects, which was beyond the scope of this analysis.
**Funding**
This work was supported by the German Federal Foreign Office, under the Action Plan of the Federal Foreign Office for humanitarian adaptation to climate change.
**Declaration of interest**
None.
**Acknowledgements**
The authors would like to thank the Bangladesh Red Crescent Society, under the leadership of Mr. Md. Belal Hossain, Director for Disaster Risk Management, whose staff and volunteers implemented the cash transfer intervention, supported the data collection underlying this study and work tirelessly to assist vulnerable populations in Bangladesh with relief and recovery efforts. We thank the survey respondents and focus group discussion participants for sharing their experiences with us. The authors also gratefully acknowledge the German Red Cross for establishing and supporting the FbF pilot projects and for their support of their staff in Bangladesh and Germany. The research project received funding from the German Federal Foreign Office, under the Action Plan of the Federal Foreign Office for humanitarian adaptation to climate change. We are grateful to the anonymous reviewers for their constructive comments that contributed to improving the revised version of the manuscript.
**Appendix A. Supplementary data**
Supplementary data to this article can be found online at https://doi.org/10.1016/j.ijdrr.2019.101275.
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The City of Long Beach (City) took a position on 30 distinct legislative proposals since the start of the 2016 State Legislative Session. All bills that have passed the Legislature, and have been signed by the Governor, will take into effect on January 1, 2017, unless a provision calls for a different effective date, or there is an urgency clause. Bills that did not advance to the Governor’s desk will not be moving forward. Of the 30 bills on which Long Beach took a position, 15 were enacted into State law. A description of the final outcome for each bill is provided below. Attached for your information are the letters of support and opposition that the City sent.
**Economic Development**
**Support for Assembly Bill 806 (Dodd) – Community Development: Economic Opportunity.** This bill allows cities to acquire, sell, or lease city-owned real property to promote economic development. AB 806 was signed into law as Chapter 503, Statutes of 2016.
**Support for Senate Bill 936 (Hertzberg) - California Small Business Expansion Fund: Corporate Guarantees.** This bill would increase the number of business development loans that can be supported through the California Small Business Loan Guarantee Program (SBLGP). By reducing the required loan loss reserve from 20 percent to the federal minimum of 10 percent, SB 936 makes California more business friendly, and enables a greater number of small businesses to access critical loan funding. SB 936 was signed into law as Chapter 713, Statutes of 2016.
**Gun Control**
**Support for Assembly Bill 1664 (Levine) – Firearms: Assault Weapons.** This bill would help prevent gun violence by closing a loophole in existing State law that has allowed some weapons to operate similarly to assault weapons with the use of a “bullet button,” but not be regulated as such. AB 1664 was ordered to the Senate Appropriations Committee inactive file and will not become State law.
**Support for Assembly Bill 1673 (Gipson) – Firearms: Unfinished Frame or Receiver.** This bill would expand the definition of a firearm to include “frame or receiver blank,” “casting,” or “machined body” that is designed and clearly identifiable as a component of a functional firearm. This would prevent prohibited possessors from gaining access to partial-completion forms of firearms. AB 1673 was vetoed by the Governor on July 1, 2016. In his veto message, the Governor stated that this bill could trigger potential criminal penalties by defining certain metal components as a firearm.
**Support for Assembly Bill 1674 (Santiago) – Firearms: Waiting Period.** This bill would help prevent gun violence by capping the amount of firearms that may be purchased by a person at one
per month – the same restriction currently in place for handguns. AB 1674 was vetoed by the Governor on July 1, 2016. In his veto message, the Governor stated that AB 1674 would burden lawful citizens who wish to sell certain firearms they no longer need.
**Support for Senate Bill 880 (Hall) – Firearms: Assault Weapons.** This bill helps prevent gun violence by closing a loophole in existing State law that has allowed some weapons to operate similarly to assault weapons with the use of a “bullet button,” SB 880 was signed into law as Chapter 48, Statutes of 2016.
**Support for Senate Bill 894 (Jackson) – Firearms: Lost or Stolen: Reports.** This bill would require firearm owners to report lost or stolen firearms within five days of the time they knew, or reasonably should have known, that the firearm had been lost or stolen. SB 894 was vetoed by the Governor on July 1, 2016. In his veto message, the Governor stated that he did not believe this bill would help identify gun traffickers or enable law enforcement to disarm people prohibited from having guns.
**Support for Senate Bill 1235 (de León) – Ammunition.** This bill expands upon and strengthens the State’s existing ammunition regulatory framework by requiring businesses to obtain a State license to sell ammunition, log information about ammunition transactions, and screen the ammunition purchaser for any prohibitions at the point of sale. SB 1235 was signed into law as Chapter 55, Statutes of 2016.
**Support for Senate Bill 1446 (Hancock) – Firearms: Magazine Capacity.** This bill strengthens California’s gun control laws by amending the definition of “capacity to accept more than 10 rounds” to mean capable of holding more than 10 rounds of ammunition. SB 1446 was signed into law as Chapter 58, Statutes of 2016.
**Support for Senate Joint Resolution 20 (Hall) – Gun Violence: Research.** This resolution urges the United States Congress to lift an existing prohibition against publicly funded scientific research on the causes of gun violence and its effects on public health, and to direct funding to the Centers for Disease Control and Prevention (CDC) and other agencies falling under the Department of Public Health and Human Services (HHS). SJR 20 was signed into law as Chapter 82, Statutes of 2016.
**Public Safety**
**Support for Assembly Bill 1771 (O’Donnell) – Prostitution.** The City sponsored and supported AB 1771. This bill was intended to combat commercial sex trade by increasing the maximum penalty for the misdemeanor crime of supervising sex trafficking victims from six months to a year. Long Beach supports increasing penalties for those involved in aiding and abetting sex with a minor that prove effective in curtailing these crimes, and believes AB 1771 would meet this objective. AB 1771 was gutted and amended on August 19, 2016. In its amended form, this bill was referred to the Senate Rules Committee, and will not be moving forward in the current legislative year.
Support for Assembly Bill 2626 (Jones-Sawyer) – Commission on Peace Officer Standards and Training: Procedural Justice Training. This bill would support quality law enforcement and promote greater community awareness within law enforcement agencies by requiring procedural justice and implicit bias training as a part of a peace officer’s training. AB 2626 was referred to the Assembly Appropriations Committee suspense file, and will not be moving forward in the current legislative year.
Opposition on Senate Bill 876 (Liu) - Homelessness. The City opposed SB 876 on the basis of local control. SB 876 failed the Senate Transportation and Housing Committee on a vote of 2-7 and did not move forward in the process towards becoming State law.
Support for Senate Resolution 84 (Hall) – Relative to Homelessness. On July 19, 2016, the Long Beach City Council voted to support a resolution that respectfully requests that the Governor and State Legislature declare a state of emergency to combat homelessness in California. SR 84 was held in the Senate Transportation and Housing Committee, and will not be moving forward in the current legislative year.
Affordable Housing
Support for Assembly Bill 1934 (Santiago) – Planning and Zoning: Development Bonuses: Mixed-Use Projects. This bill would create a new density bonus available to affordable housing and commercial developers who partner to construct a mixed-use project. Long Beach supports efforts to maximize funding and funding flexibility for the development and enhancement of affordable and accessible housing within the City. AB 1934 was signed into law as Chapter 747, Statutes of 2016.
Opposition on Assembly Bill 2501 (Bloom) – Housing: Density Bonuses. This bill limits the ability for a city to interpret its own development standards, as it relates to density bonuses. It would also place the burden of proof on a city for the denial of a requested concession or incentive. The Governor signed AB 2501 into law as Chapter 758, Statutes of 2016.
Support for Senate Bill 1053 (Leno) – Housing Discrimination: Applications. This bill would amend the Fair Employment and Housing Act (FEHA) to clarify that housing subsidy vouchers would be a protected source of income. Long Beach supports efforts to maximize funding for the enhancement of affordable housing within the City. SB 1053 was referred to the Senate Appropriations Committee suspense file, and will not be moving forward in the current legislative year.
Support for Senate Bill 1380 (Mitchell) – Homeless Coordinating and Financing Council. This bill would require a State program that provides housing or housing-related services to people experiencing homelessness or at risk of homelessness, to adopt guidelines and regulations to include Housing First policies. Long Beach practices a Housing First policy and supports this policy shift at the State level. SB 1380 was signed into law as Chapter 847, Statutes of 2016.
Transportation
Support for Assembly Bill 1780 (Medina) - Greenhouse Gas Reduction Fund: Trade Corridors. This bill would have established a dedicated funding stream for the Trade Corridor
Improvement Fund (TCIF) by continuously appropriating 20 percent of the annual Greenhouse Gas Reduction Fund (GGRF) funds. AB 1780 was referred to the Assembly Appropriations Committee suspense file, and will not be moving forward in the current legislative year.
**Support for Senate Concurrent Resolution 102 (Nguyen) - Joan Lind Van Blom Memorial Bridge.** The Long Beach City Council voted on April 19, 2016 to support SCR 102, which designates the bridge on Pacific Coast Highway between Loynes Drive and Second Street in the City as the Joan Lind Van Blom Memorial Bridge. SCR 102 was signed into law as Chapter 94, Statutes of 2016.
**Stormwater**
**Support for Assembly Bill 2594 (Gordon) – Stormwater Resources: Use of Captured Water.** This bill clarifies that public agencies with stormwater management plans in place have the authority to use captured stormwater from urban areas to the extent that the water augments existing water supplies. AB 2594 was signed into law as Chapter 526, Statutes of 2016.
**Support for Senate Bill 1298 (Hertzberg) – Local Government: Fees and Charges.** This bill would define “sewer” to include storm drainage, conforming to an existing definition in the California Public Utilities Code. This clarification would have made it clear that local agencies have the authority to finance sewer system projects in the same manner that sewer service projects are financed. SB 1298 was ordered to the State Assembly inactive file, and will not be moving forward in the current legislative year.
**Support for Senate Bill 1328 (Lara) – Stormwater Capture and Treatment Projects: Funding.** The City strongly supports increased funding to facilitate the deployment of stormwater capture projects and groundwater recharge facilities, which would increase the resiliency of local water supplies, and reduce the dependence of water imports. This bill would have provided an opportunity to sensibly pair existing State funding with local projects that meet stormwater, drought and climate change goals. SB 1328 was vetoed by the Governor on September 24, 2016. In his veto message, the Governor stated that this bill could create a potentially duplicative program. The Governor directed the Natural Resources Agency to work with the State Water Resources Control Board to ensure that stormwater projects are included in the Urban Greening Program.
**Local Control**
**Support for Assembly Bill 2722 (Burke) – Transformative Climate Communities Program.** This bill creates the Transformative Climate Communities Program to fund the development and implementation of neighborhood-level transformative climate community plans that promote sustainability, recognize and mitigate climate change, and foster economic growth. AB 2722 was signed into law as Chapter 371, Statutes of 2016.
**Opposition to Assembly Bill 2788 (Gatto) – Wireless Telecommunications Facilities.** This bill would reduce local control over local land use authority, including locally adopted zoning regulations, specifically by permitting specified “small cell” wireless antennas and related equipment without local review. AB 2788 was held in the Senate Energy, Utilities and Communications Committee, and will not be moving forward in the current legislative year.
Support for Senate Bill 1374 (Lara) – the Lower Los Angeles River Recreation and Park District. This bill would help to promote the development of open space and parks for the benefit of communities along the Lower Los Angeles River. SB 1374 was signed into law as Chapter 486, Statutes of 2016.
Human Resources
Opposition on Assembly Bill 2835 (Cooper) – Public Employees: Orientation and Informational Programs: Exclusive Representatives. The City recognizes that employee orientations can be a useful tool to inform and train new employees about a career in the public sector and their responsibilities and employment rights, and benefits and other services available to them. However, the City opposed AB 2835 on the basis of local control, as it threatens to place costly logistical and administrative burdens on public employers. AB 2835 was ordered to the State Senate inactive file, and will not be moving forward in the current legislative year.
Public Health
Support for ABx2-7 (Stone) – Smoking in the Workplace. This bill removes many of the exemptions in State law that allow tobacco smoking in certain workplaces. Long Beach is supportive of efforts to protect the health and safety of its community. ABx2-7 was signed into law as Chapter 4, Statutes of 2016.
Support for Senate Bill 1300 (Hernandez) – Medi-Cal: Emergency Medical Transport Providers: Quality Assurance Fee. This bill would have increased Medi-Cal emergency medical transportation rates in order to maintain the high level of care that is expected of emergency medical transport programs statewide. SB 1300 was vetoed by the Governor on September 27, 2016. In his veto message, the Governor stated that the structure rate increase proposed in SB 1300 is unlike any other fee structure supported by health care-related quality assurance fees. The Governor opined that the rate structure could potentially put the State General Fund at risk for paying the increased rate if revenues fall short or if the fee is reduced or removed in the future.
Support for SBx2-5 (Leno) – Electronic Cigarettes. This bill protects the community and its youth by regulating electronic cigarettes as tobacco products under the State’s smoke-free laws and the Stop Tobacco Access to Kids Enforcement (STAKE) Act. SBx2-5 was signed into law as Chapter 7, Statutes of 2016.
If you have questions or comments, please contact Diana Tang, Manager of Government Affairs, at (562) 570-6506.
cc: Mayor and Members of the City Council
Charles Parkin, City Attorney
Laura Doud, City Auditor
Tom Modica, Assistant City Manager
Arturo Sanchez, Deputy City Manager
All Department Directors:
Lana Haddad, Director of Government and Public Affairs
Rebecca Jimenez, Assistant to the City Manager
Diana Tang, Manager of Government Affairs
Samara Ashley, Director of Government Relations
Attachment
PHW:DT:el: pc
M:\GRI\State\State Leg Comm\Memo\2016\MCC_Support and Opposition Letters_9-6-16.docx
September 19, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Assembly Bill 806 (Dodd) – Community Development: Economic Opportunity
Dear Governor Brown:
On behalf of the City of Long Beach, I write to urge your signature on Assembly Bill 806 (Dodd). This bill would allow cities to acquire, sell, or lease city-owned real property to promote economic development. Long Beach supports efforts to develop and promote policies that help cities foster greater economic opportunity.
In 2013, the Legislature adopted SB 470, which was sponsored by the City of Long Beach to promote economic development on a local level, give local governments tools at no cost to the State, allow local governments to use funds in a manner that promotes economic opportunity, and provide cities and counties with certain powers previously afforded to redevelopment agencies that were critical to economic development. SB 470 declared that it is the policy of the State of California to protect and promote the sound development of economic opportunity in cities and counties. AB 806 takes this existing state law a step further by enabling cities and counties to create economic opportunities through the acquisition, sale or lease of properties and to boost rehabilitation of commercial buildings by offering loans to owners or tenants.
With the passage of AB 806, counties and cities would be able to enter into agreements that can help create job opportunities and promote affordable housing projects. This bill will offer communities additional tools that can be used to rehabilitate deteriorated areas, attract and retain jobs, and improve local quality of life.
Given these reasons, the City of Long Beach supports AB 806 and urges your signature on this bill.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O'Donnell, State Assembly, 70th District
March 22, 2016
The Honorable Jerry Hill
Senate Business, Professions and Economic Development Committee
California State Capitol, Room 2053
Sacramento, CA 95814
RE: Support for SB 936 (Hertzberg) California Small Business Expansion Fund
Dear Chairman Hill:
On behalf of the City of Long Beach, I write to support SB 936 (Hertzberg), a bill that will increase the number of business development loans that can be supported through the California Small Business Loan Guarantee Program (SBLGP). By reducing the required loan loss reserve from 20% to the federal minimum of 10%, SB 936 makes California more business friendly, and will enable a greater number of small businesses to access critical loan funding.
State law requires 20% of each dollar of loan guarantee be set aside in a reserve that will increase to 25% in 2018. This percentage is well above the 10% authorized by federal law. The current requirement, and future increase means fewer loans can be supported, as valuable lending capacity at the California iBank will be dedicated to the loan reserve. While the reserve account is important and protects lenders against losses, the iBank reports losses on SBLGP funds have amounted to less than 1% of the reserve account since 2011. This data enables me to support reducing the 20% loan loss reserve requirement to 10%.
Long Beach is proud to support our local business community, where 98% of businesses have less than 30 employees. SBLGP past practice shows loans are issued to an average borrower-size of 500 or fewer employees. This means nearly all Long Beach businesses would be eligible for the SBLGP program.
Given these reasons, the City of Long Beach supports SB 936 (Hertzberg).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly, 63rd District
The Honorable Robert M. Hertzberg, State Senate, 18th District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
August 23, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
RE: Support for SB 936 (Hertzberg) California Small Business Expansion Fund
Dear Governor Brown:
On behalf of the City of Long Beach, I write to support SB 936 (Hertzberg), a bill that will increase the number of business development loans that can be supported through the California Small Business Loan Guarantee Program (SBLGP). By reducing the required loan loss reserve from 20% to the federal minimum of 10%, SB 936 makes California more business friendly, and will enable a greater number of small businesses to access critical loan funding.
State law requires 20% of each dollar of loan guarantee be set aside in a reserve that will increase to 25% in 2018. This percentage is well above the 10% authorized by federal law. The current requirement, and future increase means fewer loans can be supported, as valuable lending capacity at the California iBank will be dedicated to the loan reserve. While the reserve account is important and protects lenders against losses, the iBank reports losses on SBLGP funds have amounted to less than 1% of the reserve account since 2011. This data enables the City to support reducing the 20% loan loss reserve requirement to 10%.
Long Beach is proud to support our local business community, where 98% of businesses have less than 30 employees. SBLGP past practice shows loans are issued to an average borrower-size of 500 or fewer employees. This means nearly all Long Beach businesses would be eligible for the SBLGP program.
Given these reasons, the City of Long Beach has been in support of SB 936, which has received unanimous votes in the Legislature, and respectfully request your signature on this bill.
Sincerely,
[Signature]
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O'Donnell, State Assembly, 70th District
March 16, 2016
The Honorable Mark Levine
California State Assembly
State Capitol, Room 2141
Sacramento, CA 95814
Re: Support for Assembly Bill 1664 (Levine) – Firearms: assault weapons
Dear Assemblymember Levine:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 1664 (Levine). This bill would help prevent gun violence by closing a loophole in existing State law that has allowed some weapons to operate similarly to assault weapons with the use of a “bullet button”, but not be regulated as such. Long Beach supports strengthening gun control laws that promote public safety and reduce the number of assault weapons in California.
While the State has led the nation in prohibiting ownership of assault weapons equipped with detachable ammunition magazines, a modification to assault weapons known as the “bullet button” circumvents California’s Assault Weapon Ban. Because the “bullet button” is required to release the ammunition magazine, and it cannot be released by hand, “bullet button” firearms are not included in the prohibition. AB 1664 would require owners who, between January 1, 2001 and December 31, 2016, lawfully possessed firearms with “bullet buttons” to register them as assault weapons by July 1, 2018 with the Department of Justice (DOJ).
AB 1664 strengthens California’s Assault Weapon Ban by amending the definition of “assault weapons” and defining “fixed magazine” in statute for the purposes of “assault weapons” classification. Clarifying the definition of “assault weapons” would also authorize the DOJ to ban from sale or transfer assault weapons with “bullet buttons.” Long Beach is supportive of these changes to State law.
Given these reasons, the City of Long Beach supports AB 1664.
Sincerely,
[Signature]
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
June 30, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Assembly Bill 1673 (Gipson) – Firearms: unfinished frame or receiver
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 1673 (Gipson). This bill would expand the definition of firearm to include “frame or receiver blank,” “casting” or “machined body” that is designed and clearly identifiable as a component of a functional firearm, which would prevent prohibited possessors from gaining access to partial-completion forms of firearms.
Current State law requires background checks and retention of transfer records, but does not prohibit the purchase of partial-completion receivers, which may be modified into functioning firearms untraceable to law enforcement. Further, the requirements concerning background checks or a serial number have been circumvented through the creation and marketing of partial-completion receivers and frames. AB 1673 represents a sensible solution to align partial-completion forms of firearms with State law.
The change to State law would require background checks for the purchase of “frame blanks,” “receivers,” “castings,” and “machined bodies” and require mandatory serial number applications, thereby closing a loophole. Long Beach is supportive of these changes to State law that further strengthen gun control laws by ensuring prohibited possessors cannot own guns.
Given these reasons, the City of Long Beach supports AB 1673 and respectfully request your signature on Assembly Bill 1673 (Gipson).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
March 16, 2016
The Honorable Miguel Santiago
California State Assembly
State Capitol, Room 5191
Sacramento, CA 95814
Re: Support for Assembly Bill 1674 (Santiago) – Firearms: assault weapons
Dear Assemblymember Santiago:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 1674 (Santiago). This bill would help prevent gun violence by capping the amount of firearms that may be purchased by a person at one per month – the same restriction currently in place for handguns. Long Beach supports strengthening gun control laws that promote public safety and reduce the number of firearms in California.
Over the past ten years, Californians have purchased more long guns than handguns, including 538,149 guns in 2013. In 2009, the Department of Justice (DOJ) entered 26,682 crime guns into the Automated Firearms Systems database, of which 11,500 were long guns. Further, long guns are a significant piece of the State’s gun trafficking problem. The DOJ found in 2010 that half the illegal firearms recovered from prohibited persons are long guns. AB 1674 represents a sensible solution to gun trafficking in California.
Studies have shown that firearms sold in multiple purchases to the same buyer are frequently used in crime and that laws limiting multiple purchases help reduce gun trafficking. The Legislature enacted a law to limit the purchase of handguns to one per person per month in 1999. AB 1674 would impose similar limitations on the purchases of long guns. Long Beach is supportive of these changes to State law.
Given these reasons, the City of Long Beach supports AB 1674.
Sincerely,
[Signature]
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
June 30, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Assembly Bill 1674 (Santiago) – Firearms: assault weapons
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 1674 (Santiago). This bill would help prevent gun violence by capping the amount of firearms that may be purchased by a person at one per month – the same restriction currently in place for handguns. Long Beach supports strengthening gun control laws that promote public safety and reduce the number of firearms in California.
Over the past ten years, Californians have purchased more long guns than handguns. In 2009, the Department of Justice (DOJ) entered 26,682 crime guns into the Automated Firearms Systems database, of which 11,500 were long guns. Further, long guns are a significant piece of the State’s gun trafficking problem. The DOJ found in 2010 that half the illegal firearms recovered from prohibited persons are long guns. AB 1674 represents a sensible solution to gun trafficking in California.
Studies have shown that firearms sold in multiple purchases to the same buyer are frequently used in crime and that laws limiting multiple purchases help reduce gun trafficking. The Legislature enacted a law to limit the purchase of handguns to one per person per month in 1999. AB 1674 would impose similar limitations on the purchases of long guns. Long Beach is supportive of these changes to State law.
Given these reasons, the City of Long Beach supports AB 1674 and respectfully request your signature on Assembly Bill 1674 (Santiago).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
February 22, 2016
The Honorable Isadore Hall, III
California State Senate
State Capitol, Room 4085
Sacramento, CA 95814
Re: Support for Senate Bill 880 (Hall) – Assault Weapons
Dear Senator Hall:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 880 (Hall). This bill would help prevent gun violence by closing a loophole in existing State law that has allowed some weapons to operate similarly to assault weapons with the use of a “bullet button”, but not be regulated as such. Long Beach supports strengthening gun control laws that promote public safety and reduce the number of assault weapons in California.
While the State has led the nation in prohibiting ownership of military-style assault weapons equipped with detachable ammunition magazines, a modification to assault weapons known as the “bullet button” circumvents California’s Assault Weapon Ban. Because the “bullet button” is required to release the ammunition magazine, and it cannot be released by hand, “bullet button” firearms are not included in the prohibition. SB 880 would require owners who, between January 1, 2001 and December 31, 2016, lawfully possessed firearms with “bullet buttons” to register them as assault weapons by July 1, 2018 with the Department of Justice (DOJ).
SB 880 strengthens California’s Assault Weapon Ban by amending the definition of “assault weapons” and defining “fixed magazine” in statute for the purposes of “assault weapons” classification. Clarifying the definition of “assault weapons” would also authorize the DOJ to ban from sale or transfer military-style assault weapons. Long Beach is supportive of these changes to State law.
Given these reasons, the City of Long Beach supports SB 880.
Sincerely,
[Signature]
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker-Elect Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Mike Gipson, State Assembly, 64th District
June 30, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Senate Bill 880 (Hall) – Assault Weapons
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 880 (Hall). This bill would help prevent gun violence by closing a loophole in existing State law that has allowed some weapons to operate similarly to assault weapons with the use of a “bullet button”, but not be regulated as such. Long Beach supports strengthening gun control laws that promote public safety and reduce the number of assault weapons in California.
While the State has led the nation in prohibiting ownership of military-style assault weapons equipped with detachable ammunition magazines, a modification to assault weapons known as the “bullet button” circumvents California’s Assault Weapon Ban. Because the “bullet button” is required to release the ammunition magazine, and it cannot be released by hand, “bullet button” firearms are not included in the prohibition. SB 880 would require owners who, between January 1, 2001 and December 31, 2016, lawfully possessed firearms with “bullet buttons” to register them as assault weapons by July 1, 2018 with the Department of Justice (DOJ).
SB 880 strengthens California’s Assault Weapon Ban by amending the definition of “assault weapons” and defining “fixed magazine” in statute for the purposes of “assault weapons” classification. Clarifying the definition of “assault weapons” would also authorize the DOJ to ban from sale or transfer military-style assault weapons. Long Beach is supportive of these changes to State law.
Given these reasons, the City of Long Beach supports SB 880 and respectfully request your signature on Senate Bill 880 (Hall).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
June 30, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Senate Bill 894 (Jackson) – Firearms: lost or stolen: reports
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 894 (Jackson). This bill would require firearm owners to report lost or stolen firearms within five days of the time they knew, or reasonably should have known, that the firearm had been lost or stolen.
Long Beach supports strengthening gun control laws that promote public safety by stemming the flow of guns to prohibited persons, such as gang members and criminals or minors. When a crime gun is traced by law enforcement to the last known purchasers, that person may falsely claim that the gun was lost or stolen to hide his or her involvement in the crime or in gun trafficking. The lack of a reporting requirement enables individuals, who purchase guns legally and sell them to prohibited persons, to shield their criminal activity and continue to sell guns illegally. SB 894 would provide a tool for law enforcement to detect firearms trafficking and charge criminals who engage in such activity. This reporting requirement would also assist in the prosecution of individuals who falsely claim that a crime gun traced to them was lost or stolen.
SB 894 would ensure that those who purchase firearms are held accountable for them and stolen firearms are not sold and recirculated in our local communities. Law enforcement’s early awareness of lost and stolen guns would enhance their ability to recover those guns and reduce gun violence in our neighborhoods. Long Beach supports this improvement to public safety in California.
Given these reasons, the City of Long Beach supports SB 894 and respectfully request your signature on Senate Bill 894 (Jackson).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
June 30, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Senate Bill 1235 (de León) – Ammunition
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 1235 (de León). This bill would expand upon and strengthen the State’s existing ammunition regulatory framework by requiring businesses to obtain a State license to sell ammunition, log information about ammunition transactions, and screen the ammunition purchaser for any prohibitions at the point of sale. Long Beach supports strengthening gun control laws that would enable ammunition tracking.
California has enacted legislation designed to prevent prohibited persons from procuring “handgun ammunition;” however, State law does not extend this limitation to all types of ammunition. In order to appropriately restrict the purchase of handgun ammunition, it would be appropriate for the State to have an accurate database of businesses engaged in the sale of ammunition. SB 1235 would, commencing January 1, 2018, require an ammunition vendor to obtain a license from the Department of Justice (DOJ) in order to sell ammunition. Ammunition sales would then be carried out by the licensed vendor, who would screen purchasers to ensure that individuals are not prohibited from owning or possessing ammunition.
The sale and distribution of ammunition has remained largely unregulated. SB 1235 is one solution to reduce easy access to ammunition by prohibited persons. Long Beach supports strengthening the ammunition regulatory framework to ensure that prohibited possessors of firearms cannot purchase ammunition.
Given these reasons, the City of Long Beach supports SB 1235 and respectfully request your signature on Senate Bill 1235 (de León).
Sincerely,
Patrick H. West
CITY MANAGER
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
February 29, 2016
The Honorable Loni Hancock
California State Senate
State Capitol, Room 2082
Sacramento, CA 95814
RE: Support for Senate Bill 1446 (Hancock) – Firearms: magazine capacity
Dear Senator Hancock:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 1446 (Hancock). This bill would help reduce gun violence by prohibiting the possession of large-capacity magazines. Long Beach supports strengthening gun control laws that promote public safety and reduce the number of military style magazines in California.
While the State prohibits the importation, manufacture, and sale of large-capacity ammunition magazines, possession of such a magazine is not prohibited. These large-capacity magazines can hold upwards of 100 rounds of ammunition, which allows for a shooter to rapidly fire without reloading. Such a magazine is not intended for hunting or target shooting. SB 1446 would, commencing July 1, 2017, prohibit the possession of any large-capacity magazine, regardless of the date the magazine was acquired.
SB 1446 strengthens California’s gun control laws by amending the definition of “capacity to accept more than 10 rounds” to mean capable of holding more than 10 rounds of ammunition. Clarifying the definition would also require a person in lawful possession of a large-capacity magazine prior to July 1, 2017, to dispose of the magazine. Long Beach is supportive of these changes to State law.
Given these reasons, the City of Long Beach supports SB 1446.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker-Elect Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O’Donnell, State Assembly, 70th District
Senate Committee on Public Safety
June 30, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
RE: Support for Senate Bill 1446 (Hancock) – Firearms: magazine capacity
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 1446 (Hancock). This bill would help reduce gun violence by prohibiting the possession of large-capacity magazines. Long Beach supports strengthening gun control laws that promote public safety and reduce the number of military style magazines in California.
While the State prohibits the importation, manufacture, and sale of large-capacity ammunition magazines, possession of such a magazine is not prohibited. These large-capacity magazines can hold upwards of 100 rounds of ammunition, which allows for a shooter to rapidly fire without reloading. Such a magazine is not intended for hunting or target shooting. SB 1446 would, commencing July 1, 2017, prohibit the possession of any large-capacity magazine regardless of the date the magazine was acquired.
SB 1446 strengthens California’s gun control laws by amending the definition of “capacity to accept more than 10 rounds” to mean capable of holding more than 10 rounds of ammunition. Clarifying the definition would also require a person in lawful possession of a large-capacity magazine prior to July 1, 2017, to dispose of the magazine. Long Beach is supportive of these changes to State law.
Given these reasons, the City of Long Beach supports SB 1446 and respectfully request your signature on Senate Bill 1446 (Hancock).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
February 22, 2016
The Honorable Isadore Hall, III
California State Senate
State Capitol, Room 4085
Sacramento, CA 95814
Re: Support for Senate Joint Resolution 20 (Hall) – Publicly Funded Gun Violence Research
Dear Senator Hall:
On behalf of the City of Long Beach, I am pleased to support Senate Joint Resolution 20 (Hall). This resolution urges the United States Congress to lift an existing prohibition against publicly funded scientific research on the causes of gun violence and its effects on public health, and to appropriate funds to the Centers for Disease Control and Prevention (CDC) and other agencies falling under the Department of Public Health and Human Services (HHS).
Since 1996, Congress has adopted annual policy riders, known as the “Dickey Amendment” and the “Rehberg Amendment,” that effectively prohibit the federal CDC and other agencies under the federal HHS from conducting publicly funded scientific research on the causes of gun violence or its effects on public health. Former Representative Jay Dickey, the original author of the “Dickey Amendment,” has stated that he regrets offering the amendment and thinks it should be repealed. President Obama issued an executive action in 2013 directing the CDC to resume gun violence research. However Congress has provided no funding and the restrictive language remains in place.
Although Members of Congress may disagree about how best to respond to the problem of gun violence, the lack of research makes it difficult to objectively assess the public health impacts and to provide sound public safety policies for local communities. Federal research is necessary to ensure that all communities are safe from gun violence. Passage of this resolution would provide funding for the purpose of conducting research to find a comprehensive evidence-based federal approach to reducing gun violence in our communities. Long Beach is supportive of finding a solution to promote public safety.
Given these reasons, the City of Long Beach supports SJR 20.
Sincerely,
[Signature]
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker-Elect Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Mike Gipson, State Assembly, 64th District
March 14, 2016
The Honorable Reginald B. Jones-Swayer, Sr.
California State Assembly, Public Safety Committee
1020 N Street (LOB), Room 111
Sacramento, CA 95814
Re: Support for Assembly Bill 1771 (O’Donnell) – Prostitution
Dear Chairman Jones-Swayer, Sr.:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 1771 (O’Donnell). This bill would combat commercial sex trade by increasing the maximum penalty for the misdemeanor crime of supervising sex trafficking victims from 6 months to a year. Long Beach supports increasing penalties for those involved in aiding and abetting sex with a minor that prove effective in curtailing these crimes, and we believe AB 1771 would meet this objective.
While human traffickers are subject to felony prosecution, this charge is only applied on relatively few occasions because sex trafficking victims often do not cooperate with law enforcement. This is especially true in cases where the trafficker is an active gang member and the victim fears retaliation from the gang. In cases where victims do not provide statements against the trafficker, only the misdemeanor charge with a maximum sentence of 6 months in county jail can be filed. By increasing the punishment to 12 months in jail, AB 1771 would close a loophole that currently allows serious criminals avoid accountability for their crimes.
AB 1771 would help protect the victims of this underground sexual abuse. By holding offenders more accountable, the victims of sex trafficking would have a better opportunity to heal and recover their lives. Long Beach is supportive of increasing the maximum penalty for this crime.
Given these reasons, the City of Long Beach supports AB 1771.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Patrick O’Donnell, State Assembly, 70th District
The Honorable Speaker Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
May 9, 2016
The Honorable Reginald Jones-Sawyer
California State Assembly
State Capitol, Room 4126
Sacramento, California 95814
Re: Support for AB 2626 (Jones-Sawyer): Commission on Peace Officer Standards and Training: procedural justice training
Dear Assemblymember Jones-Sawyer:
On behalf of the City of Long Beach, I write in support of AB 2626. This bill supports quality law enforcement and promotes greater community awareness within law enforcement agencies by requiring procedural justice and implicit bias training as a part of a peace officer’s training. I am proud to share the City of Long Beach is home to numerous ethnic groups who add depth to our local culture and economy, and has already committed to implementing the same training that will be required by this bill in our City this year.
AB 2626 is consistent with local policies the Long Beach Police Department has adopted. The City of Long Beach is encouraged to learn that the legislation would require the State Commission on Peace Officer Standards and Training to develop and disseminate similar guidelines and training for peace officers on principled policing, which would include the subjects of procedural justice and implicit bias, similar to training that is being implemented in Long Beach.
Recently endorsed by the President’s Task Force on 21st Century Policing, procedural justice and implicit bias training provide positive reinforcement of the Long Beach Police Department’s values and culture. This year, every Long Beach Police Officer will receive the first of a two-part in-house training on procedural justice and implicit bias. The curriculum was developed in partnership with private and non-profit organizations and will be the first of its kind in the Los Angeles/Orange County area. We are proud to be able to provide this training in an effort to continue to enhance the public’s trust in our officers and Police Department.
Given these reasons, the City of Long Beach supports AB 2626.
Sincerely,
Patrick H. West
CITY MANAGER
cc: The Honorable Speaker Anthony Rendon
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Padore Hall, III, State Senate, 35th District
The Honorable Mike Gibson, State Assembly, 64th District
February 22, 2016
The Honorable Carol Liu
California State Senate
State Capitol, Room 5097
Sacramento, CA 95814
Re: Opposition to Senate Bill 876 (Liu) – Homelessness
Dear Senator Liu:
On behalf of the City of Long Beach, I write in strong opposition to Senate Bill 876 (Liu). As one of the first cities in America to bring veterans homelessness near “functional zero”, Long Beach has a strong history of working with all members of our homeless population to transition to housing. We recognize that like our City, our homeless population is diverse and each individual’s needs are unique. The City opposes SB 876 on the basis of local control, as it threatens to undo much of the progress that has made in recent years to transition individuals experiencing homelessness into permanent housing.
The City of Long Beach provides a range of services at our Multi-Service Center, which is a facility that is dedicated to assisting homeless individuals transition into permanent housing. The City’s strategic plan to reduce homelessness prioritizes four goals. We strive to: (1) Reduce the number of people who become homeless; (2) Increase the number of homeless individuals placed into permanent housing; (3) Decrease the length of homeless episodes; and (4) Provide community-based services that prevent homelessness before it happens and diminish opportunities for homelessness to recur. These services have proven to work.
Instead of assisting individuals with a transition into permanent housing and employment, SB 876 runs counter to the City’s local strategy for reducing homelessness. The Long Beach City Council has adopted a plan that works, and the City believes it is the best plan for improving the quality of life for all Long Beach residents, homeless or not.
Given these reasons, the City of Long Beach opposes SB 876.
Sincerely,
Patrick H. West
CITY MANAGER
cc: The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Anthony Rendon, State Assembly, 63rd District
The Honorable Mike Gipson, State Assembly, 64th District
August 12, 2016
The Honorable Jim Beall, Chair
California State Senate, Transportation and Housing
State Capitol, Room 4203
Sacramento, CA 95814
Re: Support for Senate Resolution 84 (Hall) – Relative to Homelessness
Dear Chairman de León:
On behalf of the City of Long Beach, I am pleased to support Senate Resolution 84 (Hall). On July 19, 2016, the Long Beach City Council voted to support a resolution that respectfully requests that the Governor and State Legislature declare a state of emergency to combat homelessness in California.
Long Beach has a strong history of working with all members of our homeless population to transition to housing. The City provides a range of services at our Multi-Service Center, which is a facility that is dedicated to assisting homeless individuals transition into permanent housing. However, homelessness continues to be one of the most pervasive issues facing local agencies today. The homeless crisis endangers the health and safety of thousands of California residents, specifically veterans, women, children, LGBT youth, seniors and persons with disabilities.
According to the United State Department of Housing and Urban Development there were over 115,000 homeless individuals in California in 2015, by far the most of any state in the country. The scale of homelessness statewide threatens economic stability by burdening public safety, emergency medical services and social services. When the Assembly passed House Resolution 56 urging the Governor to declare a state of emergency on homelessness, it was expressing its opinion that homelessness is beyond the control of local authority and requires state emergency assistance. SR 84 would clarify that the Senate believes the Governor should take any measure necessary to unilaterally combat homelessness statewide.
Given these reasons, the City of Long Beach supports SR 84 (Hall).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Mike Gipson, State Assembly, 64th District
September 20, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Assembly Bill 1934 (Santiago) – Planning and zoning: development bonuses: mixed-use projects
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 1934 (Santiago). This bill would create a new density bonus available to affordable housing and commercial developers who partner to construct a mixed-use project. Long Beach supports efforts to maximize funding and funding flexibility for the development and enhancement of affordable and accessible housing within the City.
Long Beach recognizes that California’s overall affordable housing stock struggles to meet the needs of the State’s residents. By encouraging greater production of affordable units throughout the State, AB 1934 would create a development bonus for commercial developers who partner with an affordable housing developer to construct affordable units. Long Beach believes that AB 1934 is one step forward in the right direction to foster non-traditional developer’s entrance into the housing market to construct affordable housing.
AB 1934 would also help balance cities’ economic development with construction of affordable housing. The types of projects promoted by this bill could result in mixed-use developments, or could result in the commercial and residential development on separate sites. In either case, the off-site housing must be in close proximity to schools and employment centers, and within a half-mile of public transit. To this end, AB 1937 provides Long Beach with the opportunity to strengthen our community by creating jobs and stimulating local economic development.
Given these reasons, the City of Long Beach supports AB 1934, and respectfully request a signature on Assembly Bill 1934(Santiago).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
September 20, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Opposition to Assembly Bill 2501 (Bloom) – Housing: density bonuses
Dear Governor Brown:
On behalf of the City of Long Beach, I write in opposition to Assembly Bill 2501 (Bloom). This bill would limit the ability of a city to interpret its own development standards, as it relates to density bonuses, and a city would bear the burden of proof for the denial of a requested concession or incentive.
AB 2501 would prohibit a city from requesting special studies or reports from a developer, as the city conducts its due diligence on evaluating the project, if the project involves a density bonus. Long Beach processes many permits for development projects, and at times requests special studies if the project necessitates additional analysis. As density bonus projects already do not conform to the City’s existing planning and zoning standard and disallowing full project analysis could be detrimental to the welfare of our neighborhoods.
Further, AB 2501 states that the burden of proof to deny any requested incentive is on the city denying the incentive, and does not allow any request for information to justify the incentive. Such a provision removes any requirement for a developer to demonstrate that the requested incentive would contribute to the economic viability of lower income housing. In our experience, changes proposed by AB 2501 would adversely impact quality developments in the City.
Given these reasons, the City of Long Beach opposes AB 2501, and respectfully request a veto on Assembly Bill 2501 (Bloom).
Sincerely,
Patrick H. West
CITY MANAGER
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, II, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
March 16, 2016
The Honorable Hannah-Beth Jackson
California State Senate, Judiciary Committee
State Capitol, Room 112
Sacramento, CA 95814
Re: Support for Senate Bill 1053 (Leno) – Housing discrimination: applications
Dear Chairwoman Jackson:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 1053 (Leno). This bill would amend the Fair Employment and Housing Act (FEHA) to clarify that housing subsidy vouchers would be a protected source of income. Long Beach supports efforts to maximize funding for the enhancement of affordable housing within the City.
California is experiencing high housing costs that crowd out family spending on basic necessities, such as food and health care. According to the Legislative Analyst’s Office, the poorest 25% of California households spend on average 67% of their income for housing. Though the Federal Housing Choice Vouchers provides significant rental subsidies to many low-income families, families are forced to return their vouchers to their local housing authority because they cannot find a landlord willing to accept them. Source of income discrimination is illegal under the FEHA, but the law has been interpreted to exclude vouchers. SB 1053 would provide all Californians with a full and fair opportunity to seek housing by ensuring that landlords cannot deny applicants because they receive federal rental subsidies.
Providing voucher holders with equal housing opportunity is crucial to addressing California’s ongoing housing crisis and ensuring economic mobility. These vouchers are an effective means of ensuring that children are not trapped in areas of concentrated poverty. For these children, the opportunity to move to a more economically diverse neighborhood leads to improved health, greater academic success, and long-term economic mobility. Long Beach is supportive of amending the FEHA to provide low-income families the same opportunity to apply for housing as other Californians, tearing down unnecessary barriers that perpetuate a cycle of poverty.
Given these reasons, the City of Long Beach supports SB 1053.
Sincerely,
[Signature]
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker-Elect Anthony Rendon, State Assembly, 63rd District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O’Donnell, State Assembly, 70th District
The Honorable Mark Leno, State Senate, 11th District
September 22, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Senate Bill 1380 (Mitchell) – Homeless Coordinating and Financing Council
Dear Governor Brown:
On behalf of the City of Long Beach, I write to urge your signature on Senate Bill 1380 (Mitchell). This bill would require a State program that provides housing or housing-related services to people experiencing homelessness or at risk of homelessness to adopt guidelines and regulations to include Housing First policies. Long Beach supports legislation that seeks to address the state of emergency, as it relates to homelessness in our City, and many cities across California.
SB 1380 defines “Housing First” to mean the evidence-based model that uses housing as a tool, rather than as a reward, to provide and connect homeless people to permanent housing as quickly as possible. Housing First providers offer services as needed and requested on a voluntary basis and do not make housing contingent on participation in services. The City of Long Beach uses a “Housing First” model as part of our successful homeless supportive services program, and supports its development statewide.
Long Beach has been a leader in the region with respect to addressing homelessness. Our Multi-Service Center (MSC) facility houses twelve public and private partner organizations that work together to promote self-sufficiency and rebuild the lives of those experiencing homelessness. In 2010, the Long Beach City Council adopted “5 Key Community Strategies” to combat homelessness, which were to increase affordable housing, promote economic stability, provide support services to prevent homelessness, expand participation to all sectors of the community and use a data and research driven approach. Thanks to these efforts, in the past year alone, Long Beach has provided shelter to 1,738 individuals. While the City of Long Beach is proud of its multi-stakeholder efforts to combat homelessness, we recognize significant infrastructure and support systems need to be built to ensure all homeless families and individuals have the opportunity to receive permanent, affordable housing and support services.
Given these reasons, the City of Long Beach supports SB 1380 and urges your signature on this bill.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Hadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
May 5, 2016
The Honorable Jose Medina
California State Assembly
State Capitol, Room 2141
Sacramento, CA 94249
Re: Support for AB 1780 (Medina) Greenhouse Gas Reduction Fund: trade corridors
Dear Assembly Member Medina:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 1780 (Medina). This bill would establish a dedicated funding stream for the Trade Corridor Improvement Fund (TCIF) by continuously appropriating 20 percent of the annual Greenhouse Gas Reduction Fund (GGRF) funds.
The City of Long Beach is home to the Port of Long Beach (the Port), which is a major local, State, and federal economic engine that moves $180 billion worth of goods each year, and supports 1.4 million jobs. As part of ongoing environmental efforts at the Port, the Port of Long Beach launched a Clean Air Action Plan that has reduced diesel air emissions by 85 percent since 2005. However, the ability for California to handle current and future trade volumes depends on regional and statewide transportation systems that operate efficiently, safely, and competitively.
Long Beach is supportive of developing a sustainable fund in the State to improve trade corridors with a focus on reducing greenhouse gas emissions, climate change adaptations and other environmental benefits. These types of State investments are incredibly important to sustaining healthy residential neighborhoods along goods movement corridors such as the I-710.
California’s transportation infrastructure is in desperate need of repair and AB 1780 provides a sensible solution to funding eligible, high priority freight projects.
Given these reasons, the City of Long Beach supports AB 1780.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 54th District
May 5, 2016
The Honorable Janet Nguyen
California State Senate
State Capitol, Room 3048
Sacramento, CA 95814
Re: Support for Senate Concurrent Resolution 102 (Nguyen) – Joan Lind Van Blom Memorial Bridge
Dear Senator Nguyen:
On behalf of the City of Long Beach, I am pleased to support Senate Concurrent Resolution 102 (Nguyen). The Long Beach City Council voted on April 19, 2016 to support this resolution, which would designate a specified bridge on State Highway 1 in the City of Long Beach as the Joan Lind Van Blom Bridge.
Joan Lind Van Blom was the first woman to win an Olympic medal for the United States in rowing. She won a silver medal in the single sculls at the 1976 Olympic Games in Montreal and in the quadruple sculls at the 1984 Olympic Games in Los Angeles. Additionally, Joan Lind Van Blom had a 35-year career with the Long Beach Unified School District (LBUSD) as a physical education teacher and curriculum leader. She motivated students to live healthy and active lives, and was instrumental in securing a million-dollar grant for rowing machines in each of LBUSD’s nine high schools.
For her numerous achievements, Ms. Van Blom was inducted in the Wilson High School Hall of Fame, Long Beach State 49er Hall of Fame Century Club, National Rowing Hall of Fame and was declared a Lifetime Member of the Long Beach Rowing Association. Naming the bridge on State Highway Route 1 south of Loynes Drive and north of East 2nd Street, in Long Beach, as the Joan Lind Van Blom Memorial Bridge is a fitting way to commemorate her remarkable lifetime accomplishments and wholehearted commitment to community service.
Given these reasons, the City of Long Beach supports SCR 102.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
August 12, 2016
The Honorable Richard Gordon
California State Assembly
State Capitol, Room 3013
Sacramento, CA 94249
Re: Support for Assembly Bill 2594 (Gordon): Stormwater resources: use of captured water
Dear Assemblymember Gordon:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 2594 (Gordon). This bill would clarify that public agencies that have a stormwater management plan in place have the authority to use captured stormwater “to the extent that the water augments water supplies supporting existing water rights.”
Long Beach strives to be a leader in stormwater best management practices. Recently, the City has partnered with the California Department of Transportation (CalTrans) to design and construct the Long Beach Municipal Urban Stormwater Treatment (LB-MUST) Recycle Facility. This project will capture and divert urban runoff containing pollutants to a newly constructed recycle water treatment facility prior to discharge into the lower Los Angeles River.
AB 2594 strikes the appropriate balance by protecting existing water rights and also expressly authorizing cities to capture and reuse excess stormwater. In its first phase, the LB-MUST Recycle Facility has the potential to produce 337,800 gallons of recycled water per day. Future phases of the project will add an additional production of over 700,000 gallons of recycled water per day. This will provide a new source of recycled water to augment and reduce the City’s potable water usage. The LB-MUST Recycle Facility will allow for the future opportunity to irrigate the City’s facilities, parkways and parks with recycled stormwater, and to achieve its goal of greening projects along the lower Los Angeles River.
Given these reasons, the City of Long Beach supports AB 2594. Thank you for introducing this legislation.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O'Donnell, State Assembly, 70th District
August 30, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Assembly Bill 2594 (Gordon) - Stormwater resources: use of captured water
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Assembly Bill 2594 (Gordon). This bill would clarify that public agencies that have a stormwater management plan in place have the authority to use captured stormwater from urban areas “to the extent that the water augments existing water supplies.”
Long Beach strives to be a leader in stormwater best management practices. Recently, the City has partnered with the California Department of Transportation (CalTrans) to design and construct the Long Beach Municipal Urban Stormwater Treatment (LB-MUST) Recycle Facility. This project will capture and divert urban runoff containing pollutants to a newly constructed recycle water treatment facility prior to discharge into the lower Los Angeles River.
AB 2594 strikes the appropriate balance by protecting existing water rights and also expressly authorizing cities to capture and reuse excess stormwater. In its first phase, the LB-MUST Recycle Facility has the potential to produce 337,800 gallons of recycled water per day. Future phases of the project will add an additional production of over 700,000 gallons of recycled water per day. This will provide a new source of recycled water to augment and reduce the City’s potable water usage. The LB-MUST Recycle Facility will allow for the future opportunity to irrigate the City’s facilities, parkways and parks with recycled stormwater, and to achieve its goal of greening projects along the lower Los Angeles River.
Given these reasons, the City of Long Beach supports AB 2594, and respectfully request your signature on Assembly Bill 2594 (Gordon).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
August 12, 2016
The Honorable Robert Hertzberg
California State Senate
State Capitol, Room 4038
Sacramento, CA 95814
Re: Support for Senate Bill 1298 (Hertzberg): Local government: fees and charges
Dear Senator Hertzberg:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 1298 (Hertzberg). This bill would define “sewer” to include storm drainage, conforming to an existing definition in the California Public Utilities Code. This clarification would make it clear that local agencies have the authority to finance sewer system projects in the same manner that sewer service projects are financed.
Long Beach strives to be a leader in stormwater best management practices. Recently, the City has partnered with the California Department of Transportation (CalTrans) to design and construct the Long Beach Municipal Urban Stormwater Treatment (LB-MUST) Recycle Facility, which will provide treatment of urban runoff prior to going into the lower Los Angeles River. It offers the City an opportunity to significantly reduce the use of potable water, which reduce the City’s operating costs for departments that have access to this “new” source of potable water.
As the development of the LB-MUST Recycle Facility project moves forward, the City will require additional funding to further enhance the planned project. SB 1298 also would amend State law to clarify the statutory authority of local agencies to finance stormwater projects within the strict requirements for transparency and accountability of Proposition 218. This is one tool that local agencies, like Long Beach, can utilize to efficiently manage water supplies and effectively address water pollution.
Given these reasons, the City of Long Beach supports SB 1298 (Hertzberg).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
May 16, 2016
The Honorable Ricardo Lara
California State Senate
State Capitol, Room 5050
Sacramento, CA 95814
Re: Support for Senate Bill 1328 (Lara): Stormwater capture and treatment projects: funding
Dear Senator Lara:
On behalf of the City of Long Beach, I write to express the City’s support as amended position on SB 1328 (Lara). Long Beach strongly supports increased funding to facilitate the deployment of stormwater capture projects and groundwater recharge facilities, which would increase the resiliency of local water supplies, and reduce the dependence on water imports. However, the City would like stormwater projects along the Los Angeles River and San Gabriel River to be prioritized equal to projects in disadvantaged communities, as defined by Section 39711 of the Health and Safety Code.
Long Beach strives to be a leader in stormwater best management practices. Recently, the City has partnered with the California Department of Transportation (CalTrans) to design and construct the Long Beach Municipal Urban Stormwater Treatment (LB-MUST) Recycle Facility, which will provide treatment of urban runoff prior to going into the lower Los Angeles River.
As the development of the LB-MUST Recycle Facility project moves forward, the City will require additional funding to further enhance the planned project. SB 1328 provides an opportunity to sensibly pair existing State funding with local projects that meet stormwater, drought and climate change goals. Long Beach is an ideal location to build an urban runoff and treatment facility because of its proximity to the Los Angeles River. This location allows for the opportunity to irrigate the City’s facilities, parkways and parks with recycled stormwater.
Given these reasons, the City of Long Beach supports SB 1328 (Lara), as amended. Thank you for introducing this legislation.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
September 1, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Senate Bill 1328 (Lara) – Water delivery projects: reduction of greenhouse gas emissions: funding
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support Senate Bill 1328 (Lara). Long Beach strongly supports increased funding to facilitate the deployment of stormwater capture projects and groundwater recharge facilities, which would increase the resiliency of local water supplies, and reduce the dependence on water imports.
Long Beach strives to be a leader in stormwater best management practices. Recently, the City has partnered with the California Department of Transportation (CalTrans) to design and construct the Long Beach Municipal Urban Stormwater Treatment (LB-MUST) Recycle Facility, which will provide treatment of urban runoff prior to going into the lower Los Angeles River.
As the development of the LB-MUST Recycle Facility project moves forward, the City will require additional funding to further enhance the planned project. SB 1328 provides an opportunity to sensibly pair existing State funding with local projects that meet stormwater, drought and climate change goals. Long Beach is an ideal location to build an urban runoff and treatment facility because of its proximity to the Los Angeles River. This location allows for the opportunity to irrigate the City’s facilities, parkways and parks with recycled stormwater.
Given these reasons, the City of Long Beach supports SB 1328 and respectfully request your signature on Senate Bill 1328 (Lara).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O'Donnell, State Assembly, 70th District
September 8, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Assembly Bill 2722 (Burke) – Transformative Climate Communities Program
Dear Governor Brown:
On behalf of the City of Long Beach, I write to urge your signature on Assembly Bill 2722 (Burke). This bill creates the Transformative Climate Communities Program, administered by the Strategic Growth Council (SGC).
Earlier this year, I was proud to join a coalition of California mayors in support of SB 32. In that same vein, Long Beach supports the creation of a Transformative Climate Communities Program. The City has been a consistent strong supporter of statewide policies that promote sustainability, recognize and mitigate climate change, and foster economic growth. To this end, Long Beach looks forward to partnering with the State and our local community on initiatives and benefits afforded through AB 2722.
As an example of the multi-stakeholder type of collaborative work that the Transformative Climate Communities Program values, Long Beach puts forth the Livable West Long Beach Plan. Because of its proximity to the Ports of Long Beach and Los Angeles, the West Long Beach community is impacted by Port-related industrial uses, other industrial uses (e.g. refineries), as well as associated truck and rail traffic. A survey of existing conditions – including demographics, environmental conditions, and land uses – has yielded valuable context for the projects and programs identified in the Plan. As a first step in the project process, neighborhood assets were mapped, including schools, institutions, parks and health facilities. Land use maps and the delineation of neighborhood boundaries also informed the preliminary analysis.
Since the development of the Livable West Long Beach Plan, the City and our community have been seeking a range of funding sources to implement projects identified in the Plan. It is our belief that the Transformative Climate Communities Program provides essential opportunities for these types of collaborations, which are necessary to comprehensively address the burdens of disproportionately impacted communities that have suffered from decades of environmental pollution.
Given these reasons, the City of Long Beach supports AB 2722 and urges your signature on this bill.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 32nd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O'Donnell, State Assembly, 70th District
June 20, 2016
The Honorable Mike Gatto
California State Assembly
State Capitol, Room 5136
Sacramento, CA 94249
Re: Opposition to AB 2788 (Gatto) Wireless telecommunications facilities
Dear Assemblymember Gatto:
On behalf of the City of Long Beach, I write in opposition to Assembly Bill 2788 (Gatto). This bill would reduce local control over local land use authority, including locally adopted zoning regulations, specifically by permitting specified “small cell” wireless antennas and related equipment without local review.
Long Beach strictly enforces locally adopted zoning regulations related to wireless telecommunication facilities in accordance with State and federal law. The City will lose authority to regulate the aesthetic impacts of wireless telecommunication facilities as the allowed by-right applies to “small cells” wireless installations that require time for important environmental, engineering and aesthetic review. The collocation and siting of wireless telecommunications facilities are matters best addressed by local governments.
AB 2788 imposes challenging timeframes on local governments, making it difficult to involve the community, and address the aesthetic issues that are at the heart of the concerns of the community. This bill would facilitate a dramatic expansion of wireless telecommunication facilities, which would result in a negative impact to Long Beach’s skyline and building aesthetics, and these are inconsistent with the City’s General Plan policies for attractive and well-designed development. The City must retain our existing authority to regulate local land uses, infrastructure aesthetics and implement the City Council’s adopted General Plan.
Given these reasons, the City of Long Beach opposes AB 2788.
Sincerely,
[Signature]
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
September 1, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Senate Bill 1374 (Lara) – the Lower Los Angeles River Recreation and Park District
Dear Senator Lara:
On behalf of the City of Long Beach, I write in support of Senate Bill 1374 (Lara). This bill would help to promote the development of open space and parks for the benefit of communities along the Lower Los Angeles River. The Los Angeles River flows through many disadvantaged communities, where residents are disproportionately impacted by poor air quality from local heavy industry and congested transportation corridors and suffer from a severe lack of access to recreational opportunities and outdoor space.
While the Los Angeles River serves an important purpose as a flood control channel, it also presents a unique opportunity for open space development, urban greening, and is a relatively untapped recreational resource for the region. With the recent establishment of numerous groups, including the Lower Los Angeles River Working Group and multiple conversations about a new vision for the Los Angeles River, there is growing need for action along the Los Angeles River.
Through the formation of the Lower Los Angeles River Recreation and Park District, SB 1374 would promote the development of open space and parks along the Lower Los Angeles River. In addition, SB 1374 would establish a Board of Directors for the District, which would include two public members appointed by the Los Angeles County Board of Supervisors, as well as one representative each from nine different cities, including the City of Long Beach. Long Beach has a vested interest in making sure the Lower Los Angeles River receives adequate funding for the development and revitalization of open space and parks.
Given these reasons, the City of Long Beach supports SB 1374, and respectfully request your signature on Senate Bill 1374 (Lara).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O'Donnell, State Assembly, 70th District
August 15, 2016
The Honorable Jim Cooper
California State Assembly
State Capitol, Room 5158
Sacramento, CA 94249
Re: Opposition to Assembly Bill 2835 (Cooper) Public employees: orientation and informational programs: recognized employee organizations
Dear Assemblymember Cooper:
On behalf of the City of Long Beach, I write in strong opposition to Assembly Bill 2835 (Cooper). This bill would require all public employers to provide an in-person employee orientation to all newly hired public employees within two months of the time of hire. We recognize that employee orientations can be a useful tool to inform and train new employees about a career in the public sector and their responsibilities and employment rights, and benefits and other services available to them. However, the City opposes AB 2835 on the basis of local control, as it threatens to place costly logistical and administrative burdens on public employers.
The City of Long Beach currently provides a four hour new employee orientation session for all new permanent employees bimonthly. The City also annually hires hundreds of temporary employees that often are only employed for one day. It is not feasible for the City to provide a formal new employee orientation sessions to temporary employees. All employees, including temporary employees, are onboarded and provided with relevant policies and employment information through an electronic system. By mandating the frequency and expanding the meaning of a “new employee” to include temporary employees, this bill would significantly increase administrative costs for public agencies that are needed for other local services.
Further, in-person orientation sessions require public employers to utilize additional staff or overtime to cover classes and other services during orientation sessions. The City hires employees sporadically in a variety of different job classifications, at various work locations and work schedules. In the future, the City would like to move away from in-person to webinar type orientation sessions or in another manner that would allow employees to easily participate in an employee orientation session. However, AB 2835 would prevent public employers from utilizing more cost efficient and effective methods of conducting new employee orientations.
Given these reasons, the City of Long Beach opposes AB 2835 (Cooper).
Sincerely,
Patrick H. West
CITY MANAGER
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
March 21, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for ABx2-7 (Stone) – Smoking in the workplace
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support ABx2-7 (Stone). This bill would remove many of the exemptions in State law that allow tobacco smoking in certain workplaces. Long Beach is supportive of efforts to protect the health and safety of its community.
California became the first State in the country to ban smoking in nearly every workplace, effectively banning smoking in indoor public spaces. However, exemptions in current law that cover all “enclosed” places of employment, allows for smoking in certain indoor work environments. ABx2-7 would establish a statewide ban on smoking in hotel lobbies, hotel meeting and banquet rooms, warehouses, employee break rooms, gaming clubs, and bars and taverns. This bill also would prohibit smoking in public areas of owner-operated businesses and lowers the percentage of allowable available smoking rooms in hotels from 65 percent to 20 percent.
It is well known that secondhand smoke is an air containment and there is no safe amount of exposure to the chemicals emitted. ABx2-7 protects the health and safety of California’s workforce and consumers from the effects of secondhand smoke.
Given these reasons, the City of Long Beach is proud to support ABx2-7. We respectfully request your signature on ABx2-7 (Stone).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly, 63rd District
The Honorable Mark Stone, State Assembly, 29th District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
September 12, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for Senate Bill 1300 (Hernandez) – Medi-Cal: Emergency Medical Transport Providers: Quality Assurance Fee
Dear Governor Brown:
On behalf of the City of Long Beach, I write to urge your signature on Senate Bill 1300 (Hernandez). This bill would increase Medi-Cal emergency medical transportation rates in order to maintain the high level of care that is expected of emergency medical transport programs statewide. Long Beach supports efforts to ensure quality emergency medical care for all Californians.
Inadequate Medi-Cal reimbursement for ambulance transport is a long-standing issue and places a strain on the state's emergency medical services (EMS) system. By increasing Medi-Cal emergency medical transportation rates through levying a Quality Assurance Fee (QAF) on three emergency medical transportation reimbursement codes, SB 1300 would enable medical transport providers, including the City of Long Beach, to draw down additional federal Medicaid without imposing a cost to the state General Fund.
While the costs to provide essential ambulance services have significantly increased during the past decade, Medi-Cal reimbursement has not kept pace with these increased costs and has in fact declined to less than the amounts paid in 1999. With the passage of SB 1300, emergency ambulance service providers will receive much needed financial relief, which will help to ensure that all California residents and visitors continue to receive the highest quality emergency medical care.
Given these reasons, the City of Long Beach supports SB 1300 and urges your signature on this bill.
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District
The Honorable Patrick O'Donnell, State Assembly, 70th District
March 21, 2016
The Honorable Edmund G. Brown, Jr.
Governor of California
State Capitol
Sacramento, CA 95814
Re: Support for SBx2-5 (Leno) – Electronic Cigarettes
Dear Governor Brown:
On behalf of the City of Long Beach, I am pleased to support SBx2-5 (Leno). This bill protects the community and its youth by regulating electronic cigarettes as tobacco products under the state’s smoke-free laws and the Stop Tobacco Access to Kids Enforcement (STAKE) Act.
Long Beach takes the health and safety of our community incredibly seriously. On March 4, 2014, the Long Beach City Council voted to adopt one of the State’s strictest e-cigarette ordinances. The City’s municipal code currently classifies e-cigarettes as tobacco products, and treats the vaporized devices in much the same way as regular cigarettes, banning their use in restaurants, bars, workplaces, City parks and beaches. Long Beach’s municipal code also bans e-cigarette sales to minors under the age of 18 and subjects vendors to inspections and potential sting operations by the City’s health department.
Because of statutory discrepancy among State regulation of electronic cigarettes and tobacco products, there is a real concern for addressing electronic cigarette marketing tactics, accessibility to youth, and growing usage among young adults.
Given these reasons, the City of Long Beach is proud to support SBx2-5. We respectfully request your signature on SBx2-5 (Leno).
Sincerely,
Mayor Robert Garcia
City of Long Beach
cc: The Honorable Speaker Anthony Rendon, State Assembly, 63rd District
The Honorable Mark Leno, State Senate, 11th District
The Honorable Ricardo Lara, State Senate, 33rd District
The Honorable Janet Nguyen, State Senate, 34th District
The Honorable Isadore Hall, III, State Senate, 35th District
The Honorable Mike Gipson, State Assembly, 64th District |
1473 BOOK 1473
Field Notes
OF THE SURVEY OF THE
Exterior
Subdivision Lines
Townships 4, 5 & 6, South.
Ranges 6, 7, 8, 9 & 10, East.
Township Range
1473
Gila and Salt River Base and Meridian
BOOK 1473
ARIZONA.
By Ralph W. Norris D. S.
under contract dated Feb 25 1869.
Survey commenced July 12 1869
Survey completed July 17 1869.
Field notes of township lines near the Gila river, Arizona by Ralph W. Norris, July 1869.
Aug 28 1869
Contents
Between Ranges 8 & 9 Township 5 South 1
Between Townships 5 & 6 South Range 9 East 6
Between Ranges 9 & 10 East Township 5 South 9
Between Townships 4 & 5 South Range 8 East 12
Between Ranges 7 & 8 East Township 5 South 17
Between Townships 5 & 6 South Range 8 East 20
Between Townships 9 & 10 South Range 7 East 24
Between Ranges 6 & 7 East Township 4 South 28
We, Phillip Guss & J.S. Shumaker solemnly swear that we will faithfully execute the duties of chain carriers, that we will level the chain upon uneven ground, and plumb the tally pin, whether by striking or dropping the 3 knot; that we will report the true distance to all notable objects, and the true length of all lines that we assist in measuring to the best of our skill and ability.
James S. Shumaker, Chairman
Phillip Guss, Chairman
Subscribed and sworn to by the above named persons before me at my Office in Adamsville, Dima County, Arkansas July 7th 1869.
James E. Moucheley
Justice of the Peace
Cherub Ransom solemnly swears that I will well and truly perform the duties of Aforementioned according to instructions given me and to the best of my skill and ability.
Cherub Ransom, Aforementioned
Subscribed and sworn to by the above named person before me at any office in Adamsville James S. Moorehead July 7th, 1869 Justice of Peace
Between Ranges 8 and 9 E. Township 5 South
On the Gila and Salt River Meridian
Commencing at the established corner
to Townships 4 and 5 South Range
8 and 9 East. Variation 13.39° E
South between Section 1 and 6
July 12, 1869. Variation 13.39° E
In dense Mangarat
15.00 To open clay level
40.00 Yet a charmed stake for thirty-five cts. ea.
and ruin mound with pits under instructions
15.00 To overflooded sandy bottom
79.75 To Gila River running west and leaving East
80.00 As the point for cor. to sec. 1, 6, 7, 12, comes
in the River, Stake bearing, to the 5 arm
establishing Witness cor. on the bank
under instruction, Stake bearing from
point for true corner
A Cottonwood 5 in dia. lean N 73° 36' W
40 lbs. distant
A Willow 10 in dia. lean N 32° W 44' 1/2 dist.
There are no other trees within cor.
Between Range 8d & East Township 5 South
Gila and Salt River Meridian
- Ancient Indian
- Land generally level, Soil in the Mesquit 2nd rate, Remainder 3rd rate
- Grass, Mesquit, Cottonwood & Willows
South on the East Boundary of Section 12
De 13.39 E
On bed of Gila River
5.50 Crop the River to Sandy Cottonwood Bottom
21.00 Enter field of Chino Ahiso
36.50 Ascend from bottom
98.50 Ahiso's houses close to line on the West
4.000 Set a chonred stake for the Tyse, 00x
and raise mound with pits as per instructions
53.50 Crop road from Fort Yuma to Camp Grant, leaving East and West
80.00 Set a chonred stake for the Tyse, 00x
7, 12, 13, 18 and raise mound with pits as per instructions
Between Ranges 8 and 9 East T. 5 South
the Gila and Salt River Meridian
The land is 3/4 satu with the exception that portion in Abri's Field and without timber except the Cottonwood.
South on the East boundary of Section 13
Feb. 13, 1939 E
10.00 To Land plain
40.00 Set a charred stake for the 1/4 500 c.p. and ruin mound with pit as per instructions
80.00 Set a charred stake for the east side of Sec. 19, T. 18
19.24, and ruin mound with pit as per instructions
Sand generally Level with a few scattering Mesquits and green wood bushes and 3/4 satu
South on the East boundary of Section 24
Feb. 13, 1939 E
2.00 Crop Road from settlement to Tucson leaving S. 30° W. 60' N. 30° E.
Between Ranges 8, 9, East Township 3, South
6th Gila and Salt River Association
40.00 Set a charred stake for the 1/4 sec. cor. and raise mound with pits as per instructions.
80.00 Set a charred stake for the cor. to sec. 19, 20, 24, 25, and raise mound with pits as per instructions.
The soil is a reddish clay mixed with sand, with every appearance of having been cultivated. Note it as 2nd growth, green wood and a few mosquitos.
South, on the East boundary of Sec. 25.
Dec. 19, 1936
40.00 Set a charred stake for the 1/4 sec. cor. and raise mound with pits as per instructions.
80.00 Set a charred stake for the cor. to sec. 25, 30, 31, 36, and raise mound with pits as per instructions.
Sand level, and 2nd growth, green wood, mosquitos and green wood bushes.
Between Ranges 809 East Township 5 South
the Gila and Salt River Meridian
South, on the East boundary of Lot 36
Va 19 3% E.
4000 Yela charmed Stake for the 1/4 section and
raise mound with pit as per instruction
80.00 Yela charmed Stake for the corner to
Townships 5 and 6 South Range 809 East and raise mound with Pit
as per Instruction
Sand, Sand and Silt, with a few
Yeathering Mosquits and some
Green wood bushes
Between Township 5 and 6, South Range 9 East
On Gila and Salt River Meridian
From the established cts to Townships 5 and 6 South Range 80 9 East 30m,
East between Section 6 and 91
On 13°45' E
40.00 Set a charred stake for the 1/4 section and
raisin mound with pit as per instructions
80.00 Set a charred stake for the cts to sec. 5, 6
31, 32, and raisin mound with Pit as per
instructions
Sand level and 3 feet growth; Scattering
Mesquits & green wood
East between Section 5 and 32
On 13°45' E
40.00 Set a charred stake for the 1/4 sec cts and
raisin mound with pit as per instructions
80.00 Set a charred stake for the cts to sec. 4, 5,
32, 33, and raisin mound with Pit as per
instructions
Sand level and 3 feet with growth & Mesquit
Between Townships 5 & 6 South Range 9 East
6th. Gila and Salt River Meridian
East, between Sections 4 and 33
Ra 13 45 East
40.00 Get a churred State for the 1/4 sec. ea. and
raise mound with Pits as per instructions
80.00 Get a churred State for the east to Sec. 4, 3,
33, 34 and raise mound with Pits
as per instructions
Sand Level and 3 feet. Growth scattering
Mesquite and green wood bushes
East, between Sections 3 and 34
Ra 13 45 E
40.00 Get a churred State for the 1/4 sec. ea. and
raise mound with Pits as per instructions
80.00 Get a churred State for the east to Sec. 2, 3, 34,
35 and raise mound with Pits as per
instructions
Sand Level and 3 feet. Growth a few
Mesquite and Shrub of Grammon Grass
Between Townships 5 & 6, South Range, 9 East
Ch. Gila and Salt River Meridian
East between Sections 2 and 35
July 13, 1864, 13:45 E.
40.00 Set a charged stake for the 4th section and raise mound with O'Leary's instructions.
80.00 Set a charged stake for the cor. to Sec. 12, 35, 96, and raise mound with O'Leary's instructions.
Sand level, 3/4 cut and open, with spots of grass and brush.
East between Sections 1 and 36
July 13, 1864, 13:45 E.
40.00 Set a charged stake in the 4th section and raise mound with O'Leary's instructions.
80.00 Set a charged stake for the cor. to Townships 5 and 6, South Range, 9 East and raise mound with O'Leary's instructions.
Sand level and 3/4 cut. South Mesquite, sparse wood and good brush.
Between Range 9 and 10 East T. 5 South
Ch. Gila and Salt River Meridian
From the established corner to Pennel's
506. Don't. Range 9 and 10 East
9 P.M., Vindicator 13.45 E
North on the East Boundary of Sec. 36
40.00 Get a charmed stake for the 19.50, ca. and
raise mound with Pit as per Instruction
80.00 Get a charmed stake for the cor. to sec. 25.30
31.96 and raise mound with Pit as per
Instruction
Sand Level, open, 5-3" rats, with some cactus
North on the East boundary of Sec. 25
To 13.45 E
40.00 Get a charmed stake for the 19.50, ca. and
raise mound with Pit as per Instruction
80.00 Get a charmed stake for the cor. to sec. 24
25.19.30, and raise mound with Pit as
per Instruction
Sand Level, 3" rats, growth several varieties
of cactus
Between Ranges 9 and 10 East Township & South
the Gila and Salt River Meridian
North, on the East boundary of Sec. 24
Tn. 13, R. E.,
40.00 Yel a charmed Stake for the 1/4 sec. cor. and
raise mound with pit as per instruction
80.00 Yel a charmed Stake for the cor. to Sec. 13,
24, 18, 19 and raise mound with pit
as per instruction
Sand level at 3' sat. growth scattering
Mesquit and Green wood bushes
North, on the East boundary of Section 13
Tn. 13, R. E.,
40.00 Yel a charmed Stake for the 1/4 sec. cor. and
raise mound with pit as per instruction
79.00 Cosh Road from Fort Yuma to Camp Grant
bearing N. 40° E. & S. 45 W.
80.00 Yel a charmed Stake for the cor. Sec. 12, 13, 7, 18, and
raise mound with pit as per instruction
Sand level, and 3' sat. growth, Mesquit
and Green wood bushes
Between Ranges 90-10 East Township 5 South
Between the Ohio and Salt River Meridian
North on the East boundary of Section 12
Tn. 13, 45 E
11.50 To dry land & brush 50 ft. with leaving N. 40 W
and S 40 E.
40.00 Set a charred stake for the 1/4 section and
raise mound with pit as per instructions.
80.00 Set a charred stake for the corner of Sec. 16
7.12 Raise mound with pit as per instructions
Sand level & 3 feet front, Mosquito & green wood
North on the East boundary of Section 1
Tn. 13, 45 E
40.00 Set a charred stake for the 1/4 section and
raise mound with pit as per instructions.
80.00 Intersect the North Boundary at Port corner
of Township 40-5 South Range 90-10 East
Sand level & 3 feet, with a heavy
growth of Mosquito and Green wood
brushes
Between Townships 4 and 5, South Range 8 East
Between Gila and Salt River Meridian
From the established corner to Township 4 and 5, South Range 8 & 9 East 3 Rng West
Inclination 13.35° E
Sept. 14th, 1869
West, between Sections 1 and 36
To. 13.35° E,
In heavy mesquite & dense undergrowth
40.00 Set a chorned stake for the 1/4 sec. cor. and raise mound with pits as per instructions
60.00 The ground is more open with scatting mesquits
80.00 Set a chorned stake for the cor. to Sec. 1, 2, 3, 36, and raise mound with pits as per instructions
Sand Send and 2 rod, with generally heavy growth of Mesquit and underbrush
West, between Sections 2 and 35
To. 13.35° E,
40.00 Set a chorned stake for the 1/4 sec. cor. and raise mound with Pits as per instructions
80.00 Set a chorned stake for the cor. & 31, 35,
Between Townships 40S South, Range 8 East
Ch. Gila and Salt River Meridian
184.108.40.206 and raise mound with pits
after instructions
Sand level 62 feet, growth Mesquit
and some cactus
West between Section 3 and 34
Fa 13.99 E.
5.00 Corp dry bed gravel 20 ft. wide bearing
South & North and ascending hill which
extends about 40 ch. North 40 ch. South
37.00 To summit of hill about 200 ft high, rock and
4.00 Set a stone 21 x 10 x 10 for the 1/5 sec. cor. and
raise mound with pits as per instructions
6.900 To mesquit bottom
8.000 Set a charged slate for the cor. Sec.
220.127.116.11 and raise mound with
pits as per instruction
Sand on the hill is 62 feet with much cactus
On the bottom 2 feet with heavy
growth of mesquit
Between Townships 4 & 5, South Range & East
Chs. Gila and Salt River Meridian
West between Section 4 and 33
Dq 13 34 E
40.00 Get a channel stake for the 4th sec. cor. and raise mound with pits as per instructions.
53.00 To Overflowed River bottom
66.60 To East fork of Gila River running North and bearing South
67.50 Drop the same to Island
80.00 Get a channel stake for the cor. to Sec. 4, T. 32, R. 38 and raise mound with stakes as per instructions.
The first 9 miles is 2 feet, with heavy mangrove. The remainder is sandy, often 2-3 feet.
West between Section 5 and 32
Dq 13 34 E
23.00 Low low bottom for sandy level 8 ft higher
40.00 Get a channel stake for the 4th sec. cor. and raise mound with pits as per instructions.
Between Townships 4 and 5, South Range 8 East
the Gila and Salt River Meridian
65.50 To Indian fields. Ranchoia 2nd South
80.00 Get a charred stake for the corner sec.
5, 6, 31, 32, and ruin mound with Pits
as per instructions
Sand sandy, 3 cut and open
West between Section 6 & 31
N 19.3° E.
40.00 Get a charred stake for the 44 section and
ruin mound with Pits as per instructions
8th South gline as the point for true
corner comes in a ditched
Ranchoeria's 3rd South
51.00 Leone Indian Field
55.00 To South Fork of Gila River coming from
the South and running North
60p. the same and a second bank 12 ft
high to Sandy Level
68.50 Corp Road from Fort Yuma to Camp
bearing N. 40 W and S. 40 E and
Between Townships 4 and 5 South Range 8 East
Ch. Gila and Salt River Meridian
Enter mesquit
8000 Yela charred stake for the cor. to
Townships 4 and 5, South Ranges 7 and 8
East, and raise mound with salt
as per instruction
land level and 3' date and the
growth is sage brush and greasewood
leaves 12 Ch. y scattering mesquit
Between Ranges 7 & 8 East Township 5 South
Gila and Salt River Meridian
South on the East boundary 9 Sec 13
Ra. 13, 45' E,
40.00 Get a chorned stake for the 4/4 sec cor and raise
mound with Pit as per instructions
80.00 Get a chorned stake for the cor to Sec 13, 24, 18
19 and raise mound with pit as per instructions
and Level 103' out. Growth principally Magnit
South on the East boundary 9 Section 24
Ra. 13, 45' E,
40.00 Get a chorned stake for the 4/4 sec cor and raise
mound with Pit as per instructions
80.00 Get a chorned stake for the cor to Secs 24, 25, 18, 80
and raise mound with pit as per instructions
and Level 103' out. Growth Magnit
South on the East Boundary 9 Section 25
Ra. 13, 45' E,
40.00 Get a chorned stake for the 4/4 sec cor and raise
mound with Pit as per instructions
Between Range 708, East Township 5 South
On Gila and Salt River Meridian
8000 Set a charged stake for the corner, 25 36
30 31 0 square mound with pit as per instructions
Sand Lined 3 feet, Growth Mesquit
Green wood & Some Sage brush
South, on the East Boundary of Section 36
N. 13 45 E
40 00 Set a charged stake for the 74 51 0 square
mound with pit as per instructions
8000 Set a charged stake for the corner, 6 Township
5 06 South, Range 70 8 East, square
mound with Pit as per instructions
Sand Lined 3 feet, and Growth Mesquit
Sage bushes & Green wood.
At this point I effected to have intersected the
first Correction line South; but after a most
diligent search for several hours in every
direction I could not find a trace of the
corner and I concluded that it had been
destroyed by fire or by the floods, which
Between Township 5-6 South Range & East
On Gila and Salt River Meridian
have totally obliterated miles of the survey, in the last year. As the corner is not to be found I Run East on a Random line.
From the Established corner to Township 5-6 South Range 7-8 East 3 Run East on a Random line between said Townships the Variation of my compass being 13° 45' E. I set corner at 1 mile and mile post at 40.00 and 80.00 chains. I find the Township line to be 79 chains and the falling to the 200 chain south of the Township corner.
The correction for the true line will therefore be 100 chain West and 33 tenths North per mile.
From the corner to Township 5-6 South Range 8 and 9 East 3 Run
5.89.46 West on a town line between Yes 1036.
Between Townships 5 & 6, South Range 8 East
Gila and Yuma River Meridian
July 16, 1869
40.00 Set a charged stake for the 4th sec and ruin mound with Pith as per instructions
48.00 Loop road from Gila settlement to Tucson leaving N and S
80.00 Set a charged stake for the co. to sec 1, 2, 35, 36 and ruin mound with Pith as per instructions
Land Level 3rd rate, growth mesquit, green woods some brush
58.46k between Sections 2 and 35
70.00 Set a charged stake for the 4th sec and ruin mound with Pith as per instructions
80.00 Set a charged stake for the co. to sec 29, 34, 35 and ruin mound with Pith as per instructions
Land Level 3rd rate, growth thorn mesquit, green woods some brush
Between Townships 5 and 6, South Range 8, East
Chs. Gila and Salt River Meridian
889.46th. Between Sections 3 and 34
Da 13.45 E,
40.00 Yet a charred stake for the 44 sec. cor. and
raise mound with Pits as per Instructions
69.00 Both Road from Settlement to Bluewater
leaving S. E. N. S. E
80.00 Yet a charred stake for the cor. to sec. 34, 33, 34
and raise mound with Pits as per
Instructions
Land level and 3/4 sat. There is considerable
mosquito and latches, g. Grammar Graph
589.46th. Between Section 4 and 89
Da 19.45 E,
40.00 Yet a charred stake for the 44 sec. cor. and
raise mound with Pits as per Instructions
80.00 Yet a charred stake for the cor. to sec. 4, 3-
32, 33, and raise mound with Pits as per
Instructions
Land level and 3/4 sat. with heavy Mosquito and some trees
Between Township 5 and 6 South, Range 7 and 8 East
Gila and Salt River Meridian
5.89.46W. Between Sections 5 & 92
Tha. 13.45 E.
$10.00 Get a charred stake for the 1/4 section and raise mound with Pits as per instructions
$80.00 Get a charred stake for the corner to Sec. 18.104.22.168 and raise mound with Pits as per instructions
Sand, Sand and 3 out, with considerable Mesquit, grease wood bushes, and some grass
$89.16W. Between Section 6 and 91
Tha. 13.45 E.
$10.00 Get a charred stake for the 1/4 section and raise mound with Pits as per instructions
The corner to Township 5 and 6 South, Range 7 and 8 East
Sand, Sand and 3 out, growth, Mesquit, grease wood, sug. bushes, and grass
Between Townships 4 and 5, South Range 7, East
Gila and Salt River Meridian
From the established corner to Towns 4 and 5 South Ranges 7 and 8 East 9 Run West between Section 1 and 36
July 17th 1869 To 19° 34' E.
40.00 Get a chained stake for the 1/4 sec cor and raise mound with pit as per instructions
80.00 Get a chained stake for the cor. to sec. 1, 2, 85, 36, and raise mound with pit as per instructions
Land looks great, with considerable Mosquit and patches of Grammon grass
West between Section 2 and 35
To 19° 34' E.
40.00 Get a chained stake for the 1/4 sec cor and raise mound with pit as per instructions
45.00 To open ground
80.00 Get a chained stake for the cor. to sec. 2, 9, 34, 95 to raise mound with pit as per
Betman Township, 4th S., South Range 7, East
Gila and Salt River Meridian
Instruction
Sand, sand, and 3" cut
West between Section 3 and 34
In 19.35 E.
0.00 Set a charged stake for the 1/4 section, and raise mound with pit as per instruction.
65.00 To deme 200' to Mosquito underport.
5.00 Set a charged stake for the cor. to Sec. 3, 4, 33, 34, and raise mound with Pit as per instruction.
Sand, sand, and 3" cut
West between Sections 4 and 33
In 19.35 E.
0.00 Score Mosquito Wicket for open grown tree. Set a charged stake for the 1/4 section, and raise mound with Pit as per instruction.
8.00 Set a charged stake for the cor. to Sec. 4, 5, 32, 33, and raise mound.
Between Townships 40S, South, Range 7, East
Ch. Gila and Salt River Meridian
- with pits as per Instruction
Sand level, open or flat, with a few small cactus
West, between Sections 5 and 32
By 19° 35' E.
40.00 Set a chained Stake forth 4450' C. and
surrounded with pits as per Instruction
70.00 In foot of Stuf Rocky hill from 75 to
250 ft in height, extending S. 20 E.
about 2 miles.
As it is impossible to construct a mound
on the steep side of mountain, I have
constructed a Monument of Rocky ash
for true corner
A Stone 16 x 12 x 6 with ground Stones
as per Instruction. Thence
North 10.00 to end of Offset North. Thence
West 43.00 to end of Offset West. Thence
South 10.00 to point at the bottom foot of Hill.
Between Townships 4 and 5, South Range 7 East
Chs Gila and Salt River Meridian
- and 33.00 chains West on line between Sections 6 & 31.
- Land 3rd rate and open.
- West on line between Section 6 & 31
Th. 13° 35' E.
Town foot of hill
- 6000 foot Road from Yacoutor to Tucson
bearing N.E.S.
- 1000 Ytachoned State for the 1/4 section and
anis around with pits and instructions
- 1000 Ytachoned State for the coast town
- Chs 4 and 5 South Range 6 and 7 East
Land steep through in level and all
3 parts. On the last 1/4 mile there is some
Mesquite and a heavy growth of
green mood bushes.
The soil on this line is a light clay
mixed with a small quantity
of Alkali
Between Ranges 6 and 7 East, Township 4 South
John Gila and Salt River Meridian
From the established corner to Townships 4 and 5, Ranges 6 and 7, East, Run North on the East boundary 9 Sec. 3 6
In 1934 E
4000 Yelachnerd Stake for the 1/2 Sec. 24 and raise mound with pits and instructions
8000 Yelachnerd Stake for the 1/2 Sec.
31 36 30 25 and raise mound with pits and instructions
Land April and 9 out. The first half mile has some mesquit. The remainder is open with a few green wood bushes.
North, on the East boundary 9 Section 25
In 1934 E
1250 Cof Road from Sacaton to Tucson bearing N. 40 W. and S 30 E.
3600 The line runs in the ledge creek
4000 To the corner corner in the dry ditch
Between Ranges 6 and 7, East Township 4, South
Gila and Yalt River Meridian
Covey, I set the post on the East bank to the East point for true corner. I set a charged stake for the 1/4 section and again around with Pima instruction. At this point I intersected the South Boundary of the Pima and Akimiccha Reservation 4 miles, 42 chains from the South East corner, and the stake is moved accordingly on the North Side.
I have done the Survey of the Township lines as I do not consider it necessary to do any further.
Completed July 17th 1869
We hereby certify that we appointed Ralph W. Norris Deputy Surveyor, in searching for the corner to Township 5-16 south Ranges 7 and 8 East, previously established, and that after diligent search we could not discover it, and that from the nature of the soil and the grove, we inclined to the belief that it was destroyed by flood and fire.
James Shumaker, Chairman
Philip Gird, Chairman
Chas. Ransom, Noteman
Subscribed and sworn to by the above named persons before me at Maricopa Wells August 10th 1864
Pima County
Arizona Territory
Ralph W. Norris
Deputy Surveyor
The hereby certify, that we certified
Ralph W. Norris in surveying the line
between Ranges 8 and 9 Township 5 South
The line between Townships 5 and 6 South Range 9 East; the line between Ranges 9 & 10 East Township 5 South; The line between Townships 4 & 5 South Range 8 East; The line between Townships 5 and 6 South Range 8 East; the line between Ranges 7 and 8 East Township 5 South; the line between Townships 4 and 5 South Range 7 East and
the line between Ranges 6 and 7 East Township 4 South, to its Intersection of the South Boundary of the Pima and Maricopa Reservation all of the Gila and Yalt River Meridian and that the said line has been in all respects to the best of our knowledge and belief and faithfully Surveyed and the Boundary Monuments planted according to the instructions furnished by the Surveyor General.
James Shumaker Chairman
Philip Grod Chairman
Chas Ransom Reporter
Subscribed and Sworn to by the above named person, before me at Moricoba Wells Pima County Arizona Territory August 10, 1869.
Ralph W. Norris
Deputy Surveyor
Ralph W. Norris Deputy Surveyor do solemnly swear that in pursuance of a contract with Sherman Day Surveyor of the Public Lands of the Territory of Arizona, bearing date February 25, 1869 and instructions bearing date June 27th, 1869 and in strict conformity to the laws of the United States and the instructions furnished by the said Surveyor General I have faithfully surveyed the lines between Ranges 8 and 9 East Township 8 South Between Townships 5 and 6 South Range 9 East Between Ranges 9 and 10 East Township 5 South Between Townships 4 and 5 South Range 8 East Between Ranges 7 and 8 East Township 5 South Between Townships 5 and 6 South Range 8 East
Between Townships 4 and 5 South, Range 7 East,
Between Range 6 and 7 East, Township 4 South,
All Yuma and Salt River Meridian in
the Territory aforesaid and do further
Solemnly swear that the foregoing are the
true and original Field Notes of such
Survey.
Ralph W. Morris
District Surveyor
Subscribed by said Ralph W. Morris, and
Sworn to before me this day August
tenth (10th) A.D. 1869.
I. S. Carr
Notary Public
Pima Co.
Arizona.
Copied for Washington by
J. O. L. F. |
NEW TAPES ■
NEW ARTISTS ■
NEW VIDEO FROM EUROPE ■
ELECTRONIC ARTS INTERMIX
Artists' Videotape Distribution Service
NEW TAPES
MAX ALMY
Perfect Leader (1985) 4:30 min., color, stereo sound, $50/200*
In Perfect Leader, Almy envisions a computer program which designs the quintessential politician, packaged for mass consumption. The computer-generated graphics, computer-voice and infectious soundtrack, is used by Almy with dynamic effect to illustrate the process of marketing a political candidate through the media. Along with computer animation and sophisticated video effects, this prototype emerges as a familiar yet disturbing product.
ROS BARRON
Viva Magritte (1983) 20 min., color, sound, $50/200
In a surrealistic filmic environment, Ros Barron juxtaposes the characters of painter Rene Magritte and the Warhol protege Viva. The result is a philosophical dialogue on the relationship between art and life and an inquiry into the nature of the art object.
DARA BIRNBAUM
Damnation Of Faust; Evocation (1983) 10 min., color, stereo sound, $50/200
In this three-part work, the classic themes of Faustian duality are introduced into a contemporary urban setting. Using sophisticated video techniques, Birnbaum developed techniques based on the Japanese Ukiyo-e form — social commentary prints — to explore themes of transcendence and loss, and the conflict between the individual and external surroundings. The literal evocation of this prologue is structured on original music by Joshua Fried, Sonic Youth, and John Zieman.
SKIP BLUMBERG
Elephant Games (1986) Narrated by Burgess Meredith. 27:30 min., color, around $50/200
Skip Blumberg, the producer of Pick Up Your Feet: The Double Dutch Show (1985), traveled to Thailand to make this engaging documentary about elephant games. The film features elephant races, an elephant soccer game, elephant tug-of-war, and an elephant ballet. It is a humorous yet moving study of close contact between humans and the earth's largest mammal, and its integral role in the Thai culture.
Flying Morning Glory (on fire) (1985) 4 min., color, sound.
Blumberg calls this a "zany, hot performance cooking video," which he recorded during a recent trip to Thailand.
All-On Parade (1985) 25 min., color, sound, $50/200
In his distinctive and upbeat style, Blumberg documented a gala art event at the time line of Memphis, featuring a 200-foot balloon sculpture, 100 kids kiting their own off-beat homemade kites, and other unusual performance art pieces were commissioned by Walker Art Center, including works by sculptor Donald Lipski, painter/sculptor Richard Lippold, photographer/printer/artist Richard Lerman, and percussionist David Moss.
Interviews With Interviewers (1985) 57 min., color, sound, $75/275
Blumberg has created a series of interviews, each working the tape to reveal the tactics of the interviewees themselves. TV's Mike Wallace and Barbara Walters, Pulitzer Prize winner Stuart Kestel, National Book Award winner Philip Roth, New York City Police Detective Sean Greman, and psychoanalyst Dr. Joel Koren are interviewed about curiosity, style, trickery, truth and other aspects of the interview.
WENDY CLARKE
Love Tapes Series (1980) 28 min., b&w, sound, $50/200
Series of 10 corrosive interviews with a variety of conflicting statements on love from a diverse group of individuals. For each segment, a participant sat alone in front a video camera and talked about love for approximately five minutes. A social and personal study of love emerges as a direct result of Clarke's use of the intimacy and immediacy of the video medium.
PETER D'AGOSTINO
DOUBLE YOU (and X.Y.Z.) Parts 1 & 2 (1982-83) 10 min., color, sound, $50/200
In DOUBLE YOU (and X.Y.Z.), birth and the acceleration of language are presented in contrast to the four forces now believed to cause all physical interactions in the universe: light, gravity, strong and weak forces. Parts I & II (10 min. each on separate records) incorporate live action, animation, digital and analog processing, and music score to explore early language development from cries at birth to a child's first words.
ED EMSHWILLER
Skin Matrix (1984) 17 min., color, sound, $50/200
This visually complex videotape explores themes of texture, energy, and movement. The images are a combination of landscapes, faces, skin and tactile surfaces. The intricate transformations in this tape were achieved with an inexpensive Bally Arcade computer, a custom-built video synthesizer, a Super8 camera, 8 minute version. Skin Matrix S, is also available ($50/200).
KIT FITZGERALD
To Sorrow ... (1984) 5 min., color, stereo sound $50/200
To Sorrow ... is a modern tone poem inspired by the poetry of Thomas Hardy. This video pastoral combines a lush yet troubling musical score with images of the English countryside, recorded in Hardy's own Dorset and Southwest Ireland, which reveal aspects of the coexistence of rural and technological societies. Allusions to the collapse of human free will and predestination are set in a beautiful and sensuous environment, with animal and landscape as the main characters.
SHALOM GOREWITZ
Subatomic Babies (1983) 7:30 min., color, stereo sound $50/200
Gorewitz employs his distinctive image-processing techniques in this dense meditation on bringing a new life into the nuclear and technological age. The film's imagery is found in a disturbing collage about the dreams and visions of the father of a child "born under the atom."
DOUG HALL
Songs Of The 80's (1983) 17 min., color, sound $50/250
Based on a series of performances, this tape consists of five episodes that are unified by themes of displacement, anxiety and conflict. The artist's personal experiences and political/social tensions are elegantly realized through a series of video techniques such as slow motion, rapid staccato editing and extended dissolves.
Almost Like A Dance (1984) In collaboration with Jules Backus.
3 min., color, stereo sound $50/250
In Almost Like A Dance, sound monitoring and precise editing is used to examine the physiology of Olympic weightlifter Mario Martinez as he lifts 604.5 pounds. Hall calls it "the world's shortest documentary."
Prelude To The Tempest (1985) 15 min., color, stereo sound. $50/200
Creating a montage of images of nature, industry and the artist himself, Hall elaborates on the themes, techniques and style of Songs Of The 80's. Structured on the central metaphor of the tempest, the tape explores the artist's relationship to nature, the individual's struggle for equilibrium, and a foreboding prediction of upheaval.
GARY HILL
Primarily Speaking (1983) 19:30 min., color, stereo sound $50/250
Originally a two-channel, multi-monitor installation, Primarily Speaking activates a complex relationship between spoken language, visual images, and the viewer's perception of time and ambiguity. Using a verbal text of cliches, idioms and puns which interweave with sequences of video images on a single screen, Hill challenges traditional relationships artist/audience, representation/meaning, words/images.
Happenstance (Part One Of Many Parts) (1983) 6 min., b&w, stereo sound
In Happenstance, Hill uses a Rutt/Etra synthesizer to sculpt words into phrases, which are then manipulated with rhythmic and analytical elements with philosophical and mystical references, explores the intricacies of meaning in idiomatic language and musical sounds.
Why Do Things Get In A Muddle? (Come On Petunia) (1984)
3:32 min., color, sound $75/300
Why Do Things Get In A Muddle? is based on a "medicover" by Gregory Bateson. Hill defined the work as "a conversation on a problematic subject" in which the "structure of the conversation as a whole is the subject." Employing a variety of narrative elements to Alice in Wonderland, Hill creates an inverted world in which reverse-language, starting camerawork, and a convoluted dialogue result in a "meta-illustration" of the Bateson text.
JOAN JONAS
Double Lunar Dogs (1984) Produced by Jonas in association with the Laban/Bartenieff Institute of Movement and the Contemporary Art Television (CAT) Fund. 25 min., color, sound. $50/250
In Double Lunar Dogs, performance artist Joan Jonas creates an allegory of the forgotten past and uncertain future through a sophisticated blend of video technology and performance theater. This is a surrealistic depiction of survival in which the characters aboard a spacecraft (portrayed by Stephen Grimes, Jill Kressen, John Malloy, David Warillow, and Joan Jonas) travel aimlessly through the universe while attempting to realize a continuum between their origin and destination.
CHIP LORD AND MICKEY MCGOWAN
Easy Living (1984) Co-produced by the Contemporary Art Television (CAT) Fund 18 min., color, stereo sound $50/250
In Easy Living, Chip Lord and Mickey McGowan create a miniature suburban America, where toy cars, plastic figures, and tiny houses provide the setting for an animated depiction of the paradoxical nature of American life - movies, automobiles, vacation and sport. In this amusing yet unsettling examination of life in post-war America, the artists illustrate how television and the media have reduced daily experience to leisure, relaxation and passivity.
ANTONIO MUNTADAS
Between The Frames: Chapter 5: The Docents (1983) 12 min., color, sound $50/200
Between The Frames is an ongoing series of visual commentaries about the people and institutions located between art/artist and the audience. The fifth chapter in the series, entitled "is concerned with docents — teachers and guides who work in a museum context to educate the public about art.
Credible (1984) 27 min., color, sound $50/200
In Credible, Muntadas calls attention to the "invisible" information behind mass media production. In this film, he recreates several TV and radio advertisements from their original contexts; he demonstrates that language/sound/music, visuals, graphics, typography, format, and timing determine how the producers and producing institutions choose to represent themselves in the media.
Political Advertisement: 1954-1984 (1984) Edited by Muntadas and Marshall McLuhan, 35 min., b/w, silent, color, sound $75/275
This remarkable anthology examines the development of political advertisements from their introduction as a political strategy in the 1950's to the media campaign phenomenon of the 1980's. A social and media historian, McLuhan provides the historical insight into the marketing of politics, revealing advertising tactics such as retaliatory spots, negative advertising, soft-sell techniques and the use of emotionalism.
TONY OURSLER
EVOL (1984) Co-Produced by the Contemporary Art Television Project, 16 min., color, sound $50/200
In this black comedy of disillusioned romance and sexual pain, Oursler entangles the viewer in the delicious dream state of a young man who, like Oursler himself, is a master of dramatically painted sets, cleverly constructed props, and unexpected inventions. Oursler probes the disparity between the myths of childhood and the realities of adulthood.
NAM JUNE PAIK
Vusac—NY (1984) In collaboration with Betsy Connors and Paul Garrin, 30 min., color, sound $50/200
In Vusac—NY video's founding father, Nam June Paik continues his effort to recontextualize and update his videotapes into new forms of expression. Vusac—NY is a collage of music, art, TV, and global pop culture. This tape incorporates clay animations by Betsy Connors and image processing by Paul Garrin with material from the Setlist: New York (1975), based on George Orwell, Paik's live satellite broadcast linking Paris and New York on New Year's Day, 1984.
DAN REEVES
Sabda (1984) 15 min., color, stereo sound $50/250
Sabda is an experimental video poem inspired by the poetry of praise written by the North Indian poet Kabir and other medieval poets. All of the images and sound were created on an extended trip through India. The synthesis of sound and image with a strong subset of written poetry attempts to push through the world of events and appearances. [Dan Reeves]
JOHN SANBORN AND DEAN WINKLER
John Sanborn And Dean Winkler: Selected Works (1983-85) 19:30 min., color, stereo sound $75/350
All of the works by Sanborn and Winkler are tour-de-force examples of imagery created with computer-generated sequences. In the most recent works, clusters of geometric shapes spiral through landscapes, echoing the repetitive strains and vital energy that inform the music of avant-garde composer John Cage, Glass, Creel, and others. Computer Musicians of Boston, Renaissance (1985) 7 min.
Renaissance is a journey through clystches with spinning pyramids and cubist forms. It typifies the computer's power to transform. Recently completed for Expo '86, Luminaire is a visual tribute to visual artist James Turrell. It includes a surreal space age landscape, digitally transformed dancers, and a computer scene that traces the history of art through a computerized gallery.
GEORGE STONEY
Southern Voices (1985) 56 min., color, sound $75/275
Swath-glass musician William Haynes was commissioned by the Chattanooga Symphony to produce an original work for orchestra. The result is Southern Voices, a symphony that incorporates elements of southern speech, street music, and church choirs. This documentary of the creation of "Southern Voices," which includes footage of rehearsals, the final performance and Haynes' interviews with southerners, is also an affectionate portrait of the South.
JANICE TANAKA
Grass (1985) 8:30 min., color, sound $50/200
In Grass, or "When The Rain Falls On The Water, Does The Fish Get Any Wetter?": Tanaka uses her dense image-processing style to explore the relationship between the natural and the artificial. Beginning with elusive images of the beginning of life, the tape progresses into a dynamic collage of elements of contemporary society.
STEINA
Bad (1979) 2 min., color, sound $50/200
Bad is a technical exploration of the commands in the Vasulka's Buffer Oriented Digital Device for control word imaging functions such as shifting, flipping left/right, zooming and stretching and squeezing of the image. Steina uses her own face as visual material, rhythmically dismantling and reconstructing her own image.
Urban Episodes (1988) 8:30 min., color, sound $50/200
To produce Urban Episodes, Steina used a computerized device in downtown Minneapolis that consisted of mirrors and two cameras which rotated, panned, tilted and zoomed. The result is a striking urban study in which the imagery revolves and is transformed by the perception of gravity and motion.
South-Western Landscapes (1982) 18:30 min., color, sound $50/200
High Ride 4 min.
Low Ride 3 min.
Somersault 5 min.
Rest 5 min.
Photographic Memory 5 min.
In South-Western Landscapes, Steina uses mechanical and electronic devices to physically explore the New Mexican landscape, a phenomenological examination of the environment to reach this environment from different perspectives. In Sky high, she creates a mirrored sphere high above a moving vehicle; In Low Ride, the landscape is viewed from the perspective of the driver's point of the ground, crashing through fields on the front of a car; in Somersault, the camera is mounted on a pendulum that swings around her, allowing it to calmly view the surroundings in a hammock in Rest. Photographic Memory is an ethereal study of the colors and textures of the landscape of the Southwest.
STEINA AND WOODY VASULKA
Progeny (1981) In collaboration with Bedford Smith 18:30 min., color, stereo sound $50/250
Working with sculptor Bedford Smith, the Vasulkas produced this tape combining Steina's "Machine" image-processes of pre-programmed camera movements and optical transparencies, and Woody's image processing with Smith's organic sculptural figures.
In Search Of The Castle (1981) 9:30 min., color, sound $50/200
Driving through the Southwest and videotaping with Steina's mirrorball, the Vasulkas develop a central metaphor of search. A journey of personal and perceptual transformations, their odyssey moves through an American to an image-processed landscape.
WOODY VASULKA
The Commission (1983) 45 min., color, stereo sound $100/400
Applying for the first time his own image-processing codes to a narrative, Vasulka creates a series of art-movies, also known as his electronic opera. Centering on the personalities of violinist Niccolo Pagansini and composer Gustav Mahler, and Gustav's lover composer Hector Berlioz (played by composer/performer Robert Ashley), the tape is a pivotal work in developing a narrative language of electronic image processing.
EDIN VELEZ
Oblique Straight Too (1984) 12 min., color, stereo sound $50/200
This is a tangential portrait of composer and musician Brian Eno. Through Edin Velez's camera, we move toward his music through interviews and observations, visually exploring his concept in an essay-like essay on the creative process.
As It Is (1984) 17 min., color, stereo sound $50/200
As It Is is a portrait of life in New York City. Velez reshapes and layers the urban landscape, recreating living vignettes into a single, continuous flow. In New York, Manhattan, the American Stock Exchange, the Coffee, Cocoa and Tea Exchange, the endless expressions of passing faces on an escalator, and a harried man singing in the vast chamber of the Cathedral of St. John the Divine.
BILL VIOLA
Requiem For Whitchurch As An Empty House (1983) 19 min., b/w, stereo sound $50/250
"An attempt to stay awake continuously for three days while confined to a single upstairs room of an empty house. The viewer may experience the flight from fixed visual position to chronic, the effect of the relentless passage of time on the solitary individual. The entire space becomes a stage where events side in and out of conscious awareness and duration becomes more and more brutal." (Bill Viola)
Anthems (1984) 11:30 min., color, stereo sound $50/250
In Anthem, a large screen shows a young girl becomes a vocal accompaniment to a lamentation on the existence of human-kind—a figure of innocence against the backdrop of the world. Viola carefully links images of commerce, leisure, nature and industry to intimate man's removal from the environment and the resulting separation of body and spirit. The piece is a meditation on "the form and function of the religious chant." The piece comes to a sustained climax which is extended in time to derive a scale of seven harmonic notes.
Reverse Television — Portraits Of Winners (1984) 15 min., color, stereo sound $50/250
Created by Viola while an artist-in-residence at WGBH's New Television Workshop, this tape is a compilation of 15-second excerpts from television commercials showing people happily and silently watching television, or watching us watch television. The portraits were aired in Boston individually as station breaks between programming.
KEN FEINGOLD
Ken Feingold was born in 1952, received his BFA and MFA from the California Institute of the Arts, and has been working in film and video since 1970. He has received grants to make video/tape around the world. He lives in Minneapolis and New York.
5 dim/MIND (1983) 29 min., color, stereo sound. $50/200
In 5 dim/MIND, Feingold constructs a language of overlapping images and sounds that proceed at different speeds and in different footage in an associative progression that mimics subconscious thinking. The result is a collage of a multiplicity of recorded information from disparate cultures and media, which culminates in a series of signs that result in what Feingold calls "a new text of signification."
The Double (1984) 29 min., color, stereo sound. $50/200
The Double continues Feingold's project of building a language system that combines the manipulation of sounds and images and investigating the ways in which information is received and perceived. He describes it as "the world surveyed for extreme manifestations, with extreme attention paid to the gaps between the things and the things, the gaps that open up before us when we look at ourselves in the mirror, when we look at our reflections . . . what? . . . the knowledge that we are a part of all these?"
Babalu (1980) 10 min., color, sound $50/200
The image of the Cuban Afro-Cuban folk god, is the central metaphor of this tape in which Labat explores issues of the Cuban heritage, cultural stereotypes, and the distortions of cultural myths. Making use of a variety of TV commercials by Raul Richards, Labat interweaves humorous archetypal gestures with several staged scenes, playing a variety of characters.
Room Service (1980) 6 min., color, sound. $50/200
Room Service is a humorous short tape which deals indirectly with the arrival of the marilettos (Cuban boat people) and the language barrier. A young Cuban woman who recently plays a recently arrived immigrant who rehearses his only English phrases and experiences a terrifying disorientation in a motel room. Interwoven is Labat's interpretation of the British immigrant joke.
N (nnn-vay) (1982) 10 min., color, sound. $60/200
The title of this tape refers to the Spanish title sign over the "n," which represents what Labat what is "lost or left behind" by the immigrant. A weave of contemporary and historical representations of the myth of America as the immigrant's refuge, as well as a sophisticated critique on the ways in which information is filtered through the media.
Kikiriki (1983) 12 min., color, sound. $50/200
In Kikiriki, Labat enters the narrative form into a nonlinear style that interweaves seemingly disparate elements, replete with metaphor and veiled references. An assembly of individuals, animals and places, Kikiriki is a surreal, fragmented portrait of the alien, the outsider and the displaced of U.S. society, underscored by a sense of struggle and frustration - a plane high-jacked to Cuba, arrive in a small town, and a man in a suit.
Lost In The Translation (1984) 10 min., color, sound. $50/200
In this highly-structured, fragmented narrative about the elusive and the untranslatable, Labat asks: "What is lost in translation?" Labat combines staged scenes of an artist's model, a painter and others with interviews of a carnival fire-eater and an elderly woman who, together, are set forth in a layered composition that blurs distinctions between the "real" and the "live."
EVA MAIER
Eva Maier is a choreographer who has been making dance videotapes since 1975. Her work has been exhibited throughout the U.S. and she lives in New York.
Four Seasons (1983) 13 min., color, sound. $50/200
Choreographed and performed by Eva Maier, Four Seasons is composed of four short dance sequences set in an open natural setting, choreography and music corresponding to a particular season. A solitary dancer, Maier employs a simple and intimate approach for the video camera.
ESTI GALILI MARPET
Israeli-American Esti Galili Marpet has been producing video documentaries since 1975, many of them about Europe, and has worked with such directors as Wim Wenders, directing the documentaries of Skip Blumberg. She lives in New York.
The West Bank: Whose Promised Land? (1984) 28 min., color, sound. $50/200
The West Bank: Whose Promised Land? is an on-the-scene report of the West Bank conflict. The international movements, both political and military, are in head-on collision. In this exciting documentary which argues for a compromise and sharing of the land, Esti Marpet interviews people on both sides of the conflict and immerses herself in the action.
BRANDA MILLER
Branda Miller was born in 1962 and lives in Los Angeles. She is an award-winning editor, and was an artist-in-residence at the American Film Institute in 1984-85.
L.A. Nickel (1984) 120 min., color, stereo sound. $50/200
In L.A. Nickel, Branda Miller positions the viewer in a vantage point of surveillance when she records, in a video verite style, the interaction of skid row bums and L.A. police on the street below. The harsh and repetitive audio mix of the opening scene contrasts with the dramatic orchestration that accompanies the second sequence, which shows three men in a stream near Lake Arrowhead. When this passage is blocked by the presence of a police car and hostility is thwarted, a metaphor of social confinement is suggested.
Auto Olympia (1984) Produced for the Olympic Committee, 26 min., color, stereo sound. $50/200
In Auto Olympia, a group of athletes arrives at the 1984 Olympic Games in Los Angeles and confronts the complexity of modern life. Using the auto race as a metaphor, the film juxtaposes Miller blends narrative, documentary and abstract visual elements to explore both ancient and modern implications of the Olympic Games.
That's It, Forget It! (1985) 5 min., color, stereo sound. $50/200
Pop culture, fashion, and advertising are the subjects of this dynamic, fast-paced, and humorous little film. Framed by footage of an MTV video jay, edited in classic music video style, and composed of music video cliches, this tapes depicts our Southern California-based youth culture, music, and dance, to a computerized soundtrack illustrating how the music video culture has dictated their view of the world. You can dance to this one.
BILL SEAMAN
Bill Seaman is a video artist and musician who received his BFA at the San Francisco Art Institute and has taught at RISD. He is currently working on a masters degree in visual studies at MIT and lives in Cambridge.
S/he (1983) 11:30 min., color, sound. $50/200
S/he is a spoken and visual poem which integrates lyric text, original music, and meditative images of the human form contemplating its place in the universe. To achieve this, Bill Seaman transferred 16mm Super-8 film footage of internal and external body parts and organs into a 16mm and 8mm, subtly altering those images through staggered and slow motion.
The Water Catalogue (1984) Co-produced by the Center for Video Arts (CVA), 27 min., color, sound. $50/200
The Water Catalogue is a series of brief TV video-processed images and original music that captures the power and poetry of the human body and water. By using the human body to explore the human body and water, Seaman develops further techniques of deftly manipulating video imagery in combination with original music and sound effects. The human body is used here not only as a metaphor for emotional, psychological and physical conditions.
MICHAEL SMITH
Michael Smith was born in Chicago in 1950. He has worked as a performance artist since 1976 and in video since 1978, exhibiting his work throughout the U.S. and Europe. He lives in New York.
Secret Horror (1980) 13:30 min., color, sound. $50/Sale price on request
Michael Smith's videotapes and performances center on "Mike," Smith's alter ego/protagonist, an innocent and unsanctimonious guy who is constantly being victimized by the media and other controls in the real world. Here, Mike is visited by a host of ghost-like creatures who whisk him off to an absurd version of the TV show "This Is Your Life." With a mixture of humor and dark comedy, Smith's wry humor and familiar pop references allow Mike to emerge as a modern-day underdog hero.
It Starts At Home (1982) 25 min., color, sound. $50/Sale price on request
In this hilarious performance sitcom, Smith's pointed humor is targeted at the cable television "revolution" and the way TV insinuates itself into the daily life of the average American. When the ordinary suburbanite Mike Johnson's wife leaves him for the cable television broadcast out to a receptive audience, Mike encounters a test card that becomes a surrealistic journey through an alienizing television experience that is artfully rendered with sitcom satire, movie and TV stereotypes, and original music.
Go For It, Mike (1984) 5 min., color, sound. $50/Sale price on request
Go For It, Mike takes Mike to Texas, where he meets 1950's production values and a new generation of video. Mike almost embodies numerous all-American male stereotypes: the college prep, the cowboy, the political candidate, the developer, even the train robber. In his quest for the ultimate in all-American values and the myth of limitless opportunity in America, this comedy concludes with Mike riding off into the sunset.
ELLIN STEIN AND BETSY NEWMAN
Ellin Stein and Betsy Newman have worked together in theater since 1974. Their stage productions have been produced in San Francisco and New York, where they have also had numerous club appearances. They live in New York.
Camp Performance (1977) In collaboration with Jane Huether and Denise Larson. 16 min., color, sound. $50/200
This documentary film is a collection of the work of Ellin Stein, Betsy Newman, Jane Huether, and Denise Larson is a humorous look at their campy stage routines including "Les Nicketlettes" performing "No Nose Narrows," "The Birth Control Blues," a remake of Peter Pan, and other numbers.
Debate Of The Dead (1983) 7 min., color, sound. $50/200
In Debate Of The Dead, Betsy Newman, Susan Hayward, and John Wayne are featured guests on a morbid talk show. The topic turns to cancer and radiation, with Wayne the staunch conservative and Hayward the liberal. Through the use of a computerized test site, and this black comedy becomes a funny yet disturbing statement on the effects of radiation on our lives.
BRUCE AND NORMAN YONEMOTO
Bruce Yonemoto was born in 1949 in San Jose, California and Norman Yonemoto in 1948 in Los Angeles. Both extend their videotaped and performed extensively in Los Angeles, San Francisco, New York, and Paris. Both live in the Los Angeles area.
Based On Romance (1979) 25 min., color, sound. $50/200
This is the first of the Yonemotos' narrative tapes which consciously uses the medium of video to comment on and explore themes of personal desire, sexuality, and artistic pursuits. Based On Romance is a story about the search for love, the everyday romance and the struggle of the individuals involved not to conform to traditional social values. By emphasizing modes of representation rather than art, the Yonemotos are able to construct a narrative of melodrama itself.
An Impotent Metaphor (1980) 43 min., color, sound. $50/200
An Impotent Metaphor is a continuation of Based On Romance, which is a story about the search for love. In this tape, an artist played by Norman Yonemoto issues such as the individual versus society, the restraints of pervading cultural ideologies, and the role of the artist within the avant-garde form an artistic dialogue for this narrative tape.
Green Card: An American Romance (1983) 80 min., color, sound. $50/200
This first installment of the Yonemotos' modern day "Soap Opera Series" uses the dramatic structure of television movies to tell the tale of Susan, a young Japanese woman who marries an American so that she can remain and work in the U.S. Falling prey to the pressures of her new identity, love, she is unable to emotionally detach from her green-card husband and finds herself dependent and unhappy, losing sight of the independence values she once held.
Spalding Gray's Map of L.A. (1984) 28 min., color, sound. $50/200
In this recent tape by the Yonemotos, New York performer/writer Spalding Gray goes to Los Angeles and finds there many experiences that are similar to his own. Through a series of vignettes, comic scenes of Gray's romantic dealings and driving adventures, he recounts his history in Los Angeles, the tragic/comic tales of the cars he knew throughout his childhood in Rhode Island, and the dramas which took place around them.
Vault (1986) 12 min., color, sound. $50/200
Vault is the second part of a tripartite narrative of desire — boy meets girl, boy loses girl — that knowingly employs the media of television and film to comment on and parody its own fiction. They illustrate the psychoanalytic subtext of advertising, film and language through the recurrent use of Freudian symbols and flashbacks to the past. The Yonemotos' narrative style underscores the power of these devices in creating personal fictions.
NEW VIDEO FROM EUROPE
MARINA ABRAMOVIC AND ULAY
Marina Abramovic was born in Yugoslavia in 1946, and Ulay (F. Uwe Laysiepen) in West Germany in 1942. They have worked extensively in performance dealing with endurance, ritual and body as a medium for communication.
City Of Angels (1985) 20 min., color, sound $50/400
In this first tape in an ongoing series of ethnographic works by Abramovic and Ulay, the artists travel to Thailand in Bangkok to the island of Koh Samui for a meditative study of cultural contact (and preconceptions) of time and culture. The camera slowly traces carefully composed human figures among the ruins, and then records a series of striking juxtapositions of the formal embodiment of this cultural exploration.
Terra Degli Dea Madre (1985) 16 min., color, sound $50/400
Abramovic and Ulay continue to explore the project of exploring time and place in relation to a culture and its people. Here, a fluid moving camera passes through a configuration of rocks and trees to an assembly of elaborate figures of maguissa women, while an evocative hybrid language forms a hypnotic spoken word track. The interplay between the figures — male/female, interior/exterior, nature/civilization — this tape also reveals the affinity of these people with their environment.
ROBERT CAHEN
Robert Cahen is a French artist and composer living in Paris who works exclusively on the train. He has worked in video since 1973.
Juste Le Temps (1983) 13 min., color, sound $50/350
Juste Le Temps (Just the Time) Cahen uses processing techniques to construct an impressionistic vision of a train journey through the French countryside. Cahen's rich painterly abstraction of the landscape moving beyond the train's window offers an evocative counterpoint to the tension and desire suggested by two "characters" inside the train.
GUSZTÁV HÁMOS
Gusztáv Hámos was born in Budapest in 1955 and emigrated to West Germany in 1980. He has worked in performance and film, and lives in Berlin.
Seins Fichton II: Der Unbesiegbare (The Invincible) (1983) 10 min., color, sound, German subtitles $50/400
The science fiction hero Flash Gordon forms the basis of this cleverly constructed work, in which scenes from the original serial are re-edited and re-contextualized. Hámos makes reductive use of the video medium as he responds in tight close-up to a German radio play of Flash Gordon. Hámos writes, "The video arises from a suggestive possibility of what is represented and what is seen. This video project is the simulation of a story of a hero."
NAN HOOVER
Nan Hoover was born in New York and has lived in Amsterdam since 1969. With a background in painting, she began working in video, incorporating performance and installations, in 1974.
Nan Hoover: Selected Works I (1978-82) 39 min., color, sound $75/600
Impressions (1978) 10 min., sound,
Primary Colors (1980) 10 min., sound,
Color Field (1981) 12 min., silent,
Light And Object (1982) 10 min., sound
In these conceptual video installations, Nan Hoover brings a painterly aesthetic to video. Evolving in real time without editing, these installations combine video with light, sound, color, form and temporal and sculptural medium. In Impressions, a shaft of light divides the frame as it haphazardly traces its form. Colored light is used in Primary Colors and Color Field to create a complex interplay of colors. In Color Pieces, Hoover allows subtle changes of hue and intensity to occur as the light source moves across the surfaces before the camera. In Light And Object, she creates stunning landscape imagery by using variable focus, extreme close up, and slow movement. In all her work, Hoover is most interested in creating images that reflect quietness. Using slow movements, catching the gradual changes in light, color, and form . . .
Nan Hoover: Selected Works II (1983-85) 48:30 min., color, silent and sound $75/325
Reaching To Fuji (1984) 7:30 min., sound
Desert (1985) 10:36 min., silent
Landscapes (1985) 10:36 min., silent
Halfsleep (1984) 17 min., sound
Eye Watching (1984) 16 min., sound
In this program of recent works, Hoover's formalist approach is extended to an environment, creating a dynamic interplay of light, shadow, and time. In Reaching To Fuji, Hoover creates the perception of a mountain, swathed in misty clouds through subtle changes in lighting and color. In Eye Watching and Desert, suggests an ambiguous landscape as she carefully orchestrates the movement of lights and darks to evoke the cycle of a day. By viewing her own reflection in a mirror, Hoover manipulates tapes. Hoover explores the tension between realistic camera images and abstracted forms. In Landscapes, a mountainous landscape reflected before the camera in real time is transformed through its movement and scale into a sculptural landscape. Hoover writes that "Halfsleep is about those moments when we are not sure whether we are between two worlds." By using a macro lens and slow motion to examine the surface of a woman's face, Hoover allows a dramatic typography of texture and light to emerge. In Eye Watching, Hoover captures the image of her staring and observing eye to suggest a microscopic emotion in response to passing shadows and external sounds.
JACQUES-LOUIS NYST
Jacques-Louis Nyst was born in Liège, Belgium in 1942. A painter, he has been working in video since 1973 and has exhibited his work widely throughout Europe.
J'ai La Tête Qui Tourne (My Head Is Spinning) (1984) 16 min., color, sound $100/500
In J'ai La Tête Qui Tourne, a whimsical and philosophical dialogue between a man and a woman forms the basis for a complex private world, imagined and real. As the camera pans across the earth and night to a small grey corner, Nyst flirts with the mundane and the cosmic, revealing a genuine delight with the philosophical implications of language.
MARCEL ODENBACH
West German artist Marcel Odenbach was born in 1953. He has worked in performance and installations, and began working in video in 1987. He has been internationally exhibited and lives in Cologne.
Die Distanz Zwischen Mir Und Meinen Verlusten (The Distance Between Me And My Losses) (1983) 9 min., color, sound $50/350
Franz Shubert's composition of Goethe's "Elf King" and Burundi funeral chants are juxtaposed with Odenbach's own psychological probe of loss and desire, both personal and cultural. The viewer is transported as Odenbach reveals slices of imagery through an otherwise continuing black screen. The images signify the artist's proximity/distance from sexuality, familial relations, bourgeois roots, and national heritage.
Vorurteile (Oder Die Not Macht Erfindersch) [Prejudices (Or Necessity Makes The Mother Of Invention)] (1984) 8 min., color, sound $100/500
In Vorurteile, Odenbach juxtaposes symbols of Western culture and industry with ritual objects of the Third World. Dividing the frame into two sections, Odenbach contrasts Western cultural hierarchies and economics. Mythic iconography, both tribal and industrial, is combined with objects of revolving motion to suggest a subtext of the futility of revolution.
KLAUS VOM BRUCH
Klaus vom Bruch was born in 1952 in West Germany. He studied at the California Institute of the Arts and the University of Cologne. He has been internationally exhibited and has exhibited his work throughout the world. He lives in Cologne.
Propellorband (The Propeller Tape) (1979) 30 min., color, sound $100/500
Through the dynamic re-editing of archival World War II footage, vom Bruch constructs a symphony of frustration, effort, and repetitive motion, isolating a single action - soldiers lifting the propeller blades of a plane in preparation for take-off. Interrupted with the gaze of the artist and an Oriental woman, this recontextualized gesture from history allows a rich subtext of metaphor and meaning to emerge.
Der Westen Lebt (The West Is Alive) (1983-84) In collaboration with Hans-Joachim Schulte, 10 min., color, sound $50/350
In Der Westen Lebt, the erotic play of a man and woman, which suggests a search for a home, is rapidly punctuated with the charged repeated image of rhythmic movement of the wheels and horns of a locomotive. Vom Bruch constructs a tense and powerful study of male/female interaction and antagonism, underscored by Freudian overtones and visual metaphor. |
Projects 37 : Suzanne Lafont : the Museum of Modern Art, New York, October 2-November 15, 1992
Author
Lafont, Suzanne, 1949-
Date
1992
Publisher
The Museum of Modern Art
Exhibition URL
www.moma.org/calendar/exhibitions/376
The Museum of Modern Art's exhibition history—from our founding in 1929 to the present—is available online. It includes exhibition catalogues, primary documents, installation views, and an index of participating artists.
suzanne lafont
projects 37
The Museum of Modern Art
New York
October 2–November 15, 1992
What kind of pictures are these? The most obvious response is that they are portraits, since they are close-up images of human beings. Yet, they say nothing specific about their subjects. The faces are either eerily blank or so intensely emotional that they seem to illustrate, rather than experience, particular feelings. Clearly, these photographs have little to do with the exploration of character. Perhaps, then, they could have a commercial application: the saturated hues of some of Suzanne Lafont's color pictures and the sleek compositions and seductive tones of her black-and-whites suggest advertising. But the models neither sell a product nor embody ideals of glamour or sexuality.
Lafont deliberately avoids standard photographic categories, such as portraiture and commercial art, which are central to the way the medium defines itself. Indeed, she seems to resist categories of all kinds. She picks and chooses between art photographers' established concerns, shunning enough of them that she might better be identified with that group of artists who use the medium but feel little commitment to its history or conventions. The size and filmic quality of her work suggest a relationship to the practice of photo-appropriation, which has been prominent in the mainstream art world of the past ten or fifteen years. But Lafont—like a traditional photographer—makes her own beautifully crafted black-and-white prints and works closely with the lab that produces her color images. In addition, her pictures manifest a sensitivity to light, and to the photographic moment, that is rarely evident in the work of appropriationists.
Quandaries and contradictions are essential to Lafont's enterprise. Underscoring the paradoxical nature of her work, she tells us, "these photographs have nothing modern about them; they belong to the literary genre of the fable," and then immediately shifts position: "They are a fabulation of modern tragedy . . ." Hers is an art that embraces dichotomies: modernism and archaism; nature and culture; formalism and expressionism are not seen as mutually exclusive terms. She employs oppositional concepts not as ends in themselves, but rather because they allow her to present an alternative vision unconcerned with the "truth" of a given approach. In Lafont's work, intellectual strategies are the means by which emotional realities are exposed; paradox is meant to generate in the viewer a sense of changing circumstances and evolving definitions that corresponds to, and makes immediate, day-to-day experience.
The notion of a world in flux is related to the question of common ground: with meaning constantly shifting, how is it that there are shared understandings? How are they communicated? The child of classics scholars, who says she was "raised amid an obsession with Antiquity," Lafont has an academic rather than an art background, and the ideas that are central to her work first began to occupy her when she was a student of literature and philosophy. Her interest in the commonality of thought, for example, was sparked by her research on the nineteenth-century French novelist Gustave Flaubert, whose characters frequently relate to life through a filter of artificial and hackneyed popular forms, such as romance novels or commonplace religious imagery. Inquiry into Flaubert's quotations from such materials led to Lafont's interest in another source and type of quotation: Marcel Duchamp and the idea of the "ready-made" (or found) art object. From there it was a short intellectual jog to Pop art and the notion of the mechanically-reproduced image. Her attraction to photography has been reinforced by what she sees as an underlying contradiction: "Photography . . . as a technique . . . is associated with nature . . . the light that produces photographic images is one of the forces necessary to life. . . . At the same time, photography . . . results from the industrial revolution."
Although Lafont came to the field relatively late, at age thirty-three, she moved rapidly through various phases: she questioned the relationship between abstraction and realism in a group of low-angled shots of architecture meant to "apply the rules of the naturalistic gaze to the visual conventions of the 1930s"; in her images of children in gardens, she utilized the snapshot form to explore the concept of space; and she made portraits that attempted to reveal the nature of identity.
The organizing metaphor in Lafont's recent work is the acquisition and development of language. Her black-and-white series, such as L'Argent ("Money"), included in this exhibition, represent a highly elaborated form of discourse. Les Souffleurs ("The Blowers"), which is in color, but has an essentially neutral palette, is involved with the...
breath as a prerequisite for speech, the notion of the "pre-linguistic." In *Choeur des Grimaces* ("Chorus of Grimaces"), also shown here, vibrant colors communicate the vitality of the word in action, its day-to-day employment. As each type of usage is partially defined by the existence of the others, and the development of language can involve all three, Lafont does not treat them hierarchically. Rather, she examines the relationships among the three, contrasting formally constructed works with ones that proffer an almost chaotic level of expression. Ultimately, the point is not to juxtapose these extremes, but to have them coexist and interact, the way they do in life.
The black-and-white narratives, done in 1990 and 1991, consist of large, individual panels. Fully installed, the works can be up to twenty-eight feet long. The models' stylized, dramatic gestures flow into each other, creating the effect of a unified, sweeping movement. References from art and popular culture abound. In *Le Bruit* ("The Noise"), Lafont abuts eight photographs, each a close-up image of a man or woman. In five of the panels, the figures cover their ears; all are clearly in distress. A post-war German poster for a campaign against noise pollution, by Joseph Muller Brockmann, served as one inspiration for this work. Another was Dorothea Lange's *Migratory Cotton Picker, Eloy, Arizona*, of 1940. Two of the subjects in *Le Bruit* cover their mouths with their hands in a gesture that recalls the worker in that picture. Lange, who recorded the Depression as part of the group of photographers employed by the United States Farm Security Administration, has been an important influence for Lafont, who sees in the theatricality of the gestures Lange captured in her images a transformation of documentary reality into something essentially abstract.
Lafont's *L'Argent* takes its title from a 1983 film by French director Robert Bresson, but it is closer in look and feel to Bresson's 1959 classic, *Pickpocket*. In the 1983 film, the director purged much of the sensuous beauty from his imagery. During the late fifties, however, his austere style still allowed for rich black-and-white tones and exquisitely composed frames. As in Bresson's morality play, the figures in *L'Argent* pass a 200-franc note from person to person. And like Bresson, Lafont focuses on the hands, which are employed both to advance action and transmit feeling. Bresson works with non-actors, chosen for their physical appearance; he refers to them as "models." They keep their eyes down and recite their lines inertly, serving only as "vessels of spiritual experience." In contrast, Lafont calls her models "actors," because they play parts. However, like Bresson, she has used mostly non-professionals, eliciting from them a performance dependent on physical gesture, rather than emotive ability.
Art historical sources for Lafont's work include Renaissance annunciation iconography. Myriad paintings of that period show the holy spirit entering Mary's body while an angel whispers that the virgin will bear the son of God. Lafont clearly had this conversation in mind when she staged the third panel of *L'Argent*, in which one woman passes money to another. Cash, virtually a universal form of exchange, is a means by which power is transmitted; here, it becomes a substitute for transcendence in the modern world.
Similarly, in *Les Souffleurs*, her first color works, Lafont transforms Renaissance religious imagery into a symbol of communication. She takes, as a point of departure, the horn blower in Piero della Francesca's Arezzo cycle, which depicts the story of the cross. Set against a powerful geometric background, akin to the architecture represented in Piero's mural, Lafont's characters struggle to give shape to their breath; the artist seems to imply that the acquisition of language, essential to the formation of relationship and community, is the road to a secular version of salvation.
*Choeur des Grimaces* includes Lafont's most disturbing images. As formal constructs, these photographs are somewhat "unfinished"; they feel uncontrolled in a manner at odds with the elegantly composed black-and-white series as well as with *Les Souffleurs*. Lafont chose the vivid oranges, greens, and blues of the backgrounds for their ability to evoke powerful emotions; leaves that appear at the edges of the frames, reminders of the natural world, create a suitable environment for characters who seem to represent human nature "in the raw."
Suzanne Lafont. Image from the series *Les Souffleurs*. 1992. Cibachrome, 47 ¾ x 39 ¾". Courtesy Marian Goodman Gallery, New York, and Sylviane de Decker Heffles, Paris.
Inspiration for *Chœur des Grimaces* came from Jean-Luc Godard's video *Puissance de la parole* ("Power of the Word"), in which clichéd phrases, often culled from detective fiction or film noir ("C'est fini, Franck"), hang in the air, setting a mood, but lending little cohesion to the story line. Lafont carries Godard's sense of disconnection to an extreme. In the installation, a sentence written on the wall appears to emanate from this group: "The ship on which I set sail sank with all its passengers on board." The conundrum underscores the irrational side of the community depicted. The presence of actual words makes its clamorous and insistent spirit that much more immediate and emphasizes its difference from the relatively removed world of abstraction and symbolism embodied in *L'Argent*.
The aggressive subjects of *Chœur des Grimaces* seem mad. They incessantly demand our attention. Their expressions recall photographs by the nineteenth-century psychiatrist Duchenne de Boulogne, who administered electric shocks to mentally ill patients in order to arrive at "an alphabet of passions." He believed that, through obsessively detailed study, he would be able to associate particular muscular reactions with different facial expressions, manifestations of the human soul. Like Duchenne's harshly manipulated subjects, the members of Lafont's chorus are grotesque. There is an oddness and an unnaturalness to their expressions that is difficult to define. They seem to reside at the margins of our consciousness and to call into question our methods of organizing and understanding the world.
Like the rest of Lafont's recent work, *Chœur des Grimaces* intensifies and even exaggerates emotion. It is melodramatic. Although the same adjective applies to Bresson's films and the Godard video, it fits work by certain prominent women artists as well. For example, Dorothea Lange has, at times, been criticized for the theatricality of her images, which have seemed
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Suzanne Lafont. Two images from the series *Chœur des Grimaces*. 1992. Chromogenic print, 47 ½ x 39 ¾". Courtesy Marian Goodman Gallery, New York, and Sylviane de Decker Hefter, Paris
Julia Margaret Cameron. *Venus Chiding Cupid and Removing His Wings*. 1872. Albumen silver print from wet-plate glass negative. 11 ½ x 11 ½". The Museum of Modern Art, New York. Gift of Paul F. Walter
Lafont firmly states that she belongs to no artistic school, and this is, in the strictest sense, the case. Nevertheless, she shares the tradition derived from the novel with a number of her contemporaries, among them, Cindy Sherman. True, Sherman makes work that comments more overtly on society's images of women than Lafont's, which employ quotation primarily to reflect the notion of a continuum of ideas. And Lafont's references often derive from more rarified traditions than Sherman's. But the two have in common the use of the camera as a collector of cultural signs, an emphasis on the figure and gesture, an interest in the most primitive aspects of human behavior, the resurrection of the tableau form, and the unabashed engagement of melodrama. Both make art that underscores the role of women, and the legacy of the novel, in the too extreme to constitute objective reporting. To some, the aspect of her work particularly esteemed by Lafont made her appear less important than her male counterparts at the Farm Security Administration. Similarly, the nineteenth-century English photographer Julia Margaret Cameron, who inspired Lafont as she first contemplated treating the figure, was ridiculed for the melodrama of her images by the photo historian Helmut Gernsheim, who called the majority of her pictures "affected, ludicrous, and amateurish."
Cameron evidences a relation to fiction that has been largely the province of women; she is part of a tradition topped by Lafont: "Access to the ideal culture of the Greeks, such as it had been presented to me, was denied, clearly because I was a woman. In bourgeois culture since the nineteenth century, the domestic role assigned to woman has always limited the exercise of her power to private affairs. This explains, in particular, her recourse to the imaginary in the form of novelistic fiction. I am an heir to this history; I work with it. . . . I use as a reference existing images which constitute a substitute world, just as the belief in novels could be substituted for experience of the world."
Cindy Sherman. Untitled. 1981. Chromogenic color print, 23 5/8 x 48 1/8". The Museum of Modern Art, New York. Gift of Caryl D. Lobell
formation of a post-modern sensibility that has shed high modernism's purist approach.
Despite such similarities, Lafont remains, at base, an idiosyncratic artist. Her recent work, with its diverse narratives, is unusual in any context. In the United States, it may be especially unfamiliar in its particular combination of sources and its style of intellectualization. In addition, contemporary art that looks as sleek and cool as this does is most often extremely ironic. Lafont's work, although it references art history, is much less art about art than art about life, and it is direct and sincere at the core.
Lynn Zelevansky
Curatorial Assistant,
Department of Painting and Sculpture
1. Martin Buber, *I and Thou* (New York: Charles Scribner's Sons, 1958), 39.
2. Jean-François Chevrier, "The Ruse, the Image," in *Suzanne Lafont* (Paris: Galerie Nationale du Jeu de Paume, 1992), 71.
3. Jean-François Chevrier, "Suzanne Lafont: La Communauté Imaginaire," in *Galeries Magazine* (February 1992), 80.
4. Ibid., 81.
5. Christian Milovanoff, "Interview with Suzanne Lafont," in *Une autre objectivité*, (Milan: Idea Books, 1989), 7.
6. Chevrier, "The Ruse, the Image," 14.
7. David Denby, *New York Magazine*, 23 April 1984.
8. Milovanoff, 8.
9. While still a student, Lafont found a related sentence in a book about logic and modified it to its current form. It was used to illustrate the idea of impossibility, expressed in the first person. She was interested in the "self-refutation" at the heart of its paradox, as well as in its imagery, which brings to mind allegorical references such as the Ship of Fools.
10. Georges Didi-Huberman, *Invention de l'Hystérie: Charcot et l'Iconographie de la Salpêtrière* (Paris: Macula, 1982), 197.
11. Ibid.
12. Geoffrey Galt Harpham defined the grotesque in general terms on page 3 of his book, *On the Grotesque: Studies of Contradiction in Art and Literature* (Princeton: Princeton University Press, 1982): "Grotesqueness both requires and defeats definition: they are neither so regular and rhythmical that they settle easily into our categories, nor so unprecedented that we do not recognize them at all. They stand at a margin of consciousness between the known and the unknown, the familiar and the strange. They call into question the adequacy of our ways of organizing the world, of dividing the continuum of experience into manageable species."
13. Helmut Gernsheim, *Julia Margaret Cameron: Her Life and Work* (Millerton, New York: Aperature, 1975), 83.
14. Chevrier, "Suzanne Lafont: La Communauté Imaginaire," 126.
15. Ibid., 79.
Suzanne Lafont was born in 1949 in Nimes, France, and now lives and works in Paris. She has been showing her work since 1986 and has been included in such exhibitions as *Passage de l'Image*, organized in 1990 by the Musée National d'Art Moderne, Centre Georges Pompidou, Paris. In the spring of 1992, she was the subject of a one-person exhibition at the Galerie Nationale du Jeu de Paume, Paris. She was also included in last summer's Documenta X in Kassel, Germany.
cover: Suzanne Lafont, *L'Argent* (detail), 1991. Gelatin-silver print, 39⅝ x 47⅞". Courtesy Marian Goodman Gallery, New York, and Sylviane de Decker Hefter, Paris
The project series is made possible by generous grants from the Lannan Foundation, The Bohem Foundation, and The Contemporary Arts Council of The Museum of Modern Art.
Additional support for this exhibition has been provided by the Association Française d'Action Artistique, Ministère des Affaires Etrangères, Paris.
© 1992 The Museum of Modern Art, New York |
We hope that you are not overwhelmed with another newsletter so soon. There is material at hand that should be sent out. Bill Bailey says he will have a whole issue, hopefully out by mid-March. Ritch Toop advises he will have a N/L for the end of April. Things are looking good! We may need help licking stamps!
Thank you for sending in the dues - and encouraging notes too. One more chance will be given for those not yet paid up - above red mark will be current to date of this mailing. Please disregard this appeal if your cheque is in the mail.
In this issue we have two short articles on HMCS CRUSADER. There is some overlapping here, but did not feel it 'serious' enough to bother the reader. Here also in Part II of Colin's Camp Borden, and this is followed by POST PAIDS as used by the RCN/RCNVR in the Caribbean.
Member Jack Davis, Box 1839, Peterborough, Ont., K9J 7X6 advises that he has a surplus of FORCES/AIR LETTER with code 5 A.M.S. (12/63) gray with red printing, all mint. Any member wishing one gratis, please send Jack a stamped, addressed envelope wide enough to take the 100 mm. wide air letter. Thanks to Jack for the offer!
BOOK REVIEW CANADIAN MILITARY POST OFFICES TO 1986
Bailey and Toop have been busy again! Another long awaited handbook for the Canadian Military collector has finally arrived. Bill Bailey and Ritch Toop, both members of this Study Group, have combined their talents and we have a new and up to date version of Bailey's 1978 blue book.
This 100 page publication put out by UNITRade of Toronto is more properly, as the sub title says, a handbook and a checklist. It is along the lines of Bailey's 1978 CANADIAN MILITARY POSTMARKS but much easier to use and more comprehensive.
The contents are divided into 20 chapters and each deals with a phase of our military postal history. A few examples are noted. Each chapter deals with that type of marking during its period of use. We are happy to note dates of opening and closing for these and all markings! Another chapter noted is that of the CAPO's/CFO's from the 1950 era. This should be appreciated by many as it seems, at least to this editor, that there is increasing interest in Post WW II markings. In an appendix there is a complete checklist which will be useful to the Canadian military collector.
The great parts about this new book - the clarity of its information, the layout, the opening and closing dates - make it well worth having. Don't expect comprehensive narrative here as CANADIAN MILITARY POST OFFICES TO 1986 is designed as a checklist-handbook.
There was no listing of price with the book, but we have been able to contact our local dealer, Bob Lee, Box 937, Vernon, B.C. V1T 6M8, who gives his price as Can.$15.42 or US$12.74 and this is postpaid. Other dealers likely have it too.
In Part 1 of this article we listed the postmarks which were used at Camp Borden on the mail which soldiers of the Canadian Expeditionary Force were sending out of the camp. This took us through to the end of the First World War. A most important event took place, however, in 1917 and Part 2 begins with that story.
CAMP BORDEN AND ITS MILITARY POSTMARKS 1916 - 1940
Part 2
by Colin Campbell
Events in France in 1916 made it clear that the Royal Flying Corps was desperately in need of more squadrons for active duty. These would be required early in 1917. It was decided that Canada could provide the materials, space and the manpower, so in January 1917 Lt. Col. C.G. Hoare arrived in Canada to get this training started. One thousand acres of land adjoining the C.E.F. camp at Borden was allocated for an aerodrome and construction of buildings began immediately. Flying training began in late March, early April as cadets began to arrive from England and recruiting started in Canada. The Royal Flying Corps formally took over the camp on May 2, 1917.
The military mail collector's interest in the foregoing is to find a cover or post card posted from the RFC camp during its two year life. Such an item is shown hereunder, a fine view of activity in preparation for the day's flying. The card bears a partial type 4 Canada Militia postmark dated AU 18 17. An RFC cover has been seen by the writer with a type 3 Canada Militia cancel dated OC 30 18.
NOTE 1: For aviation buffs the aircraft shown are JN-4As of which 46 were in use at Borden in addition to the more numerous JN-4s. The 4As can be identified by their disc wheels and vertically aimed exhaust stacks. They were built in Buffalo, N.Y.
2: The Royal Naval Air Service and the R.F.C. joined on April 1, 1918 to become the Royal Air Force.
3: A number of excellent reference books are obtainable which will provide the entire story of the RFCs stay in Canada. One is... CANADIAN AIRMEN AND THE FIRST WORLD WAR by S.F. Wise (1980).
The air training scheme was pretty well dismantled by the end of 1918 and, according to one reference, the FTO at Borden closed January 6, 1919.
In July 1920 the air training facilities at Camp Borden were taken over by the Canadian Air Force and a post office was opened December 21, 1920. It would appear from the post office record card that Capt. F.J. Mawdesley assumed responsibility for the office September 22, 1922. The Commanding Officer of the camp, for part of the year was Air Marshall G.O. Johnson, C.E., M.C., C.D.
Possibly the first postal cancelling hammer to appear after the war was the broken circle Camp Borden with proofing date November 16, 1920. The cancels illustrated are dated AP 14, 21 and JAN 2, 29. This type of cancel is quite common. Another cover dated FE 9, 32 shows the cancel and an "R" box.
Courtesy - Dave Hanes
A second postal marking, likely made of rubber, is illustrated and is unique with its stars at 5 and 7 o'clock positions. A recent issue of the FESC Journal in an article by R.F. Narbonne suggests this type of cancel was intended for use on money orders and registration receipts and that proofing is traced to 1928. Our illustration shows its use on a registered letter and four other examples are known to the writer where stamps are cancelled. Readers are alerted to this rather scarce postmark and requested to report other usage. It measures about 23mm.
Courtesy - Ritch Toop
A third postmark is known and an example dated AU 31, 39 is shown. The proofing date is unknown at this time. Note absence of dots in sketch at 3 and 9 o'clock positions unlike a very similar cancel proofed in 1940.
The writer is not aware of any other postmarks used at Camp Borden in the period "between the wars". If readers know of any would they please advise. The office which had opened in 1920 received a new designation, M.F.O. 202, on April 25, 1940 at which time it was staffed by members of the Canadian Postal Corps.
ERRATA:
To the camp...possibly 1929-30...at that time a 5 pound parcel could be mailed over 20 miles in the same province for 30¢...parcel tag shown.
From the camp...
A typical return address from a cadet in training.
ON ACTIVE SERVICE
The Canada Life Assurance Company
330 University Avenue
TORONTO 1, Ont.
ON ACTIVE SERVICE H.M.C.S. CRUSADER
The cover shown here is very interesting, probably quite rare, and could use a little explanation. As can be noted (at least on the original) the handstamp "ON ACTIVE SERVICE / ship / H.M.C.S. CRUSADER" was applied in blue ink. As was then the rule in a war zone, no postage was needed as the handstamp ON ACTIVE SERVICE denoted a serviceman's letter.
Next, note the circular rubber stamp "ROYAL CANADIAN / date / NAVY MAIL" at the left of the envelope. This is dated APR. 18 1954 and would have been the marking assigned to the Crusader. For further information on these markings, please refer back in these Newsletters to Number 15 item 60 and Number 16 item 67. Further information is noted in Number 28 item 178 for the series used after unification of the Services. It is noted here that the marking on this cover has no identifying number as had those mentioned in the above Newsletters. This is an early version and was to be applied to all navy ship mail when away from home port. About 1954-1955 a number began to appear in the handstamp and these early types were withdrawn from use. No record is noted of the Crusader ever having a numbered type marking.
At the upper right is to be seen the C.F.P.O. 27 (at Seoul) circular dater stamp (dated 21 IV / 54) which was used in the Korean War. At this date H.M.C.S. Crusader was on her second tour of duty off Korea. The first tour was between June 1952 and June 1953 during the war, while the second tour followed the armistice, from November 1953 to August 1954.
A brief note about H.M.C.S. Crusader follows. She was a 'C' Class destroyer built for the Royal Navy and completed just after the end of World War II. This ship, along with sister ship Crescent, was transferred to the Royal Canadian Navy and arrived at Esquimalt in January 1946 where she was put into reserve. She was later re-activated and carried out two tours of duty in the Korean theatre from 1953 to 1954. After this the ship returned to a training role until being paid off at Halifax on January 15, 1960, and sold for scrap in 1963.
Page by Jack Davis and Editor. Cover courtesy Jack Davis.
THE R.C.N. IN KOREA 1950 - 55
By Wilf Whitehouse.
Jack Davis submits a very interesting and scarce cover used from H.M.C.S. Crusader in April 1954 during her second tour of duty in Korean waters.
In order to qualify for the FREE MAIL privilege provided to those serving in a war zone, ship's personnel were instructed to write ON ACTIVE SERVICE on the face of their envelopes and this practice continued throughout the war. In late 1952, or early 1953, all RCN ships were issued with a round rubber cachet ROYAL CANADIAN/current date/NAVY MAIL which was to be applied to mail leaving the ship when absent from her home port. However, as all ships were not serving in Korea, this marking alone was not sufficient for postal authorities in recognizing legitimate FREE MAIL. After the Korean war, a number began appearing in this cachet and the early type without a number was withdrawn from use. (N.L. #15 item 60, and #16 item 67).
Jack Davis' cover is shown overleaf and described there. Another example from Crusader, also dated 1954, comes from Bill Robinson. The wording is the same in this cachet as in Jack's but the size is much larger and the color of the mark is orange. There is a C.F.P.O. 31 (Tokyo) cancellation of 8 May 1954 on this cover.
The appearance of two different types (and obviously different manufacturers) of these ON ACTIVE SERVICE handstamps, from the same ship, in the same time period and in different colored ink, leads to the conclusion that these stamps were in the hands of an individual, or perhaps a mess, rather than being the property of the ship. Unfortunately there is not enough mail from Crusader during her Korean service to be definite about this.
Other interesting examples exist. From IROQUOIS during her second tour a boxed ON ACTIVE/SERVICE from one individual's correspondence is known. Strangest of all perhaps is a cover belonging to Bill Robinson which originated in SIOUX enroute to Korea for her first tour in 1950. Here the ship was using a WW II censor marking FROM H.M.C. SHIP/EXAMINED BY 824 which appears to be from a block of these censor markings never issued to ships during WW II by H.M.C. Dockyard, Esquimalt.
NOTES ON SOME POST PAID MARKINGS OF WORLD WAR II
By W.D.W. and Editor.
This subject may have been dealt with in part in some previous Newsletters but herewith we are pulling together five examples which have come to hand. You will recall that these markings from Newfoundland (the Postage Paid triangles) were well dealt with previously.
All the covers pictured here were sent by RCNVR/RCN personnel. Should you be able to add to the information on these items a note would be appreciated! Have we missed anything?
1) POST PAID, double oval marking. This was used at Bermuda and likely at Hamilton (Bermuda). Bermuda was home base for a group of Motor Launches in 1944. PROVIDER, a mother ship, also went there early in 1944.
2) POST OFFICE/MARITIME MAIL/POSTAGE PAID, straight line marking. This is again from Bermuda and possibly used at St. Georges (confirmation needed). It is possible that Hamilton had two different Postage Paid handstamps, but unlikely.
3) POSTAGE PAID, straight line. This was used from Jamaica and was likely from the naval base H.M.S. Morgan in Kingston. Why an RCNVR officer was stationed there is a mystery, but they were often found in strange places!
4) POSTAGE PAID, double boxed. This marking was used on a cover from a RCNVR Lieut. on board H.M.S. Claudia, a corvette. The censor marking gives a date of 14/10/41. F.M.O. 259 as noted on the return address was probably at the shore establishment H.M.S. Goshawk at Piarco, Trinidad.
5) MARITIME MAIL/POSTAGE PAID, straight line marking. This marking is identified as Trinidad by the IE prefix on the censor label. Date is presumed to be 1944. No other info is available.
It is surprising that one sees so few of these POSTAGE PAID markings from Bermuda and the West Indies considering that so many RCN personnel were in that area during the war. In the early years it was the destroyer patrols, then the escort groups of corvettes in the 1942's on the oil tanker runs that put many Canadians there. There was also the large number of West Coast built ships which came around through the Panama Canal and passed through the West Indies. In spite of this activity where has all the mail gone from these servicemen?
POSTAGE PAID
Mr. & Mrs. P.E. Grant
26 Robert Glen Cres.
Toronto, Ont.
VIA AIR MAIL
POSTAGE PAID
R.R. McIntosh, Esq.,
& General Trade Limited,
372 Bay Street,
MARITIME MAIL
POSTAGE PAID
Miss Freda Courtney,
22 Southwest
Glace Bay,
NS Canada
VIA AIR
Military Mail Marks Milestone
by Bill Fairbairn
'The mail's in!'
The effect of those three words on fighting troops simply can't be overstated. "I don't think any historian would object to saying that the mail was worth an extra battalion," says Bill McAndrew, a historian with National Defence who has studied troop morale.
During the 1870 Red River Rebellion canoes took letters up river to isolated posts, troops fighting Louis Riel in 1885 received mail from riders, and during the Boer War it went by steamship to the Cape, then by covered wagon. On May 3, 1911, a general order authorized the formation of the Canadian Postal Corps within the militia.
This month our military posties celebrate their 75th anniversary with a Canada Post stamp and cover, as well as their own cover available through Canadian Forces Postal Unit, Trenton.
In its first year the corps had a base post office in Toronto commanded by Maj. George Ross, with detachments in London, Ont., Kingston, Ont., Montreal, Quebec City, Halifax, Winnipeg and Calgary. The detachments operated field offices at militia summer camps in Goderich, Ont., Farnham, Que., Sussex, N.B. and Scwell, Man. The organization paid off when WW I broke out.
"I don't think any of my mail went astray," says 95-year-old John Drew, a sergeant major with the Victoria Rifles. "The letters and parcels were more important than the rations. We received socks and mitts and home-made cookies and cakes that we shared with fellows who had none. We never took the mail for granted. You can imagine what it was like to get a parcel or letter in the rain and filth of the Somme."
In WW II the corps was more mobile. Capt. Charles Goulet, Hull, Que., landed on Normandy on D+2 to help organize a postal service for Canadian troops. He recalls trying to locate a 3rd Div. unit with a faulty map reference: "I stopped my jeep at a crossroads to ask a military policeman for directions. He said I was on the right track but that if I went any farther I had better learn German."
Still, during occupied and wartime Postmaster General William Mulock explained why: "Canadian forces proceeding to the Mediterranean had mail delivered up to the point the last convoy boat left port in Britain, and after departure all mail to the Mediterranean was frozen for security reasons until the official announcement of the invasion of Sicily on July 10, 1943."
He added that transit time from Montreal to Britain was 30 days for parcels, 20 for surface letters and six for airmail envelopes.
Halfway through the war the corps expanded to serve the air force and navy, and destinations like Ceylon and Kisika.
Another change was the introduction in 1943 of RCAF planes to ensure the safe delivery of letters to Europe. Until then the mail was susceptible to German attacks on convoys containing mail-ships.
Few knew that Allied mail-ship crews were among the heroes of the Battle of the Atlantic. Wartime security kept sinkings secret to avoid troop demoralization. The names of ships that went down were docketed and forgotten. But Jim Kraemer, a former curator of the National Postal Museum in Ottawa, has dug into files in Canada, Britain and Germany to uncover the truth.
Most interesting is one of the first mail-ship casualties — the SS Beaverford, a 10,000-ton cargo steamer built in 1928 for Canadian Pacific. On Nov. 5, 1940, a 38-ship convoy including the Beaverford was engaged in the Denmark Strait by the German pocket battleship Admiral Scheer. After sinking the armed merchant cruiser HMS Jervis Bay in a 22-minute fight, the Scheer breached the convoy. That much is well known. What isn't is that the Beaverford fought the Scheer for five hours, allowing the remaining 36 ships to scatter. She was finally hit mid-ships and sunk, taking 2,600 bags of mail to the bottom. The Scheer sank another four ships before cruising away. The Jervis Bay was immortalized by a Legion branch in Saint John, N.B., the Beaverford forgotten.
Other casualties uncovered by Mr. Kraemer include the mail-ships: Beaverbrae, Beaverdale, Ixion, Fort Richpanse, Vancouver Island, Lady Hawkins, Maurienne, Sam Nisuya, Lady Aberdeen, Bonnerail, Mosfruit, Donald Stewart, Caribou, Winnipeg, Big Island, Bivran, Omblin, Empire Sailor, Emile Francqui, Newton Ash, Aegeus, M-790, T-1 and T-2.
"I could find no records on T-2," says Mr. Kraemer. "They sound almost like torpedo-boats. All I know is that they carried mail."
Despite German successes though, Mulock reckoned that only about three per cent of the mail was lost. During the fiscal year 1944-45, the total delivered was: letters, 65,475,000; parcels, 34,709,000; tobacco parcels, 33,399,000; newspapers, 1,487,000.
Much of that tobacco came from the Legion's Buckshee Fund. Organized by a number of WW I veterans and given the blessing of Dominion President Alex Walker, the fund shipped more than 62 million cigarettes to WW II troops.
Legion deliveries of smokes avoided the problem caused by some Canadians who included matches in their overseas packages. In June, 1943, an amendment to the Post Office Act made mailing inflammables punishable by up to $100 or three months imprisonment.
Liquid contraband was often passed off to postal officials as bubble bath or mailed inside loaves of bread. Another ruse was to place a sponge inside the neck of a bottle to inhibit tearful gurgling. Edward Spencer, Saint John, recalls rats getting into mail bags in Italy. They devoured half a loaf of bread in one bag, leaving a quart of Canadian rye exposed.
"I called in the man whose parcel it was and he really looked troubled. I quickly put his mind to rest and told him it was no problem, I just wanted to make sure he got it. He thanked me and left in such a hurry that he forgot to offer me a drink."
By the end of WW II the corps numbered 5,080 all ranks in more than 160 units—compared to 346 at 37 units in 1918. Nineteen were killed.
Disbanded in 1946 and reactivated Nov. 1, 1951, the service was renamed the Royal Canadian Postal Corps in 1961 and throughout that decade it served our forces in various outposts.
Col. Robert Auchterlonie, director of what has been the Canadian Forces Postal Service since 1976, remembers what it meant to receive mail while with the United Nations force that helped put down rebellion in Katanga, a province of the Congo (Zaire) in 1962: "It was the only contact with family and familiar surroundings, and for the soldiers it was bloody important."
From the Equator he was posted to icy Fort Churchill, Man., where contact was just as important.
"Yes, Canada's postal service is ready to go anywhere," he says.
This year military posties organized offices in Norway for NATO exercises and in the Egyptian Sinai, where 133 members of 408 Tactical Helicopter Sqn. are part of the Multinational Force and Observers.
The 200 clerks are spread thin in a dozen military post offices in Canada and others in West Germany, Holland, Belgium, Britain, Cyprus and Syria.
Deputy Director Maj. Gordon McDermid says: "Mail has this tremendous sustaining effect. Yet most people don't know us. Many take us for granted. That may be their greatest form of flattery."
During 1985, 165,000 bags of mail—1.6 million kg—were forwarded by the system, including 25,000 bags of National Defence mail.
Capt. Leo MacNeil, head of operations and finance, sees the future in electronic terms: "Today, through Canada Post, we have Intelpost and Envoy Post, with photo transmission and computers sending out whole messages. Even Telex is going the way of the dinosaur as the age of electronic mail takes hold."
Yet CWO Murray Salter, a 34-year veteran, says: "Strangely we have come full circle. There isn't sufficient room on service aircraft for all the mail today, so some is reverting to mail-ship."
From The Vernon (B.C.) News, 14 January 1915.
Military Horses WANTED
RIDING HORSES
AGE, 5 to 9 YEARS HEIGHT, 15 to 15-3 HANDS
WEIGHT, 1000 to 1150 POUNDS
ARTILLERY HORSES
AGE, 5 to 9 YEARS HEIGHT, 15 to 15-3 HANDS
WEIGHT, 1100 to 1300 POUNDS
COLOURS
Bays, Browns, Blacks, Chestnuts, Blue Roans, Red Roans.
NO LIGHT GREYS OR WHITES
REQUIREMENTS
All horses must be in good condition, sound, of good conformation, free from blemishes or vice, and broken to harness or saddle.
L.T. COL. A. D. McRAE,
Chief Remount Commissioner
The above is a copy of Posters as exhibited by the Remount Commission and will be circulated when received. In the mean time those persons having horses for sale are requested to communicate at once with the undersigned. It is expected that the purchasing Commissione will be at Vernon, between the 15th and 31st.
J. DILLON, Secretary,
Vernon Board of Trade. |
October 30, 2015
Mark Cowin, Director
California Department of Water Resources
David Murillo, Regional Director
U.S. Bureau of Reclamation
BDCP/WaterFix Comments
P.O. Box 1919
Sacramento, CA 95812
Via Email: firstname.lastname@example.org
Re: Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement for the Bay Delta Conservation Plan/California WaterFix
Dear Mr. Cowin and Mr. Murillo:
The Kern County Water Agency (Agency) appreciates the opportunity to comment on the Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS) for the Bay Delta Conservation Plan/California WaterFix (Project).
The Agency was created by the California Legislature in 1961 to contract with the California Department of Water Resources (DWR) for delivery of State Water Project (SWP) water. The Agency has long-term contracts with local water districts in Kern County to deliver SWP water, and is also involved in several groundwater banking programs in the region. The Agency is one of several Public Water Agencies (PWAs) that is expected to provide funding for the Project.
The Agency is supportive of the Project and believes it has the potential to help achieve California’s co-equal goals of improving water supply reliability and enhancing the ecosystem of the Sacramento-San Joaquin Delta (Delta). Recent analysis indicates that the Project will not only increase water supply reliability, but will reduce the risk of levee failure, improve water quality, result in economic benefits to the State and nation, and generally improve the Delta ecosystem and environment. The Agency supports the proposed conveyance system, which will isolate and protect water supplies and help restore natural flow patterns in the Delta for the benefit of native species. The Agency also
supports DWR and U.S. Bureau of Reclamation’s (USBR) recognition that changing conditions in the Delta will require ongoing scientific review and real-time monitoring so water operations can be effectively adapted over time in response to emerging science and the evolving ecosystem, while providing water supplies necessary to support the economy of the State.
The alternatives in the RDEIR/SDEIS serve as an important initial step in developing a workable solution to the challenges facing California’s water resources and the Delta. The alternatives, however, do not currently provide the Agency and the farmers and residents it serves with a Project that is economically feasible. As described in further detail below, additional efforts need to be taken to reduce the cost of the Project, protect the Project’s yield, and improve the likelihood that the Project will be constructed and implemented in a manner that improves water supplies at an affordable cost. In addition, the RDEIR/SDEIS should be revised to improve the readability of the document.
1. **Operational Criteria.**
The Agency is concerned that the operational criteria currently set forth in the RDEIR/SDEIS result in a Project that is not economically viable for the Agency. In particular, the Agency is concerned with the water supply and cost implications of the fall and spring outflow requirements (RDEIR/SDEIS at 4.1-8).
Decisions relating to implementation of the fall and spring outflow requirements should be based solely on a comprehensive and critical appraisal of the best available scientific information. While there is some evidence that there is a correlation between longfin smelt abundance and freshwater outflow in the spring, other evidence calls into question this correlation between flow and abundance (RDEIR/SDEIS at 4.3.7-36). Furthermore, it is possible that to the extent the correlation exists, it is not demonstrative of a causal relationship. A more compelling case may be made that there is a causal relationship between abundance and local precipitation events, which is being masked by the abundance/outflow correlation due to the tight relationship between local precipitation and outflow. Given these scientific uncertainties, the operational criteria should be revised to be less stringent and to provide for additional flexibility.
For example, the operational criteria for April, May and June currently set forth specific allowable Old and Middle River (OMR) flows that have a linear relationship with flows measured at Vernalis (RDEIR/SDEIS at 4.1-8). These criteria effectively preclude the Real Time Operations team or the Adaptive Management Program from determining that, in certain circumstances when the risk of entrainment of listed fish is low, it may be appropriate for OMR flows to differ from those prescribed by the criteria. The criteria should be revised to not preclude the relaxation of operational requirements when the potential for take of listed fish is low.
Similarly, the operational criteria for June provide that, if Vernalis flows exceed 3,500 cfs, then OMR flows must be at least zero cubic feet per second (cfs), and could be required to reach 2000+ cfs (RDEIR/SDEIS at 4.1-8). These requirements are much more stringent than any requirement imposed pursuant to the 2008 and 2009 biological opinions, or any other regulatory scheme. These requirements should be revised to provide for less stringent operating criteria.
It is also important to note that the requested revisions to the operational criteria are appropriate because of the new regulatory scheme contemplated by the RDEIR/SDEIS. Specifically, the RDEIR/SDEIS reflects the fact that the three new alternatives would not serve as Habitat Conservation Plans/Natural Community Conservation Plans under section 10 of the Endangered Species Act (ESA) and the Natural
Community Conservation Planning Act (NCCPA), respectively. Under the new alternatives, DWR and USBR would not seek 50-year permits under the ESA/NCCPA, but rather would obtain incidental take coverage under Section 7 of the ESA and Section 2081(b) of the California Endangered Species Act (CESA). This difference is significant because Section 7 and Section 2081(b) involve lower regulatory standards than Section 10 and the NCCPA. More specifically, Section 10 requires a permit applicant to fully comply with Section 7, as well as satisfy additional issuance criteria. Similarly, the NCCPA requires affirmative conservation, whereas Section 2081(b) requirements only specify that mitigation must be roughly proportional to project impacts. Due to these relaxed regulatory standards, the operational criteria in the RDEIR/SDEIS are not required to be as stringent as if proceeding under the original regulatory scheme (i.e., Section 10/NCCPA). Thus, the requested revisions to the operational criteria are fully consistent with the new alternatives set forth in the RDEIR/SDEIS.
Finally, in addition to revising the operational criteria, the Agency requests that the description of the alternatives in the RDEIR/SDEIS be revised to clarify that the spring outflow criteria will be satisfied in accordance with the following hierarchy:
a. Available State and federal public funding will be used to purchase water necessary for spring outflow (e.g., through Proposition 1 funding).
b. State and federal agencies will attempt to obtain additional water to satisfy the spring outflow criteria if it becomes available.
c. The California Department of Fish and Wildlife, the U.S. Fish and Wildlife Service and the National Marine Fisheries Service will include spring outflow requirements in their permitting decisions on all issues related to water in the Delta watershed.
d. All other available sources of water will be considered by the Real Time Operations and/or Adaptive Management Program teams prior to reducing SWP and Central Valley Project (CVP) exports.
e. Water should be made available by the SWP and CVP only in amounts determined to be necessary by the Real Time Operations and/or Adaptive Management Program processes.
f. No spring outflow contributions should be required from the SWP or CVP for the first 10 years of Project operations.
In summary, revising the operational criteria to increase flexibility and to reflect the other changes described above will lower the cost of the Project and protect the Project’s yield. Thus, the Agency requests the foregoing changes to the operational criteria.
2. Scientific Processes.
In order for the Project to ultimately be successful, it must be implemented in a transparent, neutral and science-driven manner. It is particularly important for the Collaborative Science and Adaptive Management Program (CSAMP) to advance both the state of the science and the level of agreement on the conclusions reached based on that science.
To that end, the interplay between the CSAMP and the operational criteria set forth in Table 4.1-2 is currently unclear. For example, the RDEIR/SDEIS provides that the “collaborative science effort is expected to inform operational decisions....” (RDEIR/SDEIS at 4.1-19). But the criteria set forth in Table 4.1-2 do not reflect the fact that the CSAMP could cause the criteria to be modified and adjusted. This appears to be the intent, but the document needs to be revised to clarify this relationship. Similarly, while the RDEIR/SDEIS acknowledges that new science may ultimately require consultation to be reinitiated or a Section 2081(b) permit amendment, this process should be more thoroughly explained (DEIR/SDEIS at 4.1-19-20). The final EIR should clarify that prior to commencement of north Delta operations, the agencies will reinitiate consultation in order to evaluate each of the operational criteria set forth, and determine whether one or more of them can be relaxed without violating the requirements of the CESA and ESA.
In addition, the CSAMP should be revised to ensure that the various adaptive management tools and programs have defined limits that protect water supply. For example, the CSAMP should specify that operations cannot be such that exports fall below a certain amount, as determined by the best available scientific information, for purposes of protecting human health and safety. Furthermore, the RDEIR/SDEIS should clearly state that the CSAMP will be implemented in a manner that maximizes water supplies.
The RDEIR/SDEIS also needs to provide further details regarding funding for the CSAMP. The RDEIR/SDEIR states that “[p]roponents of the collaborative science and monitoring program will agree to provide or seek additional funding when existing resources are insufficient to complete the goals and tasks outlined above.” (RDEIR/SDEIS at 4.1-20). The meaning of this sentence is unclear. This section needs to be revised to clearly specify how this process is expected to take place, which agencies are expected to fund the CSAMP, and to include a cap on the liability of the PWAs.
Finally, the RDEIR/SDEIS should also take into account pertinent, available literature on the adaptive management process, including the recent paper by Dennis D. Murphy and Paul S. Weiland, *Science and Structured Decision-Making: Fulfilling the Promise of Adaptive Management for Imperiled Species*, JOURNAL OF ENVIRONMENTAL STUDIES AND SCIENCES (2014) 4:200–207.
3. **Environmental Commitments.**
The RDEIR/SDEIS must clearly articulate the environmental commitments that PWAs are required to implement to address the construction-related impacts of the proposed Project. In other words, it is important that all environmental commitments be limited to addressing only those impacts that relate to the construction footprint.
The Agency recognizes that several tables in the RDEIR/SDEIS detail the environmental commitment currently contemplated by the new alternatives (Tables 4.1-3 [page 4.1-15], 4.1-4 [page 4.1-22], 4.1-5 [page 4.1-26], and 4.1-6 [page 4.1-30]). It is difficult to determine, however, the extent to which these commitments relate to the construction footprint. Thus, the Agency requests that the RDEIR/SDEIS be revised to more fully explain how the environmental commitments address construction-related Project impacts.
4. Organization.
Environmental documents should be well-organized and written in plain language so that decision-makers and the public can understand them (e.g., 40 C.F.R. Section 1502.8). As is, the RDEIR/SDEIS does not lend itself to being easily understood by the public.
The complexity of the RDEIR/SDEIS makes it difficult for the average reader to understand the relationship between the various BDCP alternatives and the new alternatives, with respect to the proposed conveyance structures, operations, environmental commitments and other conservation measures. The Agency recommends including an Executive Summary in the final EIR/EIS that summarizes both the Draft EIR/EIS issued in December 2013 and the current RDEIR/SDEIS. This would involve consolidating and synthesizing the two existing Executive Summaries into a more comprehensive document to be included in the final EIR/EIS. This will enable a reader to more readily determine the key features of each alternative and will facilitate a more meaningful review.
In addition, the Agency requests that the RDEIR/SDEIS be organized in a way that is easier for a reader to keep track of the various Sections of the document. For example, Section 4.3-7, which relates to “Fish and Aquatic” resources, is 442 pages long. Remarkably, there are no numbered subsections within this lengthy Section. See also Section 4.3-8, which is 363 pages long. As such, a reader is unable to determine upon a quick review what Sections relate to which species. Thus, the Agency requests that the Sections be revised to include numbered subheadings.
5. Conclusion.
The Agency is supportive of the ongoing Project efforts and is encouraged by the progress made in the SDEIS/RDEIR. As described above, the Agency has concerns regarding certain aspects of the SDEIS/RDEIR, and believes the document would benefit from the specific recommendations described above.
Thank you for the time and effort expended on the Project stakeholder and public participation process. The Agency looks forward to working with the involved State and federal agencies as the Project moves forward.
The Agency appreciates the opportunity to provide these comments. If we can provide additional information on any of the issues described above, please do not hesitate to contact Brent Walthall of my staff at email@example.com, or (916) 325-1600.
Sincerely,
James M. Beck
General Manager
To Whom It May Concern:
Please find attached the Kern County Water Agency’s comment letter for the BDCP/California WaterFix. A hard copy will follow in the mail.
Thank you,
>Taylor Blakslee
Management Assistant
Kern County Water Agency
3200 Rio Mirada Dr.
661-634-1455
Thank you for the opportunity to comment on the Bay Delta Conservation Plan/California WaterFix Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS).
Friends of the San Francisco Estuary (Friends) has reviewed the RDEIR/SDEIS for changes that address and correct the inadequacies noted in our July 29, 2014 comment letter on the Public Draft of the Bay Delta Conservation Plan (Draft Plan) and its associated draft Environmental Impact Report/Environmental Impact Statement (DEIR/S) and Draft Implementing Agreement (Draft IA). The RDEIR/SDEIS also includes some new analyses that are addressed below; however, the additional information does not improve the serious flaws of the plan. Friends is deeply concerned that, if implemented, this plan will fail to improve the degraded state of the Bay-Delta Estuary.
It is our recommendation that the project proponents develop a Water “Fix” that better balances protection and restoration of the ecosystem with reliability of water supply, as commanded by state law.\(^1\) Under the Preferred Alternative (4A), water quality and water supply reliability improve for the State Water Project and Central Valley Project water users at the expense of threatened and endangered species and other beneficial uses of the San Francisco Bay and Delta. These negative impacts, in some cases, have been arbitrarily deemed insignificant by the RDEIR/SDEIS authors without clear scientific basis; in other cases, science has been selectively used to support determinations of no adverse or significant impact. Overall, as noted by the Delta Independent Science Board, “The Current Draft lacks key information, analyses, summaries, and comparisons. The missing content is needed for evaluation of the science that underpins the proposed project. Accordingly, the Current Draft fails to adequately inform weighty decisions about public policy” [emphasis added].\(^2\)
This letter transmits our comments on those sections of the RDEIR/SDEIS that relate to our July 29, 2014 letter. Relevant comments from the July 2014 letter are summarized as follows:
1. **The Draft Plan does not improve Delta outflows over current degraded conditions.**
2. **The Draft Plan may contribute to significant declines and potential extinction of several salmon runs and other native fisheries.**
3. **Impacts to areas downstream of the Plan Area, e.g., San Francisco Bay, are potentially significant and must be analyzed in the DEIR/S.**
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\(^1\) Delta Reform Act, Chapter 2, Section 85320.
\(^2\) Delta Independent Science Board, p. 4.
4. Certain water quality impacts within the entire Bay-Delta Estuary have been determined to be significant and unavoidable, yet no mitigation is proposed for these impacts.
5. The Draft Plan does not make an equitable commitment to the co-equal goals required under Delta Reform Act.
6. The BDCP does not reduce reliance on the Delta, as mandated by state law.
1. **The Draft Plan does not improve Delta outflows over current degraded conditions.**
As noted previously, state and federal regulatory agencies have acknowledged that Delta outflows provided by current operations and water quality plans are not adequate to maintain, recover or restore ecosystem processes and declining fish species in the San Francisco Bay-Delta Estuary. The large-scale alterations to freshwater flows affect the quality and quantity of low-salinity habitats essential to fisheries in the Estuary, the movement of sediment through the system, and the productivity of food webs. The recently released State of the San Francisco Estuary Report states that “Freshwater flows from the Delta to the Bay for most of the last 35 years (since the 1980s) have been poor, impacting the estuarine ecosystem and the plants and animals that depend on it.”\(^3\) The previous preferred alternative did not address this problem, nor does the revised Alternative 4A, also known as the California WaterFix (CA WaterFix). The new Alternative 4A in the RDEIR/SDEIS maintains or even increases State Water Project (SWP) and Central Valley Project (CVP) exports over current export levels: “Delta exports and SWP and CVP deliveries south of the Delta would increase under BDCP Alternatives 1A, 1B, 1C, 2A, 2B, 2C, 2D, 3, 4 (H1-H4), 4A, 5, 5A, and 9 as compared to Existing Conditions and No Action Alternative.”\(^4\) A plan to increase exports fails to improve the current degraded conditions that result from inadequate freshwater flows through the Estuary.
In addition, the RDEIR/SDEIS makes the presumption that the north Delta diversions of the CA WaterFix will not be subject to the current Export:Inflow ratio, by appearing to exclude the proposed diversion points from the measurement of Delta inflow.\(^5\) The quantity of freshwater flows from the Delta to the Bay is effectively determined by the Export:Inflow ratio. The Export:Inflow ratio places limitations on the amount of water that can be exported by the SWP and CVP based on a fraction of Delta inflows; the redefinition of this ratio by the plan proponents results in significantly higher exports while appearing to comply with D-1641 standards.\(^6\) The RDEIR/SDEIS must be revised to comply with D-1641 standards by including the north Delta diversions in the Export:Inflow ratio.
A higher Delta outflow scenario has been modeled and analyzed at the request of the State Water Resources Control Board (SWRCB). The SWRCB requested supplemental modeling from the plan proponents in order to evaluate a higher Delta outflow scenario than is offered by Preferred Alternative 4A. Analysis of this scenario showed more favorable conditions for Delta smelt and longfin smelt habitat, a shift of pelagic fish away from the export pumps, better conditions for out-migrating salmonids, and benefits to native estuarine species that have evolved under conditions of seasonally fluctuating salinity. The higher outflows in winter would push fresh water through the Delta and into San Francisco Bay, to the benefit of Bay ecosystems. Additionally, the specified quantity of Delta outflow in summer could provide for adaptive management of Delta smelt when a strong cohort is present.\(^7\) In other words, this outflow scenario provides substantial improvements to public trust resources that Alternative 4A fails to provide. The speculative statement that “an alternative that included this operational scenario would likely
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\(^3\) San Francisco Estuary Partnership 2015.
\(^4\) RDEIR/SDEIS, Chapter 5, p. 5-8.
\(^5\) RDEIR/SDEIS, Chapter 4, p. 4.1-10.
\(^6\) Denton 2015.
\(^7\) RDEIR/SDEIS, Appendix C, p. C-2.
not meet the project objectives or purpose and need statement\(^8\) is not sufficient justification to fail to develop an alternative with the potential to provide both water supply and ecosystem benefits, as called for by the Delta Reform Act.
The results of this supplemental modeling showed a scenario that produces both higher Delta outflows and yields better average end-of-month storage in California’s major reservoirs, even under the impacts of climate change. Results showed substantially higher long-term average end-of-month storage for Lake Oroville in all water year types, slightly higher for Folsom Lake, and approximately the same for Lake Shasta and Trinity Lake. This provides benefits to both fish and people under the more frequent drought conditions expected in the future. As the current drought has demonstrated, a portfolio of other methods exist to replace the lower Delta exports. This higher Delta outflows approach also achieves the goal of reducing reliance on the Delta. This should be developed into a project alternative, incorporating other methods—both existing and proven but not yet implemented technologies—to provide water supply.
2. **The Draft Plan may contribute to significant declines and potential extinction of several salmon runs and other native fisheries.**
If implemented, the increase of exports and reduction of Delta outflows over current levels would have significant adverse impacts on the Bay-Delta Estuary’s fish and wildlife, particularly threatened and endangered species. Increased exports and reduced Delta outflows result in decreased turbidity in the Delta, which contributes to the increased mortality of anadromous fish like Chinook salmon; increased residence time of water in the Delta, which contributes to negative water quality impacts such as potential harmful algae blooms; and declines in longfin smelt and related estuarine species (American shad, bay shrimp) that form an important link in the estuarine food web between micro-organisms and predators, including birds, marine mammals, and other fish. The U.S. Environmental Protection Agency (US EPA) stated in its August 26, 2014 comment letter on the DEIR/S, “Data and other information provided in the Draft EIS indicate that that all CM1 alternatives may contribute to declining populations of Delta smelt, Longfin smelt, green sturgeon, and winter-run, spring-run, fall-run and late-fall run Chinook salmon. Impact analyses in Chapter 11 show that entrainment, rearing, and migration conditions for these species are estimated, for many of the action alternatives, to be similar to, or worse than, existing conditions and sometimes worse than the future no action condition.”\(^9\) The revisions presented in Preferred Alternative 4A do not represent a substantial improvement to this assessment.
Furthermore, proposed project construction is expected to have significant impacts on Delta smelt, longfin smelt, steelhead trout, Sacramento splittail, green sturgeon, white sturgeon, Pacific lamprey, river lamprey, and spring-, fall-, late fall-, and winter-run Chinook salmon from noise associated with pile driving.\(^{10}\) Plan operations under Alternative 4A are expected to deliver additional significant and adverse impacts to fall-run and late fall-run Chinook salmon.\(^{11}\) Indirect impacts on shorebirds and waterfowl are also expected.\(^{12}\) Many of these species are endangered; some are on the verge of extinction in the wild. Even negative impacts that are considered “small” by the project proponents could have disproportionate effects on these vulnerable species. In comparison, the benefits of plan operation to fish and wildlife are uncertain. For example, the Delta Independent Science Board (Delta ISB) has noted that the data provided
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\(^8\) RDEIR/SDEIS, Appendix C, p. C-1.
\(^9\) US Environmental Protection Agency, p. 10.
\(^{10}\) RDEIR/SDEIS pp. ES-48, ES-49, ES-51-54, ES-56-58.
\(^{11}\) RDEIR/SDEIS pp. ES-23 and ES-54.
\(^{12}\) RDEIR/SDEIS pp. ES-80-81.
on fish screens may be outdated, and has questioned how well the proposed fish screens on the new diversions will work, particularly on fish and larvae less than 20mm.\textsuperscript{13} Finally, the RDEIR/SDEIS both inadequately addresses and uses outdated models for the possible influence of climate change and sea level rise, which may reduce assumed benefits and exacerbate negative impacts.\textsuperscript{14}
The RDEIR/SDEIS presents a plan with substantial known adverse impacts and uncertain benefits to fish and wildlife. Under the current degraded conditions of the Bay-Delta Estuary, with the decline of many native fish and bird species, the Proposed Project presents an unacceptable risk to the health of the Bay-Delta Estuary.
3. **Impacts to areas downstream of the Plan Area, e.g., San Francisco Bay, are potentially significant and must be analyzed in the DEIR/S.**
In Friends of the San Francisco Estuary’s previous comment letter, we requested an analysis of the impacts of the proposed project on San Francisco Bay aquatic species, water quality, and the impacts of reduced sediment delivery to the Bay. Some of these analyses have been included in the RDEIR/SDEIS; however, essential information is missing or questionable where included.
**Sediment**
Total sediment loading to the Delta as the result of the new north Delta diversions will be reduced by approximately 9%, according to the RDEIR/SDEIS.\textsuperscript{15} This reduction has been deemed by the plan proponents to be less than significant because it is under 10%, and could be reduced further through restoration actions and the reuse of dredged material.\textsuperscript{16} The criteria for use of 10% as a benchmark for significance is not clear, particularly given the acknowledged potential to increase water clarity at areas downstream of the new north Delta diversions at certain times of the year.
The majority of sediment inputs to the San Francisco Bay Area comes from the Sacramento River and San Joaquin River watersheds. A reduction in 9% sediment loading for areas downstream of the new diversions will equate to a similar reduction in sediment loading to the Bay. Work by the U.S. Geological Survey (USGS) shows direct correlation between suspended sediment concentrations at the Bay Bridge and flows from the Delta,\textsuperscript{17} and a number of tracer studies have shown that sediment from the Delta reaches the South Bay.\textsuperscript{18} Suspended sediment delivery to the San Francisco Bay has been declining for the past sixty years, and scientists have determined all parts of the Bay except for the South Bay to be net erosional in recent years.\textsuperscript{19} With climate change and associated sea level rise, further reductions in sediment delivery could have significant impacts that would reduce the ability to restore wetlands, resulting in reduced shoreline flood protection and increased erosion. According to the recently released report *The Baylands and Climate Change: What We Can Do*, lack of sediment is a major threat to San Francisco Bay wetlands and the potential for climate change adaptation in the Bay.\textsuperscript{20} Reduced sediment delivery will also reduce turbidity and increase the risk of nutrient loading problems and toxic algae blooms, including *Microcystis*. These potential impacts have not been adequately analyzed in the RDEIR/SDEIS.
\textsuperscript{13} Delta Independent Science Board, p. 17.
\textsuperscript{14} Delta Independent Science Board, pp. 11-13.
\textsuperscript{15} RDEIR/SDEIS, Appendix A, Ch. 11, p. 11-184.
\textsuperscript{16} RDEIR/SDEIS, Chapter 2, p. 2-2.
\textsuperscript{17} Shellenbarger et al. 2011.
\textsuperscript{18} McGann et al. 2013.
\textsuperscript{19} Barnard et al. 2013.
\textsuperscript{20} State Coastal Conservancy 2015.
Microcystis
According to the RDEIR/SDEIS, “water temperatures and hydraulic residence times in the Delta are expected to increase under all operational scenarios of Alternative 4, resulting in an increase in the frequency, magnitude and geographic extent of *Microcystis* blooms in the Delta.”\(^{21}\) However, the authors conclude that this adverse impact to the Delta will not increase risk of *Microcystis* blooms in the San Francisco Bay. This conclusion is not supported by current research, which has shown that microcystins, found throughout the Bay, are clearly coming from the Delta in addition to other sources.\(^{22}\) For years, researchers have been noting a declining resistance to harmful algae blooms (HABs) in the San Francisco Bay, caused in part by reductions in sediment delivery from the Delta. More recent research indicates that there is cause for serious concern regarding the levels of toxins present in Bay algae blooms.\(^{23}\)
The recent *Microcystis* blooms in the Delta, caused by increased residence time and higher water temperatures related to the drought, indicate that any increase in frequency, magnitude, and geographic extent of such blooms could have significant and adverse impacts to downstream areas, including Suisun Marsh and the San Francisco Bay. These impacts include the production of HABs toxic to fish, wildlife, and humans. Endangered species of fish, shorebirds, and mammals, as well as humans who use the Bay for recreation and the western Delta for sources of drinking water, could suffer from these impacts.
The oversight of recent research into *Microcystis* interactions between the Bay and Delta, and the San Francisco Bay’s potential vulnerability to HABs caused by *Microcystis*, is a fundamental failure of the RDEIR/SDEIS to comply with CEQA. The threat posed by increased *Microcystis* blooms must be adequately addressed through more extensive analysis and full and appropriate offset of impacts.
4. Certain water quality impacts within the entire Bay-Delta Estuary have been determined to be significant and unavoidable, yet no mitigation is proposed for these impacts.
Although an effort has been made to reduce water quality impacts under Alternative 4A, significant impacts remain as noted in the RDEIR/SDEIS: “the cumulative condition would be adverse, or have reasonable potential to be adverse, for the following constituents: bromide, chloride, electrical conductivity, mercury, organic carbon, pesticides and herbicides, and selenium.”\(^{24}\) Furthermore, as noted above, *Microcystis* blooms in the Delta are expected to increase in frequency, magnitude, and geographic extent. These impacts will degrade water quality in the Bay-Delta Estuary beyond current degraded conditions and represent grave shortcomings to a plan intended to meet the co-equal goals of both improved water supply and Delta ecosystem. The following water quality impacts have been inadequately addressed in the RDEIR/SDEIS and must be minimized through mitigation measures or changes to the plan.
Chloride and Electrical Conductivity (EC)
The potential for increased chloride levels in Suisun Marsh, noted in our comment letter on the DEIR/S, remains unresolved in the RDEIR/SDEIS. Bay-Delta WQCP objectives for chloride and EC are exceeded in Suisun Marsh under CA WaterFix. Additional analysis and modeling links increased chloride and EC levels to the design and siting of restoration measures; however, increases could be substantial and may not be feasibly controlled through restoration design and siting. Proposed mitigation measures are to conduct additional evaluation and modeling to determine the feasibility of preventing or offsetting
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\(^{21}\) RDEIR/SDEIS, Appendix A, Ch. 8, pp. 8-304-305.
\(^{22}\) University of California Santa Cruz 2015.
\(^{23}\) Kudela et al. 2014.
\(^{24}\) RDEIR/SDEIS, Chapter 5, p. 5-74.
chloride and EC increases, as stated in the RDEIR/SDEIS: “Together, findings from [Mitigation Measures] WQ-11a and WQ-11b will indicate whether sufficient flexibility to prevent or offset EC increases is feasible under Alternative 4.”\textsuperscript{25} These actions, however, do not offer much reassurance without the dedication of funding or other resources to these measures, and do not commit the plan proponents to any action beyond studies and evaluations.
Under all operating scenarios (H1-H4) of Alternative 4, Bay-Delta WQCP objectives for EC will be exceeded more frequently throughout the Delta for agriculture and fish and wildlife. These impacts are considered to be adverse and significant, as stated in the RDEIR/SDEIS: “The increased frequency of exceedance of the San Joaquin River at Prisoners Point EC objective and long-term and drought period average EC could contribute to adverse effects on fish and wildlife beneficial uses”\textsuperscript{26} and “The increased frequency of exceedance of the fish and wildlife objective at Jersey Point and Prisoners Point could contribute to adverse effects on aquatic life.”\textsuperscript{27} In addition, the western and southern Delta are listed under the Clean Water Act 303(d) impairment list for elevated EC. “The water quality degradation that could occur in these portions of the Delta could make beneficial use impairment measurably worse.”\textsuperscript{28} Proposed mitigation measures, as above, do not provide assurance that EC impairment will be successfully addressed and minimized. Not only fish and wildlife but also Delta agriculture and western Delta drinking water sources could be adversely and significantly impacted by elevated EC.
\textit{Mercury and Methylmercury}
According to the RDEIR/SDEIS, estimates of mercury and methylmercury concentrations in water and fish tissue as the result of CM1 operations were found to exceed Total Maximum Daily Load (TMDL) guidelines for the Delta. No mitigation for these exceedances is proposed, under the justification that the exceedances are small and therefore the likely result of modeling error. Due to the capacity of methylmercury to bioaccumulate in the environment and recognizing its toxicity to humans, the potential for these water quality impacts must be addressed through proposed mitigation. As noted in our previous comment letter, any potential exceedance of a TMDL should be addressed through mitigation that includes avoidance strategies or additional resources.
\textit{Selenium}
The refined selenium analysis in the RDEIR/SDEIS shows an increase in green sturgeon fish tissue to levels above the toxicity threshold of 5 mg/kg for all project alternatives. Because this is the lower toxicity threshold, the plan proponents have determined that the impact is not significant or adverse. Again, the scientific criteria for this determination is unclear, particularly since selenium also bioaccumulates in fish and the aquatic ecosystem and is toxic to humans, and since green sturgeon are federally listed as a threatened species. Therefore, actions must be taken to eliminate this impact. Instead of commitment, however, the RDEIR/SDEIS maintains the same Avoidance and Minimization Measure as in the prior DEIR/S, AMM27. AMM27 essentially consists of the commitment to manage water and vegetation levels as feasible, to reduce selenium concentrations, and to define adaptive management strategies that can be implemented as feasible. These measures fall short of specific actions to mitigate for this adverse impact.
\textit{Microcystis}
As noted above, the RDEIR/SDEIS finds that, “in summary, operations and maintenance under the four operational scenarios of Alternative 4, relative to the No Action Alternative, would result in long-term increases in hydraulic residence time of various Delta sub-regions during the summer and fall \textit{Microcystis}
\textsuperscript{25} RDEIR/SDEIS, Appendix A, Ch. 8, p. 8-245.
\textsuperscript{26} Ibid, p. 8-241.
\textsuperscript{27} Ibid, p. 8-242.
\textsuperscript{28} Ibid, p. 8-242.
bloom period.”\textsuperscript{29} These impacts to the Delta increase the risk of a microcystin outbreak, which would have widespread negative impacts to fish and wildlife and people. Higher Delta outflows would reduce residence time and water clarity in the Delta, leading to a reduced risk of a microcystin outbreak.
In sum, where measurable water quality degradation is a potential outcome, the RDEIR/SDEIS should define specific and definite environmental commitments to mitigate for negative impacts. At the very minimum, the TMDL exceedances work against the attainment of TMDL objectives and as such do not contribute to the improved condition of the San Francisco Bay-Delta Estuary. Reduced water quality in the San Francisco Bay-Delta Estuary, and potential adverse impacts to human health and threatened and endangered species, are not an acceptable tradeoff for increased reliability of water supplies.
5. The Draft Plan does not make an equitable commitment to the co-equal goals required under Delta Reform Act.
The original purpose of the Bay Delta Conservation Plan (BDCP) was to make significant progress toward the coequal goals of the 2009 Delta Reform Act: “‘Coequal goals’ means the two goals of providing a more reliable water supply for California and protecting, restoring, and enhancing the Delta ecosystem. The coequal goals shall be achieved in a manner that protects and enhances the unique cultural, recreational, natural resource, and agricultural values of the Delta as an evolving place.”\textsuperscript{30}
With the separation of the BDCP into California WaterFix and California EcoRestore—and even earlier—the plan has drifted away from its stated purpose. The potential benefits to the Delta ecosystem offered by the CA WaterFix are overshadowed by significant adverse impacts to water quality and threatened and endangered species. The benefits to water supply, by comparison, are much more certain. In the separation of the two elements of BDCP into two programs, the CA WaterFix has maintained its previous scale, while CA EcoRestore has reduced the proposed acreage of habitat restoration by over fifty percent. This trajectory seems to indicate that, in fact, the coequal goals are not being given coequal priority.
As noted above, the adverse impacts to water quality, fish and wildlife, and the ecosystem provide a cumulative picture of further damage to the Bay-Delta Estuary while CVP and SWP water supplies improve in both quantity and quality. The supplemental modeling provided in Appendix C, however, demonstrates that a more reliable water supply is available while also benefiting endangered fish and wildlife, through a reasonable reduction in exports.
6. The BDCP does not reduce reliance on the Delta, as mandated by state law.
By maintaining or increasing current CVP and SWP exports from the Delta, the BDCP fails to reduce reliance on the Delta as mandated by the Delta Reform Act, Section 85021, which states, “The policy of the State of California is to reduce reliance on the Delta in meeting California’s future water supply needs through a statewide strategy of investing in improved regional supplies, conservation, and water use efficiency.”\textsuperscript{31} Subsequently, the California Water Action Plan has developed a suite of priority actions that implement this policy. The RDEIR/SDEIS does not contribute to a reduced reliance on the Delta, and thus does not comply with state policy.
\textsuperscript{29} RDEIR/SDEIS Appendix A, Ch. 8, p. 8-304.
\textsuperscript{30} Delta Reform Act, Section 29702.
\textsuperscript{31} Delta Reform Act, Section 85021.
As demonstrated in the above comments, the proposed project poses substantial risks to the health of the Bay-Delta Estuary. The most tangible benefits accrue to those who benefit from higher and more reliable exports. A more reliable water supply is needed, but not at the price of possible species extinction and threats to human health and safety for those who live in the San Francisco Bay and Delta. The supplemental modeling requested by the State Water Resources Control Board points the way toward a more balanced approach, one in which fish and wildlife benefit from higher Delta outflows, while exporters benefit from better water quality and a more reliable, though smaller, water supply. This type of approach would better reflect state policy and should be offered as a fully developed project alternative. By maintaining or increasing current exports, the current Preferred Alternative 4A fails to take the necessary steps to address the consensus from regulatory agencies and scientists that improved Delta outflows are essential to recovery of the health of the Bay-Delta Estuary.
Friends of the San Francisco Estuary is an incorporated 501(c)(3) non-profit organization and a partner of the San Francisco Estuary Partnership, which is a program of the Association of Bay Area Governments and one of 28 National Estuary Projects. We are dedicated to the restoration and management of a healthy San Francisco Bay-Delta Estuary through the development of public involvement, education, communication, and advocacy programs. Friends also serves as an advocate for the implementation of the Comprehensive Conservation Management Plan for the San Francisco Estuary (CCMP), developed and approved in 1993 by the Governor and the U.S. EPA and revised and adopted in 2007. The mission of Friends of the San Francisco Estuary is to restore, protect, and enhance the San Francisco Bay-Delta Estuary.
Information on sources cited in this letter follows. If you have any questions about the comments in this letter, please contact Darcie Luce at (510) 282-1254 or firstname.lastname@example.org.
Sincerely,
Mitch Avalon
President
Cc: Felicia Marcus, Chair, State Water Resources Control Board
Mark Cowin, Director, California Department of Water Resources
John Laird, Secretary, California Natural Resources Agency
Att: July 29, 2014 BDCP comment letter
References
Barnard, P.L., Schoellhamer, D.H., Jaffe, B.E., McKee, L.J., 2013. Sediment transport in the San Francisco Bay Coastal System: An overview. Marine Geology 345, pp. 3–17.
State Coastal Conservancy, 2015. The Baylands and Climate Change: What We Can Do. Bay Area Ecosystems Climate Change Consortium (BAECCC); available at http://baylandsgoals.org.
California Water Code Division 35: The Sacramento-San Joaquin Delta Reform Act of 2009, accessed October 27, 2015; http://deltacouncil.ca.gov/sites/default/files/documents/files/dsc_legislative_booklet_0.pdf.
Delta Independent Science Board, 2015. Review by the Delta Independent Science Board of the Bay Delta Conservation Plan/California WaterFix Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement.
Denton, Richard 2015. E-mail to Les Grober, Diane Riddle, and Rich Satkowski, State Water Resources Control Board, September 23, 2015, accessed October 28; http://www.waterboards.ca.gov/waterrights/water_issues/programs/bay_delta/california_waterfix/early_petition_comments/.
Kudela, R., Meoni, C., Peacock, M., and Senn, D., 2014. San Francisco Bay Acts as a Reservoir and Mixing Bowl for Both Marine and Freshwater Toxins. San Francisco Estuary Institute. Richmond, CA.
McGann, M., Erikson, L., Wan, E., Powell, C., Maddocks, R.F., 2013. Distribution of biologic, anthropogenic, and volcanic constituents as a proxy for sediment transport in the San Francisco Bay Coastal System. Marine Geology, Special Issue San Francisco Bay 345, 113-142.
Shellenbarger, G.G., Wright, S.A., Schoellhamer, D.H., 2013. A sediment budget for the southern reach in San Francisco Bay, CA: Implications for habitat restoration. Marine Geology, Special Issue San Francisco Bay 345, 281-293.
San Francisco Estuary Partnership, 2015. The State of the Estuary 2015, accessed October 27, 2015; http://maps.californiawetlands.net/soter2015/freshwaterflows/meananderror.php.
U.S. Environmental Protection Agency, 2014. Letter to the National Oceanic and Atmospheric Administration, the United States Fish and Wildlife Service, and the Bureau of Reclamation Regarding Draft Environmental Impact Statement for the Bay Delta Conservation Plan, San Francisco Bay Delta, California (CEQ# 20130365), August 26, 2014.
University of California Santa Cruz, 2015. Assessing SPATT in San Francisco Bay: SFEI Contract 1051 Final Report, accessed October 23, 2015; http://sfbaynutrients.sfei.org/sites/default/files/SPATT_Final_Report_May2015.pdf
Dear Mr. Wulff:
Thank you for the opportunity to comment on the Public Draft of the Bay Delta Conservation Plan (Draft Plan) and its associated draft Environmental Impact Report/Environmental Impact Statement (DEIR/S) and Draft Implementing Agreement (Draft IA). Friends of the San Francisco Estuary appreciates the enormity of this undertaking by the federal and state regulatory agencies, the California Department of Water Resources (DWR), the United States Bureau of Reclamation (USBR), and the California Natural Resources Agency. This letter transmits our comments on the Draft Plan, DEIR/S and the Draft IA.
Friends of the San Francisco Estuary (Friends) supports the original purpose of the Bay Delta Conservation Plan as a comprehensive conservation strategy aimed at protecting dozens of species of fish and wildlife while permitting the reliable operation of California's two biggest water delivery projects. The current drafts of the BDCP and DEIR/S, however, are fundamentally flawed in both their assumptions of benefits to the Bay-Delta Estuary and their failure to address impacts to the estuarine system. We ask the state and federal partners to withdraw and revise these documents to address the following deficiencies:
1. **The Draft Plan does not improve Delta outflows over current degraded conditions.** This inadequacy must be addressed in the Draft Plan and the DEIR/S.
2. **The Draft Plan fails to fulfill the requirements of an NCCP/HCP to achieve conservation in the Plan Area,** and instead may contribute to significant declines and potential extinction of several salmon runs and other native fisheries. The DEIR/S should be revised to reduce significant impacts to listed fish species, and include effective, proven measures to mitigate or reduce the significance of these impacts.
3. **Impacts to areas downstream of the Plan Area, e.g., San Francisco Bay, are potentially significant and must be analyzed in the DEIR/S; mitigation measures should be identified as well.**
4. **Certain water quality impacts within the entire Bay-Delta Estuary have been determined to be significant and unavoidable, yet no mitigation is proposed for these impacts.** The DEIR/S should include changes to operational proposals and other feasible mitigation measures to reduce or avoid these significant water quality impacts.
5. **The Draft Plan fails to ensure funding for the conservation plan, as required by the Endangered Species Act and Natural Communities Conservation Planning Act,** and it does not make an equitable commitment to the co-equal goals required under Delta Reform Act. These commitments must include financing, representative governance, and assurances for the completion of the non-facility conservation measures (CM2-CM22). The DEIR/S should be revised to ensure compliance with the Delta Reform Act through definite and specific commitments to protect, restore, and enhance the Delta ecosystem.
6. The BDCP does not reduce reliance on the Delta, as mandated by state law. The Draft Plan and DEIR/S should be revised to develop and analyze a proposed project and one or more alternatives that comply with this mandate.
1. The Draft Plan does not improve Delta outflows over current degraded conditions. This inadequacy must be addressed in the Draft Plan and the DEIR/S.
A broad range of federal and state agencies, including the United States Environmental Protection Agency (EPA), National Academy of Sciences’ Natural Resource Council Committee on Sustainable Water Management in California’s Bay-Delta, U.S. Fish and Wildlife Service (USFWS), National Marine Fisheries Service (NMFS), State Water Resources Control Board (SWRCB), and California Department of Fish and Wildlife (CDFW) have stated that current Delta outflows are not adequate to maintain, recover or restore ecosystem processes and declining fish species in the San Francisco Bay-Delta Estuary. As recently stated by the EPA:
“There is broad scientific agreement that existing Delta outflow conditions are insufficient for protecting the aquatic ecosystem and multiple fish species, and that both increased freshwater flows and aquatic habitat restoration are needed to restore ecosystem processes in the Bay Delta and protect threatened & endangered fish populations.”
Yet the BDCP does not propose to increase Delta outflows, and in fact decreases total outflows under certain operating scenarios. Nor does the DEIR/S adequately address this significant adverse impact. The entire premise of the BDCP and DEIR/S is based on the assumption that extensive habitat restoration will successfully replace the need for increased freshwater flows to improve listed species. As noted in the DEIR/S, the benefit of this assumption to listed species is highly uncertain. The DEIR/S should provide an alternative with higher certainty of the benefit to listed species.
In addition, because Fall X2 requirements from the 2008 USFWS Biological Opinion were excluded from the existing baseline conditions (EBC1 and EBC2), the comparison of EBC1 and EBC2 to the High-Outflow Operating Scenario or HOS (preferred project Alternative 4, scenarios H3 and H4) is skewed. The DEIR/S must incorporate Fall X2 requirements, upheld in March of this year, into existing baseline conditions and re-analyze these in comparison to the proposed operating scenarios. One of the primary claims of the BDCP is that spring and fall outflow would be higher under HOS than under current conditions; this may not be the case if the existing baseline conditions are adjusted to include Fall X2. The Low-Outflow Operating Scenario or LOS (preferred project Alternative 4, scenarios H1 and H2) does not include the Fall X2 requirements. These operating scenarios should be removed from consideration, or revised to include Fall X2.
The Delta Reform Act and the Delta Plan call for updated flow objectives for the Delta. These objectives are intended to be established through the State Water Resources Control Board’s updates to the San Francisco Bay-Sacramento/San Joaquin Delta Estuary Water Quality Control Plan (Bay-Delta WQCP), and should be used to guide the operating scenarios for Delta outflow in the BDCP. The DEIR/S needs to address how natural resources protection can be assured if the project is constructed prior to updating flow objectives.
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1 Federal Agency Comments Received on the Bay Delta Conservation Plan (BDCP) Second Administrative Draft Environmental Impact Report/Environmental Impact Statement (EIR/EIS), July 18, 2013.
2 BDCP DEIR/S Chapter 6, Figures 6-8 through 6-23 and Mount et al. 2013, pp. 118-122.
3 Delta Stewardship Council October 2011 e-newsletter.
2. The Draft Plan fails to fulfill the requirements of an NCCP/HCP to achieve conservation in the Plan Area, and instead may contribute to significant declines and potential extinction of several salmon runs and other native fisheries. The DEIR/S should be revised to reduce significant impacts to listed fish species, and include effective, proven measures to mitigate or reduce the significance of these impacts.
BDCP’s premise is to restore more natural flows to the Delta, but: 1) as mentioned above, it fails to increase Delta outflows and in fact increases exports under certain operating scenarios; and 2) creates new reverse flows in the North Delta and increases or maintains reverse flows in the South Delta during the critical spring period (April-May) and in drier years.\(^4\)
As analyzed by the independent expert review panel convened in 2013 by the Nature Conservancy and American Rivers, export reliability for the HOS is not substantially different from the No Action Alternative (NAA) while changes in outflow, even under the HOS, provide little ecological benefit: The NAA outperforms the HOS fifty percent of the time, and the HOS appears to only provide significant water supply benefits over the NAA in the wettest years.\(^5\)
One of the objectives of the BDCP is to decrease exports during dry periods when impacts on the ecosystem are greatest. In comparison to the no project alternative, however, the new facility does not appear to significantly reduce pressure on the Delta during drier periods. If the BDCP’s premise is to contribute to recovery of listed smelt and salmonids, how much improvement can be expected given the continued reliance on South Delta export facilities in drier years? The Draft Plan proposes no solution to the South Delta facility entrainment problem other than reducing overall frequency of use.\(^6\) Entrainment on the South Delta pumps must be addressed in the BDCP as a condition of the permits.
The new North Delta facility is predicted to have significant negative impacts on out-migrating juvenile winter-run and spring-run Chinook salmon through impingement, predation, increased transit time to the Delta, and increased risk of diversion into the interior Delta.\(^7\) The reduction in suspended sediment delivery may also have a negative impact on Delta smelt, which prefers sediment-laden waters.\(^8\) The potential for success of the proposed mitigation strategies is highly uncertain and have been characterized by scientific experts as “unlikely to contribute significantly to recovery of these species”.\(^9\) The DEIR/S should address and justify the inclusion of this facility as a component of an HCP/NCCP in the light of these findings.
3. Impacts to areas downstream of the Plan Area, e.g., San Francisco Bay, are potentially significant and must be analyzed in the DEIR/S; mitigation measures should be identified as well.
The Delta Independent Science Board’s review of the DEIR/S has found the document falls short of the “good enough” scientific standard, specifically in the neglect of possible impacts to such
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\(^4\) Mount et al. 2013; BDCP DEIR/S Chapter 6, pp. 6-100
\(^5\) Mount et al. 2013, p. 25.
\(^6\) Environmental Water Caucus Comment Letter on the Bay Delta Conservation Plan and EIR/EIS, 2014, p. 56.
\(^7\) Mount et al. 2013.
\(^8\) Wilcox and Gibbons, http://www.usgs.gov/blogs/features/usgs_top_story/travels-with-sediment-in-the-san-francisco-bay-delta-and-coastal-system/.
\(^9\) Mount et al. 2013, p. 2.
downstream areas as the San Francisco Bay.\textsuperscript{10} The justification for exclusion of the San Francisco Bay offered in the DEIR/S is questionable or missing.\textsuperscript{11} The Bay is hydrologically connected to the Delta, and the Bay and Delta together function as one estuarine system. Some possible impacts are identified but not analyzed; other impacts are absent from the document altogether as discussed below:
\textbf{Sediment}
The BDCP DEIR/S has estimated a potential reduction of suspended sediment delivery to San Francisco Bay of approximately eight to ten percent.\textsuperscript{12} As stated by the Delta Independent Science Board, this is a potentially significant change that must be analyzed in the DEIR/S.\textsuperscript{13} Suspended sediment delivery to the San Francisco Bay has been declining for the past sixty years, and scientists have determined all parts of the Bay except for the South Bay to be net erosional in recent years.\textsuperscript{14} With climate change and associated sea level rise, further reductions in sediment delivery could have significant impacts on wetland restoration efforts, flood and erosion protection. Reduced sediment delivery will also reduce turbidity and increase the risk of nutrient loading problems and toxic algae blooms.\textsuperscript{15} The DEIR/S should address the importance of sediments in the Bay-Delta ecosystem and must include an analysis of how the proposed operations might affect sediment transport, delivery, and rate of deposition downstream.
\textbf{San Francisco Bay Aquatic Species}
Aquatic species that use the lower salinity of San Francisco Bay as a nursery, such as Dungeness crab, Pacific herring, northern anchovy, and Bay shrimp, are not included in the DEIR/S analysis. In addition, freshwater inflows from the Delta are rich in nutrients and other food sources for fish in the Bay. San Francisco Bay inflows create brackish water habitats, provide transport flows for eggs, larvae and juveniles, and carry nutrients and other materials important for ecosystem productivity. The amount of nutrients in the Bay drives the food web and affects abundance of aquatic species.\textsuperscript{16} Large freshwater pulses through the estuary and Golden Gate help support the productivity of nearshore waters for Pacific Coast marine mammal and waterbird populations. An analysis of potential impacts to these species must be included in the Final EIR/S.
\textbf{San Francisco Bay Water Quality}
The further reduction of freshwater flows, particularly under the Low Outflow Scenario of the preferred project alternative, may increase the concentration and residence time of contaminants such as selenium in the North Bay.\textsuperscript{17} Analysis of this potential impact has not been provided in the DEIR/S and must be included in the Final EIR/S.
\textsuperscript{10} Delta Independent Science Board 2014, p. 3.
\textsuperscript{11} BDCP Draft Plan Chapter 4, p. 4-7 states: “Areas downstream of the Delta (e.g., San Pablo Bay, San Francisco Bay south to Golden Gate and Bay Bridge) were considered and were not included as a part of the BDCP’s analysis. For additional discussion on this, see Appendix 5.C of the BDCP, Flow, Passage, Salinity, and Turbidity, Section 5C.5.2 Upstream Habitat Results.” However, the referenced Appendix and its related documents contain no mention of San Francisco Bay.
\textsuperscript{12} Helliker, Paul. Presentation to the San Francisco Bay Conservation and Development Commission (BCDC), February 20, 2014 and BCDC Staff Recommendation on Comments on the Bay Delta Conservation Plan Environmental Documents, May 23, 2014.
\textsuperscript{13} Delta Independent Science Board 2014, p. 3.
\textsuperscript{14} Barnard et al. 2013.
\textsuperscript{15} Cloern et al. 2007.
\textsuperscript{16} CDFW 1987, p. 25.
\textsuperscript{17} Linville et al. 2002.
4. Certain water quality impacts within the entire Bay-Delta Estuary have been determined to be significant and unavoidable, yet no mitigation is proposed for these impacts. The DEIR/S should include changes to operational proposals and other feasible mitigation measures to reduce or avoid these significant water quality impacts.
As mentioned previously, the Bay-Delta WQCP provides objectives for water quality under the direction of the Clean Water Act. The State Water Resources Control Board is in the midst of updating this plan and determining updated flow and salinity objectives that balance all beneficial uses of the system. Any management plan that violates current objectives must not proceed without adequate and specific mitigation measures.
One of the most significant impacts to water quality results from decreased Delta outflow, either as the direct result of project operations or as the result of project operations combined with sea level rise. Decreased Delta outflow degrades water quality in the form of increases in chloride concentrations, salinity, and electrical conductivity (EC):
*Particularly in the west Delta, sea water intrusion as a result of sea level rise or decreased Delta outflow can increase the concentration of salts (bromide, chloride) and levels of electrical conductivity. Conversely, increased Delta outflow (e.g., as a result of Fall X2 operations in wet and above normal water years) will decrease levels of these constituents.*
A straightforward solution exists by reducing the level of diversions proposed during dry or below normal years. We request that the DEIR/S be revised to include an alternative that would avoid significant adverse impacts by ensuring higher Delta outflows.
**Chloride (WQ-7)**
Under the Preferred Alternative, chloride concentrations, as an indication of tidal intrusion, are anticipated to increase substantially in the Delta in violation of Bay-Delta Plan objectives, as stated in Chapter 8 of the DEIR/S:
*"Relative to Existing Conditions, all of the Alternative 4 H1–H4 Scenarios would result in substantially increased chloride concentrations in the Delta such that frequency of exceeding the 150 mg/L Bay-1 Delta WQCP objective would approximately double."*
Additionally, chloride is projected to increase in Suisun Marsh, with possible negative impacts to such aquatic wildlife as benthic macroinvertebrates and amphibians. No mitigation measures have been proposed for impacts to fish and wildlife in the Delta; those mitigation measures that have been proposed for impacts to Suisun Marsh remain uncertain and primarily consist of monitoring and consultation. No substantial, feasible, committed mitigation has been proposed to address these problems; as a result, these adverse impacts remain significant and unavoidable. These adverse impacts could be avoided with the release of higher Delta outflows.
**Salinity and Electrical Conductivity (WQ-11)**
The changes in Delta water export operations proposed by the preferred project alternative will result in violations of the Bay-Delta WQCP.
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18 BDCP DEIR/S Chapter 8, p. 8-226.
19 BDCP DEIR/S Chapter 8, p. 8-428.
Long-term average annual Delta outflow is anticipated to decrease under Alternative 4 by between 864 (scenario H1) and 5 TAF (scenario H4) relative to the No Action Alternative, due only to changes in operations.
Relative to Existing Conditions, Alternative 4, Scenarios H1–H4, would result in an increase in the number of days the Bay-Delta WQCP EC objectives would be exceeded in the Sacramento River at Emmatton, San Joaquin River at San Andreas Landing and Prisoners Point, and Old River near Middle River and at Tracy Bridge (Appendix 8H, Table EC-4). The percent of days the Emmatton EC objective would be exceeded for the entire period modeled (1976–1991) would increase from 6% under Existing Conditions to 23–25%, depending on the operations scenario, and the percent of days out of compliance would increase from 11% under Existing Conditions to 35–38%, depending on the operations scenario.\(^{20}\)
The DEIR/S proposes to address this impact by requesting a move of the EC objective from Emmatton to Three Mile Slough, approximately 2.5 miles upstream.\(^{21}\) Moving the compliance point to a more easily achieved location is not an acceptable means of addressing this degradation in water quality. Furthermore, this move requires approval from the State Water Resources Control Board, a substantial assumption given the multitude of factors that must be considered in making such a change. The DEIR/S should address the potential adverse impacts of this increase and provide a scenario that would reduce the number of days the objectives are exceeded without moving the compliance point.
**Methylmercury (WO-13 and WQ-14)**
According to the DEIR/S, estimates of methylmercury concentrations in water and fish tissue as the result of CM1 (North Delta facility) operations were found to exceed Total Maximum Daily Load (TMDL) guidelines for the Delta.\(^{22}\) Total Maximum Daily Load guidelines are established through the Clean Water Act as a means to protect beneficial uses of water bodies. Any exceedance of a TMDL should be addressed through mitigation and in particular the cumulative impacts of exceeding TMDL standards should be addressed in the DEIR/S. Mitigation should be discussed and include avoidance of the impact or additional measures. It is unacceptable that the DEIR/S analysis considers the change in concentrations to be small and therefore not an adverse impact.
**Selenium (WO-18)**
As noted in the DEIR/S, the restoration of tidal wetland, freshwater marsh, and floodplain habitat is projected to degrade water quality by measurable levels on a long-term basis, causing the impairment of beneficial uses to be made worse.\(^{23}\) Yet the conclusion is drawn that, relative to baseline conditions, all operational scenarios under the preferred project alternative would result in essentially no change in selenium concentrations throughout the Delta.\(^{24}\) These conflicting statements are confusing at best, and indicate either a lack of sufficient analysis or adequate explanation of the potential degradation caused by the conservation measures. Selenium impacts are addressed in the Environmental Commitments through Avoidance and Minimization Measure 27 (AMM27), Selenium Management. AMM27 essentially consists of the commitment to manage water and vegetation levels as feasible, to reduce selenium concentrations, and to define adaptive management strategies that can
\(^{20}\) BDCP DEIR/S Chapter 8, p. 8-436.
\(^{21}\) BDCP DEIR/S Chapter 8, p. 3-188.
\(^{22}\) BDCP DEIR/S Chapter 8, p. 8-444.
\(^{23}\) BDCP DEIR/S Chapter 8, p. 8-768.
\(^{24}\) BDCP DEIR/S Chapter 8, p. 8-474.
be implemented as feasible.\textsuperscript{25} These types of activities are vague and provide little assurance that further water quality degradation will not occur. Where measurable water quality degradation is a potential outcome, the DEIR/S should define specific and definite environmental commitments to mitigate for this negative impact.
5. The Draft Plan fails to ensure funding for the conservation plan, as required by the Endangered Species Act and Natural Communities Conservation Planning Act, and it does not make an equitable commitment to the co-equal goals required under Delta Reform Act. These commitments must include financing, representative governance, and assurances for the completion of the non-facility conservation measures (CM2-CM22). The DEIR/S should be revised to ensure compliance with the Delta Reform Act through definite and specific commitments to protecting, restoring, and enhancing the Delta ecosystem.
The stated premise of the BDCP is to meet the coequal goals of the Delta Reform Act by increasing water supply reliability and protection and restoration of the Delta ecosystem.\textsuperscript{26} Without an equitable commitment to financing and assurances, however, the likelihood of success of restoration efforts in the BDCP is highly uncertain. We acknowledge the inherent tension between the state-mandated coequal goals of water supply reliability and restoration; but the key to achieving balanced progress toward these goals is an equitable commitment of funding, governance, and assurances. We do not see that represented in the current draft of the BDCP or DEIR/S, nor does the DEIR/S provide convincing evidence that the BDCP will achieve the coequal goals.
Funding
Under the federal Endangered Species Act (ESA) and the state Natural Community Conservation Planning Act (NCCPA), Habitat Conservation Plans and Natural Community Conservation Plans must ensure that adequate funding is provided to carry out the conservation actions identified in the plan, including the sufficiency of mechanisms for long-term funding of all components of the plan and contingencies.\textsuperscript{27} Funding is not ensured for habitat restoration actions for the lifetime of the permit under the Public Draft of the BDCP. The Draft IA identifies three primary sources of funding for the project: state and federal water contractors, state water bonds, and federal appropriations.\textsuperscript{28} These sources are far from ensured: reliance on voter approval of water bonds and the continuation of federal appropriations to fund the habitat restoration components of the project is highly uncertain in comparison to the funding identified for the construction of the new North Delta facilities (CM1). The DEIR/S must address this deficiency and its effect on the feasibility and certainty of the proposed measures to protect species.
Finally, the California Water Action Plan released in January 2014 takes a vital step toward a sustainable, twenty-first century approach to water resources management. Yet the Public Draft BDCP does not reliably implement any of the priorities\textsuperscript{29} identified in the California Water Action Plan,
\textsuperscript{25} BDCP DEIR/S Chapter 8, pp. 8-473-474.
\textsuperscript{26} BDCP DEIR/S Executive Summary, p. ES-10.
\textsuperscript{27} \textit{National Wildlife Federation v. Babbitt}, 128 F.Supp.2d 1274, District Court, ED California 2000, 1294-95; \textit{Sierra Club v. Babbitt}, 15 F.Supp.2d 1274, 1282; \textit{Sierra Club v. Marsh}, 816 F.2d 1376 (9\textsuperscript{th} Cir. 1987). Habitat Conservation Planning Handbook, pp. 3-33 to 3-34. Natural Communities Conservation Planning Act of 2003, Section 2820 (a)(10).
\textsuperscript{28} Draft IA p. 45.
\textsuperscript{29} The priority actions identified in the California Water Action Plan are: 1. Make conservation a California way of life; 2. Increase regional self-reliance and integrated water management across all levels of government; 3. Achieve the co-equal goals for the Delta; 4. Protect and restore important ecosystems; 5. Manage and prepare for dry periods; 6. Expand water storage capacity and improve groundwater management; 7. Provide safe water for
indicating that the BDCP is neither a responsible management plan for the state’s resources nor a wise investment of public funds.
**Governance**
Agencies, local governments, and advocates for natural resources need to have meaningful roles in the proposed governance structure to ensure that ecosystem restoration has coequal status under the BDCP. According to the Draft IA, the Adaptive Management Team will consist of the following voting members: representatives of DWR, USBR, a single representative each from Central Valley Project (CVP) and State Water Project (SWP) contractors, California Department of Fish and Wildlife, National Marine Fisheries Service, and US Fish and Wildlife Service.\(^{30}\) This appears to total seven voting members, with the majority held by water suppliers. Thus, in difficult operational decisions, the structure of the Adaptive Management Team is weighted in favor of the water suppliers. The DEIR/S should address how this proposed governance structure can assure the protection of the state’s water, species and other natural resources. We suggest adding a non-governmental representative for wildlife and natural resources.
**Assurances**
The “no surprises” rule in a Habitat Conservation Plan (HCP) provides the applicants with regulatory assurance that applicants will not have to devote additional land, water, or money to the project should unforeseen circumstances arise. In contrast, the assurance of Rough Proportionality provided in the Draft IA is vague and lacks a schedule to test for Rough Proportionality. Given the uncertainty of estuarine conditions over the next 50 years, specific regulatory assurances need to be provided to the public that mitigation and restoration will take place. Scenarios that would provide such assurances should be addressed. For example, if funding is not secured for needed habitat restoration, construction of the North Delta facilities must be suspended until funding is secured.
Additionally, the BDCP relies too heavily on adaptive management as a tool to address uncertainty. This has the effect of further reducing assurance that project management and implementation will adequately protect natural resources. The adaptive management program needs further development and specificity, as noted by the Delta Independent Science Board (DISB)’s Review of the Draft DEIR/S, dated May 15, 2014: “The reviewed documents posit adaptive management of an uncertain future without examining plausible outcomes. The Draft BDCP presents adaptive management more as a notion than as a tested, problematic practice.”\(^{31}\)
6. **The BDCP does not reduce reliance on the Delta, as mandated by state law. The Draft Plan and DEIR/S should be revised to develop and analyze a proposed project and one or more alternatives that comply with this mandate.**
By maintaining or increasing current CVP and SWP exports from the Delta, the BDCP fails to reduce reliance on the Delta as mandated by the Delta Reform Act, Section 85021, which states, “The policy of the State of California is to reduce reliance on the Delta in meeting California’s future water supply needs through a statewide strategy of investing in improved regional supplies, conservation, and water use efficiency.”\(^{32}\) We commend the authors of the California Water Action Plan for developing a suite of priority actions that implement this strategy. The current BDCP Draft Plan and DEIR/S do not
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all communities; 8. Increase flood protection; 9. Increase operational and regulatory efficiency; 10. Identify sustainable and integrated financing opportunities (p. 4 of California Water Action Plan 2014).
\(^{30}\) Draft IA p. 30 and Ebbin, personal communication.
\(^{31}\) Delta Independent Science Board 2014, Appendix A, p. 1.
\(^{32}\) Delta Reform Act, Section 85021.
contribute to these priority actions. Why should Californians dedicate substantial public funds to a plan that does not reduce reliance on the Delta and does not encourage the priority actions of the California Water Action Plan? The DEIR/S should provide a project alternative that reduces reliance on the Delta as part of the larger portfolio of actions that will help implement the California Water Action Plan.
**Conclusion**
The BDCP is an ambitious attempt to address the Delta problem; however, the deficiencies identified here indicate that substantial improvement is needed. Many of these deficiencies are caused by the failure of the BDCP to improve timing and quantity of freshwater Delta outflows. A reduction in diversions would lessen many of the negative impacts of the proposed project. We look to the EIR/EIS revisions to provide additional information, alternatives, mitigation measures and water supply solutions that will maintain and improve our public trust resources.
By choosing to maintain an unsustainable reliance on the Delta over developing alternative water supply solutions, the BDCP proponents are creating a plan that is risky, financially unsupported, unlikely to succeed in meeting the coequal goals of the Delta Reform Act, and further threatens our already degraded natural resources. The collaborative capacity of the BDCP has not yet been used to find water supply solutions among the prospective permit-holders that would enable higher Delta outflows. Although Friends understands that this is technically outside the required scope of an HCP/NCCP, we believe that this is a lost opportunity to create a broadly supported plan.
The Friends of the San Francisco Estuary (Friends) is an incorporated 501(c)(3) non-profit organization and a partner of the San Francisco Estuary Partnership (SFEP), which is a program of the Association of Bay Area Governments (ABAG) and one of 28 National Estuary Projects. We are dedicated to the restoration and management of a healthy San Francisco Bay-Delta Estuary through the development of public involvement, education, communication, and advocacy programs. The Friends also serve as an advocate for the implementation of the Comprehensive Conservation Management Plan for the San Francisco Estuary (CCMP), developed and approved in 1993 by the Governor and the U.S. EPA and revised and adopted in 2007. The mission of Friends of the San Francisco Estuary is to restore, protect, and enhance the San Francisco Bay-Delta Estuary.
Information on sources cited in this letter follows. If you have any questions about the comments in this letter, please contact Darcie Luce at (510) 282-1254 or email@example.com.
Sincerely,
Barbara Salzman
President
cc: Felicia Marcus, Chair, State Water Resources Control Board
Mark Cowin, Director, Department of Water Resources
John Laird, Secretary, California Natural Resources Agency
att: References
References
Barnard, P.L., Schoellhamer, D.H., Jaffe, B.E., McKee, L.J., 2013. Sediment transport in the San Francisco Bay Coastal System: An overview. Marine Geology 345, pp. 3–17.
California Department of Fish and Game, 1987. Summary of Delta Outflow Effects on San Francisco Bay Fish and Invertebrates. Exhibit 59, entered by the California Department of Fish and Game for the State Water Resources Control Board 1987 Water Quality/Water Rights Proceeding on the San Francisco Bay/Sacramento-San Joaquin Delta.
California Water Action Plan, 2014. Prepared by the California Natural Resources Agency, California Department of Food and Agriculture, and the California Environmental Protection Agency.
California Water Code Division 35: The Sacramento-San Joaquin Delta Reform Act of 2009, accessed July 28, 2014; http://deltacouncil.ca.gov/sites/default/files/documents/files/dsc_legislative_booklet_0.pdf.
Cloern, J.E., Jassby, A.D., Thompson, J.K., Heib, K.A., 2007. A cold phase of the East Pacific triggers new phytoplankton blooms in San Francisco Bay. Proceedings of the National Academy of Science 104, pp. 18561–18565.
Delta Independent Science Board, 2014. Review of the Draft BDCP EIR/EIS and Draft BDCP.
Delta Stewardship Council, October 2011 e-newsletter: State Water Board explains flow criteria and flow objectives; accessed July 18, 2014; http://deltacouncil.ca.gov/enewsletter/stories/october-2011/state-water-board-explains-flow-criteria-and-flow-objectives.
Ebbin, Marc. Personal communication, June 30, 2014.
Environmental Water Caucus Comment Letter on the Bay Delta Conservation Plan and EIR/EIS, June 11, 2014.
Federal Agency Comments Received on the Bay Delta Conservation Plan (BDCP) Second Administrative Draft Environmental Impact Report/Environmental Impact Statement (EIR/EIS), July 18, 2013, accessed July 28, 2014; http://baydeltaconservationplan.com/Library/Correspondence.aspx.
Habitat Conservation Planning Handbook, 1996 and 2000. United States Fish and Wildlife Service, accessed July 28, 2014; http://www.fws.gov/midwest/endangered/permits/hcp/hcphandbook.html.
Helliker, Paul. Presentation to the San Francisco Bay Conservation and Development Commission (BCDC), February 20, 2014.
Linville, R.G., Luoma, S.N., Cutter, L., Cutter, G.A., 2002. Increased selenium threat as a result of invasion of the exotic bivalve *Potamocorbula amurensis* into the San Francisco Bay-Delta. Aquatic Toxicology 57, pp. 51–64
Mount, J., Fleenor, W., Gray, B., Herbold, B., Kimmerer, W., 2013. Panel Review of the Draft Bay Delta Conservation Plan: Prepared for the Nature Conservancy and American Rivers.
Natural Communities Conservation Planning Act of 2003, as amended through January 2013. Available online at https://www.dfg.ca.gov/habcon/nccp/.
Public Draft Bay Delta Conservation Plan, Draft Environmental Impact Report/Environmental Impact Statement, and Draft Implementing Agreement, http://baydeltaconservationplan.com.
San Francisco Bay Conservation and Development Commission (BCDC), 2014. Staff Recommendation on Comments on the Bay Delta Conservation Plan Environmental Documents, May 23, 2014.
Wilcox, Barbara and Helen Gibbons, “Travels with Sediment in the San Francisco Bay, Delta and Coastal System,” USGS Science Features. http://www.usgs.gov/blogs/features/usgs_top_story/travels-with-sediment-in-the-san-francisco-bay-delta-and-coastal-system/.
Please accept the attached comment letter on the BDCP/CA Water Fix RDEIR/SDEIS, along with our previous comment letter from July 29, 2014.
Thank you,
Darcie Luce
Friends of the San Francisco Estuary
www.friendsofsfestuary.weebly.com
firstname.lastname@example.org
(510) 282-1254 - cell
October 30, 2015
BDCP/WaterFix Comments
P.O. Box 1919
Sacramento, California 95812
Re: Partially Recirculated Draft Environmental Impact Report/Supplemental Environmental Impact Statement for the Proposed Bay Delta Conservation Plan/California Water Fix
Dear Sir/Madam:
The San Diego County Water Authority (Water Authority) submits the following comments on the Partially Recirculated Draft Environmental Impact Report (EIR)/Supplemental Draft Environmental Impact Statement (EIS) prepared by the U.S Department of Interior, Bureau of Reclamation (Reclamation), and U.S. Department of Interior, Fish and Wildlife Service (USFWS); the U.S. Department of Commerce, National Oceanographic and Atmospheric Administration, National Marine Fisheries Service (NMFS); and the California Department of Water Resources (DWR) for the proposed Bay Delta Conservation Plan (BDCP)/California Water Fix.
While these comments are directed to the Partially Recirculated Draft EIR/Supplemental Draft EIS dated July 10, 2015, this letter should be considered a supplement to the previous Water Authority comment letters dated May 30, 2014 and July 28, 2014.
COMMENTS
1. The BDCP was portrayed as a Habitat Conservation Plan/Natural Community Conservation Plan (HCP/NCCP) that implements certain conservation actions to benefit sensitive species and habitats while increasing water supply reliability for millions of Californians. The wildlife agencies and participating water contractors would memorialize their commitments to undertake these conservation actions in an Implementing Agreement that provided assurances that as long as the conservation measures were being implemented per the BDCP, the water contractors would receive increased water reliability.
While the shift to an alternative approach to federal and state endangered species permitting is understandable, this change will result in less supply certainty for federal and state water contractors. Without the assurances provided by the federal Section 10 and state Section 2835 incidental take permits, the continued availability of sufficient water for export is questionable.
Comment: With abandonment of the BDCP approach, the Final EIR/EIS should more clearly identify how the new permitting approach maintains and enhances water supply reliability to the same levels anticipated under the BDCP, and quantify the annual amounts expected to be available for each water contractor compared to the BDCP approach.
2. The commitment of individual State Water Project (SWP) or Central Valley Water (CVP) contractors to participate financially in implementing the proposed project remains undetermined and it is likely that some contractors will decline given the reduced level of certainty resulting from the alternative permitting approach.
Comment: With abandonment of the BDCP approach, the Final EIR/EIS should specify the criteria to be used by DWR and Reclamation in determining how to coordinate and allocate water between the SWP and CVP, and among the funding and non-funding participants. While typically not an issue for CEQA, the importance of funding to overall project viability cannot be overstated. The water contractors are Responsible Agencies under CEQA and will need accurate cost and allocation information for each project component to make an informed decision regarding participation. The Final EIR/EIS should include details on how DWR and Reclamation intend to guarantee that each participating water contractor provides the revenue necessary to pay for the proposed project, including any necessary provisions for “step-up” should one or more water contractors default on funding obligations, and a legal analysis of relying on property taxes as a back-up security for debt. In addition, the Final EIR/EIS should evaluate the potential for indirect environmental effects associated with various proposed funding types and sources.
3. Page 4.1-1, lines 32 through 34 state that: “Alternatives 4A… would not serve as… (HCPs/NCCPs)... but rather would achieve incidental take authorization under ESA Section 7 and CESA Section 2081(b).”
Comment: While ESA Section 10/Section 2835 (HCP/NCCP) permits are no longer preferred, the Water Authority is concerned that continuing the current management approach using Section 7/Section 2018 permits lack sufficient assurances to ensure a reliable water supply for millions of Californians. The Water Authority is also concerned over the lack of collaborative decision-making inherent in implementing adaptive management and real time water operational changes under traditional Section 7/Section 2081 permits. The Water Authority encourages the lead agencies
to pursue innovative permitting approaches with the federal and state wildlife agencies (e.g., hybrid Section 7/10 permits, incorporating all or parts of Candidate Conservation Agreements with assurances and Safe Harbor Agreements, along with a similar innovative approach on the state 2081 permit) that provide as much certainty as legally possible for participating water contractors. The complexity of the Bay-Delta ecosystem and the large human dependence on exported water supplies warrant consideration of inclusive, cooperative, and flexible permitting approaches.
4. Page 4.1-15, Table 4.1-3 lists the environmental commitments for preferred Alternative 4A. The total mitigation acreage shown for all habitat types appears to be around 15,548 acres.
Comment: BDCP Conservation Measure 1 (CM1) was defined as the conveyance facility (intakes and tunnels). The proportional direct and indirect mitigation acreage and costs for CM1 to be borne by the participating state and federal contractors is shown in Table 8-41 of the Draft EIR/EIS (pages 8-74 through 8-76). However, it is unclear how the required mitigation acreage and costs for CM1 in Alternative 4 compare to the required mitigation acreage and costs for the new Alternative 4A. Further, it is unclear if the modeling performed for Alternative 4, which included a different baseline for impact analysis, is appropriate and accurately reflects expected impacts for Alternative 4A. An improper/inconsistent baseline will result in an inaccurate impact analysis, yielding mitigation requirements that do not reflect actual impacts. The Final EIR/EIS should provide a table showing a side-by-side comparison of the expected direct and indirect impacts, required mitigation acreage (whether conservation measure or environmental commitment), and mitigation costs for CM1 and Alternative 4A. The Final EIR/EIS should also include a table that compares the baseline assumptions used in the impact analysis for Alternative 4 and Alternative 4A. This will aid in clarifying how the new preferred alternative has lessened potential impacts and required mitigation, and reduced costs for participating state and federal water contractors.
In addition, the relationship between the environmental commitments (i.e., project mitigation) for preferred alternative 4A and the separate ecosystem restoration efforts anticipated under California EcoRestore, as well as current obligations contained in existing state and federal permits (e.g., Biological Opinions), needs additional clarification. The participating water contractors need to clearly understand where the “bright line” is between project mitigation obligations and general ecosystem restoration. The Final EIR/EIS should provide more detail on how the “environmental commitments” of Alternative 4A relate and contribute to the associated, but separate, California EcoRestore effort, as well as how those commitments contribute to meeting obligations in existing permits.
5. Page 4.1-21, lines 2 through 6 state that: “Commitments to adaptive management… will be secured through a MOA… Details… including adaptive management decision-making, an organizational structure for… decisions, and funding… will be developed through the MOA…”
Comment: Adaptive management is highlighted as the mechanism through which construction and operation of the new conveyance facilities will be managed. Freshwater outflows (and corresponding export flows) will be determined through current and future scientific studies, monitoring, and a yet to be developed Memorandum of Agreement (MOA) between the lead agencies, public water agencies, and wildlife agencies. In other words, the MOA will govern future operation of the conveyance facility. Given the crucial nature of this document, it is especially disappointing that the additional details to be provided in the MOA are not yet available. These details will certainly be required for potential participating water agencies to decide whether to commit the funds and resources necessary to implement the preferred alternative. The Final EIR/EIS should provide greater clarity on the adaptive management “details” expected to be included in the MOA and provide a schedule and process for MOA development and implementation. Further, the Final EIR/EIS should include additional details on the extent of authority for participating entities, i.e., the water contractors need assurances that their interests will be incorporated in all operational actions.
6. Page 9-269, Table 9-32 of the Draft BDCP Plan identifies the total average water deliveries to the contractors under various take alternatives. As shown, water supplies available under the BDCP range from 4.7 to 5.6 million acre feet per year (MAFY) depending on high or low outflow scenarios, respectively. Average annual flows for the existing conveyance scenarios (defined as the “without BDCP” scenario on page 9-39) ranged from 3.4 to 3.9 MAFY for the high and low outflows, respectively. The “without BDCP” scenario contemplated continuing fish population declines and imposition of additional operational constraints that would reduce water supply availability.
Comment: With abandonment of the BDCP approach, the Final EIR/EIS should clarify and explain how the new permitting approach will prevent available water supplies from being reduced to the existing conveyance scenario volumes (e.g., 3.4 to 3.9 MAFY) shown in Table 9-32. In other words, how would the new permitting approach prevent available supplies from being further reduced to 3.4 to 3.9 MAFY, if fish population continues to decline even after preferred Alternative 4A is constructed?
The Water Authority appreciates the opportunity to review and provide comments on the Partially Recirculated Draft EIR/Supplemental Draft EIS. As noted above and in two prior comment letters, the intention of our comments is to obtain additional
information and clarification in the Final environmental documents to determine if the Proposed Action/Preferred Project is a cost-effective, long-term solution to Delta water supply and ecosystem conflicts.
Please retain the Water Authority on your mailing list to receive future notifications or documents regarding this project. If you have questions or wish to discuss any of the above concerns in greater detail, please contact Larry Purcell, Water Resources Manager at (858) 522-6752, or by email at email@example.com.
Sincerely,
Maureen A. Stapleton
General Manager
Attached are the San Diego County Water Authority’s comments on the Partially Recirculated Draft EIR/Supplemental EIS for the proposed BDCP/California Water Fix. The original letter is being transmitted via U.S. Mail. If you have any questions, please contact me.
Larry Purcell
Water Resources Manager
San Diego County Water Authority
4677 Overland Avenue
San Diego, CA 92123
Office: (858) 522-6752
October 30, 2015
Cassandra Enos, California Department of Water Resources
Michelle Banonis, U.S. Bureau of Reclamation
BDCP/Waterfix Comments
P.O. Box 1919
Sacramento, CA 95812
firstname.lastname@example.org
Subject: Comments on Draft Bay Delta Conservation Plan (BDCP)/California WaterFix (CalWaterFix) Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement
Dear BDCP/Waterfix Project team:
Thank you for providing Placer County the opportunity to comment on the Partially Recirculated Draft Environmental Impact Report/Supplemental Draft Environmental Impact Statement (RDEIR/SDEIS) for the Bay Delta Conservation Plan (BDCP)/California WaterFix (CalWaterFix) Project (Project). By letter dated July 22, 2014, Placer County provided comments on what was then the proposed draft BDCP, the draft Implementing Agreement and the Draft Environmental Impact Report/Environmental Impact Statement. In reviewing the RDEIR/SDEIS, it is apparent that none of the issues and concerns raised by the County or the other Placer County and American River watershed stakeholders are addressed in the RDEIR/RDEIS.
Placer County offers the following comments on the RDEIR/SDEIS. Placer County has an overarching concern with and sees flaws in the RDEIR/SDEIS in that it completely fails to adequately address or answer basic questions regarding short - and long-term impacts to the American River region and its water supplies. The improper narrow focus of the RDEIR/SDEIS ignores the reasonably foreseeable and inevitable changes to upstream operations, including changes in operation of Folsom Lake reservoir and the impacts associated with those changes; and, including water supply impacts and impacts to environmental resources in the Lower American River.
By failing to provide and analyze: 1) a full without-project (WOP) conditions analysis; 2) a full range of alternatives; 3) disclosure of the full scope of impacts of the actual “project”; and 4) identification of all feasible mitigation, these documents do not fulfill the statutory obligations of the California Environmental Quality Act or the National Environmental Protection Act.
Placer County’s recommendations for revisions to address the above deficiencies are provided as follows:
1. The without-project (WOP) conditions should focus on water supply and habitat in the future in all of the affected physical areas: 1) each of the watersheds feeding the Delta; 2) the Delta itself; and 3) export areas. WOP conditions should be based on the present
set of operating rules, regulations, agreements and water rights, and in the presence of climate change and growth projections. As written, the WOP analysis in the public review draft ignores a number of senior and area of origin water rights, Federal Energy Regulatory Commission (FERC) permit conditions, and fisheries flow and temperature requirements on the American River, the Yuba River and Bear River where Placer County has both participatory license obligations (American) and water contracts (Yuba and Bear via Pacific Gas & Electric water rights).
2. As currently drafted, the WOP analysis is presented in such a way that it is not possible to understand the impacts of the project alternatives. A full range of project alternatives that would meet the revised Purpose & Need Statement should be investigated. This must include one or more alternatives that would reduce exports, and one alternative that would eliminate exports in favor of regional supply development (including ocean desalting), and right-sizing agricultural operations to their water availability. Exports are supported by junior water rights on the system, so it is not unreasonable to expect them to be cut back in shortage situations. In fact, long-standing appropriative water rights law would demand that. As presented, the range of alternatives is inadequate.
3. Impacts to all affected areas should be identified and analyzed. Specifically, for Placer County’s interests and concerns, all potential impacts to the American River watershed and its jurisdictions, including Placer County and the cities and water agencies within Placer County, should be identified and analyzed. The RDEIR/SDEIS continues not to analyze impacts to the American River watershed, its stakeholders or its ecosystems. Because of the lack of an analysis and disclosure of potentially significant impacts, the County does not know the scope of impacts to Placer County. The County does know that its water rights, FERC covenants, and fisheries requirements have not been considered in the WOP analysis.
Once impacts are identified to the Placer County region, all feasible mitigation measures must be identified and implemented. These mitigation measures need to be developed for affected watersheds and affected parties.
These changes warrant a comprehensive re-write and re-circulation of the entire EIR/EIS for this Project.
The County of Placer also provides the following specific comments on the proposed Project:
1. If, upon re-formulation of this project, the Proponents still must not transfer habitat impacts to other regions. On the American River, for example, the document demonstrates that Folsom Reservoir will reach dead pool in 10 percent of the years under the BDCP/WaterFix operating assumptions (Appendix 29C-17a Folsom Reservoir storage). This would dry and over-warm the Lower American River and imperil salmon and steelhead runs.
2. The Folsom Reservoir “dead pool” issue must be addressed. It is presented in the RDEIR/SDEIS as a WOP condition, which is flawed. Senior water rights, FERC permit conditions, and American River ecosystem requirements trump Delta and export
requirements under both WOP and with-project conditions. Many of the water agencies reliant on those senior water rights do not have a second supply of water, so continually running Folsom Reservoir to dead pool would threaten the health and safety of a substantial population; over 250,000 in Placer County alone. Several of the agencies in Placer County are underlaid by solid bedrock, so groundwater is not available or sustainable in many parts of Placer County. Long-standing area of origin water rights protections provide for increased diversions to American River stakeholders, gradually decreasing the amount available for others on the State Water Project (SWP) and Central Valley Project (CVP) systems, including exporters. That has always been the understanding under which the CVP and SWP were constructed and licensed.
3. Other alternatives exist which result in a sustainable water supply for exporters. Agricultural interests can and should right-size their operations to the sustainable water yield available to them. In addition, urban exporters have affordable alternatives, including recycled water, conjunctive use of local storm and floodwater, and seawater desalting. Export curtailment is a reasonable alternative and must be investigated to meet the intent of CEQA and NEPA.
4. Placer County and the incorporated cities within Placer County have approved General Plans that reflect the current conditions and projected growth that also meets the Sacramento Area Council of Governments (SACOG) Blueprint conditions as the accepted balance of growth for the region’s future. Numerous legal agreements that reflect those growth plans have been executed based on the assumed accessibility of the senior water rights and capabilities to deliver water during all types of years. The BDCP/WaterFix objectives and the environmental analysis are inconsistent with these adopted plans and agreements. If the BDCP/WaterFix water conveyance facilities are built as proposed in the RDEIR/SDEIS, it is likely to be very detrimental to the quality of life, economic vitality and public health conditions of Placer County.
5. The effect of draining Folsom Reservoir would place Placer County in the position of using more groundwater than expected where it is available in the western part of the County. The County has, for decades, relied upon the use of treated surface water for urban and suburban development, even in the western portion of the County. With the County’s available water rights, the County could continue to grow by primarily relying upon surface waters. The results of more groundwater use would be to overdraft the County’s basin. With the newly adopted Sustainable Ground Water Management Act (SGMA), the groundwater basin, which serves Placer County and several other County regions, new regulations are being imposed on that resource. The BDCP/WaterFix may place agencies in direct conflict with those regulations, which must be analyzed by the Project as well. In addition, other adjacent regional groundwater basins would also have to pump more groundwater, which would increase the likelihood of the potential for contaminated groundwater at the former McClellan AFB site to leak into Placer’s healthy basin.
6. Also, missing from the list of impacts is 1) the loss of the Middle Fork American River Project’s (MFP) ability to generate power during times required by the California Independent System Operator, such as peak times in summer; and 2) the loss of power revenues needed to ensure operations of the MFP are stable during low water years.
The County has coordinated the scope of its comments with other Placer County and American River watershed stakeholders. The County specifically incorporates by reference the comments submitted by the Placer County Water Agency on the BDCP/WaterFix RDEIR/SDEIS. The County also reserves the right to reference any and all comments submitted by other Placer County and American River watershed stakeholders in subsequent Placer County correspondence on this matter.
Once again, Placer County appreciates the opportunity to provide comments on the RDEIR/SDEIS. The County looks forward to working cooperatively with the Proponents, stakeholders, and regulatory agencies to resolve the County’s concerns stated herein.
If there are questions regarding the County’s position or if additional information is required, please contact Brett Storey, Management Analyst @ email@example.com
Sincerely,
COUNTY OF PLACER
Kirk Uhler,
Chairman, Placer County Board of Supervisors
cc. Placer County Board of Supervisors
David Boesch, County Executive Officer
Holly L. Heinzen, Chief Assistant County Executive Officer
Gerald O. Carden, County Counsel
Einar Maisch, General Manager, Placer County Water Agency
Michael Johnson, Director, Community Development Resource Agency
Karin Schwab, Senior Deputy County Counsel
Brett Storey, Senior Management Analyst
My apologies. My first send had “.gov” vs. “.com”.
Please accept this e-mail and attachment as noted below and within the required comment period.
Respectfully,
Beverly A. Roberts
Executive Assistant to the CEO
County Executive Office | Administration
(530) 889-4031 | (530) 889-4025 fax | firstname.lastname@example.org
Good afternoon.
Attached you will find a scanned letter as noted above from Supervisor Kirk Uhler, Chairman of the Board of Supervisors and on behalf Placer County. The original was sent out today via USPS.
Respectfully,
Beverly A. Roberts
Executive Assistant to the CEO
County Executive Office | Administration
(530) 889-4031 | (530) 889-4025 fax | email@example.com |
The 51st Annual General Meeting of Rathcoole Community Council
Will be held on Tuesday 15th March
In the Community Centre
at 8:00pm
INSIDE THIS ISSUE:
Date for St Patrick’s Day Parade
Interviews,
First Responders,
Noise Music Hub,
Judicial Review,
Updated Timetable
Rathcoole Community Council Ltd
Rathcoole Community Centre,
Main Street, Rathcoole,
Co. Dublin
Phone: 01- 5045000 Fax: 01-4580238
Email: email@example.com
Web :www.rathcoole.info
This publication is supported by the Department of Social Protection, which is funded by the Irish Government under the National Development Plan, 2007-2022
Rathcoole Camera Club
WE ARE BACK!!!
Having our club meetings in the Rathcoole Community Centre.
Are you interested in photography?
Would you like to join a local camera club?
If you would like more information email firstname.lastname@example.org
Here are some images from our club members.
Would you like to join our friendly team?
Rathcoole Community Centre and Four Districts Day Care Centre have the following Community Employment Project Vacancies (CE rates apply):
- Caretakers / Groundsmen
- Care Assistants
- Bus Driver Assistants
- Receptionists
- Housekeeping
Should any of these be of interest to you, send an email/CV to email@example.com or call 01 5045 000
To be eligible you need to be unemployed for the past 12 months or more.
Rathcoole Lands and South Dublin County Council new zoning and concept proposal update
South Dublin County Council (SDCC) shared a new Zoning and Concept proposal for the SDCC owned Rathcoole Lands in Dec 2021, as part of the upcoming SDCC Draft Plan (2022-2028). The plan includes Rathcoole Woodlands, GAA lands, and Rathcoole Park CE Report Appendices - SDCC.
The proposal involves rezoning a large section of the Woodlands from Housing to Rural, and a reconfiguration of the rest, (including ten acres of Rathcoole Park). We have worked with our Councillors to prepare Motions to save Rathcoole Woodlands in its entirety because of its significance as a Habitat as outlined in ecological reports by Rory Hodd and BSM.
A motion to save the back field of Rathcoole Park from becoming inaccessible is also proposed. There is a Council Meeting on 23rd Feb to review this Zoning. We ask all people in the Community to support these motions by timely contacting our local Councillors. Their names are, Cllr. Shirley O'Hara, Cllr. Peter Kavanagh, Cllr. Kenneth Egan, Cllr. Trevor Gilligan, Cllr. William Joseph Carey, and Cllr. Eoin Ó Broin.
**Rathcoole Woodlands**
Ecological reports by Rory Hodd and BSM have identified Habitats that must be protected as a whole per EU Directive eg appendix-2b-rathcoole-lands-ecology-report.pdf (sdcc.ie)
Rathcoole Lands is a mosaic of key natural Habitats that the Council needs to protect in its entirety and zone appropriately.
SDCC’s new Zoning Concept Proposal falls well short of saving these Habitats in their entirety with a very significant number, 53,000 approximately, of immature/mature trees to be lost according to their Plan.
This is the largest known naturally rewilded area in South Dublin. It would be shortsighted to overlook its value. It has over four times the total number of street trees currently in our urban environment. It can make significant contributions to South Dublin's Tree population, the Climate Action Plan and the Biodiversity Action Plan.
The mosaic of habitats only functions effectively if connected. All natural connectivity is lost with the proposed zoning of Rural, followed by Res-N and Open Space.
**Rathcoole Park**
SDCC’s same new Zoning Concept Proposal would mean the loss of a very significant ten acres (almost the entire back field of Rathcoole Park, four hectares), which includes Lowland Hay Meadow Habitat, a public right of way linking Saggart with Rathcoole via Swiftbrook Mills, Council sports pitch, Camac River, Hedgerows, formal footpaths etc.
This is completely unacceptable to the wider Four Districts Community who have fundraised from the outset and worked with SDCC to make Rathcoole Park the super amenity it is today.
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ST PATRICK'S DAY PARADE
17th March
From Rathlawns to St Marys GFC
Starts at 2.00pm
Community First Responders (CFR) are volunteers who are trained to attend certain types of emergency calls within the four districts, Newcastle, Rathcoole, Saggart and Citywest. The Ambulance Service will alert the volunteer of an emergency. All volunteers work or live within the four districts, this allows us to reach a potential life-threatening emergency within the first few minutes. This is an essential element in the chain of survival because when the heart stops beating, seconds count. When the National Ambulance Service arrives, we hand over the care to the medical professionals.
We would like to express our sincere gratitude to all community members who have donated and supported the Four Districts Community First Responder Group. Your generosity has allowed our service to develop and has contributed to the delivery of excellent emergency care. If you would like to become a CFR volunteer or make a donation towards lifesaving equipment please contact Alan on 0857398820 or click on the QR code.
You can follow and support our Four Districts Community First Responders group on the following links: FourDistrictsFR, FourDistricts, four_districts
REMEMBER YOUR DONATION COULD SAVE YOUR LIFE!
www.nationalambulanceservice.ie/community/community-first-responders/
Some may be aware that Virtus, the planning arm of Romeville Development Limited, have written a letter to all the Councillors of South Dublin County Council requesting a rezoning of certain lands close to the Woodlands.
In January 2021 a Team, comprising a number of Residents Associations in Rathcoole applied for a Judicial Review to reverse the planning permission given to build 204 houses at Stoney Hill Road, Rathcoole under Ref: SHD3ABP -307698-20.
It hired a legal team in January 2021 following a scoping exercise to assess the possibility of success in order to minimize the financial exposure to the local associations in that team. At that time, it was expected that the case would be dealt with by July 2021, and the expectancy of success was, as it is still. However, delays in the courts have meant that the hearings have been pushed back, and the earliest that one will now take place is July 2022.
It negotiated a fixed fee of €30,000 with the legal team. To date we have raised €18,000, leaving €12,000 to pay, with €2,000 in the account and a further €10,000 to raise. We do not want to ask the generous people that have contributed already but we may have to. The good news, is that, in the event of a win, 66% of the costs paid, will be refunded and available to the Residents Associations to use as they wish.
We would like to thank you, the residents of Rathcoole, for your support through these very difficult times and hope you will continue to support us. We will keep you updated.
Judicial Review Team February 2022.
In recent times BCM,(Beechwood Drive, Coolamber Road and Drive, Maple Grove and Shiels House) have experienced vandalism, including attacks on people, attempted break-ins, an undesirable door-caller, and multiple house egging's. BCM is at the front end of the village adjacent to Rathcoole Park and is probably seen as a soft target in terms of easy access.
These incidents have been reported to An Garda Síochána, logged on Pulse and are being investigated. Additional Gardai in the village would help. We have also been in contact with local councillors about the matter.
We would ask if anybody in the Community who has a background in measures to prevent such incidents e.g., Neighbourhood Watch or Community based CCTV to get in touch via 01 5045000.
Your local Garda contact number is 01 6667900 and please ensure you have a working alarm, see Securing your home - Garda
Neville Graver
Chair, BCM firstname.lastname@example.org
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ZUMBA®
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Do you want to FEEL GREAT, GET IN SHAPE & BURN up to 1000 CALORIES an hour?
Then join me, Fiona Harold for Zumba Fitness, the ultimate dance-fitness party! Every Monday, dance to great music, with great people & burn a ton of calories without even realizing it. For 1 hour each Monday, make time for YOU. Make Zumba YOUR happy hour!
Monday 7.30pm-8.30pm, Rathcoole Community Centre
€8 pay as you go or €30 for 5 classes (save €10!!) - no need to use consecutively
Phone Fiona on 087 4138385/Facebook: Zumba Rathcoole
Open to all dance & fitness levels. Beginners always welcome. First class is FREE!
The Transition year students of Holy Family Community School braved the cold winds of November while planting spring bulbs at the Potin green. They were organised by T.Y. Co-ordinator Ms.O’Brien. We are looking forward to cooperating again with this enthusiastic group of students during the year.
Despite the disappointment of flower stands on the main street being vandalised before Christmas, community spirit prevailed, and Derek Gallagher of Tidy Towns came to the rescue with an early spring clean!
The results from the National Tidy Towns Competition 2021 were very encouraging and a big improvement on our first outing.
Check out www.tidytowns.ie
Good water quality is a vital part of our local ecosystem. We hope once again this year through the Freshwater/Earthwatch network to regularly test and monitor local streams and tributaries of the Camac. We will provide training and equipment. Please contact us if you’re interested in volunteering for this interesting environmental project.
Due to the removal of health restrictions, we can embark on our first community clean up of 2022. We will provide bibs, bags and refreshments! Please come along and bring all the family!
View our facebook page for updates.
COMMUNITY SPRING CLEAN UP
Meet RATHCOOLE COURT HOUSE (LIBRARY) 11AM
SATURDAY 5th MARCH
RATHCOOLE HARDWARE
UNDER NEW MANAGEMENT!
TOOLS
DIY
SEALANT
STICKS
COAL
BRIQUETTES
PAINT
VARNISH
STAINS
TIMBER
NAILS
BOLTS
KEYS CUT
GRAVEL
SAND
CEMENT
PLUMBING
TAPS
COPPER
WE DELIVER!
RATHCOOLE HARDWARE
001 458 9735
email@example.com
2021 was a busy year for NOISE Music, and it doesn't look like slowing down any time soon! DJ'ing, beat making, and song writing workshops are happening every day in schools and community centres all over South County Dublin.
NOISE Music hubs have been established in North Clondalkin, Lucan, and Tallaght. A new workshop will be added in Rathcoole Community Centre this March following last year's success. In these hubs, workshops will be taking place throughout the school year, with additional events and projects taking place during mid-term breaks and summer holidays.
NOISE Music will also be introducing a new DJ Programme later in the year, which will provide opportunities for young people to have their mixes heard on digital radio. There will also be opportunities to learn about running and promoting events with NOISE Music participants performing live DJ sets around the county later this year.
They will also be releasing their first music this summer. Details of the first NOISE Music album and launch will be announced in March! There will be several live performances also. Keep an eye on their socials for news of these as they are announced.
This initiative is funded by Music Generation and the programme is a partnership between Music Generation South Dublin and CONTACT Studio.
If you are a young person in the four districts who loves music, would like to get involved with this exciting new initiative, collaborate with, and learn from some of the most exciting musicians working in Irish Pop, Hip Hop, and Electronic music, then please get in touch to express your interest by contacting Gerry Horan on: firstname.lastname@example.org
€500 Free marketing*
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Thinking of selling?
Contact your local agent
Conor O’Regan
T: 01 459 9522 | M: 087 272 1413
E: email@example.com
dng.ie
PSL - 004017
Are you interested in creative writing?
I am hoping to set up an adults creative writing group locally.
For more information contact:
firstname.lastname@example.org
Empty Bed
by Stephen Lyons
Oh empty bed
The thought of you I dread
As I climb the stairs alone
Without you on my own
Without the one beside me
The one that always guided me
Through the good times and the bad
Through the happy and the sad
Oh empty bed
The thought of you I dread.
Did you know there is a superbly stocked health food shop in AV0CA Rathcoole?
All of your favourite brands including:
Solgar Iswari Meridian
Dr. Bronner’s Viridan Clearspring
Dr. Coy’s Higher Nature Nature’s Plus
Trilogy Wild Nutrition Dr. Wolz
Yogi Tea Spoonful Botanical Terranova
Free parking and frequent Promotions!
Open 7 days a week!
Monday to Friday 09:00 - 18:00
Saturday, Sunday 09:00 - 18:00
01-458 0882 www.naturesgold.ie
Interview with Aariz, Aidan and Amelia Anoli,
all attend Music Generation Hubs on
Wednesday afternoons in Rathcoole Community Centre.
What age are you?
Aariz: I’m ten years old.
Amelia: I am eight.
Aiden: I am twelve.
Aiden and Aariz attend keyboard classes, and Amelia attends VIVO class, which is an “introduction to music” course for 7- to 9-year-olds.
Have you been attending Hubs for long?
We’ve been going a few years now, since September 2019, I think.
Aariz: I go to Keyboard with Niamh and I’m friends with the other girl in my class, Sibéal.
Amelia: I go to VIVO with my teacher James where I sing, learn about music and learn the ukulele. James is funny and I have fun with my friend Aoileann in that class!
Aidan: I go to Keyboard classes with Josh and I’m friends with Edward who is also in the class.
Do you like having lessons in person rather than online?
Yes definitely, we prefer in person lessons at the Hub because we can play music together with our friends in class and see other people and you don’t have to worry about your signal on zoom!
Do you ever play music together at home?
Aariz: Aidan and I always play the keyboard together, and Mia is still learning the basics of ukulele, but sometimes Mia sings with us. There are a couple of songs that we play that she knows, I think we all played and sang Dance Monkey together before. We also have a younger brother; his name is Aaron and he is 6. Sometimes when we play music together, he likes to come in and listen in.
Do you listen to music?
Yes! A lot!
Aiden: I listen to music, music is my favourite art. I like pop, I also like rock, but I don’t really have a favourite.
Aariz: Music is my favourite form of art as well, I listen to all types of music genres, I don’t have a favourite.
Amelia: Yeah, I like pop music!
Do you have a favourite band or song?
Amelia: My favourite song is Shotgun by George Ezra, and I also like Bad Guy by Billie Eilish.
Aariz: My favourite band definitely has to be the band who wrote “7 Nation Army”, The White Stripes! I also like a lot of The Beatles songs, one of my other favourites is Jamie Webster.
Aiden: I really like the singer Fox Stevenson.
What instrument would you like to play, other than the instruments you’re learning now?
Aariz: If I didn’t play piano, I would like to play the drums.
Aiden: I would also like to play drums as well.
Amelia: Me too! I get to play the drums a bit in VIVO class.
Do you all practice and do you think it’s important?
Yes! We all practice.
Aariz: Yes, it’s important because practice always makes perfect! When you practice during the week you can hear yourself playing the keyboard or the ukulele more fluently.
When you are in the Music Hubs, do you like hearing the music when you walk down the corridor?
Aiden: Yeah, I really like hearing the music.
Aariz: when I’m walking down the hallway I hear all types of instruments, but the drums are loudest, and they’re my favourite. Once we actually got to play along with the drums in a jam session.
What's your favourite part of your lesson?
Aariz: Probably the playing bit, when you finish a song, and you can play it. When it comes to the fun exercises bit, that's my favourite part.
Aaron: Sometimes we get to play with the other students together and that's really fun.
Amelia: Having fun and playing the djembe drums.
What else do you like to do other than play music?
Aiden: I really like doing art and also football.
Amelia: I love playing football!
Aariz: Playing any sport, I love all sports.
Thank you, Aidan, Aariz and Amelia!
Alanna Gaines is a 10-year-old girl, in 4th class of Holy Family National School Rathcoole. For the second time in her short life, she is growing, cutting, and donating her long, luscious and beautiful hair to a charity that makes wigs for children with cancer. Alanna, this time around, is not only donating her hair, but she is doing it in order to fundraise for Crumlin Children’s Hospital’s Emergency Department and for Cancer Research.
I had the absolute pleasure of interviewing Alanna and was blown away by what a kind, generous, and warm-hearted little girl she is.
**Alanna, what inspired you to donate your hair to charity?**
I know that I am so lucky to have long hair, and everyone always says how lovely it is. I know that there are other girls out there, just like me, that are so unwell with cancer and cannot grow hair of their own. As a girl I know how having lovely hair can make you feel good. I wanted to share what I had, so some other child could have long lovely hair too. I was hoping that by sharing, I would make them smile and feel a little better about being so unwell.
**When did you donate your hair the last time?**
I got my hair cut and donated it nearly three years ago. It was down past my bum, and I got it cut up to above my shoulders. They cut off so much of my hair which was amazing because it meant that it could make a very good wig for someone else. Everybody said I looked so grown up afterwards with my hair so short. It felt strange having my hair so short after it being so long, my ponytail was so small!
**How did you feel after donating it?**
I missed my hair a lot, but I knew that it would grow quickly again. It made me feel so good that I could do something for another little girl to make them feel happy and to make them feel better about what they were going through and about being so unwell.
**Tell me about your fundraiser.**
Well last time, I just cut and donated my hair, which was great. But when I decided to do it again this time, I thought that I could do more. So, I have set up a GoFundMe page, so that people who liked what I was doing could get involved and make a difference too. The money raised will go to the Emergency Department in Crumlin Children’s Hospital and the other half will go to Cancer Research. I hope that by doing this we can not only get wigs made, but we can raise money for a hospital that makes such a difference to children and their families.
I really hope that people will support me and the children that I want to help.
You can scan the QR Code with the camera on your phone to donate to Alanna’s GoFundMe
If you have a young hero at home, that you would like to give a shout out to, to thank them for their kindness or good deeds, please contact us at email@example.com so we can feature them in our next newsletter.
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TOP 5 BURGLARY PREVENTION TIPS
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2. Light up your Home, use timer switches when out
3. Store Keys safely and away from windows & letterboxes
4. Record details of Valuables and don’t keep large Cash amounts at home
5. Use your Alarm, even when at home
See www.garda.ie for more information
An Garda Síochána | Supporting Safer Communities 2014
Community Garda in the area
Liam Sex: Rathcoole firstname.lastname@example.org
Tom Grace: Newcastle email@example.com
Declan Crowley: Saggart firstname.lastname@example.org
Colm Byrne: Citywest email@example.com
If you have any issues in your community or just need advice, please contact your local community Garda on 01-666 7900.
Contact Us
Phone: (01) 504 7267
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Email: firstname.lastname@example.org
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Sonic Security Systems
Main Street, Rathcoole, Co. Dublin.
See sonicsecurity.ie for terms and conditions.
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A director of finance is a reliable professional with broad knowledge of all accounting, financial and business principles. They are strategic thinkers and effective leaders who can make the most profitable decisions.
The goal is to guide the company towards profitability and long-term success.
**Responsibilities**
Drive the financial planning of the company by analyzing its performance and risks
- Retain constant awareness of the company’s financial position and act to prevent problems
- Set up and oversee the company’s finance IT system
- Set targets for and supervise all accounting and finance personnel (management accountants, internal auditors etc.)
- Oversee all audit and internal control operations
- Develop the corporate fundraising strategy and manage relationships with partners and investors
- Prepare timely and detailed reports on financial performance on a quarterly and annual basis
- Conduct analysis to make forecasts and report to upper executives
- Ensure adherence to financial laws and guidelines
**Requirements**
Proven experience as director of finance or similar role
In-depth knowledge of corporate finance and accounting principles, laws and best practices
Solid knowledge of financial analysis and forecasting
Proficient in the use of MS Office and financial management software (e.g. SAP)
An analytical mind with a strategic ability
Excellent organizational and leadership skills
Outstanding communication and interpersonal abilities
BSc/BA in accounting, finance or relevant field; MSc/MA is a plus
CPA or other relevant qualification is a plus
Phone 01-5045000 Email: email@example.com
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Positive Living begins with a Decision
By Brigitte T. Murphy author & life coach
Every day is a new day! Yet we carry from the past so much junk. It’s not in trucks but in our heads, and it influences how we are in the world every day. It’s junk because it does not serve us well. We can be emotionally attached to familiarity even when it blocks our progress, and, we are not always aware of it!
Life is a journey. Yet many of us allow past events to become the milestones that define us, skew our perspective, and limit our expectations for ourselves and others. We have two broad choices: letting ourselves be held back by past experiences or, be pulled forward by visualising, and joyfully working towards the achievement of our goals and dreams.
A combination of actions can help us to break our pattern of thinking and our way of being in the world. For instance, bringing more variety into our lives. Creating new habits around sleep, exercise, and diet. Taking time out for ourselves to read, take up a new hobby, or study. Getting to know new people, helping a friend or someone in your community.
We may not always be clear about what we need to leave behind, but what does it matter once we decide to adopt a new sense of self awareness and stride forward with courage and greater self-belief.
Commercials Hurling Club and St Marys Football Club have joined forces to bring the world of GAA games to our community for our youngest stars of tomorrow. Open to all boys and girls from the ages of 4-7. Learn all the skills of football and hurling in a safe and fun environment. Meet new friends which can last a lifetime. No experience or equipment needed, we will do everything we can to make sure your kids have a great time.
This is our GAA community!
**Training Times**
Combined membership from 2022
- **Tuesday**
- 6:00-7:00 PM
- Commercials GAA Club
- **Saturday**
- 10:00-11:00 AM
- Week 1:
- St Marys GAA Club
- Week 2:
- Commercials GAA Club
Guaranteed Fun
Ages 4-7
The children of Holy Family National School are enjoying learning about climate change and how they can help their planet and their local area. Classes are litter picking on a weekly basis around their school grounds and in Forest Hills, to help keep their local area litter free. Children have even started litter picking with friends after school. Well done to all of you, and thank you for keeping Rathcoole clean and tidy.
Back in November, HFNS celebrated Science Week. Lots of classes made plans and designs about how they could make their school and our island more sustainable. As well as this, all of the 6th Classes are taking part in Minecraft’s ‘Ireland’s Future is Mine’ competition, where children have to help create a more sustainable Rathcoole. Best of luck to all the entrants. We can’t wait to see what you create.
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Commercials celebrated St. Valentine’s Day with the opening of their new All Weather Astro pitch.
Our members will benefit greatly from the new facility which will allow training and games to continue all year round on the floodlit pitch. Alongside this development we are resurfacing our ball walls with AstroTurf in the coming months.
Thanks to all our members and local businesses who contributed to our GoFundMe fundraiser recently to help us complete this project. Our official launch will take place soon, and we look forward to inviting all our members and contributors to it.
If you would like to see your name on our ‘Sign of Fame’, please contact Lorraine 087 617 7618 or Deirdre 086 382 1560.
Thanks to all who worked tirelessly over the last two years to complete this project.
We look forward seeing our members enjoying the new facilities for many years to come.
Na Tráchtálai Abú!!!
WASTE COLLECTION FOR THE RATHCOOLE & NEWCASTLE AREA
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Waste collection permit No: NWCPO-21-12575-01
## Monday To Friday
| Activity | Time | Room |
|-----------------------------------------------|--------------------|------------|
| Teach na Leanaí Pre - School and After School | 7.30am - 6.00pm | Room D1/D2/D3 |
| Happy Feet Pre - School | 7.30am - 6.00pm | B1/B2/B3 |
### Monday
| Activity | Time | Room |
|-----------------------------------------------|--------------------|------------|
| Thatch Bridge Club | 10:00 am - 1:00pm | Main Hall |
| Speech and Drama | 3:00pm - 6:00pm | Sports Hall|
| Kangoo Discovery | 4:45pm - 5:45pm | Main Hall |
| Irish Dancing (Anne) | 6:00pm - 7:30pm | Main Hall |
| Zumba Classes (Fiona) | 7:30pm - 8:30pm | Sports Hall|
| Camera Club (every 2nd week) | 8:00pm - 9:00pm | John Nolan Room|
### Tuesday
| Activity | Time | Room |
|-----------------------------------------------|--------------------|------------|
| Dance City Ireland | 5:00 pm - 9:00 pm | Main Hall |
| Karate (Martin) | 6:00 pm – 8:30 pm | Sports Hall|
| Community Council Meeting (Every 2nd week) | 8:00 pm - 9:00 pm | John Nolan Room|
| Time | Activity | Location |
|--------------|-----------------------------------|----------------|
| 10:00am - 11:00 am | Toddlers World | Main Hall / Sports Hall |
| 11:00am - 1:00 pm | Active Retired (Every 2nd week) | Main Hall |
| 2:30 pm - 6:30 pm | Music Generation | Sports Hall |
| 6:45 pm - 7:45 pm | Zumba Classes (Clare) | Sports Hall |
| 8:45 pm - 9:45 pm | Kangoo Jumps | Main Hall |
| 4:00 pm - 5:00 pm | Karate (Suzanna) | Main Hall |
| 6:00pm - 8:30 pm | Karate (Martin) | Sports Hall |
| 7.00 pm - 10:00 pm | Bridge Club | Main Hall |
| 2:00 pm - 7:30 pm | School of Dance (Tanya) | Sports Hall |
| 11.00am - 1.00pm | Baton Twirling | Sports Hall |
**Please Note:** This is a list of all activities in Rathcoole Community Centre at the time of print. New activities do come on board throughout the year and you can check this out by visiting the Centre, contact by: Email: email@example.com or Phone: 01 5045000
FUNDRAISER
RATHCOOLE COMMUNITY CENTRE NEEDS YOUR HELP
WITH OUR gofundme™
All donations are welcome, you can drop your donation into the centre or to our Gofundme page thanks.
LOOKING FOR WRITERS
We are looking for any up and coming writers out there who would love to see their work in print.
You could cover any local news, events such as local parades, festival, concerts, sport fixtures etc. You could also do feature pieces on local individuals, community groups or human interest stories from the local area, could this be you?
Contact the Newsletter Team at firstname.lastname@example.org
Volunteer drivers needed!
Meals on Wheels are looking for volunteer drivers to deliver the meals to nearby residents. If you have 2 hours to spare 1 day a week and are interested in joining us, get in touch with the Rathcoole Community Centre on: 01 5045000 and ask for Tricia.
We look forward to hearing from you! |
On March 17, 2020, the Governor issued Executive Order N-29-20 suspending certain provisions of the Ralph M. Brown Act in order to allow for local legislative bodies to conduct their meetings telephonically or by other electronic means. On June 11, 2021, the Governor issued Executive Order N-08-21 extending the suspension of these provisions to September 30, 2021. Thus, pursuant to Executive Order N-08-21, C/CAG Board meetings will be conducted via remote conferencing. Members of the public may observe or participate in the meeting remotely via one of the options below.
Join Zoom Meeting
https://us02web.zoom.us/j/83443569093?pwd=MEVQL2ljeVltY2Z6RVNzTmZvUjJ0UT09
Meeting ID: 834 4356 9093
Passcode: 449833
Join by Phone:
(669) 900-6833
Meeting ID: 834 4356 9093
Passcode: 449833
Persons who wish to address the ALUC Committee on an item to be considered at this meeting, or on items not on this agenda, are asked to submit written comments to firstname.lastname@example.org. Oral comments will also be accepted during the meeting through Zoom. Please see instructions for written and oral public comments at the end of this agenda.
1. Call to Order/Roll Call
Action (O’Connell)
2. Brief Overview of Teleconference Meeting Procedures
Information (Kalkin)
3. Public Comment on Items not on the Agenda
Limited to 2 minutes per speaker
4. Approval of Minutes – March 25, 2021
Action (O’Connell)
5. San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – Serramonte Del Rey Precise Plan, including associated General Plan and Zoning Amendments, enabling redevelopment of a 22-acre site into a mixed-use residential development, at 699 Serramonte Boulevard, Daly City.
Action (Kalkin)
6. San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – Serramonte Del Rey Parcel B Development, a 201-unit mixed-use residential project at 699 Serramonte Boulevard, Daly City.
Action (Kalkin)
7. San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review - Westlake South, a 214-unit mixed-use project at 99 Southgate Avenue in Daly City.
Action (Kalkin)
8. Member Comments/Announcements
9. Items from Staff
10. Adjournment – Next regular meeting – Aug. 26, 2021
NOTE: All items appearing on the agenda are subject to action by the Committee. Actions recommended by staff are subject to change by the Committee.
If you have any questions regarding the C/CAG Airport Land Use Committee Meeting Agenda, please contact Susy Kalkin at email@example.com.
PUBLIC NOTICING: All notices of C/CAG regular Board meetings, standing committee meetings, and special meetings will be posted at the San Mateo County Transit District Office, 1250 San Carlos Ave., San Carlos, CA, and on C/CAG’s website at: http://www.ccag.ca.gov.
PUBLIC RECORDS: Public records that relate to any item on the open session agenda for a regular Board meeting, standing committee meeting, or special meeting are available for public inspection. Those public records that are distributed less than 72 hours prior to a regular Board meeting are available for public inspection at the same time they are distributed to all members, or a majority of the members, of the Board. The Board has designated the City/County Association of Governments of San Mateo County (C/CAG), located at 555 County Center, 5th Floor, Redwood City, CA 94063, for the purpose of making public records available for inspection. Such public records are also available on C/CAG’s website at: http://www.ccag.ca.gov. Please note that C/CAG’s office is temporarily closed to the public; please contact Mima Guilles at (650) 599-1406 to arrange for inspection of public records.
PUBLIC PARTICIPATION DURING VIDEOCONFERENCE MEETINGS: Persons with disabilities who
require auxiliary aids or services to participate in this meeting should contact Mima Guilles at (650) 599-1406, five working days prior to the meeting date.
Written comments should be emailed in advance of the meeting. Please read the following instructions carefully:
1. Written comments should be emailed to firstname.lastname@example.org
2. The email should include the specific agenda item on which you are commenting or note that your comment concerns an item that is not on the agenda.
3. Members of the public are limited to one comment per agenda item.
4. The length of the emailed comments should be commensurate with the two minutes customarily allowed for verbal comments, which is approximately 250-300 words.
5. If your emailed comments are received at least 2 hours prior to the meeting, they will be provided to the ALUC Committee members, made publicly available on the C/CAG website along with the agenda, and may be read aloud by C/CAG staff during the meeting. We cannot guarantee that comments received less than 2 hours before the meeting will be distributed to the Committee members, but they will be included in the administrative record of the meeting.
Oral comments will be accepted during the meeting through Zoom. Please read the following instructions carefully:
1. The ALUC Committee meeting may be accessed through Zoom at the online location indicated at the top of this agenda.
2. You may download the Zoom client or connect to the meeting using an internet browser. If using your browser, make sure you are using a current, up-to-date browser: Chrome 30+, Firefox 27+, Microsoft Edge 12+; Safari 7+. Certain functionality may be disabled in older browsers including Internet Explorer.
3. You will be asked to enter an email address and name. We request that you identify yourself by your name as this will be visible online and will be used to notify you that it is your turn to speak.
4. When the C/CAG staff member or ALUC Committee Chair call for the item on which you wish to speak, click on “raise hand.” The C/CAG staff member will activate and unmute speakers in turn. Speakers will be notified shortly before they are called on to speak.
5. When called, please limit your remarks to the two-minute time limit.
1. **Call to Order/Roll Call**
Chair O’Connell called the meeting to order at 4:30 pm. via the Zoom platform. The attendance sheet is attached.
2. **Brief Overview of Teleconference Meeting Procedures**
C/CAG staff gave an overview of the meeting protocols being implemented due to COVID-19, noting the meeting is being conducted as a Zoom online meeting pursuant to the provisions of the Governor’s Executive Order N-29-20, which suspends certain requirements of the Brown Act.
3. **Public Comment on items not on the Agenda**
None
4. **Minutes of the February 25, 2021 Meeting**
Motion: Committee Member Oliva moved, and Member Hamilton seconded, approval of the February 25, 2021 minutes. Motion carried (7-0-2) by the following roll call vote: AYE – Members DiGiovanni, Sullivan, Oliva, Hamilton, Nagales, Williams and Chair O’Connell. NO – none. ABSTAIN – Members Rak and Ford.
5. **San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – Butler Apartments, a 23-unit, 3-story multi-family residential project at 271 El Camino Real, San Bruno.**
Susy Kalkin, C/CAG staff, presented the staff report.
Motion: Committee Member Rak moved, and Member Sullivan seconded, approval of the staff recommendation. Motion carried (9-0-0) by the following roll call vote: AYE – Members DiGiovanni, Sullivan, Oliva, Hamilton, Rak, Nagales, Ford, Williams and Chair O’Connell. NO – none. ABSTAIN – none.
6. **San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – Glenview Terrace, a 29 unit, 2-story single family residential subdivision at 850 Glenview Drive, San Bruno.**
Susy Kalkin, C/CAG staff, presented the staff report.
Motion: Committee Member Nagales moved, and Member Oliva seconded, approval of the staff recommendation. Motion carried (9-0-0) by the following roll call vote: AYE – Members DiGiovanni, Sullivan, Oliva, Hamilton, Rak, Nagales, Ford, Williams and Chair O’Connell. NO – none. ABSTAIN – none.
7. **San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – 499 Forbes Boulevard Office/Research and Development Project, South San Francisco.**
Susy Kalkin, C/CAG staff, presented the staff report.
Motion: Committee Member Ortiz moved, and Member Rak seconded, approval of the staff recommendation. Motion carried (10-0-0) by the following roll call vote: AYE – Members Ortiz, DiGiovanni, Sullivan, Oliva, Hamilton, Rak, Nagales, Ford, Williams and Chair O’Connell. NO – none. ABSTAIN – none.
8. **Member Comments/Announcements**
None
9. **Items from Staff**
None
10. **Adjournment**
The meeting was adjourned at 4:50 pm.
## 2021 C/CAG Airport Land Use Committee Attendance Report
| Name | Agency | Jan | Feb | Mar |
|-----------------------|---------------------------------------------|-----|-----|--------------|
| Terry O’Connell | City of Brisbane | X | X | X |
| Ricardo Ortiz | City of Burlingame | X | X | |
| Pamela DiGiovanni | City of Daly City | X | X | X |
| Patrick Sullivan | City of Foster City | | X | X |
| Joaquin Jimenez | City of Half Moon Bay | | | |
| Anne Oliva | City of Millbrae | X | X | X |
| | City of Redwood City | | | |
| Tom Hamilton | City of San Bruno | Y | X | X |
| Adam Rak | City of San Carlos | X | | X |
| Warren Slocum | County of San Mateo & Aviation Rep. | | | |
| Mark Nagales | City of South San Francisco | X | X | X |
| Carol Ford | Aviation Representative | X | | X |
| Dave Williams | Half Moon Bay Airport Pilots Assn | X | X | X |
X – Committee Member Attended
Y – Designated Alternate Attended
**Staff and guests in attendance for the March 25, 2021 meeting:** Susy Kalkin and Sean Charpentier, C/CAG staff; Michael Smith, San Bruno Planning staff; Nile Ledbetter and Nupur Sinha, SFO staff; Richard Newman; Paul Donahue; Daniel Wong; Colum Regan and Vincent Xu (499 Forbes Project Sponsor); Stan Pankl
RECOMMENDATION
That the C/CAG Airport Land Use Committee (ALUC) recommend to the C/CAG Board of Directors, that the C/CAG Board, acting as the Airport Land Use Commission, determine that the proposed Serramonte Del Rey Project, including General Plan and Zoning Amendments, is consistent with the applicable airport/land use policies and criteria contained in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Francisco International Airport (SFO ALUCP), subject to the following condition:
1. Prior to approval of the subject Plan, the City of Daly City shall incorporate language into the Serramonte Del Rey Precise Plan and/or related Zoning Amendments to reference the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP.
BACKGROUND
The Serramonte Del Rey project (Project) is located within Airport Influence Area B (AIA B), the project referral area, for San Francisco International Airport, and includes General Plan and Zoning Amendments, as described below. California Government Code Section 65302.3 states that a local agency General Plan, Zoning Ordinance and/or any affected specific plan must be consistent with the applicable airport/land use criteria in the relevant adopted Airport Land Use Compatibility Plan (ALUCP). Accordingly, the City of Daly City has referred the subject project to C/CAG, acting as the San Mateo County Airport Land Use Commission, for a determination of consistency with the SFO ALUCP.
Project Description
Jefferson Union High School District (JUHSD) is proposing a new development plan for the northerly 22-acres of the Serramonte Del Rey Campus at 699 Serramonte Boulevard in Daly City to allow for redevelopment of the former high school facilities to include up to 1,235 units of affordable and market-rate rental housing (inclusive of the 122-unit apartment building for JUHSD faculty, previously reviewed by the ALUC, and currently under construction), up to 14,000 sq. ft. of
neighborhood-serving retail/commercial uses, and 1,400 sq. ft. for a childcare facility. The site is to be divided into seven development parcels, with build-out of the site anticipated over a ten-year period. The Project includes a General Plan amendment to change the land use designation of the entire site to Commercial – Mixed-Use to allow for both commercial-mixed uses and residential uses, and a new Precise Plan which will establish the zoning/development standards for the Project. The maximum height is proposed to be 168 feet (150 ft. plus 18 ft. for mechanical/rooftop equipment.)
**DISCUSSION**
**ALUCP Consistency Evaluation**
The SFO ALUCP contains policies and criteria to address four issues: (a) aircraft noise impacts; (b) safety compatibility criteria; (c) height of structures/airspace protection; and (d) overflight notification. The following sections describe the degree to which the project is compatible with each.
*(a) Aircraft Noise Impacts*
The 65 dB CNEL (Community Noise Equivalent Level) aircraft noise contour defines the threshold for airport noise impacts established in the SFO ALUCP. All land uses located outside this contour are deemed consistent with the noise policies of the SFO ALUCP.
As shown on Attachment 2, the subject property lies outside the bounds of the 65dB CNEL contour, and therefore the project is consistent with the SFO ALUCP noise policies and criteria.
*(b) Safety Compatibility*
The SFO ALUCP includes five safety zones and related land use compatibility policies and criteria. However, none of the safety zones extends into Daly City, and therefore the project is considered to be consistent with the safety zone policies of the SFO ALUCP.
*(c) Height of Structures/Airspace Protection*
Pursuant to the SFO ALUCP, airspace protection compatibility of proposed land uses within its AIA is evaluated in accordance with the following criteria: (1) 14 Code of Federal Regulations Part 77 (FAR Part 77), “Safe, Efficient Use and Preservation of the Navigable Airspace”, which establishes the standards for determining obstructions to air navigation; and (2) FAA notification surfaces. By definition, any object that penetrates one of the imaginary surfaces of the FAR Part 77 exhibit is deemed an obstruction to air navigation.
In order to be deemed consistent with the ALUCP, the maximum height of a new building must be the lower of (1) the height shown on the airspace protection surfaces map or (2) the maximum height
determined not to be a “hazard to air navigation” by the FAA in an aeronautical study prepared pursuant to the filing of Form 7460-1.
The Project allows for a maximum building height of 168 feet (150’ building height plus 18’ for rooftop/mechanical equipment). Site elevations vary, but generally range 470-490 feet above mean sea level (MSL), resulting in an overall combined height of approximately 638-658 feet above MSL. Utilizing SFO’s online iALP Airspace Tool, it has been determined that the top of the proposed buildings would be a 48-148 feet below the critical airspace surfaces in the area, as shown on Attachments 3 & 4, so the project would be compliant with the airspace protection policies of the SFO ALUCP.
(d) Overflight Notification
The project site is located within the Airport Influence Area A (AIA A) of SFO, the real estate disclosure area. Pursuant to Policy IP-1, notification is required, prior to sale or lease of property located within the AIA, of the proximity of the airport and that therefore the property may be subject to some of the annoyances or inconveniences associated with proximity to airport operations.
As this disclosure requirement is not included in Daly City’s existing ordinance requirements, a condition is proposed to require the Plan documents be amended to incorporate the requirements of SFO ALUCP Policy IP-1.
ATTACHMENTS
1. ALUCP application, together with related project description and plan set excerpts
- Full Precise Plan available online - https://ccag.ca.gov/wp-content/uploads/2021/07/5-__A1-Serramonte-Del-Rey-Draft-precise-plan.pdf
2. SFO ALUCP Exh. IV-5 – Noise Compatibility Zones
3. SFO iALP Airspace Tool Point Analysis
4. SFO ALUCP Exh. IV-17 – Critical Aeronautical Surfaces – Northwest Side
Project Description: The applicant, Jefferson Union High School District (JUHSD), is proposing a new Precise Plan for the 22-acre Serramonte Del Rey Campus to enable the redevelopment of existing school facilities to a new walkable, bikeable, family-friendly residential neighborhood. The proposed project aims to attract investment, stabilize district finances, increase funding for student education, and attract and retain highly qualified teachers and staff. The project site is located on the south side of Serramonte Boulevard between the intersections of Callan Boulevard/Serramonte Boulevard and St. Francis Boulevard/Serramonte Boulevard in the City of Daly City (see attached exhibits).
The proposed Precise Plan will allow for the redevelopment of the project site to include 1,235 units of affordable and market-rate rental housing (inclusive of the 122-unit apartment building for JUHSD faculty, staff, and their families currently under construction), up to 14,000 sq. ft. of neighborhood-serving retail/commercial uses, and 1,400 sq. ft. for a Head Start childcare facility. The site will be divided into seven development parcels and additional street parcels with public access easements. Build-out of the site is anticipated to be over a ten-year period.
JUHSD is also seeking design review approval for the proposed development on Parcel B, which will include a six-story, 201-unit mixed-use building with approximately 345 parking spaces and approximately 8,000 sq. ft. of retail space, a park, play structure, and various amenities for residents. The building will have a maximum height of 74 feet to the top of the parapet (85 feet to the top of the elevator shaft). Design review approval for Parcels C through F would occur as subsequent applications.
Proposed General Plan and Zoning Changes: The General Plan land use designation of the faculty and staff housing site (proposed Parcel A) is Residential – High Density and the remainder of the property is Commercial – Office. A General Plan Amendment is required to change the land use designation of the entire site to Commercial – Mixed-Use to allow for both commercial-mixed uses and residential uses.
The faculty and staff housing site is zoned Planned Development PD-31A and the remainder of the property is zoned Planned Development PD-31. The proposal requires a new Planned Development due to the significant change in land uses proposed and development standards requested. The maximum height permitted within the proposed Precise Plan is a maximum building height of 150 feet and 168 feet inclusive of any mechanical and roof-mounted equipment.
Environmental Review: An Environmental Impact Report is being prepared for this project.
Existing Precise Plan Area (PD31)
Precise Plan Update
Faculty and Staff Housing (PD31A)
Serramonte Del Rey Precise Plan
4-21-2021
Figure 3.1 Plan Area Land Uses
- Parcel lines
- Commercial Mixed Use District (C-MU)
- Residential Very High Density (R-VHD) District
The following land uses table states the different types of residential, commercial, community services, and public uses that are permitted within the Plan Area Districts. Permitted uses are marked with a P; uses requiring a Use Permit are marked with a UP, blanks indicate uses not permitted in that district.
| Table Of Land Uses | Mixed Use District | Residential District |
|--------------------|--------------------|---------------------|
| **Residential Uses** | | |
| Single-family dwellings, 12 DU/Acre minimum | P | P |
| Two-unit structures (duplexes); Townhouses | P | P |
| Multiple-family dwellings | P | P |
| Live-work within dwelling units | P | P |
| Day care center in accordance with the regulations specified in Chapter 17.49 of the Municipal Code | P | P |
| **Commercial Uses** | | |
| Medical services (as part of a mixed-use building); Medical-Dental Clinic; Prescription Pharmacies; Veterinary Clinic | P | UP |
| Commercial Services (on ground floor of a mixed-use building only): Bakery; Bank or financial institution; Barber or beauty shop; Book store; Camera store; Clothing store; Coffee store; Delicatessen; Dry cleaner; Florist; Food store; Gift store; Hardware store; Health club, gym; Home furnishings; Instruction studio (dance, exercise, music, and so on); Laundromat; Office supplies/copy shop; Pet store; Restaurant, but not a drive-thru restaurant; Shoe sales and repair; Small appliance sales and service (only in conjunction with sales); Sporting goods; Stationary store; Tailor; Toy store; Travel agent; Variety store | P | UP |
| Table Of Land Uses | Mixed Use District | Residential District |
|--------------------------------------------------------|--------------------|---------------------|
| Bar and Cocktail lounge; Small theater; Hotel; Cannabis sales | UP | - |
| Professional offices (as part of a mixed-use building) | P | UP |
| Medical-Dental Clinic (as part of a mixed-use building) | P | UP |
| Community center, library (as part of a mixed-use building) | P | UP |
| Pumping stations, public utility buildings and uses | P | P |
| Wireless communications facilities in accordance with the regulations specified in Chapter 17.39 of the Municipal Ordinance | P | P |
B. PLAN AREA DEVELOPMENT CAPACITY
Development Program
The following table summarizes the anticipated development program at build-out for parcels within the Plan Area. These numbers may be less than the total capacity of each site. These numbers will be used in the project description for environmental review of the Precise Plan.
| Parcels | Area (Acres) | Housing Units | Density | Retail / Commercial | Other |
|---------------|--------------|---------------|----------|---------------------|--------------------------------------------|
| Parcel B | 4.3 | 201 | 49 DU/Acre | 8,000 sq.ft. | |
| Parcel C | 1.94 | 100 | 63 DU/Acre | ** | 1,400 sq.ft. (relocated Head Start facility) |
| Parcel D | 2.84 | 240* | 85 DU/Acre | ** | |
| Parcel E | 3.02 | 290* | 96 DU/Acre | ** | |
| Parcel F | 3.77 | 282* | 66 DU/Acre | ** | |
| **Total New Development** | **15.87** | **1,113** | **70 DU/Acre** | **14,000 sq. ft.** | |
| Parcel A (existing, not counted as new development) | 3.6 | 122 | 34 DU/Acre | | 1000 sq.ft. (existing Comcast facility) |
| Street Parcels within Plan Area | 2.9 | | | | |
| **Total Development** | **22.38** | **1,235** | | **14,000 sq. ft.** | **2,400 sq. ft.** |
(*) Denotes parcels with high-rise building potential (up to 14 stories). Only two of these three parcels may be developed with high-rise buildings. This table includes an assumption that Parcel D and Parcel F will be developed with high-rise residential buildings, but during implementation the high-rise location may be transferred to Parcel E from either Parcel D or F. In any case the overall buildout of the Plan Area is limited to 1,235 residential units.
(**) Denotes parcels that may provide retail/commercial square footage on the ground floor in addition to 8,000 sq.ft. assumed for Parcel B. Each of these parcels may or may not build commercial square footage on the ground floor; in any case the total retail/commercial square footage for the overall buildout of the Plan Area is limited to 14,000 sq.ft.
The following table presents the maximum allowed density per parcel. Note these are maximums, and the buildout is likely to be less than the maximum on some parcels. This table is intended to provide guidance to developers of individual parcels within the Plan Area.
| Parcel Number | Maximum Residential Units Allowed Per Parcel* | Maximum Retail/Commercial Square Footage Per Parcel** |
|---------------|---------------------------------------------|-----------------------------------------------------|
| Parcel A | 122 | 0 |
| Parcel B | 210 | 8,000 sq.ft. |
| Parcel C | 125 | 6,000 sq.ft.*** |
| Parcel D | 270 | 6,000 sq.ft. |
| Parcel E | 330 | 6,000 sq.ft. |
| Parcel F | 400 | 6,000 sq.ft. |
*The total number of units may not be realized on every parcel. As noted in Chapter Two, Urban Design Framework, the total buildout of the Plan Area is limited to 1,235 residential units.
** The total square footage of retail/commercial may not be realized on every parcel. As noted in Chapter Two, Urban Design Framework, the total buildout of the Plan Area is limited to 14,000 sq.ft. of retail/commercial space. There is no restriction on the amount of Amenity Space (to be used primarily by residents) per parcel.
***Parcel C is permitted to build up to 2,000 sq. ft. of daycare center facilities within its allotment of retail/commercial square footage.
C. BUILDING HEIGHT
Permitted building height for the Plan Area is shown in Figure 3.2.
Figure 3.2 Building Heights
Attachment 2
LEGEND
- CNEL Contour: 2020 Forecast
- Airport Property
- BART Station
- CALTRAIN Station
- School
- Place of Worship
- Hospital
- Municipal Boundary
- Rail
- Freeway
- Road
- Planned Land Use Per General Plans:
- Public
- Multi-Family/Residential
- Single Family Residential
- Mixed Use
- Transit-Oriented Development
- Commercial
- Industrial, Transportation, and Utilities
- Local Park, Golf Course, Cemetery
- Regional Park or Recreation Area
- Open Space
- Planned use not mapped
Sources:
- Noise Contour Data
- Draft Environmental Assessment, Proposed Runway Safety Area Program, San Francisco International Airport, URS Corporation and BridgeNet International, June 2011
- County Base Maps:
- San Mateo County Planning & Building Department, 2007
- Local Plans:
- Burlingame Bayfront Specific Area Plan, August 2006
- Burlingame Downtown Specifics Plan, January 2009
- Burlingame General Map, September 1984
- Burlingame General Plan, December 2005
- Colma Municipal Code Zoning Maps, December 2003
- Daly City General Plan and Land Use Map, 1987
- Hillsborough General Plan, 1993
- Millbrae Land Use Plan, November 1998
- Pacifica General Plan, August 1996
- San Bruno General Plan, December 2008
- San Mateo City Land Use Plan, March 2007
- San Mateo County Zoning Map, 1992
- South San Francisco General Plan, 1986
Exhibit W-2
NOISE COMPATIBILITY ZONES
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
| Latitude | Longitude | Site El.(AMSL) | Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds Max Ht. By Surface |
|-----------|-----------|----------------|----------|-------------------|----------------|---------------------------|
| 37° 40' 7.90968" | 122° 28' 33.3033" | 472.21 | 168 | 640.21 | 688.71 | 48.5 |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 1
Zone Analysis
| X | Y | Range | Safety Zones |
|------------|------------|-----------|--------------|
| 5989810.689 | 2072048.043 | Under 65 db | None |
| Latitude | Longitude | Site El.(AMSL) | Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds By | Under By Surface |
|-----------|-----------|----------------|----------|-------------------|----------------|------------|-----------------|
| 37° 40' 7.7613" | 122° 28' 41.8991" | 480.72 | 168 | 661.72 | 800 | 138.28 | BLD RW2BLR OEI Corridor 090309 |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 1
| Zone Analysis |
|---------------|
| X Y Range Safety Zones |
| 5989111.401 2072047.708 Under 65 db None |
| Latitude | Longitude | Site El.(AMSL) | Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds By | Under By | Surface |
|-----------|-----------|----------------|----------|-------------------|----------------|------------|----------|------------------|
| 37° 40' 2.5628" | 122° 28' 33.6664" | 482.69 | 168 | 650.69 | 800 | 149.31 | 0.00 | RW2BLR OEI Corridor 090309 |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 1
| Zone Analysis |
|---------------|
| X | Y | Range | Safety Zones |
|---------------|---------------|---------------|--------------|
| 5989770.896 | 2071508.05 | Under 65 db | None |
| Latitude | Longitude | Site El.(AMSL) | Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds By | Under By | Surface |
|-----------|-----------|----------------|----------|-------------------|----------------|------------|----------|---------|
| 37° 40' 2.6532" | 122° 28' 41.0036" | 480.7 | 168 | 651.7 | 900 | 148.3 | 0 | RW2BLR OEI Corridor 090309 |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 1
| Zone Analysis |
|---------------|
| X Y Range Safety Zones |
| 5909177.84 2071517.487 Under 65 db None |
Attachment 4
LEGEND
- **A** Elevation of critical aeronautical surfaces, feet AMSL (represented on plan with contours)
- **B** Elevation of terrain, feet AMSL
- **C** Height of critical aeronautical surfaces, feet AGL (represented on plan with color gradient)
Calculated as: \( A - B + C \)
**Critical aeronautical surfaces**
**Ground level (Terrain)**
**Mean sea level**
**Height of Critical Aeronautical Surfaces, Feet Above Ground Level (AGL)**
- 35 and lower
- 35–65
- 65–100
- 100–150
- 150 and more
- Airport Property
- BART Station
- CALTRAIN Station
- Regional Park or Recreation Area
- Municipal Boundary
- Railroad
- Freeway
- Road
Notes:
1. This map is intended for informational and conceptual purposes only, generally representing the critical surfaces considered important by San Francisco International Airport (SFO) and its constituent airlines. It does not represent actual survey data, nor should it be used as the basis for any FAA certification, approval, or airspace clearance requirements. In the development of data for an FAA Form 7450-1, the Planning Technology Inc. (PTI) which SFO does not certify its accuracy, information, or title to the properties delineated in this plan. SFO does make any representation of any property rights, or otherwise, by law, with respect to boundaries, easements, restrictions, claims, overlaps, or other encumbrances affecting such properties.
2. The map does not represent FAA’s obstruction evaluation / airport airspace analysis (CEAA)/noise analysis. Proposing construction at elevations and heights that are lower than the contour lines shown on this map may not necessarily exempt relieve the construction sponsor of the obligation to file an FAA Form 7450-1, and (b) does not ensure that the proposal will be approved by the FAA, SFO, local authorities, or other agencies or stakeholders. SFO, San Mateo County, and local authorities have no control over the design, construction, operation, and seek modifications to projects that may be consistent with this critical aeronautical surfaces map but fall through the FAA CEAA/NAA process, or that have unexpected impacts to the safety or efficiency of operations at SFO.
Sources: San Francisco International Airport, Jacobs Consultancy, and Planning Technology Inc., 2009
Exhibit IV-17
CRITICAL AERONAUTICAL SURFACES
— NORTHWEST CORNER
Comprehensive Airport Land Use Plan
for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments
of San Mateo County, California
RECOMMENDATION
That the C/CAG Airport Land Use Committee (ALUC) recommend to the C/CAG Board of Directors, that the C/CAG Board, acting as the Airport Land Use Commission, determine that the proposed Serramonte Del Rey Parcel B Development Project is consistent with the applicable airport/land use policies and criteria contained in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Francisco International Airport (SFO ALUCP), subject to the following condition:
- The City of Daly City shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP.
BACKGROUND
Project Description
Along with the Serramonte Del Rey Precise Plan and related amendments that are currently proceeding through review with the City of Daly City, there is also a specific development proposal under review for Parcel B within the Precise Plan Area. The project (“Project”) includes construction of a 6-story, 201-unit multi-family residential building with 8,000 sq. ft. of ancillary commercial space on a 4.33-acre parcel located along Serramonte Boulevard, near the intersection of Callan Boulevard.
ALUCP Consistency Evaluation
The Project is located within Airport Influence Area B (AIA B), the “Project Referral” area, for San Francisco International Airport. California Government Code Section 65302.3 states that a local agency General Plan, Zoning Ordinance and/or any affected specific plan must be consistent with the applicable airport/land use criteria in the relevant adopted Airport Land Use Compatibility Plan (ALUCP). Additionally, per SFO ALUCP Policy GP-10.1, since the City of Daly City has not yet adopted its Serramonte Del Rey Precise Plan and related General Plan and Zoning Amendments to
reflect the policies and requirements of the current SFO ALUCP, the Project is subject to ALUC review. In accordance with these requirements, the City of Daly City has referred the subject development project to C/CAG, acting as the San Mateo County Airport Land Use Commission, for a determination of consistency with the SFO ALUCP.
**DISCUSSION**
**ALUCP Consistency Evaluation**
The SFO ALUCP contains policies and criteria to address four issues: (a) aircraft noise impacts; (b) safety compatibility criteria; (c) height of structures/airspace protection; and (d) overflight notification. The following sections describe the degree to which the project is compatible with each.
*(a) Aircraft Noise Impacts*
The 65 dB CNEL (Community Noise Equivalent Level) aircraft noise contour defines the threshold for airport noise impacts established in the SFO ALUCP. All land uses located outside this contour are deemed consistent with the noise policies of the SFO ALUCP.
As shown on Attachment 2, the subject property lies outside the bounds of the 65dB CNEL contour, and therefore the project is consistent with the SFO ALUCP noise policies and criteria.
*(b) Safety Compatibility*
The SFO ALUCP includes five safety zones and related land use compatibility policies and criteria. However, none of the safety zones extends into Daly City, and therefore the project is considered to be consistent with the safety zone policies of the SFO ALUCP.
*(c) Height of Structures/Airspace Protection*
Pursuant to the SFO ALUCP, airspace protection compatibility of proposed land uses within its AIA is evaluated in accordance with the following criteria: (1) 14 Code of Federal Regulations Part 77 (FAR Part 77), “Safe, Efficient Use and Preservation of the Navigable Airspace”, which establishes the standards for determining obstructions to air navigation; and (2) FAA notification surfaces. By definition, any object that penetrates one of the imaginary surfaces of the FAR Part 77 exhibit is deemed an obstruction to air navigation.
In order to be deemed consistent with the ALUCP, the maximum height of a new building must be the lower of (1) the height shown on the airspace protection surfaces map or (2) the maximum height determined not to be a “hazard to air navigation” by the FAA in an aeronautical study prepared pursuant to the filing of Form 7460-1.
The single building in the Project has a maximum building height of 85 feet (74’ building height plus 11’ to the top of the elevator enclosure). Together with an average site elevation of 484 feet above mean sea level (MSL), the combined height would be approximately 569 feet above MSL. Utilizing SFO’s online iALP Airspace Tool, it has been determined that the top of the proposed buildings would be in excess of 140 feet below the critical airspace surfaces in the area, as shown on Attachments 3 & 4, so the project would be compliant with the airspace protection policies of the SFO ALUCP.
(d) **Overflight Notification**
The project site is located within the Airport Influence Area A (AIA A) of SFO, the real estate disclosure area. Pursuant to Policy IP-1, notification is required, prior to sale or lease of property located within the AIA, of the proximity of the airport and that therefore the property may be subject to some of the annoyances or inconveniences associated with proximity to airport operations.
As this disclosure requirement is not included in Daly City’s existing ordinance requirements, the following condition is proposed:
- *The City of Daly City shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP.*
**ATTACHMENTS**
1. ALUCP application, together with related project description and plan set excerpts
2. SFO ALUCP Exh. IV-5 – Noise Compatibility Zones
3. SFO iALP Airspace Tool Point Analysis
4. SFO ALUCP Exh. IV-17 – Critical Aeronautical Surfaces – Northwest Side
Project Description: The applicant, Jefferson Union High School District (JUHSD), is proposing a new Precise Plan for the 22-acre Serramonte Del Rey Campus to enable the redevelopment of existing school facilities to a new walkable, bikeable, family-friendly residential neighborhood. The proposed project aims to attract investment, stabilize district finances, increase funding for student education, and attract and retain highly qualified teachers and staff. The project site is located on the south side of Serramonte Boulevard between the intersections of Callan Boulevard/Serramonte Boulevard and St. Francis Boulevard/Serramonte Boulevard in the City of Daly City (see attached exhibits).
The proposed Precise Plan will allow for the redevelopment of the project site to include 1,235 units of affordable and market-rate rental housing (inclusive of the 122-unit apartment building for JUHSD faculty, staff, and their families currently under construction), up to 14,000 sq. ft. of neighborhood-serving retail/commercial uses, and 1,400 sq. ft. for a Head Start childcare facility. The site will be divided into seven development parcels and additional street parcels with public access easements. Build-out of the site is anticipated to be over a ten-year period.
JUHSD is also seeking design review approval for the proposed development on Parcel B, which will include a six-story, 201-unit mixed-use building with approximately 345 parking spaces and approximately 8,000 sq. ft. of retail space, a park, play structure, and various amenities for residents. The building will have a maximum height of 74 feet to the top of the parapet (85 feet to the top of the elevator shaft). Design review approval for Parcels C through F would occur as subsequent applications.
Proposed General Plan and Zoning Changes: The General Plan land use designation of the faculty and staff housing site (proposed Parcel A) is Residential – High Density and the remainder of the property is Commercial – Office. A General Plan Amendment is required to change the land use designation of the entire site to Commercial – Mixed-Use to allow for both commercial-mixed uses and residential uses.
The faculty and staff housing site is zoned Planned Development PD-31A and the remainder of the property is zoned Planned Development PD-31. The proposal requires a new Planned Development due to the significant change in land uses proposed and development standards requested. The maximum height permitted within the proposed Precise Plan is a maximum building height of 150 feet and 168 feet inclusive of any mechanical and roof-mounted equipment.
Environmental Review: An Environmental Impact Report is being prepared for this project.
Figure 3.1 Plan Area Land Uses
- **Parcel lines**
- **Commercial Mixed Use District (C-MU)**
- **Residential Very High Density (R-VHD) District**
Figure 2.1 Illustrative Plan
SERRAMONTE BOULEVARD
ENTRY DRIVE
RETAIL
RETAIL PARKING
BIKE PARKING
RESIDENT PARKING
LOBBY
AMENITY
AMENITY
OVERLOOK PARK
HILLSIDE AREA
NORTH DRIVE
NORTH ACCESS WAY
EAST DRIVE
CALLAN BOULEVARD
SERRAMONTE DEL REY, PARCEL B
DALY CITY, CA
SITE PLAN
4/21/2021
1" = 30'-0"
© SEIDEL ARCHITECTS INC., 2021
No Copies, transmissions, reproductions, or electronic manipulation of any portion of these drawings in whole or in part can be made without the express permission of SEIDEL ARCHITECTS INCORPORATED. All design indicated within these drawings are property of SEIDEL ARCHITECTS INCORPORATED. All copyrights reserved © 2021.
EAST ELEVATION (OVERLOOK PARK)
NORTH ELEVATION (SERRAMONTE BLVD.)
SERRAMONTE DEL REY, PARCEL B
DALY CITY, CA
Brookwood Advisors
A3.0
EAST & NORTH ELEVATION
4/21/2021
1/16" = 1'-0"
EAST - WEST SECTION (FACING NORTH)
NORTH - SOUTH SECTION (FACING EAST)
Attachment 2
LEGEND
- CNEL Contour: 2020 Forecast
- Airport Property
- BART Station
- CALTRAIN Station
- School
- Place of Worship
- Hospital
- Municipal Boundary
- Railways
- Freeway
- Road
- Planned Land Use Per General Plans:
- Public
- Multi-Family/Residential
- Single Family Residential
- Mixed Use
- Transit-Oriented Development
- Commercial
- Industrial, Transportation, and Utilities
- Local Park, Golf Course, Cemetery
- Regional Park or Recreation Area
- Open Space
- Planned use not mapped
Sources:
- Noise Contour Data
- Draft Environmental Assessment, Proposed Runway Safety Area Program, San Francisco International Airport, URS Corporation and BridgeNet International, June 2011
- County Base Maps:
- San Mateo County Planning & Building Department, 2007
- Local Plans:
- Burlingame Bayfront Specific Area Plan, August 2006
- Burlingame Downtown Specifics Plan, January 2009
- Burlingame General Map, September 1984
- Burlingame General Plan, December 2005
- Colma Municipal Code Zoning Maps, December 2003
- Daly City General Plan and Land Use Map, 1987
- Hillsborough General Plan, 1993
- Millbrae Land Use Plan, November 1998
- Pacifica General Plan, August 1996
- San Bruno General Plan, December 2008
- San Mateo City Land Use Plan, March 2007
- San Mateo County Zoning Map, 1992
- South San Francisco General Plan, 1986
Exhibit W-2
NOISE COMPATIBILITY ZONES
Comprehensive Airport Land Use Plan for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments of San Mateo County, California
| Latitude | Longitude | Site El (AMSL) | Ht (AGL) | Overall Ht (AMSL) | Max Ht (AMSL) | Exceeds By | Under By | Surface |
|-----------|-----------|----------------|----------|-------------------|---------------|------------|----------|--------------------------|
| 37° 40' 7.7762" | 122° 28' 37.1127" | 483.28 | 85 | 568.28 | 709.07 | | | SFO RW28LR_OBI_Corridor_090309 |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 1
| Zone Analysis |
|---------------|
| X | Y | Range | Safety Zones |
|---------------|------------|-----------|--------------|
| 5989504.203 | 2072040.994| Under 65 db | None |
Attachment 4
LEGEND
- **A** Elevation of critical aeronautical surfaces, feet AMSL (represented on plan with contours)
- **B** Elevation of terrain, feet AMSL
- **C** Height of critical aeronautical surfaces, feet AGL (represented on plan with color gradient)
Calculated as: \( A - B + C \)
**Critical aeronautical surfaces**
**Ground level (Terrain)**
**Mean sea level**
**Height of Critical Aeronautical Surfaces, Feet Above Ground Level (AGL)**
- 35 and lower
- 35–65
- 65–100
- 100–150
- 150 and more
- Airport Property
- BART Station
- CALTRAIN Station
- Regional Park or Recreation Area
- Municipal Boundary
- Railroad
- Freeway
- Road
Notes:
1. This map is intended for informational and conceptual purposes only, generally representing the critical surfaces considered important by San Francisco International Airport (SFO) and its constituent airlines. It does not represent actual survey data, nor should it be used as the basis for any FAA certification or other airspace clearance requirements. In the development of data for an FAA Form 7450-1, the Planning Technology Inc. (PTI) which SFO does not certify its accuracy, information, or title to the properties delineated in this plan. SFO does make any representations of any kind regarding the validity of law, with respect to boundaries, easements, restrictions, claims, overlaps, or other encumbrances affecting such properties.
2. The map does not represent FAA’s obstruction evaluation / airport airspace analysis (CEAA)/noise analysis. Proposing construction at elevations and heights that are lower than the contour lines shown on this map may not be sufficient to relieve the construction sponsor of the obligation to file an FAA Form 7450-1, and (b) does not ensure that the proposal will be compatible with SFO’s operations, noise impacts, or stakeholders. SFO, San Mateo County, and local authorities have a responsibility to work together to identify and seek modifications to projects that may be consistent with this critical aeronautical surfaces map but that through the FAA CEAA/NAA process may have unacceptable impacts to the safety or efficiency of operations at SFO.
Sources: San Francisco International Airport, Jacobs Consultancy, and Planning Technology Inc., 2009
Exhibit IV-17
CRITICAL AERONAUTICAL SURFACES
— NORTHWEST CORNER
Comprehensive Airport Land Use Plan
for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments
of San Mateo County, California
C/CAG AGENDA REPORT
Date: July 22, 2021
To: Airport Land Use Committee
From: Susy Kalkin
Subject: San Francisco International Airport Comprehensive Airport Land Use Compatibility Plan Consistency Review – Westlake South, a 214-unit mixed-use project at 99 Southgate Avenue in Daly City.
(For further information or response to questions, contact Susy Kalkin at email@example.com)
RECOMMENDATION
That the C/CAG Airport Land Use Committee (ALUC) recommend to the C/CAG Board of Directors, that the C/CAG Board, acting as the Airport Land Use Commission, determine that the proposed Westlake South Project is consistent with the applicable airport/land use policies and criteria contained in the Comprehensive Airport Land Use Compatibility Plan for the Environs of San Francisco International Airport (SFO ALUCP), subject to the following condition:
1. The City of Daly City shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP.
BACKGROUND
The Westlake South project (Project) is located within Airport Influence Area B (AIA B), the project referral area, for San Francisco International Airport, and includes a Planned Development Amendment (Zoning Amendment). California Government Code Section 65302.3 states that a local agency General Plan and/or any affected specific plan must be consistent with the applicable airport/land use criteria in the relevant adopted Airport Land Use Compatibility Plan (ALUCP). Accordingly, the City of Daly City has referred the subject project to C/CAG, acting as the San Mateo County Airport Land Use Commission, for a determination of consistency with the SFO ALUCP.
The project sponsor proposes to demolish a vacant retail building and construct a seven-story mixed-use building on a 1.93-acre site at 99 Southgate Avenue, in the northwestern area of Daly City, at the southern end of Westlake Shopping Center. The lower two stories would include a parking garage and 10,800 square feet of retail space. The upper five stories would include 214 apartment units and residential amenities. As designed, the building has a maximum height of 83 feet to the top of the parapet (88 feet to the top of the elevator shaft).
DISCUSSION
ALUCP Consistency Evaluation
The SFO ALUCP contains policies and criteria to address four issues: (a) aircraft noise impacts; (b) safety compatibility criteria; (c) height of structures/airspace protection; and (d) overflight notification. The following sections describe the degree to which the project is compatible with each.
(a) Aircraft Noise Impacts
The 65 dB CNEL (Community Noise Equivalent Level) aircraft noise contour defines the threshold for airport noise impacts established in the SFO ALUCP. All land uses located outside this contour are deemed consistent with the noise policies of the SFO ALUCP.
As shown on Attachment 2, the subject property lies well outside the bounds of the 65dB CNEL contour, and therefore the project is consistent with the SFO ALUCP noise policies and criteria.
(b) Safety Compatibility
The SFO ALUCP includes five safety zones and related land use compatibility policies and criteria. However, none of the safety zones extends into Daly City, and therefore the project would be consistent with the safety zone policies of the SFO ALUCP.
(c) Height of Structures/Airspace Protection
Pursuant to the SFO ALUCP, airspace protection compatibility of proposed land uses within its AIA is evaluated in accordance with the following criteria: (1) 14 Code of Federal Regulations Part 77 (FAR Part 77), “Safe, Efficient Use and Preservation of the Navigable Airspace”, which establishes the standards for determining obstructions to air navigation; and (2) FAA notification surfaces. By definition, any object that penetrates one of the imaginary surfaces of the FAR Part 77 exhibit is deemed an obstruction to air navigation.
In order to be deemed consistent with the ALUCP, the maximum height of a new building must be the lower of (1) the height shown on the airspace protection surfaces map or (2) the maximum height determined not to be a “hazard to air navigation” by the FAA in an aeronautical study prepared pursuant to the filing of Form 7460-1.
The proposed building is 88 feet tall at its tallest point, with a ground elevation of approximately 102 feet above mean sea level (MSL), resulting in an overall height of 190 ft above MSL. Utilizing SFO’s online iALP Airspace Tool, it has been determined that the top of the proposed building would be more than 370 feet below the critical airspace surfaces in the area, as shown on Attachments 3 & 4, so the project would be compliant with the airspace protection policies of the SFO ALUCP.
(d) **Overflight Notification**
The project site is located within the Airport Influence Area A (AIA A) of SFO, the real estate disclosure area. Pursuant to Policy IP-1, notification is required, prior to sale or lease of property located within the AIA, of the proximity of the airport and that therefore the property may be subject to some of the annoyances or inconveniences associated with proximity to airport operations.
As this disclosure requirement is not included in Daly City’s existing ordinance requirements, the following condition is proposed:
- The City of Daly City shall require that the project sponsor comply with the real estate disclosure requirements outlined in Policy IP-1 of the SFO ALUCP.
**ATTACHMENTS**
1. ALUCP application, together with related project description and plan set excerpts
2. SFO ALUCP Exh. IV-3 – AIA B – Northside incl. Noise Compatibility Zones
3. SFO iALP Airspace Tool Point Analysis
4. SFO ALUCP Exh. IV-17 – Critical Aeronautical Surfaces – Northwest Side
Project Description: The applicant, Kimco Westlake LP, proposes to demolish a vacant retail building and construct a seven-story mixed-use building on a 1.93-acre site. The lower two stories would include a parking garage with 321 spaces and 10,800 square feet of retail space fronting Southgate Avenue. The upper five stories would include 214 apartment units and residential amenities. The building will have a maximum height of 83 feet to the top of the parapet (88 feet to the top of the elevator shaft). The project site is located on the south side of Southgate Avenue between Lake Merced Boulevard and Palmcrest Drive (see attached exhibit).
Proposed Zoning Change: The project site is zoned Planned Development PD-60A. The proposal requires an amendment to the Planned Development to allow for a residential building on the project site and the proposed parking.
Environmental Review: An Initial Study and Mitigated Negative Declaration are being prepared for this project.
WESTLAKE SOUTH | ENTITLEMENT APPLICATION
99 SOUTHGATE AVE., DALY CITY, CALIFORNIA | 03/31/2021 | KIMCO REALTY CORP.
WESTLAKE SOUTH
98 SOUTHGATE AVE, DALY CITY, CA 94015
Client:
KIMCO REALTY CORP.
15 SOUTHGATE AVE, SUITE 201, DALY CITY, CA 94015
SITE IN CONTEXT
JOB #: XXXX
SCALE: A0.05
Project: WESTLAKE SOUTH
Client: KIMCO REALTY CORP.
BUILDING SECTIONS
JOB #: XXXX
SCALE: As indicated
A4.02
Sources:
105.1 FAA Notification Zone: Ricciardo & Associates, Inc. and Jacobs Consultancy, based on 14 CFR Part 77, Subpart B, Section 77.9.
Outer Boundary of TERPS Approach and OEI Departure Surfaces: San Francisco International Airport, Jacobs Consultancy, and Planning Technology Inc., 2009
Safety Compatibility Zones: Jacobs Consultancy Team, 2009; Ricciardo & Associates, Inc., 2011
Noise Contour: URS Corporation and BridgeNet International.
Draft Environmental Assessment, San Francisco International Airport Proposed Runway Safety Area Program, June 2011
| Latitude | Longitude | Site El.(AMSL) | Ht.(AGL) | Overall Ht.(AMSL) | Max Ht. (AMSL) | Exceeds By | Under By | Surface |
|------------|------------|----------------|----------|--------------------|----------------|-------------|-----------|--------------------------|
| 37° 41' 50.6959" | 122° 28' 56.0244" | 102.02 | 88 | 190.02 | 562.52 | | 372.5 | SFO_RW28LR_OEI_Corridor_090309 |
Total penetrations above surfaces: 0
Total penetrations below surfaces: 1
| Zone Analysis |
|---------------|
| X | Y | Range | Safety Zones |
| 5988204.544 | 2082480.457 | Under 65 db | None |
Attachment 4
LEGEND
- **A** Elevation of critical aeronautical surfaces, feet AMSL (represented on plan with contours)
- **B** Elevation of terrain, feet AMSL
- **C** Height of critical aeronautical surfaces, feet AGL (represented on plan with color gradient)
Calculated as: \( A - B + C \)
**Critical aeronautical surfaces**
**Ground level (Terrain)**
**Mean sea level**
**Height of Critical Aeronautical Surfaces, Feet Above Ground Level (AGL)**
- 35 and lower
- 35–65
- 65–100
- 100–150
- 150 and more
**Airport Property**
- **BART Station**
- **CALTRAIN Station**
- **Regional Park or Recreation Area**
- **Municipal Boundary**
- **Railroad**
- **Freeway**
- **Road**
Notes:
1. This map is intended for informational and conceptual purposes only, generally representing the critical surfaces considered important by San Francisco International Airport (SFO) and its constituent airlines. It does not represent actual survey data, nor should it be used as the basis for any FAA certification, approval, or airspace clearance requirements. In the development of data for an FAA Form 7450-1, or in Project Development and Design, SFO does not certify its accuracy, information, or title to the properties delineated in this plan. SFO does make any representations of any nature whatsoever regarding any law, with respect to boundaries, easements, restrictions, claims, overlaps, or other encumbrances affecting such properties.
2. The map does not represent FAA’s obstruction evaluation / airport airspace analysis (CEAA)/noise analysis. Proposing construction at elevations and heights that are lower than the contour lines shown on this map may not be sufficient to relieve the construction sponsor of the obligation to file an FAA Form 7450-1, and (b) does not ensure that the proposal will be approved by the FAA, SFO, or any other regulatory agency or stakeholders. SFO, San Mateo County, and local authorities have no control over the actions of project proponents and seek modifications to projects that may be consistent with this critical aeronautical surfaces map but that through the FAA CEAA/Noise Analysis may result in unexpected impacts to the safety or efficiency of operations at SFO.
Sources: San Francisco International Airport, Jacobs Consultancy, and Planning Technology Inc., 2009
Exhibit IV-17
CRITICAL AERONAUTICAL SURFACES
— NORTHWEST SESE
Comprehensive Airport Land Use Plan
for the Environs of San Francisco International Airport
C/CAG
City/County Association of Governments
of San Mateo County, California |
St. Bartholomew's Hospital, London, and its Connection with Eminent Book Collectors
JOHN L. THORNTON*
A HOSPITAL having over eight hundred years of history behind it quite obviously abounds in memorable associations with those who have served it during that period. St. Bartholomew's Hospital was founded on its present site in West Smithfield, London in 1123 A.D. and its general history has been narrated at length by Sir Norman Moore,¹ and more briefly by Sir D'Arcy Power.² Yet many aspects of its development await investigation, and an interesting volume could profitably be devoted to the personalities who have served the Hospital as physicians, surgeons, governors, stewards, and in other offices less dignified, but of no less importance. Any cursory examination of a list of prominent office holders is rewarding in names eminently distinguished in the history of medicine, and one is particularly impressed with the number of persons, associated in one way or another with St. Bartholomew's Hospital, who have achieved prominence as book collectors, bibliophiles, or founders of libraries.
Medical men have always been noted as collectors of pathological specimens, coins, medals, prints, portraits, and books, and L. W. G. Malcolm³ has thrown some light on that aspect of their careers. As bibliophiles they have achieved world-wide recognition, and the extent of their collections has been discussed by W. J. Bishop,⁴ and by the present writer.⁵ Yet it is difficult to trace the remains of certain of these formerly extensive collections, and many have totally disappeared. Also, we must not ignore the medical man who collected more books than required for a personal working library, but not sufficient to achieve fame as a great collector, and this category includes a goodly company. But their existence is difficult to trace where the books, suitably identified, are not housed in the great public collections, or at least have sale catalogues as memorials.
While the fame of the Bodleian Library at Oxford has spread throughout the world, few of us know much about the early history of the collec-
* Librarian, St. Bartholomew's Hospital Medical College, London.
¹ Moore, Sir Norman. The history of St. Bartholomew's Hospital. London, 1918. 2 vols.
² Power, Sir D'Arcy. A short history of St. Bartholomew's Hospital (founded 1123); past and present. London, 1935.
³ Malcolm, L. W. G. The medical man as a collector in the seventeenth and eighteenth centuries. Med. Life, 1932, 4, 656–658.
⁴ Bishop, W. J. Some medical bibliophiles and their libraries. J. Hist. Med., 1948, 3, 239–262.
⁵ Thornton, J. L. Medical books, libraries and collectors [etc.]. London, 1949, pp. 171–190.
tion or of its founder. It is of interest to recall the connection between Sir Thomas Bodley and St. Bartholomew's Hospital, as he lived for some years within its walls, and many of the books were housed there before being sent down to Oxford. It was in 1599/1600 that Bodley came to live within the Hospital, paying an annual rent of £5. 6s. 8d. for property then known as "The Great House." Sir D'Arcy Power\(^6\) reproduced a plan of these premises made between 1604 and 1613, indicating their position and showing a three-storey building with a courtyard in front and a small garden on the east side. A gallery, often referred to in Bodley's letters to Thomas James, his librarian, ran at right angles to the southern end of the house, was lighted by five large windows, and had chimneys. The books were stored in this gallery, and on November 14, 1604 Bodley wrote to James that he possessed "about 2,000 [books] already gathered in my Gallerie."
Lady Bodley died in this house in 1610/11, a memorial tablet to her in the Parish Church of St. Bartholomew-the-Less, which is inside the Hospital grounds, reading: "THOMAS BODLEUS/EQUES AURATUS/FECIT ANNAE CONJUG./PIISSIMAE, ATQUE/OMNIBUS EXEMPLIS/BENE DE SE MERITAE/CUM QUA NULCTER/VIXIT ANN XXIII." Sir Thomas Bodley also died in "The Great House," on January 28, 1612/13, but was buried in Merton College Chapel, Oxford. He was attended by William Harvey, Physician to the Hospital, who must have appreciated the efforts of a kindred spirit in founding a library for scholars.
The fame of William Harvey (1578–1657) rests almost entirely upon his experiments on the circulation of the blood, and upon his two major publications, *De motu cordis* (1628) and *De generatione animalium* (1651). Yet he was also an eminent physician and research worker. Appointed Physician to St. Bartholomew's Hospital in 1609, he keenly pursued the duties of his office, but as Physician-in-Ordinary to King Charles I he was frequently absent. In 1632 Harvey drew up rules for the library of the College of Physicians, and had contributed £100 towards the cost of the site. Harvey was also a benefactor of the College by his Will, which reads: "Touching my books and houshold stuff, pictures and apparell of which I have not already disposed I give to the College of Physicians all my books and papers and my best Persia long carpet, and my blue satin embroidered cushion, one pair of brass Andirons with fire shovel and tongs of brass for the ornament of the meeting room I have erected for that purpose. Item, I give my velvet gown to my loving friend Mr. Doctor Scarborough desir-
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\(^6\) Power, Sir D'Arcy. Sir Thomas Bodley's London house. *Bodleian Quart. Rec.*, 1936, 8, 203–205.
ing him and my loving friend Mr. Doctor Ent to look over those scattered remnant of my poor Library and what books, papers or rare collections they may think fit to present to the College and the rest to be sold and with the money buy better."71 Harvey's mention of the "scattered remnant" of his library refers to the incident in 1642, during the Civil War, when a mob raided his lodgings in London, destroying his invaluable manuscripts on the development of insects and on comparative anatomy, together with many of his books. The material that did reach the College of Physicians was destroyed during the Great Fire of 1666. William Harvey drew up a set of rules for the governance of St. Bartholomew's Hospital,8 and these ordinances were still in use many years after his death. But he lived in unsettled times, and might have achieved even more honour had he been permitted to concentrate on his duties as Physician to the Hospital, or upon research work in the fields of embryology and comparative anatomy.
Although Francis Bernard (1627–1698) did not join the staff of St. Bartholomew's Hospital until after the death of William Harvey, there was some relationship between the two men, for we find that Bernard possessed a copy of Harvey's *Exercitationes de generatione* which had been presented to him by the author.9 Perhaps his passion for book collecting had shown itself as early as 1651, and was encouraged by the kindred interest of Harvey. Francis Bernard was elected Apothecary to the Hospital on May 22, 1661 from a total of twenty-six applicants, Bernard having a letter of support from the King. During the Plague, Bernard remained at his post treating the sick, the two physicians, Dr. (afterwards Sir) John Micklethwaite and Dr. Christopher Terne absenting themselves. On December 23, 1665 Bernard was awarded £25 by the Governors of the Hospital for remaining to minister to the sick during that period,10 and doubtless his zeal influenced his later appointment as assistant physician. This took place on November 20, 1678, and it was most unusual for an apothecary to attain that position. Also in 1678, Francis Bernard was created M.D. by Archbishop Sancroft, received the same degree from Cambridge University, and became Physician-in-Ordinary to James II. He was appointed Physician to St. Bartholomew's Hospital on October 22, 1683.
Francis Bernard resided in Little Britain, just beside St. Bartholomew's Hospital, and there amassed an extensive collection of books. Moreover, he is reputed to have read every volume in his library! He knew Greek, Latin,
---
7 Power, Sir D'Arcy. *William Harvey*. London, 1897, p. 182.
8 Power, Sir D'Arcy. *Ibid.*, pp. 99–103.
9 Moore, Sir Norman. *Op. cit.*, vol. 2, p. 513.
10 Whitteridge, Gweneth. *St. Bartholomew's Hospital and the plague of 1665. Part 2. St. Bart. Hosp. J.*, 1948, 52, 32.
Italian, Spanish, and French, and was interested in a wide range of subjects. He was a great friend of Sir Hans Sloane, and one of his case-books is preserved among the Sloane MSS. in the British Museum. Bernard died in 1698 and was buried in St. Botolph's, Aldersgate, where his wife erected a monument to his memory, but this memorial is no longer extant. His books were sold by auction, forming the most extensive library sale of the seventeenth century. A list of the books was printed as *A catalogue of the Library of the late learned Dr. Francis Bernard, Fellow of the College of Physicians, and Physician to S. Bartholomew's Hospital . . . Which will be sold by auction at the doctor's late dwelling house in Little Britain: the sale to begin on Tuesday, Octb.4.1698*. This contains 14,747 works and 39 bundles, there being 869 books on Theology, 277 on Law, 938 on Mathematics, 4,484 on Medicine, 4,950 on Philology, etc., 1,665 in Italian, Spanish, and French, and 2,066 devoted to Divinity, History, etc. The preface to the catalogue reads:
*We must confess that being a Person who Collected his Books for Use, and not for Ostentation or Ornament, he seem'd no more solicitous about their Dress than his own; and therefore you'll find that a gilt Back or a large Margin was very seldom any inducement to him to buy. . . . As for the Books of his own Faculty, tho' it be not an entire Collection (for who could, or rather, who would have one in Physick?) yet it may be said, that it is infinitely the best and largest that ever yet appeared in these Islands. . . . Certain it is, this Library contains not a few which never appeared in any Auction here before; nor indeed, as I have heard him say, for ought he knew, and he knew as well as any man living, in any Printed Catalogue in the World.*
Misprints abound in the catalogue, which includes several Caxtons, the number and prices of which vary with the authorities mentioning them. De Ricci\textsuperscript{11} gives 16 Caxtons, which sold for four or five shillings each; Lawler\textsuperscript{12} lists 22 Caxtons with prices obtained, which total £4. 13s. 4d.; Elton\textsuperscript{13} mentions "thirteen fine Caxtons, which fetched altogether less than two guineas at his sale"; and Fletcher\textsuperscript{14} states that there were "about a dozen" Caxtons, which "sold for a little over two guineas." A priced catalogue in the British Museum would settle the matter, as it would that of the total sum raised, which has been given as about £5,000 (Lawler) and £1,920 (Fletcher), but the total of 15,000 lots renders it a task for an extreme enthusiast.\textsuperscript{15}
\textsuperscript{11}De Ricci, Seymour. *English collectors of books & manuscripts (1230-1930), and their marks of ownership [etc.]*. Cambridge, 1939, p. 32.
\textsuperscript{12}Lawler, John. *Book auctions in England in the seventeenth century (1670-1700) [etc.]* London (Book-Lover's Library), 1898, pp. 195-196.
\textsuperscript{13}Elton, Charles Isaac, and Elton, Mary Augusta. *The great book collectors.* London (Books about Books), 1893, p. 138.
\textsuperscript{14}Fletcher, Walter Younger. *English book collectors.* London (English Bookman's Library), 1902, pp. 112-113.
\textsuperscript{15}See also Thornton, J. L. In our Library. IV.
Dr. Edward Browne (1642–1708) was contemporary with Francis Bernard on the staff of the Hospital, having been appointed Physician on September 16, 1682, supported by a letter of recommendation from the King. He held office until his death on August 28, 1708. Edward Browne was the eldest son of Sir Thomas Browne (1605–1682), distinguished author of *Religio medici*. Edward attended the lectures at Barber Surgeon’s Hall of Dr. Christopher Terni, also Physician to Bart’s Hospital, and in 1672 married the daughter of his teacher. Browne was elected Fellow of the Royal Society in 1667, and Fellow of the College of Physicians in 1675. He travelled extensively on the Continent, the letters between himself and his father written during that tour making fascinating reading, and upon his return Edward Browne published *A brief account of some travels in Hungaria, Styria, Bulgaria, Thessaly, Austria, Servia, Carynthia, Carniola and Friuli*, London, 1672. A second volume appeared in 1677, and both parts were published together in 1687.
When Physician to the Hospital, Edward Browne lived in Salisbury Court, Fleet Street, and built up an extensive, successful practice. He inherited his father’s library on the latter’s death, and in 1710 a sale catalogue of the joint libraries was printed as, *A catalogue of the libraries of the learned Sir Thomas Brown, and Dr. Edward Brown, his son, late President of the College of Physicians. . . . Which will begin to be sold by auction, at the Black-boy Coffee house in Ave-Mary Lane . . . the 8th day of January 1710/11. . . . By Thomas Ballard, bookseller, [etc.],* (London, 1710). Copies of this catalogue are extremely rare, there being only four known, one being in the British Museum, another at Worcester College, Oxford, a third at McGill University, and a fourth in the possession of Professor John F. Fulton of Yale. The catalogue includes 2,377 lots, classified by subject and subdivided by size, and it is probable that most of the items originally belonged to Sir Thomas Browne. Edward Browne prepared a copy of the first Pharmacopoeia of St. Bartholomew’s Hospital, and his MS. of this is housed in the British Museum. When he died on August 28, 1708 he was President of the College of Physicians, having attained the highest distinction the profession could offer.
Charles Bernard (1650–1711), a much younger brother of Francis
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Catalogue of Dr. Francis Bernard’s library, 1698. *St. Bart. Hosp. Rep.*, 1846, 59, no. 1.
Edward Browne’s MS. notes of these lectures are preserved in the British Museum.
Facsimile of the title-page of this catalogue is reproduced in Geoffrey L. Keynes’ *A bibliography of Sir Thomas Browne, Kt., M.D.* Cambridge, 1924, p. 184; also in Thornton, J. L. *Medical books, libraries and collectors [etc.]* London, 1944, p. 177.
*Bibliotheca Oderiana*, 4532.
Reproduced in Church, Sir William S. Our Hospital Pharmacopoeia and Apothecary’s Shop. *St. Bart. Hosp. Rep.*, 1884, 20, 298–304.
Bernard, mentioned above, was elected Assistant Surgeon to St. Bartholomew's Hospital on November 13, 1683, and full Surgeon on August 26, 1686. He held this office until his death and was also Serjeant Surgeon to Queen Anne from 1702. Sir Norman Moore states that Charles Bernard was the first surgeon in England to have a good library and to have read it. Unlike his brother, from whom he probably acquired the taste for literature and learning, Charles also collected as a bibliophile and favoured well-printed texts in sumptuous bindings.
Charles Bernard was apprenticed on August 16, 1670 to Henry Boone, of the United Company of Barber Surgeons, and was admitted to the Freedom of the Company on December 4, 1677. He has been mentioned as the first Englishman to note that after an operation for cancer, the growth often reappeared.\(^{20}\) The sale catalogue of his library was published as *Bibliotheca Bernardiana: or a catalogue of the library of the late Charles Bernard, Esq., Serjeant Surgeon to Her Majesty... With several MSS. ancient and modern which will begin to be sold by auction on Thursday, the 22nd of March, 1710/1. At the Black-Boy Coffee-House in Ave-Mary-Lane, near Ludgate Street, [etc.].*\(^{21}\) The books are grouped under theology, medicine, history, classical, miscellaneous, mathematics, French, Italian, English, prints, and MSS., each subject being subdivided by size. There are 1,234 numbered octavo items, 953 quartos, and 686 folios, and the sale was lengthy and well attended. Swift records visits to view the books in his *Journal to Stella* under the date of March 11, 1710/11: "I went to see poor Charles Bernard's books, which are to be sold by auction, and I itch to lay out nine or ten pounds for some fine editions of fine authors. But it is too far, and I shall let it slip, as I usually do all such opportunities." And again under March 29: "I... went to see the auction of poor Charles Bernard's books: they were in the middle of the physic books; so I bought none; and they are so dear. I believe I shall buy none, and there's an end."
In addition to having had Sir Thomas Bodley living within its walls, St. Bartholomew's Hospital has yet another connection with the City of Oxford. John Radcliffe (1650–1714), who was responsible for the building and endowment of the Radcliffe Library at Oxford, was elected a Governor on September 13, 1690, when "a green staff was sent to him," according to custom. He had been educated at University College, Oxford, and practised there before coming to London in 1684 when he settled in Bow Street. There he built up a handsome practice and attended William III. He was Member of Parliament for Bramber from 1690 to 1695, and in 1713 sat in
\(^{20}\) Moore, Sir Norman. *Op. cit.*, vol. 2, p. 639.
\(^{21}\) A copy in the Library of the Royal College of Surgeons of England is priced throughout.
the House for Buckingham. On his retirement he recommended to his patients the then rising young Dr. Richard Mead. By his will he left most of his property to Oxford University, endowed two medical travelling fellowships at University College, and provided funds for the enlargement of the College buildings and for a library. Radcliffe Infirmary and Observatory were built, the Radcliffe Library being completed in 1747. His Will reads: "I give unto St. Bartholomew's Hospital in Smithfield, London, for ever, the yearly sum of five hundred Pounds, towards mending their Diet; and the farther yearly Sum of one hundred Pounds for ever, for buying of Linnen."22 This money is still paid annually to the Hospital. The Hospital also further benefited at later dates at the hands of the Radcliffe Trustees who in 1756 granted the sum of £2,250 towards rebuilding, and in 1822 the sum of £500 towards enlarging the theatre built to house those attending John Abernethy's lectures. John Radcliffe was no scholar but an eminent patron of learning, and he is said to have stated that his personal medical library consisted of "some phials, a skeleton, and a herbal."
Radcliffe was very friendly with Richard Mead (1673-1754), who took over his house in Bloomsbury Square on his death. Both served as Governors of St. Bartholomew's Hospital, Mead having been elected to that office on March 11, 1720. The latter spent some time on the Continent after the age of sixteen, working at Utrecht, Leyden (where he studied medicine under Archibald Pitcairn), and at Padua, where he took a medical degree. Mead then returned to Stepney, setting up in practice in 1696. In 1702 he published *A mechanical account of poisons*, an abstract of which appeared in the *Philosophical Transactions*, and the year 1703 saw his election as a Fellow of the Royal Society. Also in that year Mead became Physician to St. Thomas's Hospital and was elected a Governor on his resignation twelve years later. He acquired an M.D. from Oxford University in 1707, was elected a Fellow of the College of Physicians in 1716, serving the College three times as Censor, and became personal physician to George II in 1727. Mead was also the author of *De imperio solis ac lunae in corpora humana, et morbis inde oriundis*, 1704; *A short discourse concerning pestilential contagion and the methods to be used to prevent it*, 1720, of which seven editions appeared in one year, two later editions also appearing; *De variolis et morbillis liber*, [etc.], 1747; and *Monita et praecepta medica*, 1751. Mead edited William Cowper's *Myotomia reformata*, 1724, and financed the publication of several other important works, including De Thou's *Historia sui temporis*, 7 vols., 1733.
22 [Pitts, W.] *Dr. Radcliffe's life and letters*, 4th ed., London, 1736, p. 78.
Richard Mead was a great reader and collected together large numbers of printed books, statues, coins, gems, drawings and manuscripts, many of which were acquired in Rome. When he removed his home to Great Ormond Street he built a gallery to house the collection and employed scholars and artists to further scholarship. After his death the entire collection was sold, the Greek manuscripts being purchased by Anthony Askew. A catalogue was published with the title *Bibliotheca Meadiana; sive catalogus librorum Richardi Mead, M.D. qui prostatuent venales sub hasta, apud Samuclem Baker; in vico dicto York Street, Covent Garden, Londini, die lunae 18vo Novembris, iterumque die lunae 7mo April, 1755*, the sale occupying twenty-eight days. The 10,000 printed books realised £5,518. 18s. 11d., and the total sales amounted to £16,047. 12s. od. Thus terminated the collection amassed during the lifetime of a man of whom Dr. Johnson once said, “Dr. Mead lived more in the broad sunshine of life than almost any man.”
On June 21, 1733 Richard Mead had been appointed to serve on the Apothecary’s Shop Committee at St. Bartholomew’s Hospital in company with Sir Hans Sloane (1660–1752). The latter was also a great friend of Francis Bernard and had been elected a Governor of the Hospital on August 1, 1729. Sir Hans Sloane came to London from County Down at eighteen years of age and went to Paris, where he studied botany under Tournefort at the Jardin des Plantes. He then proceeded to Montpellier, where he studied natural science and took a medical degree at the University of Orange before returning to London in 1684. He then went to live with Thomas Sydenham (1624–1689) and assisted him in his practice. Sloane had become friendly with Robert Boyle and with John Ray. He was elected a Fellow of the Royal Society in 1684, and three years later, a Fellow of the College of Physicians. In 1687 he went to Jamaica as physician to the Duke of Albemarle, spending some fifteen months studying the natural history of the Island. Upon the death of the Duke, Sloane returned to England, bringing over eight hundred specimens of plants in addition to animals, fish, birds, shells, etc. In 1693 he became Secretary of the Royal Society and revived publication of the *Philosophical Transactions*, which he edited until 1712.
Sloane was aided by John Ray in preparing his *Catalogus plantarum quae in insula Jamaica sponte proveniunt*, 1696, and in 1707 there appeared the first volume of his book, *A voyage to the islands of Madeira, Barbados, Nieves, St. Christopher and Jamaica, with the natural history of the last of those islands*, the second volume being published in 1725. He was created
a baronet in 1716, served as President of the College of Physicians from 1719 to 1735, and in 1729 succeeded Newton as President of the Royal Society, occupying that distinguished position until 1741. His appointment in 1740 as physician to George II crowned his career and in that year he retired from practice, taking a house at Chelsea. There he arranged his enormous collection of antiquities, coins, medals, seals, gems, natural history specimens, prints, drawings, manuscripts, and books. He possessed over 3,550 MSS. and 50,000 books at the time of his death, and these together with the rest of his collection were offered to the Nation in return for £20,000, a very small proportion of their value. This material was purchased in 1754 with money raised by means of a lottery and, together with the Harleian MSS. and the Cottonian Collection, was placed in Montague House, Bloomsbury, to found the British Museum. This was first opened to the public in 1757.
When Richard Mead died, he was succeeded in the book world by Anthony Askew (1722–1772) who acquired Mead's Greek manuscripts and many other items from his library. After qualifying M.B. at Cambridge in 1745, Askew spent two years travelling in Italy, Hungary, Athens, and Constantinople, and during that period commenced collecting the nucleus of his library. He received his M.D. degree from Cambridge in 1750 and soon afterwards settled in London. He was elected a Fellow of the Royal Society in 1749, of the College of Physicians in 1753, and held several official positions in the College. On August 22, 1754 he was elected Physician to St. Bartholomew's Hospital and held that appointment until his death. He was also Physician to Christ's Hospital. Askew lived in Queen's Square, Bloomsbury, and was better known as a classical scholar than as a physician. He was a warm friend of Mead to whom he dedicated his only printed work, a specimen of an intended new edition of Aeschylus entitled *Novae editionis tragaeiarum Aeschyli specimen*, 1746.
Askew is credited with having made bibliomania fashionable. He possessed numerous rare manuscripts and sumptuously bound books in his collection and many association items, such as a 1632 Shakespeare containing writing of Charles I, which had belonged to General Monk. He owned the first printed editions of most of the classics but, strangely enough, possessed not more than one hundred and fifty medical items. After the death of Askew his library was sold at an auction that lasted from February 13 to March 7, 1775. The catalogue was printed as *Bibliotheca Askeviana*,
---
28 See Barnes, Henry. On Anthony Askew, M.D., F.R.S. and his library. *Proc. Roy. Soc. Med.*, Sect. Hist. Med., 1916, 9, 23–27.
sive catalogus librorum rarissimorum Antonii Askew, M.D. Quorum auctio sint apud S. Baker & G. Leigh, in vico dico York Street, Covent Garden, Londini, die lunae 13 Februarii MDCCCLXXV. in undeviginti sequentes dies. Entries were arranged in four alphabetical sequences, English, French, Italian and Spanish, and Greek and Latin. There were 3,570 numbered lots containing “the best, rarest and most valuable collection of Greek and Latin Books that were ever sold in England.” The French bookseller De Bure, George III, Dr. William Hunter, the British Museum, the Bodleian Library, and Cambridge University made extensive purchases. A priced sale catalogue in the University of London Library indicates the sum of money paid for various items, the total sum amounting to £3,993. os. 6d.
Askew was renowned for his hospitality and consorted with scholars from all over the world. He succeeded to the gold-headed cane which had previously been carried by John Radcliffe and Richard Mead and was to pass to William Pitcairn and Matthew Baillie before being presented to the College of Physicians by the widow of the last named.\textsuperscript{24}
St. Bartholomew’s Hospital has had intimate connection with book collectors up to the present day, and although we cannot deal in any detail with contemporary collections, such as that magnificent, well-selected, and beautifully preserved library belonging to Mr. Geoffrey Keynes, Consulting Surgeon to the Hospital, we must mention that formerly owned by Sir D’Arcy Power (1855–1941). This library was auctioned shortly after his death, a catalogue having been prepared by Messrs. Sotheby & Co. as \textit{Catalogue of valuable books, manuscripts, autograph letters, etc., comprising the property of Sir D’Arcy Power, [etc.], 1941}. This reveals numerous early texts on medicine and surgery, together with valuable bibliographical tomes, but many of the items were eventually sold in a street market. Sir D’Arcy was a staunch Bart’s man, intimately connected with the Hospital from the time of his entry as a student in 1878 until his death. A successful surgeon, he will be more prominently remembered as a historian of medicine, his writings on that subject being both scholarly and absorbing.
It is interesting to record the association of these figures with one institution and to note their relationship with each other. Probably bibliomania \textit{is} infectious, for did not Sir William Osler transmit it to several of his contemporaries, including Harvey Cushing who was, incidently, a Bart’s man by adoption, having been elected a Perpetual Student in 1922.
\textsuperscript{24} See [MacMichael, William.] \textit{The gold-headed cane}. William Munk, Ed. London, 1884. |
Good Continuation in Layers:
Shading flows, color flows, surfaces and shadows
Ohad Ben-Shahar
Computer Science
Ben Gurion University
Israel
firstname.lastname@example.org
Andreas Glaser
Applied Mathematics
Yale University
New Haven, CT 06520-8285
email@example.com
Steven W. Zucker
Computer Science
Yale University
New Haven, CT 06520-8285
firstname.lastname@example.org
Abstract
We extend the concept of good continuation in a uniform fashion from boundaries to shading, hue, and texture. Each has the property that local measurements yield an orientation, which we explicitly establish for hue using geometric harmonic techniques. Good continuation arises in a geometric sense, because these orientations all vary smoothly in an appropriate sense. Thus they correspond to flows. Taken together they define a layered set of flows, in the sense the “horizontal” computations within each flow provide global consistency while “vertical” computations across flows enable the identification of shading and shadowing and different types of edges. Evidence is reviewed that primate visual systems enjoy such an organization.
“...space and color are not distinct elements but, rather, are interdependent aspects of a unitary process of perceptual organization.” Kanizsa [17]
1. Introduction
Image segmentation is normally taken to be that process of partitioning the image into a complete cover of non-overlapping regions, with the boundaries of these regions related to the (projected) boundaries of objects in the world. One source of complexity in this process is shadowing, by which image intensities vary both as a function of surface orientation (e.g., shading) and as a function of light sources (e.g., cast shadows). Land’s retinex theory [19] suggested one way to manage this complexity, by ascribing abrupt image changes to material (or reflectance) discontinuities and smooth gradient changes to lighting. This developed into the intrinsic image concept [30], which emphasized that surface properties, geometry, and lighting all map into the image, and suggested representing them separately as images. Undoing this map clearly involves an inverse problem, which requires a model of some sort. One possibility is to try to learn the context of every possible measurement, a type of pseudo-inverse [28]. Here we extend the notion of context in a different way, by considering natural images such as those in Fig. 1. Notice how space/reflectance, and lighting conspire together. We seek to find a representation rich enough to support unwinding this.
The first requirement for such a representation is that it be rich enough to capture the above phenomena. But unlike special purpose algorithms applicable in one situation (e.g., [16, 13]), our second requirement is that it be general purpose. That is, the information that it makes explicit must support computations for unraveling many such phenomena.
We do not yet have a formal solution to this problem that we can prove is complete. Instead, and consistent with the goals of this Workshop, we develop an argument based on a neurobiological analogy, several steps of which have been formalized and are complete. The demonstrations in the final section of this paper involve phenomena beyond the current capability of any single existing algorithm, and provide counterexamples to many. Constructively, however, we submit that any final solution will have an intermediate representation at least as rich as the one we describe. Thus we see the contribution of this Workshop submission as consisting of (i) an enlargement of the framework for perceptual organization informed by (ii) the rich foundation for perceptual organization in primate visual systems.
The core of our argument is that good continuation applies to several key domains: boundaries, intensity (shading); hue; texture; saturation, and so on, all of which enjoy a certain differential geometric structure. It is this structure that relates to the Gestalt notion of good continuation. Computationally we propose a layered representation—similar in spirit to intrinsic images [30]—but different in
that all share the property that they are flows in a technical sense. This is what we meant by layered flows implied in the title, and computations across these flows then reflect subtle lighting, surface, and space interactions.
Fig. 1 illustrates this point in several different domains (see also [3]). Apples are not a single color; rather, fruits mature differentially and this is reflected in their pigmentation. Attempts to remove these slow variations as lighting are one reason why lightness and color constancy algorithms have problems. Atmospheric depth effects impose a blue tint with distance because of increased scattering and in spite of surface reflection effects. Mutual illumination and color bleeding mix everything.
We approach the lift of these images into layered flows in two stages, both of which are mathematical but motivated by biology. We concentrate on one flow (from the color pathway) because, as will become clear below, the others fit naturally into our framework and are more widely discussed in the literature. Specifically, we first consider the question of how to represent color information as a dimensionality-reduction problem, which leads formally to intensity-hue-saturation coordinates at each point. This is important for us, because it suggests that there is more to color processing than simple detection tasks (consider: locate a red fruit among green foliage [27]) for which the standard cone pigments are tuned. We next consider (hue) interactions between points and adopt a technique previously used to denoise color patterns to articulate the flow of hue across image coordinates. The resultant computations are then run on the examples in Fig. 1.
2. Representation of Color at a Point
Take as data the Munsell patches considered as points in wavelength space. While wavelength-space is rather high-dimensional, our strategy is motivated by the observation that colors are not randomly distributed throughout wavelength space, but rather occupy only a small portion of it. One possibility, suggested by the visual photopigments in primates, is that this structured space of colors is 3-dimensional. While this is a classical view of color, many of the classical algorithms have been modified in an ad hoc fashion to take account of non-linearities among colors (e.g., Multi-Dimensional Scaling). For this reason we use a new algorithm ([10, 11]) derived from the geometric harmonics (reviewed below) that can handle inherently non-linear data. It is in the class of spectral methods, and is related to [4].
2.1. Geometric Harmonics
Let $X = \{x_1, x_2, ..., x_N\}$ be the set of data points, in this case Munsell patches, with each $x_i \in R^n$. We seek to find a projection of these data into much lower dimension, under the assumption that they are not randomly distributed throughout $R^n$ but rather that they lie on (or near) a lower-dimensional manifold embedded in $R^n$.
The structure of the data are revealed via a symmetric, positivity-preserving, and positive semi-definite kernel $k(x, y)$, which provides a measure of similarity between data points. The result is a graph, with edges between nearby (according to the similarity kernel) data points. (The similarity value can be truncated to 0 for all but very similar points.)
From this we construct a diffusion kernel $a(x, y)$ on the data set using the weighted graph Laplacian normalized as follows:
$$a(x, y) = \frac{k(x, y)}{\nu(x)},$$
where $\nu = \sum_{y \in X} k(x, y)$. Note that, although symmetry is lost, we do have $\sum_{y \in X} a(x, y) = 1$ so the kernel $a(x, y)$ can be interpreted as the transition matrix of a Markov chain on the data $X$. The kernel $a^{(m)}$ of the $m^{th}$ power of this matrix then represents the probability of getting from $x$ to $y$ in $m$ steps.
If we now define the averaging operator for a function $f$ defined on the data:
$$Af(x) = \sum_{y \in X} a(x, y)f(y)$$
then $A$ admits a spectral theory. To develop this we symmetrize $a$ by:
$$\tilde{a}(x, y) \equiv \frac{\sqrt{\nu(x)}}{\sqrt{\nu(y)}}a(x, y)$$
which makes $\tilde{a}$ symmetric and positive semi-definite (although no longer row-stochastic). The spectral decomposition is then given by $\tilde{a} = \sum_{i \geq 0} \lambda_i^2 \phi_j(x) \phi_j(y)$ with the important consequence
$$\alpha^{(m)}(x, y) = \sum_{i \geq 0} \lambda_i^{2m} \phi_j(x) \phi_j(y)$$ \hspace{1cm} (4)
where $\lambda_0 = 1$.
Increasing powers of the operator $A$ can be obtained by running the chain through the spectral decomposition. This gives rise to the family of diffusion maps $\{\Phi_m\}_{m \in N}$ given by
$$\Phi_m(x) = \begin{pmatrix} \lambda_0^m \phi_0(x) \\ \lambda_1^{2m} \phi_1(x) \\ \vdots \end{pmatrix}$$ \hspace{1cm} (5)
Diffusion distances $D^2_m(x, y) = \tilde{a}^{(m)}(x, x) + \tilde{a}^{(m)}(y, y) - 2\tilde{a}^{(m)}(x, y)$ within the high-dimensional measurement space then approximate Euclidean distance in the diffusion map space.
### 2.2. The Munsell Color Space
The Munsell [22] patches were chosen according to human psychophysics, with each step between patches perceptually equal, and they are now known to be physiologically relevant [31, 29, 15]. Thus they represent data spanning those portions of color space relevant to our interactions with the visible world. We now seek to understand whether these data lie on or near a well-defined structure in wavelength-space.
Two experiments were performed. We used $N = 1269$ patches, each with $n = 421$ wavelengths (380nm - 800nm in 1nm steps). The kernel is $\exp(-d_{ij}^2/\sigma)$ where $d_{ij}$ is the Euclidian distance between patch $i$ and patch $j$. While the patch data are given in no particular order, the geometric harmonic map arranges them so that patches are close to one another provided the diffusion distance between them in wavelength space is small. The results are shown in Fig. 2. Note that the natural representation emerges—intensity, hue, saturation—even though the hue (color circle) is non-linear. The diffusion maps recover the Munsell representation, thus demonstrating that the structure is in the wavelength data. In the second experiment we first projected the wavelength data through the three human cone photopigments; and again the color circle emerged (Fig. 2, bottom).
### 3. Spatio-spectral Interactions
Now that we know there is a preferred representation for color at a point, we next consider the question of how colors interact between nearby points. We first observe that the primate visual system is well organized to address this problem. While it is widely accepted that perceptual organization is first accomplished via the long-range horizontal connections in superficial V1, consideration of these connections has been limited to orientation good continuation for boundaries ([24, 1, 2]) and textures ([7]). However, there exists a specialized structure for color (and contrast) information in the cytochrome oxidase blobs, within which neurons also enjoy long-range horizontal interactions (Fig. 3 [32]). We submit that it is precisely these connections that implement a geometry for hue (and color) that is formally analogous to that for texture[7] and shading [9, 21] flows. A sketch of this geometry is developed next. The extension to include boundaries is in [5].
 Geometric harmonics organize Munsell color patches. **(top row, left)** Typical ‘page’ of the patch data used in the experiment. Data from [http://spectral.joensuu.fi/databases/colorology/munsell.html](http://spectral.joensuu.fi/databases/colorology/munsell.html). **(right)** Channel intensity, hue, saturation color space. Note that hue is organized around the circle. **(middle row)** The geometric harmonic organization of the Munsell data. Each point represents a single patch, and the scatterplots show the distribution of points in the subspace spanned by the first three non-trivial eigenfunctions. Two views are shown, with **(left)** illustrating different clusters according to the Munsell chromaticity parameters and **(right)** a view showing the hue circle. That this non-linear organization of the data is recovered by geometric harmonics is significant because it provides the foundation for the next, geometric stage of processing. **(bottom row)** Organization of the Munsell data first projected through the three human cone photopigments. Since the two views are essentially the same as **(middle)**, the Munsell representation is largely invariant to the order of projection.
Figure 3. The cytochrome oxidase blobs in superficial primate visual cortex are specialized for the processing of color. The (left) figure shows the blobs selectively stained to highlight their locations regularly interspersed between orientation hypercolumns. (right) When single cells are filled with dye, their long-range connections become clear. Note how axons tend to terminate within (or near) other cytochrome oxidase blobs (drawn in outline). We submit that it is these long-range connections that enforce “good continuation” between hues at nearby positions. Images courtesy of E. Callaway, Salk Institute.
3.1. Geometry of Hue Fields
Within the (intensity, hue, saturation) color space, the hue component across the image is a mapping \( \mathcal{H} : \mathbb{R}^2 \rightarrow S^1 \) and thus can be represented as a unit length vector field over the image. In many images this hue field is piecewise smooth (Fig. 4) with singularities corresponding to significant scene events (e.g., occlusion boundaries or material changes).
The frame field [23] obtained by attaching a (tangent, normal) frame \( \{E_T, E_N\} \) to each point in the image domain is the representation suggested by modern differential geometry. This provides a local coordinate system in which the hue vector and related structures can be represented. Most importantly among these are the covariant derivatives of \( E_T \) and \( E_N \), which represent the initial rate of change of the frame when it is moved in a direction \( v \) expressed by the connection equation [23]:
\[
\begin{pmatrix}
\nabla_V E_T \\
\nabla_V E_N
\end{pmatrix} =
\begin{bmatrix}
0 & w_{12}(V) \\
-w_{12}(V) & 0
\end{bmatrix}
\begin{pmatrix}
E_T \\
E_N
\end{pmatrix}
\]
(6)
The coefficient \( w_{12}(V) \) is a function of the tangent vector \( V \), which represents the fact that the local behavior of the flow depends on the direction along which it is measured. \( w_{12}(V) \) is a linear 1-form, so it can be represented with two scalars at each point:
\[
\kappa_T \triangleq w_{12}(E_T)
\]
\[
\kappa_N \triangleq w_{12}(E_N)
\]
(7)
We call \( \kappa_T \) the hue’s tangential curvature and \( \kappa_N \) the hue’s normal curvature – they represent the rate of change of the hue in the tangential and normal directions, respectively.
Since the local behavior of the hue is characterized (up to Euclidean transformation) by a pair of curvatures, it is natural to conclude that nearby measurements of hue should relate to each other based on these curvatures. Put differently, measuring a particular curvature pair \( (\kappa_T(q), \kappa_N(q)) \) at a point \( q \) should induce a field of coherent measurements, i.e., a hue function \( HUE(x, y) \), in the neighborhood of \( q \). Coherence of \( HUE(q) \) to its spatial context \( HUE(x, y) \) can then be determined by examining how well \( HUE(x, y) \) fits \( \tilde{HUE}(x, y) \) around \( q \). Clearly, this should be a function of the local hue curvatures \( (\kappa_T(q), \kappa_N(q)) \), it should agree with these curvatures at \( q \), and it should extend around \( q \) according to some variation in both curvatures.
While many local coherence models \( HUE(x, y) \) are possible, we exploit the fact that the hue field is a unit length vector field which suggests that it behaves similarly to oriented texture flows [6, 7] and adopt a similar curvature-tuned local model.
\[
\tilde{HUE}(x, y) = \tan^{-1} \left( \frac{\kappa_T(q)x + \kappa_N(q)y}{1 + \kappa_N(q)x - \kappa_T(q)y} \right).
\]
(8)
Unlike texture flows, however, the local model for the hue function is not a double helicoid since the hue function takes values in \([ \pi, \pi )\) where texture flows are constrained to \([- \frac{\pi}{2}, \frac{\pi}{2})\).
This local model possesses many properties that suit good continuation; in particular it is both a minimal surface in the \((x, y, \tilde{HUE}(x, y))\) representation and a critical point of the \(p\)-harmonic energy for all \( p \). It is also the only local model that does not bias the changes in one hue curvature relative to the other, i.e., it satisfies
\[
\frac{\kappa_T(x, y)}{\kappa_N(x, y)} = \text{const} = \frac{\kappa_T(q)}{\kappa_N(q)}.
\]
Examples of the model for different curvature tuning is illustrated in Fig. 5. A detailed technical account of the model in the texture flow domain can be found in [7].
4. Examples of Flows
We now illustrate the above computations on several examples. We begin with artificial ones, to illustrate the points most clearly, then proceed to natural ones to illustrate the complexities that arise.
We stress that, for space reasons, some of these flows are not visible unless one zooms in to enlarge the manuscript.
In the first Fig. 6, we show one of the few examples from the psychophysical literature. In an important paper, Kingdom [18] created images consisting of superimposed sinusoids, one in brightness and the other in color. He demonstrated that it is the intensity component that drives the impression of shape-from-shading, while the color information appears “painted” onto the undulating surface. We reproduced this separation with our flows, from which it follows that the shading flow is sufficient (for these examples) to derive the shape.
Figure 4. Color images of natural objects are piecewise smooth and the hue flow captures this. (A) An apple with varying hue. (B) A representation of hue as a scalar field, with value corresponding to height. (C) The hue field, with each value represented as a vector pointing to location on the hue circle. (D) The geometry of the hue flow, illustrating that nearby values can be represented as a differentiable frame field that is tangent (and normal) to the streamlines of the flow. Interactions between nearby hue values then correspond to an (infinitesimal) transport of the frame in direction $V$, which rotates it according to the connection form of the frame field. Since $E_T, E_N$ are unit length, their covariant derivative lies in a normal direction, regardless of $V$. This diagram also suggests a relationship between hue and texture and shading flows.
Figure 5. Illustration of the different types of compatibility fields that can be used for early forms of good continuation. In each case the central unit is supported by the contextual arrangement of surrounding units, and can be used as the constraints within quadratic programming, relaxation labeling, and belief propagation engines. (top) For boundary continuation, the orientation at a position is enhanced by consistent tangential (co-circular) boundary measurements at nearby positions [24, 14] (middle) For oriented texture measurements, both tangential and normal curvatures arise. Similar models can be used for shading flows, which are the tangent fields to the intensity level sets [8]. (bottom) For hue flows the orientations are replaced by colors. In the first column zero curvature continuations are shown. In the last column, a single large curvature is shown. For the texture and hue compatibilities, the tangential curvature is zero and the normal curvature is not. Note the emergence of singularities.
The shading flow is estimated by evaluating a gradient operator (an orientationally-selective receptive field tuned to low spatial frequency) over the image. It demonstrates one role for the long-range interactions: correcting local artifacts in shading flow estimation.
Our next examples (Fig. 7) on artificial images confirm the classical view that color remains invariant across shadows while shading effects surface percepts [25]. This is most clear in the plastic sphere, and the same effect is reproduced in the Google logo, which appears both 3-dimensional and colored. However, unlike the plastic sphere, there are no mutual illumination effects.
The next examples show how hue can vary over a natural object. Fig. 4 shows the hue flow for an apple, and Fig. 8 is a close-up of a woman’s face in which a blush has been introduced. Note in particular how variant the “color” is, a point of some relevance to both face identification and emotional estimation. Hue can also vary systematically over a scene. Atmospheric depth scattering is shown in Fig. 9.
Our next two examples illustrate the beautiful complexity of shading, hue, and boundary interactions. The first shows an apple photographed on a highly reflective surface in bright sunlight (Fig. 10). The flows are varied with respect to one another and with respect to the boundaries (of both the apple and the shadow). In particular, the mutual illumination modulating the shadow [20] introduces a smooth shading flow not unlike the one for the plastic sphere or the Kingdom examples but this time due to a lighting effect and
Figure 6. Results on the test Kingdom images. Note how both provide the impression of an undulating surface with color on it. The left column is Kingdom Fig. 2d; the right column is Kingdom Fig. 2c. From top to bottom: original images; initial estimate of shading flow (tangents to intensity level sets); final estimate of shading flow; initial estimate of hue flow; final estimate of hue flow. The shading flow corresponds to the undulations; the hue flows are smooth and do not interfere with them.
not a surface normal effect. The mutual illumination effect is also strong on the bananas image (Fig. 11), which also illustrates a shading flow effect due to a highly diffuse cast shadow. In this case the cast shadow phenomenon is readily identified, because the hue flow is constant across it.
Our final example (Fig. 12) illustrates the complement to shading and hue; notice how the hue remains invariant through the highlight, even though it is a complex pattern for the pepper.
5. Summary and Conclusions
Perceptual organization was viewed within Gestalt psychology as pervasive in perception, but discussion of such issues in computer vision is significantly more limited. Our goal in this paper was to take a step back and raise the profile of questions for which P.O. is relevant. Following a biological analogy, we introduced the construct of multiple (spatially) aligned flows within which Gestalt good continuation can be enforced geometrically but between which information can be inferred about the many complexities of lighting, space, and geometry. The computation of each flow was global, based on local measurements and differential (covariant derivative) constraints between them. At the same time the computation of each flow was local within an information (sometimes within a sensor) source, and logical relationships between flows provide a new foundation for...
Figure 9. Hue fbws and atmospheric depth effects. The fbw is shown along a thin strip on the right side of the photograph. Note the dominant shift toward blue for the upper half.
Figure 10. An image of an apple on colored cardboard in bright sunlight. It illustrates the complexities that can arise both for shading due to surface irregularities from packing and from mutual illumination. In particular, the shaded area now exhibits a shading fbw derived from mutual illumination, in which the gradient decreases in magnitude away from the concavity between the apple and the table. At the same time, there is strong mutual illumination between the apple and the cardboard and the cardboard and the apple. The result are smooth shading and hue fbws, with discontinuities at neither object nor shadow edges.
While the list of interactions must be extended (motion and stereo should at least be included), it is useful to conclude on an enlargement of the biological metaphor underlying this paper. The centrality of long-range horizontal connections as defining each flow suggests that the flows be layered on top of one another, enabling “vertical” connections for their interactions. Recent breakthroughs in color processing demonstrate that hue and orientation are not independent, as was once thought, and that such vertical connections exist [26]. Computationally it remains an open question whether only two interaction “dimensions” suffice.
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In a community, policymakers must be able to reconsider recommendations by scientists. In this high-profile case, Jason Corburn shows the ways that local communities can use their own knowledge and values to achieve better solutions for environmental justice. The low-income community in Brooklyn to deal with pollution, and his work for understanding “street science”—the knowledge and practices of local residents—and contributes to environmental justice.
Corburn looks at four instances of how community members and professionals have used street science: fishing from the polluted East River, the effects of lead poisoning, and local sources of air pollution. He explores the limits of street science and demonstrates how to work effectively when working with scientists. Street Science reveals other kinds of information and knowledge.
Jason Corburn is an associate professor of International and Public Affairs and the director of the Center for Urban Policy Research at the School of Architecture, Planning, and Preservation at the University of Pennsylvania. He is also an environmental planner with the New York City Department of Environmental Protection.
“Street Science has had a huge impact on me, and it’s been years since I read it. It’s a great book. This is an amazing volume, and one that I will be recommending to my students.”
—Michael R. Bloomberg, Dean, School of Public Health, University of Pennsylvania
“Street Science shows how inquiry, and organizing can extend the reach of science beyond the lab or the classroom. Jason Corburn’s environmental and health research, and the search for environmental justice.”
—Robert B. Jackson, Director, Environmental Studies Program, Environmental Science and Policy Program, and Director, Regional Planning, Cornell University
“Street Science expands the literature on environmental justice by showing how community-based knowledge contributes to scientific inquiry. It is essential reading for community activists and professional scientists alike.”
—David J. Dzubay, Professor of Environmental Studies, University of California, Santa Cruz
“Street Science is a book about a community that actively investigates local health problems and seeks solutions. But this is a messy and imprecise process, and it is not always successful. Corburn’s rich and insightful book will help us all expand our understanding of how community residents can successfully seek a second opinion.”
—Richard S. Baron, Professor of Environmental Health, Harvard School of Public Health
Street Science: Community Knowledge and Environmental Health Justice
Jason Corburn
while they are simultaneously committed to democratic, participatory decision making. The chapter reviews, engages, and critiques the key conceptual debates over this tension in the policy sciences, public health, and risk literatures. It highlights how decision makers miss information that can improve scientific outcomes and the fairness of decision making when they fail to account for what populations living with a hazard already know.
Chapter 2, Street Science: The Characteristics of Local Knowledge, provides a detailed introduction to and definition of what I mean by *local knowledge* and how it acts as the foundation of a form of scientific inquiry that I call *street science*. The chapter includes three vignettes from environmental-health conflicts around the world describing how lay people have used their knowledge to improve environmental-health problem solving. The chapter provides examples of street science, reveals how local knowledge differs from that of professionals, and highlights the general characteristics of local knowledge that make it a useful category for environmental-health decision making.
Chapters 3–6 present four “street science episodes” from the Greenpoint/Williamsburg neighborhood. They all describe the benefits and limits of the street-science process in different environmental-health decision-making contexts.
The last chapter, Street Science: Toward Environmental Health Justice, draws the key policymaking lessons for street science, pulling from the four episodes. It suggests how street science confronts inequitable distributions of power in the science-policymaking process and some conditions that make the street science of community members successful with professionals. It includes a discussion of the epistemological contribution local knowledge makes to environmental-health decision making. The book concludes with recommendations for community members seeking environmental-health justice and for professional practitioners committed to technically sound and democratically robust problem solving.
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1
**Local Knowledge in Environmental Health Policy**
**The Tensions between Communities and Professionals**
How do environmental-health professionals typically deal with a situation like the controversy over air quality and public health after the World Trade Center collapse described in the introduction? Typically, environmental health seeks to identify the specific pollutants in the medium of concern. In this example, scientists attempt to delineate the individual toxins in the air. Once the pollutants are identified, they are assessed for their toxicity, or their potential danger and deleterious effects on humans generally. Next, each individual pollutant identified is assessed for its potential impact on humans exposed to the air pollution from the World Trade Center. Determinations of human-health impacts in a specific place generally include assumptions about the routes of exposure (e.g., inhalation in the case of air pollution), how much pollution certain groups are inhaling (e.g., children versus construction workers), and how long certain groups are exposed. The toxicity information and the exposure assumptions are combined to estimate the human-health risk from each individual pollutant contained in the World Trade Center air. This process of identifying each hazard and its toxicity to humans, estimating an individual’s exposure to the hazard in a particular place, and extrapolating from this information an estimate of potential harm, is called *risk assessment*.
Risk has been the dominant frame through which environmental health is analyzed in the United States for at least the last thirty years (Fiorino 1989). Risk, and its correlate risk assessment, implies that a problem can be clearly defined, quantified, and therefore managed. Once
some version of health risk is generated, the “benefits” from the source of the pollution or hazard are weighed against the pollution’s “costs” to human health. At this stage, policy analysts and planners are charged with the often inevitable task of “risk management,” or deciding how to weigh “costs and benefits” and inform policymaking.
In the best risk-management processes, the analyst consults with the public that is being asked to bear a “risk” from the beginning of the hazard assessment (Krimsky and Plough 1988). However, more often analysts—perhaps feeling that professional training gives them ultimate discretion to carry out and implement decisions—omit the public from the decision-making process. Additionally, the analysts may find it difficult to divine what the scientists really found in their study, how the legislature, governor, or mayor wants the “costs and benefits” to be interpreted and administered, and what course is consistent with the “public interest.” The analysts may feel that their agency is “captured” by private interest groups that are seeking to influence the analysis and any resulting regulation (Lowi 1969). The “captured agency” then might substitute private goals for those of the public at large because the constituency opposing the private sector may not be organized, the agency may rely on the private sector for resources necessary to implement particular programs, or because of the powerful influence industry has in local, state, and national politics.
In the midst of these potentially conflicting interests, the analysts or planners often decide that the tacit operating rule is that the best public is a quiescent one. The analysts might desire to faithfully represent the values and interests of citizens but be unsure what “representation” actually entails. They may ask whether political representation requires that an agency allow local people to participate in analyses and decision making. Recognizing that the success of environmental-health policy is often contingent on the willingness of ordinary citizens to accept the validity of official policy framings, the analysts might hold a public hearing. Hearings tend to open up to unlimited critical scrutiny expert findings that were generated in closed worlds of formal inquiry. These processes are often recipes for unending debate and spiraling distrust, leaving most participants unsatisfied and frustrated that, for instance, technical uncertainties were left unresolved. Thus, the planners may be torn between holding a public hearing that might merely act as a forum to placate the demands of competing special interests groups or organizing some other public process that they have no experience in managing. Public officials, unsure of how to deal with these tensions and competing commitments, often try to work quietly, get the job done without disturbing the public “peace,” and then often reassure everyone “out there” that there is no reason to be concerned or involved (Reich 1988, 124).
This description might oversimplify the risk-management process, but it highlights some of the tensions environmental-health professionals face when determining how best to use scientific analyses while simultaneously committing to democratic decision making. One way to resolve this tension is to return to and challenge the “risk framework” that tends to dominate environmental health. In the risk frame, certain types of evidence and expertise are valued and other evidence and expertise is ignored. The risk frame tends to prefer formal and quantitative information and the participation of a select group of professionals trained in certain disciplines. For example, Jasanoff (1990) has noted how expert advisors in policymaking are chosen based on their technical competence, ability to construct “objective science,” and political independence and neutrality. Experts protect their authority to deal with the uncertain science of risk though a sociological mechanism known as “boundary work.”
Boundary work is a process where experts assign the array of issues and controversies lying between the two ideal typical poles of “pure science” and “pure policy” to one or the other side of the policy-science boundary (Gieryn 1995, 405). As Jasanoff observes:
When an area of intellectual activity is tagged with the label “science,” people who are not scientists are de facto barred from having any say about its substance; correspondingly, to label something “not science” [e.g., mere politics] is to denude it of cognitive authority. (Jasanoff 1990, 14)
As a result, risk-based problem framing and decision-making processes largely ignore evidence that is more informal, experiential, tacit, and explicitly value laden (Wynne 1996; Irwin 1995). Lay publics, even when granted “entry” into policymaking through formalized public hearings, are required to offer evidence in a “voice” or language that mirrors that of experts. As a result, the quantitative risk frame in environmental health puts lay publics at a disadvantage from the outset and limits their
ability to participate in and influence decisions when compared to scientists and other professionals.
Antecedents to Street Science
Attempts to bring local or lay knowledge into environmental health decision making are not new. From nineteenth-century Progressive Era reformers to 1960s and 1970s anti-toxics activism, today’s street scientists are building on ideas and community-based practices that emerged over a century ago (Gottlieb 1993). While taking slightly different approaches and being labeled everything from “shoe-leather epidemiology” to “people’s science,” community-based science has played a role in shaping environmental-health research and political action. Yet, even before Progressive Era reformers enrolled local knowledge to address the health problems afflicting the urban poor, public-health work in Europe highlighted the importance of considering the social and community aspects of health.
A series of studies in the mid-nineteenth century gave rise to modern movements for community-based environmental health. For example, one of the first modern epidemiological studies of neighborhood health was performed by Louis René Villermé, who used statistics to study Paris neighborhoods in 1840 and demonstrated a clear connection between ill health and neighborhood poverty. In 1848, Rudolf Virchow documented the social causes of a typhus epidemic in Germany. He is credited for linking the biologic, social, and economic underpinnings of health and emphasizing that medicine and public health fail when they ignore the plight of the poor and working class (Rosen 1993).
Perhaps most influential on American reformers was the 1842 publication of Edwin Chadwick’s *Report on the Sanitary Conditions of the Laboring Population in Great Britain*, and similar reports that soon followed documenting conditions in New York and Massachusetts (Duffy 1990). These reports stimulated the Sanitary movement in public health and highlighted how inferior living and working environments for the poor and immigrant populations were a key factor in their poor health (Melosi 2000). The Sanitary movement was part of a host of Progressive Era reforms that focused public-health interventions on cleaning up urban neighborhoods and workplaces (Duffy 1990). One of the most well-known reform movements of this time was the Settlement House movement, best exemplified by Hull House in Chicago, where reformers such as Jane Addams, Alice Hamilton, and Florence Kelley founded the modern epidemiologic methods of occupational and community health.
At the time Jane Addams founded Hull House in 1889, pollution in cities and the workplace was seen as a sign of progress and opportunity, not potential harm. In this context, the public-health work by the women at Hull House was revolutionary because it not only challenged this idea, but also because these reformers used research methods that included the lived experiences and knowledge of those experiencing the greatest suffering. The methods of reformers at Hull House applied the information gleaned from workers and community residents to more detailed investigations (Deegan 1990). An important aspect of their public-health philosophy was encouraging community residents to record and share their experiences with others in the community, the general public, and decision makers. As Jane Addams stated in her introduction to the classic 1895 work *Hull House Maps and Papers*:
The residents of Hull-House offer these maps and papers to the public, not as exhaustive treatises, but as recorded observations which may plausibly be of value, because they are immediate, and the result of long acquaintance. (*Hull House Maps and Papers* 1895, vii)
For Addams and others at Hull House, the knowledge community residents provided was a vital resource for both understanding and changing the unhealthy conditions of the urban environment.
Alice Hamilton, one of the first American specialists in the field of occupational disease and a long-term Hull House resident, pioneered the use of local knowledge to inform her work toward ameliorating common workplace hazards of the day, such as mercury poisoning of felt-hat workers and lead poisoning (Hamilton 1943). Refusing to see workers as appropriate guinea pigs for the discovery of the health effects of industrial chemicals, Hamilton listened to workers’ accounts of the workplace experience to help her hypothesize why certain occupations and industrial processes were hazardous (Hamilton 1943). While workers often were reluctant to talk out of fear of losing their jobs, Hamilton met them on their own time, visiting homes to conduct informal interviews and to listen to their stories.
of workplace horrors (Sicherman 1984). Hamilton’s style of fieldwork, which came to be known as “shoe-leather epidemiology,” helped her piece together dangers in the workplace that were routinely underreported by factory owners and physicians (Sicherman 1984).
Florence Kelley, another Hull House resident, also pioneered the use of local knowledge in environmental health investigations. Kelley, like Hamilton, took her investigations into the street and canvassed the neighborhood around Hull House to document hazardous living conditions. One of her major achievements was documenting the “sweating system,” or the dangerous garment-work women and children who lived in tenement houses performed (*Hull House Maps and Papers* 1895, 31).
The work of Addams, Hamilton, Kelley, and other reformers at Hull House aimed to understand how, in an unjust world, health is driven by social and economic inequalities. They understood that in order to change inequitable social conditions, one must first learn from the vulnerable groups how they described their suffering, because these stories hold clues about causes and effective interventions. These pioneers of local knowledge also encouraged the use of lay practitioners, such as midwives and sanitation inspectors, to supplement the work of physicians and engineers (Deegan 1990). Importantly, women were at the forefront of early community-based social reforms and, as chapters 3–6 show, continue to lead most street science investigations.
While the Progressive Era reforms continued through the early years of the twentieth century, the public support for this work waned as germ theory came to dominate public health. Germ theory held that specific agents of infectious disease exist, in particular microbes, and that these agents correspond one-to-one with specific diseases (Tesh 1988). Research and interventions driven by laboratory investigations of microbes quickly replaced the sanitary, social, and political reforms advocated by Progressive Era reformers. Public-health interventions focused on specific immunization plans, with physicians emerging as the new class of public-health professionals, leaving community organizers and lay people with little room to participate in this expert-centered discourse.
One important exception to this dynamic, where local knowledge was integrated into community health, was the neighborhood-health-center movement that emerged around 1910 but declined rapidly after World War I. Seeking in part to replicate the success of settlement workers, city governments began “demonstration projects” where health- and welfare-agency work was bought together and relocated “from city hall to the neighborhood” to better serve the neediest populations (Rosen 1985). The neighborhood health center aimed to replicate the values of “acquaintance” with “active participation” of the local population in delivering services that had proved so successful for the Settlement House movement (Bamberger 1966). Health centers were started in immigrant neighborhoods of Milwaukee and Philadelphia, the Mohawk-Brighton district of Cincinnati, New York’s Lower East Side, and the West End of Boston. A key component of all the health centers was the creation of block committees, which allowed residents to raise neighborhood-specific problems to the nurses, physicians, and other professionals staffing the center (Burnham 1920). According to Rosen (1985), in a radical step for the time, the health officer for the Lower East Side center was a Jewish physician who understood the people, their language, and culture.
The cessation of large-scale immigration during the war years, and accusations that the self-governing aspects of the health centers were a “Red plot” and “socialized medicine,” eliminated municipal support for neighborhood-based health programs (Rosen 1985). In addition, antagonism toward lay involvement in delivering health services by the American Medical Association helped eliminate funding for community-based prenatal and child health services provided for under the Sheppard-Towner Act of 1921 (Meckel 1990). By the 1930s lay participation in community-health issues was almost nonexistent because most epidemiologic investigations ignored social factors or treated them as nuisance variables in statistical models that focused on isolating germs. In the classic epidemiology framework of host-agent-environment, interventions focused on immunizing the “host” (e.g., individuals) because the “environment” (e.g., the world outside of microorganisms) was seen as harder to control.
While professionals increasingly adopted the biomedical model of disease—which attributed morbidity and mortality to individual behaviors, biology, and genetics—impoverished communities organized to address health issues with the help of organizations such as The Highlander Folk School, later renamed the Highlander Research and Education Center, in
Tennessee founded by Myles Horton (Horton 1971). Horton and the Highlander Institute brought local people together from impoverished communities in the Appalachian region to investigate and take action to change their conditions. Describing one meeting at Highlander, Horton recalled the power of local knowledge:
I remember they wanted to know about farm problems. They wanted to know about getting jobs in textile mills. They wanted to know about testing wells for typhoid. We discussed these things. To my amazement my inability to answer questions didn’t bother them. . . . That was probably the biggest discovery I ever made. You don’t have to know the answers. You raise the questions, sharpen the questions, get people discussing them. And we found that in that group of mountain people a lot of the answers were available if they pooled their knowledge. (Horton 1971, 16–17)
Highlander used a method called “popular education” to empower thousands of community members to collectively tap their own experiences and expertise to change social conditions. Many who attended Highlander, such as Rosa Parks, Ralph Abernathy, and Martin Luther King Jr., would return home to organize for civil, labor, economic, and human rights (Horton 1998).
As McCarthyism lost its sting by the late 1950s and 1960s, academic and social movements questioned previously unchallenged assumptions about science, namely its positivist claims of neutral fact-finding disassociated from social values. In academia, social medicine emerged as a legitimate field of inquiry, reintegrating social science ideas and notions of lay participation into medical research and practice (Porter 1997). The social movements of the 1960s also reengaged local people into the public-health discourse primarily by highlighting that despite rising prosperity and increased access to medical care, inequalities in health persisted for some, particularly for the rural and urban poor.
One example of a civil rights group reconnecting local and professional knowledge for community environmental health is the work of the Young Lords, a group of New York City Puerto Rican activists in El Barrio, or East Harlem. The Young Lords organized street cleanups after the sanitation department refused to collect neighborhood garbage for weeks. They convinced local professionals to train them to perform door-to-door lead-poisoning screening and tuberculosis testing (Abramson et al. 1971). The group started day-care programs in local churches, provided breakfast in neighborhood schools, organized tenants to demand housing improvements, and occupied a neighborhood hospital to highlight its inadequate service to the local population. Merging the social, political, and environmental aspects of health, the Young Lords combined local knowledge with professional techniques to address health disparities in their neighborhood (Melendez 2003).
Community mobilizations to address health disparities in the 1960s helped reinvigorate the movement for neighborhood health-centers that had begun fifty years earlier (Schorr and English 1974). Spurred on by the passage of Medicaid and Medicare in 1965 and the Office of Economic Opportunity’s Community Action Program (CAP), the neighborhood-health-center movement promoted the health and well-being of impoverished and medically underserved communities by building clinics, developing preventative programs based on team medical practices that involved local people, investigating the environmental causes of poor health, and not limiting their work to categorical disease programs (Hollister et al. 1974). While municipal and state health and welfare departments focused on treating individuals at several locations and departments, neighborhood health centers established “one-stop” locations for clinical and social services, establishing neighborhood institutions run by local people capable of linking existing community resources with newly decentralized governmental programs (Kotler 1969). Neighborhood health centers during this time included the Columbia Point Health Center in a public-housing development in Boston, the Tufts-Delta Health Center in the rural Mound Bayou in the Mississippi Delta, and the North East Neighborhoods Association Health Center in New York City’s Lower East Side (Geiger 1967).
During the same time period, a more general public interest in environmental health emerged after a series of highly publicized environmental disasters, such as the contamination of Boston Harbor and the burning Cuyahoga River. These events, combined with the 1962 publication of Rachel Carson’s *Silent Spring*, repopularized the nineteenth-century themes of linking industrial pollution and environmental health. The public trust that science was working in the public interest, so dominant in the first half of the twentieth century, had given way to skepticism, citizen action, and calls for new governmental regulations. As Gottlieb notes:
while an earlier critic of the chemical industry, Alice Hamilton, laid the groundwork for discussing environmental themes in an urban-industrial context, Rachel Carson, with the evocative cry in *Silent Spring* . . . brought to the fore questions about the urban and industrial order that a new environmentalism prepared to face. (Gottlieb 1993, 86)
This new environmental activism included community members engaging with and confronting expert views of environmental health hazards, particularly when the hazards were in one’s own backyard.
Perhaps the best-known precursor to street science is the grassroots environmental-health activism by residents of Love Canal and of Woburn, Massachusetts. The infamous case at Love Canal, New York, where a concerned mother named Lois Gibbs triggered nationwide interest in the link between landfill contamination and children’s health, is the now-classic story of residents organizing to perform and influence science. With the help of Dr. Beverly Paigen, a cancer researcher from Buffalo, Gibbs and other “citizen scientists” were trained to perform telephone and door-to-door health and environmental surveys. This community-driven research found elevated rates of disease but was dismissed by state health officials. Despite the professional rejection of their work, residents pursued, and through the Love Canal Homeowners Association they successfully convinced public officials and scientists to reexamine the environmental health issues in their community. By the summer of 1980 the state and federal government concluded that the neighborhood was unsafe and residents should be relocated.
The Love Canal controversy is an important example of a community struggling to grapple with unexpected health problems because it highlights the challenges local people, public officials, and scientists face when trying to understand the relationships between environmental exposures and health outcomes. Perhaps ironically, the intense scrutiny given to studies of Love Canal residents lead to more rigorous agency peer review, supposedly to ensure the integrity of studies. While at first glance appearing to open up science to public scrutiny, peer review affirmed the proposition that only scientists were qualified to judge the validity of work done by their professional peers. As Jasanoff has noted, self policing not only has enhanced the autonomy and social prestige of science, but it also has encouraged scientists to be accountable to standards considered acceptable by other professionals, not necessarily the general public (1985, 22).
On the heels of the Love Canal controversy another community concerned with sick and dying children, this time in Woburn, Massachusetts, organized residents to investigate the link between local pollution and illness. The story of Woburn citizens engaging in epidemiologic studies, and enrolling scientists from Harvard to help them, also is well documented (Brown and Mikkelsen 1990; Harr 1996). What this case revealed was that residents with no prior scientific training not only could competently engage in complex science, but that they had unique information about exposures and health outcomes that, when combined with traditional epidemiologic methods, could improve scientific inquiry. When a community organizes to enlist the methods and resources from professional epidemiologists and combines these with insights from residents, they are engaging in a process Brown and Mikkelsen have called “popular epidemiology” (1990, 2). When communities engage in science, inject their own knowledge, and reorient investigations, outcomes, and actions, they often are in the process of seeking environmental health justice.
**Environmental-Health Justice and Street Science**
The environmental-health-justice movement combines citizen activism and environmental-health problem solving with demands for civil and human rights (Bullard 1990; Di Chiro 1998; Cole and Foster 2000). While this book focuses on one community seeking environmental-health justice, similar communities around the world are engaging in *street science*, often forging research and action partnerships with outsiders, to address the problems they face. A brief review of some of this work suggests that my study of one neighborhood in Brooklyn is part of the larger movement for environmental-health justice across the United States.
In Los Angeles, Communities for a Better Environment (CBE) has organized poor Latinos to monitor air toxics and address children’s health. Partnering with researchers from the University of California, CBE activists formed a “bucket brigade” to take street-level air samples, to analyze these data according to local conditions, and to use these data to address respiratory-health issues facing local Latino children. These bucket brigades are groups of local activists that use a low-tech method
for taking air samples “on the street,” or where one breathes. CBE has used young people and other community members to take samples of toxic emissions from oil refineries in Contra Costa County. The brigades rely on local knowledge, such as reports of fouls odors, seeing or hearing a release from the plant, and reports of nausea, eye and throat irritation, or other health symptoms, in order to determine when and where to take samples.
In Boston another environmental justice organization, Alternatives for Community and Environment (ACE), is collaborating with professional scientists, including some from the Harvard School of Public Health, to address asthma and air pollution in the Roxbury section of Boston (Loh and Sugerman-Brozan 2002). ACE organized students to map neighborhood land uses and found 15 diesel bus and truck garages within one-half mile of an elementary school. The organization then tapped the knowledge of high-school students to count truck traffic at a neighborhood intersection and identified over 150 diesel vehicles passing through neighborhood streets every hour. Combing the knowledge of young people, their maps, and traffic surveys, ACE partnered with Harvard and the Northeast States for Coordinated Air Use Management to take particulate samples of their own, further documenting the air-pollution problem in their neighborhood. The street science of ACE activists has lead to a state-funded but locally operated comprehensive air-monitoring system, which provides hour-to-hour data on particulate matter pollution over the Web and via telephone.
In San Francisco, the People Organizing to Demand Environmental and Economic Rights or PODER, have organized low-income residents within the Mission District of San Francisco to address environmental, public health, and redevelopment concerns and to help build a land-use agenda within the larger environmental justice movement. As part of their involvement in the Mission Anti-Displacement Coalition, PODER and its members helped develop a grassroots, comprehensive plan for the Mission that was presented to the San Francisco Planning Commission, Planning Department, and Board of Supervisors in July 2003. PODER also has developed a model for EJ groups to partner with one another, and they helped coordinate a report entitled “Building Healthy Communities from the Ground Up: Environmental Justice in California” in coalition with Communities for a Better Environment and the Environmental Health Coalition, another EJ group located in San Diego.
In Albuquerque, New Mexico, the SouthWest Organizing Project (SWOP) and the Southwest Network for Environmental and Economic Justice (SNEJ), have collaborated with one another to organize residents in Veguita, New Mexico, to address water contamination issues. The organizations trained residents to test their drinking-water wells and perform a community survey of water and illegal-dumping concerns in the South Valley of Albuquerque. This work eventually convinced the U.S. Environmental Protection Agency (EPA) to issue a half-million-dollar grant to the local community and water district to plan, build, and maintain a water-distribution and sanitary-sewer system. SWOP also organized residents to perform air monitoring around the Intel Corporation’s Rio Rancho facility as a way to pressure the company to address environmental-health issues for workers and communities along the U.S.-Mexico border. SWOP is a unique EJ group because their partnerships span multiple issues (water and air quality, workers rights, globalization) and multiple constituencies (low-income, Latino/as, youth and elderly, immigrants).
The work of all these groups aims to combine environmental-justice organizing with issues of population health. Each group has forged a collaborative research partnership with one or a host of outside professionals to help them combine community knowledge and experience with professional methods of researching and documenting inequitable environmental-health burdens. When community organizations such as these, and the ones in Brooklyn described in this book, engage in the science of environmental health, they grapple not only with understanding complex environment–human health interactions, but also with how to create more democratic partnerships with scientific and political elites that have traditionally ignored their concerns.
**Democracy and Local Knowledge**
A fundamental aspect of environmental-health justice is the creation of more democratic partnerships between professionals and the public. This ongoing challenge was perhaps best articulated by John Dewey, in his
1954 work *The Public and Its Problems*, where he highlighted the struggle or “problem” of engaging a citizenry in political processes increasingly dominated by technically elite professionals. Dewey’s response was a division of labor; experts would analytically identify problems and citizens would set a democratic agenda for addressing them. The central challenge for Dewey was to devise methods and conditions of public debate, discussion, and persuasion where experts and citizens could integrate their knowledge and understandings. He called for participatory processes to increase the democratic character of decisions, where experts were not asked to judge the efficacy of particular policies, but to act as “interpreters and teachers” to help citizens debate in a way that would reflect the “public interest” (Dewey 1954).
While Dewey’s analysis remains important for understanding the democratic challenge presented by street science, his analysis did not fully anticipate the influence of the specialized analyst, operating largely removed from any public discourse, on public policy. Nor did Dewey find the information and knowledge that experts (or lay people for that matter) have problematic; science and expertise for Dewey offered a body of facts and methods that only entered the rhythms and influences of politics at a later stage. Finally, Dewey focused on the optimal procedural conditions for reciprocal dialogue among scientists and lay people, but he did not fully anticipate that the content of the scientist-lay conversation might be problematic; scientists may be unable to translate their information into the ordinary language of everyday practice and publics may be unable to translate their knowledge into the specialized language of science. Thus, the rise of the professional analysts, or technocrat, and an uncritical faith in science as facts and truths, are key components for understanding why professionals tend to ignore community knowledge in environmental-health decision making.
**Technocrats, Science, and Local Knowledge**
Theda Skocpol, in her book *Civic Engagement in American Democracy*, notes that “today’s professionals see themselves as experts who can best contribute to national well being by working with other specialists to tackle complex technical and social problems” (1999, 495). Skocpol continues that these privileged professionals no longer see their role as “working closely with and for non-professional fellow citizens” or helping to lead “locally rooted” associations for problem solving. The view that public problems ought to be analyzed by a group of autonomous, highly trained and specialized professionals, who offer their dispassionate findings to decision makers, is partially rooted in the belief that facts and values can be separated easily. The positivist view of neutral fact-finding as informing value-laden politics remains a powerful decision-making model in environmental politics (Fischer 2000; Habermas 1970). Perhaps most influential in this view is that one form of rationality has come to dominate environmental politics—where science is the only legitimate form of expertise. Technocrats argue that experience in a given area and training in the specialized collection and systematic analysis of information allow them as professionals to tackle issues with neutrality and dispassionate objectivity (Benveniste 1972).
Yet, political scientists have regularly challenged the technocratic model. For example, Charles Lindblom and David Cohen, in their polemic 1979 book *Usable Knowledge: Social Science and Social Problem Solving*, argue not only that has social policymaking relied too heavily on professionals, but that professional knowledge has not contributed any more than ordinary knowledge to social problem solving. In their strong claim, Lindblom and Cohen (1979) argue for *useable knowledge*, as opposed to the professional knowledge that dominates modern policymaking. The problem with professional knowledge is that it has not delivered on its promise of making better, more efficient, cheaper, more fair or more just social decisions. Nor have the policy sciences contributed a great deal, they argue, to solving some of our most pressing social problems. Lindblom and Cohen (1979) argue for a reintegration of “ordinary knowledge” into policymaking in order to make it more responsive to the needs of the public and to remove the barriers between professional policymakers and citizens.
According to policy analysts like Linblom and Cohen, professionals should not be entrusted to speak for lay publics, especially concerning complex environmental-health controversies. Richard Sclove echoes these concerns in his 1995 book *Democracy and Technology*. Sclove claims that professionals are ill-suited to ensure that science and technology serve democracy because experts normally are more preoccupied
with the mechanisms of science and not its structural bearing on society. Sclove also notes that since “experts enjoy a privileged position within today’s inequitable political and economic structures, they tend to share with other elites an unstated, and usually quite unconscious, interest in suppressing general awareness of technologies’ public, structural face” (1995, 50–51). Additionally, since scientists often have similar backgrounds, professionally socialize, and tend to acquire specialized competence at the expense of integrative knowledge and experience, they are unrepresentative of the “public” and should not be expected to understand or communicate the everyday knowledge of lay people.
Clearly, scientific and technical professionals hold important contributions for environmental-health problem solving, but they alone cannot be expected to ensure science and its results serve the larger society, particularly the least well-off. Lay people often are in a better position than professionals to make judgments over the democratic character of science because they experience how science impacts their everyday lives, from the repetitive mechanical tasks on the factory floor, to navigating inadequate mass-transit systems, to substandard housing and inferior medical care. Thus, to be scientifically and technologically “literate” is to have knowledge and experience not only about a technology’s internal principles of operation, but also about how it influences democracy and social justice within the context where it is deployed (Nelkin 1984). Lay people are not only well-situated for this task, they are often more knowledgeable than professionals and therefore ought to be considered “local experts” in their own right.
The Co-Production of Expertise
Since both professionals and lay people have “expert” contributions to make to environmental health decisions, we might think about expertise as being “co-produced.” Jasanoff and Wynne (1998) refer to “co-production” to describe the interdependence of scientific knowledge and political order. As mentioned above, in the co-production model, scientific knowledge and social order evolve jointly; science is understood as dependent on the natural world, as well as on historical events, social practices, material resources, and institutions that contribute to the construction, dissemination, and use of scientific knowledge. Political decision making, in the co-production framework, does not take “scientific knowledge” as a given, but seeks to reveal how science is conducted, communicated, and used. The co-production model problematizes knowledge and notions of expertise, challenging hard distinctions between expert and lay ways of knowing. Finally, the co-production model emphasizes that when science is highly uncertain, as in many environmental-health controversies, decisions are inherently “trans-science”—involving questions raised by science but unanswerable by science alone (Weinberg 1972; Jasanoff 1990).
Decision making in the co-production model requires a negotiation among the always partial and plural positions of professionals and lay people (Haraway 1991; Harding 1991). The co-production model also destabilizes the dominant view in science policymaking that science can be uncritically accepted as “fact” and “truth.” The destabilizing stories and emphasis on the need for “negotiating expertise” suggest that a deliberative politics is necessary for the co-production of expertise.
In an attempt to articulate how science might be co-produced, Funtowicz and Ravetz call for an “extended peer community” where professionals and publics collaboratively review evidence aimed at improving scientific knowledge:
When problems lack neat solutions, when environmental and ethical aspects of the issues are prominent, when the phenomena themselves are ambiguous, and when all research techniques are open to methodological criticism, then the debates on quality are not enhanced by the exclusion of all but the specialist researchers and official experts. The extension of the peer community is then not merely an ethical or political act; it can possibly enrich the process of scientific investigation. (Funtowicz and Ravetz 1993, 752–753; emphasis added)
The explicit recognition of both professional information and local knowledge—and that neither ultimately can put to rest the uncertainty of environmental-health problems—can encourage decision makers to acknowledge the necessity of renewal, flexibility, and adjustment as key elements of decision-making success. Instead of portraying themselves as the “source of certainty,” professional decision makers can highlight the necessity for contingent decisions that must be open to renegotiation as new information becomes available. This means that the professional’s role must be reconceptualized from “guarantor of safety” to “guarantor of recognition”—of new knowledge, new voices, new ideas, new possibilities, and new directions for interventions.
Robert Reich gives an eloquent account of how this practice of public deliberation can spur civic discovery. He suggests that professionals seize the opportunity for the public to deliberate over what it wants by:
convening of various forums . . . where citizens are to discuss whether there is a problem and, if so, what it is and what should be done about it. The public manager does not specifically define the problem or set an objective at the start. . . . Nor does he take formal control of the discussions or determine who should speak for whom. . . . In short, he wants the community to use this as an occasion to debate its future.
Several different kinds of civic discovery may ensue. . . . The problem and its solutions may be redefined. . . . Voluntary action may be generated. . . . Preferences may be legitimized. . . . Individual preferences may be influenced by considerations of what is good for society. . . . Deeper conflicts may be discovered. . . . Deliberation does not automatically generate these public ideas, of course, it simply allows them to arise. Policy making based on interest group intermediation or net benefit maximization, by contrast, offers no such opportunity. (Reich 1988, 144–146)
Both Reich’s vision and the process articulated by Funtowicz and Ravetz help frame what the co-production process might look in practice.
However, if co-production requires a negotiation between experts and local people, communities should be weary and enter with caution. As Arnstein’s (1969) classic essay on the “ladder of citizen participation” highlighted, public participation can often backfire when the professionals controlling such processes do little to understand the residents of disenfranchised, low-income communities and do even less to meaningfully listen to and include them in decisions. Arnstein wrote that “there is a critical difference between going through the empty ritual of participation and having the real power needed to affect the outcome of the process” (1969, 216).
According to Judith Innes, a professor of urban planning at the University of California, Berkeley, urban planners are attentive to the power dynamics that occur in public dialogues and increasingly “depict planners as embedded in the fabric of community, politics, and public decision-making” (1995, 183). Drawing from critical theory and communicative ethics, this view of planning attempts to ensure, much like Dewey’s original problem, that public processes are structured to allow the least powerful, politically disenfranchised to meaningfully participate. In order to accomplish this, a distribution of extra resources, assistance, and guidance to disenfranchised groups by planners may be necessary in order for meaningful and fair public deliberations (Habermas 1984; Forester 1989). The communicative view of planning is employed most often when finding an acceptable policy solution depends on appealing to and mobilizing citizens’ knowledge of local or regional conditions, when policy issues have a strong ethical component, and when experts are strongly divided over an issue (Yearley 1999). As planning practitioners are increasingly asked to mediate between professionals and disenfranchised communities in local environmental-health decision making, understanding the benefits and limits of communicative practice becomes a necessary component of the co-production process.
Yet, deliberative forums, especially those involving environmental decisions, rarely have found a way to avoid granting science and technical expertise a privileged position in the discourse (Ozawa and Susskind 1985; Amy 1987). Even some of the most collaborative processes advanced by advocates of consensus building, such as joint fact-finding, have been unable to place science and technical expertise on par with lay knowledge, and these advocates instead recommend not pursuing joint fact-finding when “significant power imbalances among the parties” in a policy dispute exist (Ehrmann and Stinson 1999). Technical language remains a prerequisite for most deliberative forums, often creating an intimidating and “disciplining” barrier for lay citizens seeking to express their disagreements in the language of everyday life (Foucault 1977). Speaking the language of science, as well as the jargon of a particular policy community, remains an essential, but often tacit, credential for participation in environmental health decision making—even in the new deliberative forums. The process of street science offers a model for interconnecting and coordinating the different but inherently interdependent discourses of citizens and professionals through the co-production process.
Street Science as a Practice
While traditional policymaking focuses on “problems” and “decisions,” deliberative policy science has emphasized practices as its unit of analysis (Fischer and Forester 1993). Practice is admittedly a difficult concept.
The concept of practice is an attempt to develop a unified account of knowing and doing (Dewey 1944). Practice emphasizes that knowledge, knowledge application, and knowledge creation cannot be separated from action; knowing and doing are intimately related (Putnam 1995).
This book argues that *street science* is a practice; a practice of science, political inquiry, and action. Street science is not merely a synonym for action. Street science integrates the actor, her resources, and her external environment in one "activity system," in which social, individual, and material aspects are interdependent (Callon 1986; Latour 1993). The focus in such activity systems is on the way the different elements relate to each other rather than just on the elements themselves. As Keller and Keller put it:
An individual's knowledge is simultaneously to be regarded as representational and emergent, prepatterned and aimed at coming to terms with actions and products that go beyond the already known. Action has an emergent quality, which results from the continual feedback from external events to internal representations and from the internal representations back to enactment. (Keller and Keller 1993, 127)
Street science in this view acknowledges that the world in which we operate is always to a large extent provisional and improvisational. Action never is controlled completely by the actor, but is influenced by the contingencies of the physical and social world (Putnam 1995).
An important aspect of street science is its social character. Street science originates and evolves in a community—whether community is defined geographically, culturally, or socially. Street science also distances itself from mentalistic and subjectivistic views of judging, assessing, and knowing (Putnam 1995). Street science is a public process that originates and has meaning within a particular community. People learn about the world in shared public processes in which they test what they have learned, often through public discourse.
Central to the communicative dimension of street science are stories. Stories are central to the generative, emergent quality of action in context. Actors negotiate reality by telling *stories* about their own and other people's actions within the various elements of their community. Stories, however, are not merely representations of actions and consequences; stories are generative. As a form of discourse, by telling stories actors simultaneously shape, grasp, and legitimate both their actions and the situation that gave rise to their actions (Thrognmorton 1996).
While the co-production model and deliberative practice offer frameworks for how street science might happen, they hardly help with understanding its content. How does local knowledge extend science and improve democracy? The next chapter answers this question by detailing what *local knowledge* means and by showing how it acts as the foundation of the *street science* method of inquiry. |
A Bloody Tradition: Ethnic Cleansing in World War II Yugoslavia
Paul Bookbinder
*University of Massachusetts Boston*, email@example.com
Follow this and additional works at: [https://scholarworks.umb.edu/nejpp](https://scholarworks.umb.edu/nejpp)
Part of the International Relations Commons, Peace and Conflict Studies Commons, and the Social Control, Law, Crime, and Deviance Commons
**Recommended Citation**
Bookbinder, Paul (2005) "A Bloody Tradition: Ethnic Cleansing in World War II Yugoslavia," *New England Journal of Public Policy*: Vol. 19: Iss. 2, Article 8.
Available at: [https://scholarworks.umb.edu/nejpp/vol19/iss2/8](https://scholarworks.umb.edu/nejpp/vol19/iss2/8)
A Bloody Tradition
Ethnic Cleansing in World War II Yugoslavia
Paul Bookbinder
When World War II began, a climate for mass violence already existed. The author examines the history of ethnic cleansing, cultural cleansing, mass murder, and genocide in Yugoslavia — Serbia, Croatia, Bosnia-Hertzegovena, and Kosovo — and finds that the historical atrocities are alive in active memory today. With a new awareness of the consequences of ethnic hatred, people can study their own histories cleansed of myth and nationalist delusions so that wars that unleash ethnic violence can be stopped before these excesses erupt.
During the recent crises in Bosnia and Kosovo, the term “ethnic cleansing” was frequently used to characterize the policies being carried out in parts of the former Yugoslavia, but ethnic cleansing there can be traced back to the First World War, and it reached its most violent crescendo during the Second World War. The dynamics of ethnic hatred and violence that were manifested in the early decades of the twentieth century established patterns of behavior that played a role in the developments of the 1990s and provide a template for gauging present and future conditions under which ethnic cleansing may occur.
Ethnic cleansing, as we define it today, is an incomplete or somewhat random genocide that often occurs during declared or undeclared war. “Most genocidal acts are less than thorough,” Daniel Chirot observes, “as when masses of people are expelled from a region, and many die, through murder or the harshness of the expulsion, but some survive. We now call that ethnic cleansing, and it tends to produce many deaths.” Clearly, wars are often at least the background for ethnic cleansing, and therefore the outbreak of a war between nations or a civil war are warning flares of potential mass murder. In the Ottoman Empire during World War I, for example, ethnic cleansing resulted when the Turks unleashed a major campaign to remove the Armenians from areas under their control.
The lack of significant international response to the murder of the Armenians in 1915 may well have emboldened Hitler to envision his own genocidal schemes in which the term “ethnic cleansing” was constructed as a euphemism for mass murder. Whether Hitler actually asked the rhetorical question, “Who still talks about the Armenians today?” he may well have thought it. He was in Weimar Germany in 1921 when Soghomon Tehlirian was tried for the assassination of Talaat Pasha, the leader of the Young Turks who had presided over the killing of hundreds of thousands of Armenians. He witnessed the rapid fading of passionate public interest in the “Armenian genocide” after the trial.
Paul Bookbinder is Associate Professor of History, University of Massachusetts Boston.
The definition of “ethnic” in ethnic cleansing grew out of confused and distorted Nazi racial theory. The Nazis falsely distinguished “Jews” from other Europeans on the basis of racial pseudo-science that mixed religion, ethnicity, and nineteenth-century racial-biological theory in an antisemitic brew. Similarly, Balkan leaders used a distorted concept of ethnicity to create conflict among Serbs, Croats, and Bosnian Muslims all of whom were ethnically Slavs whose differences stemmed from religion, politics, and history. Calling these artificially imposed differences “ethnic,” these leaders acted as if the distinctions were racial and affected behavior and morality as well as physical appearance.
The word “cleansing” itself is ambiguous. In everyday use, it has positive connotations of cleanliness and purification, evoking images of soap and water. But when applied to human populations it connotes refugees, deportation, concentration camps, and sometimes even mass murder. Andrew Bell-Fialkoff characterizes the implications of cleansing as spelling “suffering and that is why the term is widely used; it is a euphemism that hides the ugly truth.”
Even before World War II, leaders associated with violence in Germany and Yugoslavia as well as in other countries employed “cleansing” as part of their political discourse. For example, the Serb Vasa Cubrilovic was known for his violent discourse. “In 1937,” as Gianluca Bocchi and Mauro Ceruti recount:
Vasa Cubrilovic, who was considered by some Yugoslavs as a hero for his participation in the 1914 Sarajevo assassination of the Austrian Archduke Francis Ferdinand, presented a paper to a conference of Croatian nationalists with the significant title of “The expulsion of the Albanians,” in which he summarized possible strategies for achieving ethnic balance in Kosovo. To illustrate his arguments, Cubrilovic referred to a map in which the region annexed in 1878 carried the legend: “area cleansed of Albanians.” He underlined with satisfaction expulsions that had occurred in the past and claimed the need to continue along these lines.
Although at times ethnic cleansing comprises various methods of destroying a people considered alien, such as expropriation, expulsion, torture, and rape, the process is generally synonymous with and a cover for genocide. Writing from his refuge in the United States, the Jewish-Polish jurist Raphael Lemkin coined the term “genocide” in 1944. He submitted a proposal to the international coalition that would become the United Nations “to declare the destruction of racial, religious or social collectives a crime under the laws of nations.” In the midst of war, Lemkin was still hoping to awaken the international community to Hitler’s intentions, warnings it had ignored during the 1930s when he had appealed unsuccessfully to the League of Nations and directly to the world’s democracies.
Memories of World War I played an important and often inflammatory role in the interwar period. “The fact that the memory of mass killing was widely employed by such divergent interests [as right-wing politicians, veterans groups, writers, artists, and teachers],” Omer Bartov observes, “introduced a violent dimension to postwar political discourse, channeling it toward a constant preoccupation with human and material devastation.” Thus, when World War II began, the political, intellectual, and psychological climate for massive violence already existed.
Inspired by World War I memories and violent interwar rhetoric, the twentieth century’s most dramatic examples of ethnic cleansing began to unfold. The struggle for power and influence in a destabilized environment set the stage for ethnic cleansing in Yugoslavia during World War II. In 1940, Yugoslavia’s position became both precarious and strategically significant as Hitler contemplated expanding the war and
his Italian allies moved from Albania into Greece. The German military feared that the British would use Yugoslavia as a base for supplying an expeditionary force in Greece.
The Allies and the Axis were both pressuring the Yugoslav government to commit to their sides in the struggle. Most of the dominant Serbian leaders who controlled the government were sympathetic to the Allies. But the king and his ministers “recognized the dangers of directly confronting the Germans and they continued to declare their neutrality while playing for time. Hitler was not pleased with that situation but was willing to accept it until documents intercepted by the Gestapo revealed secret military agreements between the Yugoslavs and the French and British, who were attempting to support the Greeks.
Tensions between the Nazis and the Yugoslav government escalated as suspicion, fear, and intrigue continued to increase. In the same year, the Yugoslav secret service uncovered a German plan to overthrow the Yugoslav government. This discovery increased the likelihood that the Yugoslavs would commit to the Allied cause.\textsuperscript{8} This probability, in turn, contributed to Hitler’s decision to move troops into Yugoslavia. Germany presented the Yugoslavs with an ultimatum: Yugoslavia had to commit to the German side or face a German invasion. Under this threat, the Yugoslav government agreed on March 25, 1941, to join the Axis Pact, but the agreement was short-lived. The next day, the Yugoslav Army and its leaders, who were pledged to the Allied cause, carried out a coup d’état that in turn, led to a German invasion.
The German conquest was relatively easy, and the inadequate Yugoslav response had devastating repercussions. The Yugoslav Armed Forces proved ill-prepared, insufficiently armed, and ineffectively led. Many Croatian troops refused to fight and greeted the Germans as liberators. In the ensuing destabilized environment, ethnic cleansing followed. War allowed the unthinkable to become possible and created a climate in which widespread atrocities were committed against targeted civilian populations.
The most dramatic example of World War II genocide was the German program of mass murder of the Jews, commonly called the Holocaust. This program was unprecedented in its breadth and commitment. The Nazis intended to use whatever resources and manpower were required for as long as it would take to murder every Jewish woman, man, and child wherever they could be found. The murder of Yugoslav Jews, particularly in Serbia, was an early stage in the Nazi plan to exterminate all Jews. As Franjo Tudjman, the president of the independent state of Croatia in the 1990s, declared, “The Holocaust was the greatest evil that the world has ever known. It was not just mindless barbarism but an intentional and organized strategy of total genocide, carried out by a mechanized bureaucracy.”\textsuperscript{9}
The Nazis also implemented an ethnic cleansing program aimed at the Roma and Sinti people, which Henry Friedlander characterizes as the only other example of Nazi genocide.\textsuperscript{10} But this program was more sporadic and limited, and it never had the priority and the commitment of manpower and money of the campaign against the Jews. It was never applied in all areas under German control or influence, and it never had the same interest and passionate support from Hitler that the “War against the Jews” inspired.\textsuperscript{11}
The murder of Serbian Jews during World War II became the focus of heated debate among German historians and political figures in the 1990s. Germans have been confronting their own past with great courage and skill for at least the last
thirty years. Yet, some members of the military and many historians have attempted to distance the regular Army (Wehrmacht) from the mass murder programs that SS (Schutz staffed) squads that concentration camp personnel and support units (Einsatzgruppen), specially recruited from Central and Eastern European ethnic groups, executed. But it was the Wehrmacht that implemented the murder campaign against the Jews in Serbia. At that time, the SS only served in a support capacity. Most of these murders were carried out before the five death camps located on Polish soil were in place in the fall of 1941.
The murders that the Wehrmacht committed in Serbia were at one with the ideology that Hitler and the Nazis had effectively propagated in Germany. They argued that Germany needed Lebensraum (living space), and they warned that the problems that Germany had faced in the twenties must not be allowed to return. Summarizing the Nazi argument, Irwin Staub states, “The material needs of the German people were to be fulfilled (and their superiority affirmed) through the conquest of additional territories, or living space. The ideology identified Jews as responsible for life problems and a primary barrier to the creation of a pure superior race.”
The murder of Serbian Jews began under the guise of reprisals aimed at curbing the many partisan attacks that were launched against German occupation forces. The German Army took a large number of Serbian Orthodox and Jewish hostages for reprisal purposes. On October 10, 1941, Franz Böhme, the German commanding general in Serbia, issued the following order: “In Serbia it is necessary because of the ‘Balkan mentality’ and the great expansion of the communist-camouflaged insurgency movement to carry out the orders of the OKW [Army High Command] in the sharpest form. . . . In every communal area in Serbia . . . all communists, all those suspected as such, all Jews and a certain number of nationalist and democratically inclined inhabitants are to be seized as hostages.” Hostages from these groups were murdered in retaliation for partisan attacks.
But there were considerable differences in the way members of these groups were treated. The German military leaders accepted the fact that not all Serbs were their enemies, and some of the Serbs held as prisoners were released after investigation showed that they were neither partisans nor partisan sympathizers. Because the same military leaders believed that all Jews were enemies of the Reich, they concluded that there was no need for investigation in the case of the Jews.
Long-standing racial, ethnic, and antisemitic prejudices were combined with a concept that was fundamental to Nazi ideology: that all people could be divided into two categories — friends and foes. That made for a deadly pairing in time of war when the community of Nazi friends concluded that it was willing to kill its foes, particularly Jews. Identification of a group as the foe places them outside the normative rules and laws of society and makes them potential candidates for ethnic cleansing or genocide. This degree of polarization can serve as an early warning sign of potential genocide and a signal that preventative intervention may be called for if it is to succeed.
In the months following the invasion of Yugoslavia, the number of male Jewish prisoners grew in camps such as Topovske Supe where Jews from Banat and Belgrade were interned. German military leaders frequently suggested that Yugoslavian Jews be deported to Romania or Germany, but the Reich Foreign Office and the SS vetoed these suggestions. Foreign Office representative Martin Luther and Reinhard Heydrich, second in command of the SS, overall commander of the
police, and the “Protector” of Bohemia and Moravia, met to discuss the situation. They sent Franz Rademacher, who was Luther’s “Jewish Affairs” expert, and Friedrich Suhr, Adolf Eichmann’s deputy, to Belgrade to argue for settling the “Jewish Question” in Serbia itself. By the time they arrived, however, the process of murdering Jews had already begun.
Wehrmacht commanders determined that they could not provision the increasing number of prisoners in camps, and they concluded that they had two choices: they could either release the Jews, which they did not favor; or they could shoot them as hostages. They decided that the Jews would be shot, and the fate of the male Jews of Serbia was sealed. Jewish women and children were also imprisoned in camps and were soon targeted for murder. Initially kept on low rations, many died of malnutrition and disease, but by late 1941, the Army expanded the murder program to include women and children to speed up the process of eliminating the remaining Jewish Serbian population.
The use of mobile gas vans for this ethnic cleansing was introduced in Yugoslavia at the Semlin concentration camp. These vans had first been used in Germany as part of the T4 Euthanasia Program initiated in 1940 to murder people classified as physically or mentally unfit to live. A memo from SS Obergruppenführer Heinrich Müller, Reinhard Heydrich’s Berlin Gestapo chief, reported on the implementation of the program in Serbia: “Subject: Jewish operation in Serbia. Commando with special Sauer [acid] truck underway overland with special assignment.”\(^{17}\) SS officers, who had been sent to assist the Army in the campaign against the Jews, operated the van.
Christopher Browning argues that the operation was both ghastly and public. “Clearly if the Germans could drive a gas van through downtown Belgrade while its passengers screamed and pounded against the back door in their death agony,” Browning states, “secrecy was not the highest priority.”\(^{18}\) About 35,000 Serbian Jews were murdered during this phase of ethnic cleansing.\(^{19}\) The other chilling statistic of the murder program is the large number of German officials who competed to receive credit for the claim that “Serben ist jüdisch!” Word of what the Germans were doing with their vans spread throughout the Balkans and created a climate in which forced expulsion of ethnic populations was conceivable and ethnic hatred could be channeled into genocide. Gypsies also fell victim to ethnic cleansing in Serbia at the hands of the Germans.
In that climate, the Chetniks also used ethnic cleansing to realize their vision of a Greater Serbia. The Chetniks were conservative Serbian nationalists who fought the Germans in the early stages of the conflict but soon made accommodations to the occupying troops so that they could do battle against the communists’ anti-German partisan forces under Marshall Tito. Stevan Moljevic, an associate of the Chetnik leader Colonel Dragoljub-Draza Mihailovic, may have been the first Yugoslav to use the term “Ciscenji” (cleansing) in 1942 to advocate sending all non-Serbs in the Kosovo area to Albania or to Turkey in the quest for a Greater Serbia inhabited only by Orthodox Serbians.\(^{20}\)
Yugoslavia was a flagrant example of ways in which contrived racial theories and ethnic hatreds can be contorted to serve political agendas. Heinrich Himmler, commander of the SS and one of Hitler’s closest associates, and many of the other Nazis, including academic theoreticians who worked for them, defined race in such bizarre terms that all sorts of racial gymnastics were possible. Hoping to exploit the racial tensions in Yugoslavia, Himmler categorized Croats as proto-Germans and
Bosnian Muslims as Croats. Ironically, a number of Croatian nationalist leaders also argued that Muslims could be Croats and that only Orthodox Serbs and Jews were “ethnic” enemies.
Although Himmler was obsessed with “cleansing” Germany and Eastern Europe of inferior non-Aryans, he worked very hard to recruit Bosnian Muslims for his elite, “racially selective” SS. He allowed Muslims to observe Islamic rituals in the hope that he could channel Islamic crusading spirit into his Germanic crusade to purify Europe by destroying “Jewish Slavic” culture, which he believed was the major agent of corruption. He even brought in the Grand Mufti of Jerusalem to try to whip up Muslim hostility to Jews. He planned that the Bosnian Muslims would initially serve as a support group but would eventually join with members of the Croatian Ustasha to create new SS divisions.\(^{21}\) Nazi propaganda told the Croats and Bosnian Muslims that they were defending European culture and, in the case of the Croats, Western religion against the Jews and Orthodox Slavs.
The Nazis exacerbated the already existing uneasy relationships that barely held the southern Slavs together in the Kingdom of Yugoslavia. These tensions frayed during German occupation. It is not surprising to see these developments in a nation founded by fervent nationalists. Croatian and Bosnian nationalism proved to be stronger than Pan-Slavism. Power-hungry politicians manipulated nationalistic and religious differences to concoct an explosive mixture. They added political ideologies — fascism and communism — and stirred the pot to the boiling point.
While the Wehrmacht, with later help from the SS, was the chief agent of the mass murder program in Serbia, the situation was different in Croatia. There the Germans created a puppet state under the rule of Ustasha and a partnership responsible for the murder of the Croatian Jews. Ustasha extended the ethnic cleansing process to include Serbs, and approximately 90,000 Serbs were murdered in addition to 40,000 Jews during the course of the war.\(^{22}\) Ustashi were Croatian nationalists with a strong dose of fascism in their doctrines.
In the nineteenth century, Ustasha had been one of a number of manifestations of Croatian nationalism. The Croats had struggled to maintain their national identity during centuries of Ottoman domination and in the nineteenth century under the Austrian Habsburgs.\(^{23}\) A popular Croatian poem declared:
Get up from your knees!
Sword now in your hands!
May the foreigner fall.
And Slavdom rule!\(^{24}\)
A number of prominent nationalist leaders emerged in the tense atmosphere of nineteenth-century Croatia including Josip Jelacic, Bishop Strossmayer, and Ante Starcevic.\(^{25}\)
In the 1850s, Starcevic founded the movement from which Ustasha would develop. He came to believe that Serbs were racially inferior, and he argued that Croatia should absorb Serbian land. Starcevic distinguished the Croats as a nation organized as a state in contrast to the Serbs who, he declared, were not a nation capable of being effectively organized as a state.\(^{26}\) These ideas would figure prominently in Ustasha.
On January 7, 1929, Ante Pavelic established Ustasha, which derives from the word “ustanak” (uprising).\(^{27}\) The movement grew in strength and importance during
the short-lived history of Yugoslavia following the Treaties of Versailles and St. Germain, which ended World War I and created the new southern Slav state. In the 1930s, Ustasha’s aggressive orientation climaxed in the murder of the Yugoslav, King Alexander, in Marseilles in 1935.
Pavelic led Ustasha through the period of the Second World War. The ideology he and his organization promoted was a mixture of Italian fascism, East European agrarian populism, reactionary Catholicism, and to some extent German Nazism. The group opposed liberal democracy, communism, and what they termed “capitalist plutocracy.” Pavelic and his Ustashi also hated Jews. When German forces entered Yugoslav territory, they came predisposed to favor Pavelic and the Ustasha movement. Hitler and Pavelic shared their hatred of Jews and Serbs.\textsuperscript{28}
Pavelic called for an ethnically pure Croatia cleansed of all Serbs. He articulated Ustasha’s commitment to an all-powerful state, a universal Roman Catholic Church, and an omnipotent leader. Pavelic’s cleansing program against the Serbs began with the order requiring all Serbs to wear blue armbands with the letter P for \textit{Pravoslavac} (Orthodox) and culminated in genocide. The same cleansing program engulfed the Jews of Croatia.
Pavelic’s verbal attacks on the Jews pleased Hitler. Using rhetoric that the Nazis could understand, he accused the Jews of fostering Serbian dictatorship, of dominating the economy and media, and of leading the communists and the Freemasons.\textsuperscript{29} These attacks resonated with Pavelic’s traditional Catholic Croatian hostility to Jews, which had been part of Ustasha ideology since the organization’s inception. When Bosnia and Herzegovina were annexed to Croatia on April 17, 1941, as a celebratory gesture, Croats and Germans burned down the ancient and renowned synagogue of Sarajevo, which had been founded in the early sixteenth century.
Inspired by the example of Germans murdering Serbian Jews, Pavelic and Ustasha joined with the Germans to murder the 40,000 Jews of Croatia. Rape and torture often preceded the killings. “Much of the horrible killing,” R. J. Rummel notes, “was done in Ustashi camps particularly Jasehovic.”\textsuperscript{30} Contemporary eyewitness accounts such as those of the Chilean Ambassador in Belgrade describe the tearing off of limbs, the quartering of women, and the use of hot iron rods on men and children.\textsuperscript{31}
The Italian Army imposed the only limits on Ustasha’s murder campaign. In the small part of Croatia that Italian troops controlled, Serbs and Jews found safety because the Italian Army intervened to protect these minorities. Other Jews from the Ustasha-controlled areas sought sanctuary with the Italians who took many of them back to Italy when they retreated in 1943.\textsuperscript{32}
Unfortunately, too often institutions founded on moral principles, which should work against ethnic and racial hatred, fail in their mission and even compound the problem. Most damning was the strong support the Vatican gave to the Ustasha regime and to Pavelic. With the help of Vatican connections, Pavelic was smuggled out of the country to Argentina at the end of the war and died in Spain clutching a rosary that the Pope had given him.
The Vatican’s efforts to save the leader of the Ustasha ethnic cleansing campaign sent a most disturbing signal that reverberated throughout the Balkans as well as the rest of Europe. In a recent study, John Cornwell criticizes the Vatican and specifically Pope Pius XII for failing to intervene in the Ustasha carnage. Noting that, “Even by comparison with the recent bloodshed in Yugoslavia at the time of this writing, Pavelic’s onslaught against the Orthodox Serbs remains one of the most
appalling civilian massacres known to history,” Cornwell condemns the Pope’s action.\textsuperscript{33} “For his part,” Cornwell concludes, “Pacelli [Pope Pius XII] was never anything but benevolent to the leaders and representatives of the Pavelic regime.”\textsuperscript{34}
As in Serbia, Croatia, and Bosnia-Herzegovina, the pot was also boiling in Kosovo where numerous conquerors added to the mixture and then divided it in parts. In the brief period before the successful German invasion, the Serb-dominated Yugoslav Army had occupied Kosovo, sparking ethnic conflict between indigenous Albanians and Serbs who lived in the area or who had moved in after the initial conquest by the Yugoslav Army. Violence and victimization grew on both sides as Slavs and Albanians burned down each other’s houses, killed as many people as possible, and stole livestock, goods, and tools. But the Serbs were the principal victims. In the first two or three months following the onset of hostilities in 1941, an estimated 20,000 Montenegrins and Serbs had fled from their homes and up to 10,000 houses were burned down.\textsuperscript{35}
After Germany defeated Yugoslavia, Kosovo was divided primarily between Bulgaria and Albania who were German allies. Since the king of Italy ruled Albania, the part of Kosovo given to Albania was actually under the control of the Italian military, and fighting between Albanians and Serbs intensified there in October and November 1941. Germany also occupied a small part of Kosovo as a prize of military conquest.
Himmler took advantage of the opportunity to recruit a unit of Albanian SS supporters called the Skandebeg Division to carry out his plan of ethnic cleansing in the area.\textsuperscript{36} This SS division existed more on paper than in reality because most Kosovo Albanians preferred to support the Allies. Yet, the division took its cue from its SS brethren and, although much smaller than envisioned by Himmler, engaged in several episodes of ethnic cleansing aimed at Jews and Gypsies. At least a thousand of Kosovo’s Gypsies were murdered. The effort of the Skandebeg Division to round up and deport Kosovo’s Jews, who had been residents of the area since the fifteenth century, contributed to ending the long history of Jews in Kosovo. The Italians did not participate in these roundups. The Bulgarians, who refused to deport Bulgarian Jews, did occasionally deliver Jews to the Germans in the parts of Kosovo that they occupied.
In Kosovo and other neighboring areas, ethnic cleansing was accompanied by what can be called cultural cleansing. This included attacks on religious, communal, and educational facilities, on such cultural products as books and artworks, and on teachers and clergy. When campaigns were carried out against Jews, Serbs, or Albanians, their cultural symbols and institutions and their cultural leaders were attacked. Synagogues, churches, seminaries, libraries, and newspaper offices and book publishing houses were burned; and rabbis, priests, and teachers were specifically targeted for attack and murder. The goal was to obliterate the culture as well as the people.
While some observers equate cultural cleansing, ethnic cleansing, and genocide, other observers see significant distinctions. Allan Ryan refers to cultural cleansing as “ethnocide” and argues that this process should be distinguished from genocide. “Genocide,” he observes, “is accomplished by mass killing (usually accompanied by other things as well); ethnocide leaves the victims but destroys their community, their heritage, their common bonds, either directly as by outlawing or destroying the manifestations of community (such as religious ceremonies and language) or indirectly by dispersing the community so that it is no longer a community at all.”\textsuperscript{37}
While, in a perfect world, ethnicocide or cultural cleansing ought to trigger intervention, Ryan recognizes the need for a more nuanced response. In spite of the devastating effects of ethnicocide or cultural cleansing and given the difficulties inherent in and restrictions on intervention, he argues that such action must probably be limited to the direst demands of genocide itself.
The deeper one delves into the subject of mutual hatred, the more one becomes aware that World War II is not even remotely historical in the minds and consciousness of the Southern Slavs. “That horrendous war is ever present,” Miron Rezun reminds us, “it is always invoked, taught to generations of children today as if it had happened only yesterday. The war’s haunting memory suffuses the hatreds and antipathies of the people. What happened during World War II is central to the whole investigation of the European and Yugoslav drama, for we cannot understand the events of the present if our memory of the past is weak.” Omer Bartov reinforces this argument: “Chronological time and detached historiography play a minor role in people’s perception of reality, especially at times of crisis (produced to some extent by precisely this hiatus of historical perspective). The heroes and martyrs of days gone by reappear on late twentieth century battlefields, reenacting the sacrifices and atrocities of their forefathers. Thus, the Croats describe the Serbs as ‘Chetniks,’ the Serbs call the Croats ‘Ustashe,’ and the Muslims are seen as ‘Turks.’”
In light of American failures in Cambodia and Rwanda and late intervention in Bosnia, Samantha Power concludes that Americans at all levels have not read the signs of ethnic cleansing and have shown an unwillingness to act. General Romeo Dallaire, the Canadian general in command of the UN force in Rwanda who warned of the coming 1994 genocide there but was not allowed to take “protective action,” expresses his horror and frustration. “The will to intervene is the problem,” he observes. “The instruments of intervention are there in a spectrum that needs to be harnessed, then to be improved and brought about in a systematic fashion. We need a whole new conceptual base to conflict resolution, multi-disciplined, political, diplomatic, military, humanitarian, all working on one plan, not working on separate plans, and for a long time.”
Yet, John Shattuck looks at the four separate military actions to protect human rights at the end of the 1990s in Bosnia, Kosovo, East Timor, and Haiti and sees some basis for optimism. Positing the need for a better early warning system and a better understanding of when and how the international community should intervene, he believes that effective action will ensue if specific guidelines are instituted. Even General Dallaire claims some optimism if we can get beyond ethnic and racial characterizations and see all people as human beings. “And so do not despair and do not be pessimistic,” he suggests, “I am optimistic because time is not a factor and so … the responsibility of humanity is the responsibility of humanity, and those who do not use their capabilities in recognizing that every human is human and we’re all the same, will carry the guilt of their self-interests into history.”
With new awareness of the consequences of ethnic hatred, people can learn their own histories cleansed of myth and nationalist delusions, and wars, which unleash ethnic violence, can be stopped before these excesses erupt.
Notes
1. Daniel Chirot, “Why Some Wars Become Genocidal and Others Don’t: A Historical Interpretation of America’s Current War,” Working Paper No. 7, Fall 2002, Center for Western European Studies Kalamazoo College, 4.
2. See Richard G. Hovannisian, ed., *The Armenian Genocide in Perspective* (New Brunswick, N.J.: Rutgers University Press, 1986).
3. Samantha Power, “A Problem From Hell,” *America and the Age of Genocide* (New York: Perennial, 2002), 1.
4. Andrew Bell-Fialkoff, *Ethnic Cleansing* (New York: St. Martin’s, 1998), 1.
5. Gianluca Bocchi and Mauro Ceruti, *Solidarity or Barbarism: A Europe of Diversity Against Ethnic Cleansing*, trans. Alfonso Montuori (New York: Peter Lang, 1997), 102.
6. Raphael Lemkin, as quoted in George J. Andreopoulos, “Introduction: The Calculus of Genocide,” George J. Andreopoulos, ed., *Genocide: Conceptual and Historical Dimensions* (Philadelphia: University of Pennsylvania Press, 1994), 1.
7. Omer Bartov, *Mirrors of Destruction: War, Genocide and Modern Identity* (New York: Oxford, 2000), 14.
8. Miron Rezun, *Europe and War in the Balkans* (Westport, Conn: Praeger, 1995), 52.
9. Franjo Tuđman, *Horrors of War: Historical Reality and Philosophy*, trans. Katarina Mijatović (New York, 1995), 7.
10. Henry Friedlander, *The Origins of Nazi Genocide: From Euthanasia to the Final Solution* (Chapel Hill: University of North Carolina Press, 1995).
11. Guenter Lewy, *The Nazi Persecution of the Gypsies* (New York: St. Martin’s, 1999).
12. Walter Manoshek, *Serben ist* (München, 1992). Manoshek builds on the work of other historians such as the American Christopher Browning. For a more recent collection of essays on this theme see H. Heer & K. Naumann, eds., *War of Extermination: Crimes of the Wehrmacht, 1941-1945* (New York, 2000).
13. Irwin Staub, “The Psychology of Bystanders, Perpetrators, and Heroic Helpers,” L. Newman, R. Erber, eds. *Understanding Genocide* (New York: Oxford, 2002), 7.
14. Quoted in Christopher Browning, *Fateful Month: Essays on the Emergence of the Final Solution* (New York: Holmes and Meier, 1985) 48-49.
15. See Browning, *Fateful Month*, 77.
16. This theory, basic to Nazi political thinking, was developed most clearly in the late twenties and early thirties by the jurist Carl Schmitt, *Der Begriff des Politischen* (München, 1932).
17. Browning, *Fateful Month*, 77.
18. Ibid., 83.
19. Report, United States Holocaust Memorial Museum, Washington, D.C.
20. Rezun, *Europe and War*, 160.
21. Heinrich Himmler, collected notes on Bosnian Muslim SS recruiting, Heinrich Himmler Papers, Hoover Institution, Stanford University, CSUZXX060A.
22. Christopher Browning, “The Final Solution in Serbia: the Semlin Judenlager,” *YVS Studies* 15 (1983): 73-85.
23. Marcus Tanner, *Croatia: A Nation Forged in War* (New Haven: Yale University Press, 1997), ch. 8.
24. Ibid., 66.
25. Ibid., ch. 7.
26. Ibid., 102.
27. Ibid., 124.
28. Rezun, *Europe and War*, 59.
29. Ladislaus Hoy and Martin Broszat, *Der kroatische Ustasha-Staat 1941-1945* (Stuttgart, 1964) 91ff.
30. R. J. Rummel, *Death by Government* (New Brunswick, N. J.: Transaction, 1994), 343.
31. Ibid.
32. Ivo Herzer, “The Italian Army and the Jews of Croatia,” in Ivo Herzer, ed., *Resistance and Rescue in Italy During the Holocaust* (Washington, D.C.: Catholic University Press, 1986); and Menahem Shelah, *Blood Account: The Rescue of Croatian Jewry by the Italians, 1941-43* (Tel Aviv, 1986).
33. John Connolly, *Hitler’s Pope: The Secret History of Pius XII* (New York: Penguin, 1999), 249.
34. Ibid., 260.
35. Noel Malcolm, *Kosovo: A Short History*, (New York: Macmillan, 1999), 395.
36. Ibid., 309-10.
37. See Allan Ryan, “Genocide: What Do We Want It To Be” in this volume.
38. Rezun, *Europe and War*, 51.
39. Bartov, *Mirrors of Destruction*, 140.
40. Power, “Problem From Hell,” xvii.
Lemkin, *Axis Rule*, 79.
41. Romeo Dallaire, “Humanitarian Intervention & Human Rights: The Responsibility To Protect,” unpublished transcript of speech at EPIC Symposium at Tufts University, March 1, 2003.
42. John Shattuck, *Human Rights, Wars and the Roots of Terrorism*, (Cambridge: Harvard University Press, 2003)13.
43. Dallaire, “Humanitarian Intervention and Human Rights.” |
AN ORDINANCE OF THE BOROUGH OF WEST CHESTER, CHESTER COUNTY, PENNSYLVANIA, AMENDING CHAPTER 112 OF THE WEST CHESTER CODE, TITLED, “ZONING”, SPECIFICALLY SECTION 112-7 TO AMEND CERTAIN DEFINITIONS AND SECTION 112-30.A(1) TO DELETE EDUCATIONAL USES AS A PERMITTED PRINCIPAL USE IN THE TOWN CENTER DISTRICT OUTSIDE OF THE RETAIL OVERLAY DISTRICT.
BE IT ENACTED AND ORDAINED, and it is hereby enacted by authority of the Council of the Borough of West Chester that the Code of the Borough of West Chester, specifically, Chapter 112, titled, "Zoning", is hereby amended as follows:
SECTION 1. Section 112-7 shall be amended by amending the following definitions:
ABUTTING OWNER
The owner of record of a parcel of land which is contiguous at any point to the parcel in question or which is contiguous to a section of street (public or private) on which the subject parcel has frontage, i.e., a lot across from the subject lot.
ACCESS
A way of approaching or entering a property or lot of record which must have direct access to a public street or highway or private street meeting public street standards. “Access” includes ingress, right to enter, and egress, right to leave.
ACCESSORY USE STRUCTURE
Any building or other structure that is related to an accessory use and is located on the same lot as a principal permitted use, such as detached garages, sheds, fencing, walls, tennis courts, basketball courts, swimming pools, pavements and other stationary man-made structures.
APPLICATION FOR DEVELOPMENT
Every application, whether preliminary or final, which is required by the Borough to be filed and approved prior to start of construction or development, including but not limited to an application for a building permit; a use and occupancy permit; approval of a conditional use; approval for a special exception, variance or other action by the Zoning Hearing Board; or for subdivision or land development plan approval.
BERM
A mound of earth which serves purposes such as directing the flow of surface water runoff, preventing soil erosion or supporting plant materials and/or a type of fencing to aid in screening.
BLOCK
An area of land surrounded by streets, or surrounded by streets and alleys.
BUFFER AREA
A strip of required yard space adjacent to and within the boundary of a property or district, no less in width than is designated in this chapter, which is landscaped for the full width and forms a continuous visual buffer to provide maximum protection and immediate visual screening to an abutting property, district or street. The required screen or buffer area shall be permanently maintained. Buffer areas shall be in accordance with Article XVI.
BUFFER PLANTING STRIP
A strip of land within the required buffer area which is landscaped with trees and shrubs and which is maintained according to Article XVI and the applicable district regulations.
BUILDING CODE
Chapter 43, Building Construction, of the Borough of West Chester.
BUILD-TO LINE
A line with which the exterior wall of a building is required to coincide that runs parallel to the property line, as measured perpendicularly to the curb or edge of a street cartway, that enables the alignment of buildings on a block in order to maintain the traditional character of the streetscape of the Borough.
CALIPER
The diameter of a tree trunk measured at a point six inches (6") from the ground surface at the center of the base of the tree for all existing trees.
COMPREHENSIVE PLAN
The Borough of West Chester Comprehensive Plan, as may be amended from time to time, including maps, tables and text, which constitutes a policy guide for decisions regarding such items as land use, circulation, community facilities and utilities within the Borough.
CONDOMINIUM
Any dwelling unit, regardless of dwelling type, which has all of the following characteristics:
(1) The unit (the interior and associated exterior areas designated for private use in the development plan) is owned by the occupant.
(2) All or a portion of the exterior open space and any community interior spaces are owned and maintained in accordance with the Pennsylvania Uniform Condominium Act, 68 Pa.C.S. §3101 et seq., as amended and in accordance with the provisions of open space, streets or other development features of this chapter.
DESIGN PROFESSIONAL
(See REGISTERED DESIGN PROFESSIONAL)
DIRECTOR OF BUILDING, HOUSING AND CODE ENFORCEMENT
A Borough of West Chester official or designated representative whose duties include the administration of this chapter.
DRIVEWAY
A private accessway for vehicles which connects a street to an alley or another street, or to a parking space, garage, dwelling or other building.
DWELLING UNIT TYPES
One or more rooms in a building, designed for occupancy by one family for living purposes and having its own permanently installed cooking and sanitary facilities, with no enclosed space (other than vestibules, entrances or other hallways or porches) in common with any other dwelling unit. No dwelling unit shall have more than 50% of its exterior below the level of the exterior grade. A dwelling unit may be contained in any of the following structures:
A. SINGLE-FAMILY DETACHED — A building designed for and occupied exclusively as a residence for only one family and having no party wall in common with an adjacent building.
B. SINGLE-FAMILY DETACHED, MOBILE HOME — A transportable single-family detached dwelling unit intended for permanent occupancy, contained in one unit or in two units designed to be joined into one integral unit capable of again being separated for repeated towing, which arrives at a site complete and ready for occupancy except for minor and incidental unpacking and assembly operations and is constructed as permitted in Article VI, with the same, or equivalent, electrical, plumbing and sanitary facilities as for a conventional single-family detached dwelling. A mobile home shall include any addition or accessory structure, such as porches, sheds, decks or additional rooms, which is attached to it. A mobile home does not include recreational vehicles or travel trailers.
C. SINGLE-FAMILY SEMIDETACHED — A building designed for and occupied exclusively as a residence for only one family and having one party wall in common with an adjacent building.
D. SINGLE-FAMILY ATTACHED — A building designed for and occupied exclusively as a residence for only one family and having two party walls in common with an adjacent building, except for end units.
E. TWO-FAMILY DETACHED — A building designed for and occupied exclusively as a residence for two families, with one family living wholly or partly over the other, and having no party wall in common with an adjacent building.
F. TWO-FAMILY SEMIDETACHED — A building designed for and occupied exclusively as a residence for two families, with one family living wholly or partly over the other, and having one party wall in common with an adjacent building.
G. TWO-FAMILY ATTACHED — A building designed for and occupied exclusively as a residence for two families, with one family living wholly or partly over the other, and having two party walls in common with adjacent buildings.
H. MULTIFAMILY — See "apartment."
ENVIRONMENTAL IMPACT ASSESSMENT REPORT
(See IMPACT ASSESSMENT REPORT)
FENCE
A freestanding and uninhabited structure consisting of materials such as wood, metal, plastic, wire, wire mesh, masonry or vegetation, or in combination with other materials, 2 1/2 feet high or higher, erected to secure or divide one property from another or part of a property from a remaining part, to assure privacy, to protect the property so defined or to enclose all or part of the property. A freestanding masonry wall shall be considered to be a fence.
LAND DEVELOPMENT
(1) Any of the following activities:
A. The improvement of one lot or two or more contiguous lots, tracts or parcels of land for any purpose involving a group of two or more residential or nonresidential buildings, whether proposed initially or cumulatively, or a single nonresidential building on a lot or lots regardless of the number of occupants or tenure or the division or allocation of land or space, whether initially or cumulatively, between or among two or more existing or prospective occupants
by means of or for the purpose of streets, common areas, leaseholds, condominiums, building groups or other features.
B. A subdivision of land.
C. Development in accordance with Section 503(1.1) of the Pennsylvania Municipalities Planning Code.
(2) Provided, however, that the addition of an accessory building, including farm buildings on any lot or lots subordinate to an existing principal building, where such accessory building is 500 gross square feet or less in area and which does not require any alteration to vehicular ingress or egress, shall not be considered a land development.
LANDOWNER
The legal or beneficial owner or owners of land, including the holder of an option or contract to purchase, whether or not such option or contract is subject to any condition, a lessee if he or she is authorized under the lease to exercise the rights of the landowner, or another person having a proprietary interest in the land shall be deemed to be a "landowner" for the purposes of this chapter.
LANDSCAPING
The planting of trees, shrubbery, ground cover, turf grass and the like, including the maintenance and replacement thereof, for the control of soil erosion, retention of precipitation or surface water runoff, promotion of human comfort and welfare, screening of glare, baffling of noise, creation of shade, articulation of space, screening of parking and loading areas or for other functional or environmental reasons.
LONG-TERM EFFECTS
Results which are manifest for or extend over a long period of time.
LOT
A contiguous area of land, undivided by any street or private road or dedicated future street right-of-way. Such parcel shall be held in single and separate ownership and separately described by metes and bounds, the description of which is recorded in the office of the Recorder of Deeds of Chester County by deed description or is described by an approved subdivision plan recorded in the office of the Recorder of Deeds of Chester County.
PARKING SPACE
A reasonably level space with a paved surface available for the parking of one motor vehicle, exclusive of passageways, driveways or other means of circulation or access. A "parking space" shall include either covered garage spaces or uncovered parking lot space which is directly accessible from a street or aisle in a parking lot.
PUBLIC NOTICE
Notice published once each week for two successive weeks in a newspaper of general circulation in the Borough. Such notice shall state the time and place of the hearing and the particular nature of the matter to be considered at the hearing. The first publication shall not be more than 30 days or less than seven (7) days from the date of the hearing or meeting.
PUBLIC SEWAGE DISPOSAL SYSTEM
A system for the collection, conveyance, treatment (at a sewage treatment plant) and disposal of wastes from customers in compliance with prevailing federal, state and municipal regulations, operated by the Borough of West Chester, a public utility or municipal authority.
PUBLIC SPACE
An outdoor Pedestrian Gathering Area, or a Streetscape.
PUBLIC STREET
Any land dedicated to public use or passage, including but not limited to streets, alleys, or other vehicular rights-of-way, whether constructed, dedicated or proposed.
PUBLIC WATER SUPPLY SYSTEM
A system for water distribution and water supply which is owned, administered and operated by a public utility or municipal authority.
RECREATION, ACTIVE
Those recreational pursuits which require physical alteration to the area in which they are performed. Such areas are intensively used and include but are not limited to playgrounds, tennis courts, basketball courts, swimming pools and athletic fields.
REGISTERED DESIGN PROFESSIONAL
An individual who is registered or licensed to practice their respective design profession (such as an architect, engineer, landscape architect, surveyor or certified planner) in accordance with the statutory requirements of the professional registration laws of the Commonwealth of Pennsylvania.
SANITARY SEWER
A sewer that conveys sewage or industrial wastes or a combination of both and into which storm-surface and ground waters or unpolluted industrial wastes are not intentionally admitted.
SCREEN
Plant materials, fencing, walls and/or earthen berms to aid in the concealment of a building, structure, street or other feature.
SEWERAGE
The system of sewers and appurtenances for the collection, transportation, pumping, treating, and disposing of sanitary sewage and industrial wastes.
SIDEWALK
A paved or surfaced leveled area, used as a pedestrian walkway, which parallels and is separate from the cartway of the street.
SIGHT DISTANCE
A line of unobstructed vision from a point three and one-half (3 ½) feet above the center line of a street to the nearest point on the top of an object twenty-four (24) inches high on the same center line.
STEEP SLOPE
Those areas of land where the natural grade is fifteen percent (15%) and greater. Slopes shall be measured as the change in elevation over the horizontal distance between consecutive contour lines and expressed as a percent. For the purpose of application of Borough subdivision regulations, slope shall be measured over three (3) or more two (2) foot contour intervals (six [6] cumulative vertical feet of slope). All slope measurements shall be based on contour intervals determined by detailed topographic survey using aerial photogrammetry or actual field survey and shall be signed and sealed by a registered surveyor or engineer licensed to practice in the Commonwealth of Pennsylvania. Slopes created during land disturbance or land development activity, when authorized by the Borough pursuant to Chapter 97 of the Borough Code, are not considered steep slopes for the purposes of regulating steeply sloped areas.
STREET
A right-of-way intended for the general public use to provide means of circulation for vehicles and pedestrians, furnishing access to abutting lots. The word “street” includes the words “road”, “highway”, “avenue”, “boulevard, “lane” and “alley”.
STREET WALL
The wall or walls of a building at the edge of the street right-of-way adjoining a sidewalk, or approved vertical architectural or landscape features such as Piers, Fences, Pergolas, Arbors, Colonnades, or other similar vertical features at least three feet, six inches (3’ 6”) in height in lieu of a building wall.
SECTION 2. Section 112-30, titled, “Use regulations outside the Retail Overlay District” is hereby amended to delete Section 112-30.A.1(f) “Educational uses” as a permitted principal use.
SECTION 3. Severability. The provisions of this Ordinance are severable, and if any article, section, subsection, clause, sentence or part thereof shall be held or declared illegal, invalid or unconstitutional by any court of competent jurisdiction, the decision
shall not affect or impair any of the remaining articles, sections, subsections, clauses, sentences or parts thereof of this Ordinance. It is hereby declared to be the intent of the Borough Council that this Ordinance would have been adopted if such illegal, invalid or unconstitutional article, section, subsection, clause, sentence or part thereof had not been included herein.
SECTION 4. Repealer. All ordinances or parts of ordinances inconsistent herewith are hereby repealed to the extent of any such inconsistency.
SECTION 5. Effective Date. This Ordinance shall become effective upon enactment as by law provided.
ENACTED AND ORDAINED THIS 19th DAY OF March, 2019.
COUNCIL OF THE BOROUGH OF WEST CHESTER
ATTEST:
Michael A. Perrone, Secretary
By: Diane C. LeBold, President
APPROVED THIS 19th DAY OF March, 2019.
Dianne Herrin, Mayor |
GOVERNMENT OF INDIA
MINISTRY OF DEFENCE
NOTIFICATION
New Delhi, the 8th September, 1948
No. 1577-A.—The Government of India have issued orders that work on the establishment of the National War Academy at Kharakvasla should commence immediately. Construction of the buildings required for the Academy and equipping them will however inevitably take some time. In the meantime, therefore, the Government of India have decided to start an experimental Inter Service Academy at Dehra Dun from the beginning of the next year.
2. It has been decided that this Academy will be called the Armed Forces Academy and will come into being from 1st January 1949. It will consist of two Wings, the Military Wing which will comprise the present I.M.A. and the Inter Service Wing.
3. At the Inter Service Wing, cadets of all the three Services will receive combined training for a period extending over two years. The training will consist of two parts; 2/3rds being of an academic nature consisting of subjects like English, History and World outline, Mathematics, Science, Geography, Modern languages, Workshop practice, Civics and Economics and Current Affairs, and 1/3rd, Service training which will include subjects like P.T., Drill, Weapon training, Elementary Fieldcraft, Organisation and administration of the three Services, Internal combustion engines, Driving and maintenance theory, Map reading and Navigation, Equitation, Radio telephony and Man management. All cadets whilst under training will be required to take part in games and recreational training every day.
4. An examination for entry into the Inter Services Wing of the Armed Forces Academy at Dehra Dun for the course commencing in July 1949 will be held in December 1948 at Allahabad, Bombay, Calcutta, Delhi, Madras and Nagpur. The examination will be conducted by the Federal Public Service Commission. Candidates accepted for admission to the Examination will be informed at what place and on what dates and at what hour they should present themselves.
5. Candidates who qualify at the written examination will be required to appear before a Services Selection Board, which will make recommendations to the Government of India for the final selection of candidates for admission to the Academy.
6. The number of vacancies to be offered for entry into the Academy as a result of this examination will be as follows:—
| Service | Vacancies |
|--------------------------|-----------|
| Army | 102 |
| Navy | 25 |
| Air Force | 25 |
| Indian States Forces | 25 |
| **Total** | **237** |
(1453)
Candidates should indicate in the application form their order of preference if they wish to compete for more than one branch of Service. Due consideration will be given to the preferences expressed by a candidate at the time of his application, but the Government of India reserve power to assign him to any branch of service for which he may be found most suitable.
7. Copies of the application form and other connected papers may be obtained direct from the Secretary, Federal Public Service Commission, Council Chamber, Post Box No. 186, New Delhi. The fact that an application form has been supplied on a particular date will not be accepted as an excuse for the late submission of an application. Candidates who delay their requests for forms until a late date will do so at their own risk.
8. (i) A candidate who desires to appear at the examination is required to submit his application in the prescribed form with the necessary documents in accordance with the 'Instructions to candidates regarding the filling up and submission of applications'. Except as provided for below the application shall be made direct so as to reach the Federal Public Service Commission, Council Chamber, Post Box No. 186, New Delhi, on or before the 1st October 1948.
(ii) Candidates from Indian States applying for ultimate entry into the Indian States Forces shall submit their applications to the Federal Public Service Commission through the Military Adviser-in-Chief, Indian States Forces.
(iii) Service candidates will forward their applications through their Commanding Officers.
(iv) Cadets of the Prince of Wales's Royal Indian Military College, Dehra Dun, and of King George's Royal Indian Military Colleges shall submit their applications through the Principal of the College.
(v) No candidate shall make more than one application in respect of this examination. No application received after the prescribed date will be considered.
9. Candidates for admission to this examination must have been born not earlier than the 2nd July 1932 and not later than 1st July 1934. Preference will be given to candidates of 15 years or as near that age as possible for the Navy; whereas for the Army and the Air Force candidates of 16-17 years of age will be preferred. The age limits can in no case be relaxed.
10. Candidates must be unmarried males and either—
(a) *Nationals of the Dominion of India by birth or by domicile or
(b) Subject's or rulers of Indian States which have acceded to the Dominion of India or
(c) Gurkha subjects of Nepal or
(d) †Others in whose favour a declaration of eligibility has been issued by the Government of India.
*Note (i).—Persons who were domiciled in Pakistan areas, but have migrated or may migrate to India before the 30th September, 1948, with the intention of permanently settling down in India, will be treated as persons of Indian domicile.
†Note (ii).—Candidates in this category will not be admitted to the Academy until the declaration of eligibility has been issued in their favour.
11. Candidates should be medically fit in all respects. Applications must be accompanied by a certificate from a Government doctor of the status not lower than that of an Assistant Surgeon, who must certify that in his opinion the candidate is medically fit in all respects to take his place in the Armed Forces. He must also say that in his opinion the development of the candidate such that by the time he attains the age of 17 the candidate will reach the following minimum standards:
| Height without shoes | Chest |
|----------------------|-------|
| Inches | Girth when fully expanded | Range of expansion not less than |
| 62 and under 65 | 33 | 2 |
| 65 .. 68 | 33\(\frac{1}{4}\) | 2 |
| 68 .. 72 | 34 | 2 |
| 72 upwards | 34 | 2 |
Extremely good vision is required of candidates applying for the RIN and IAF. Sufficient number of suitable candidates recommended by Services Selection Board will be medically examined by a Board of Service Doctors. No candidate not passed as fit by the Medical Board will be admitted to the Academy. The mere fact that the medical examination has been carried out by a Board of Service Doctors will not mean or imply that the candidate has been finally selected.
12. Candidates must undertake not to marry until they complete their full training at the Inter Services Wing and later on at the parent Service Establishment. A candidate who marries subsequent to the date of his application, though successful at the ensuing or any subsequent examination, will not be selected for training and a candidate who marries while under training shall be discharged.
13. Candidates must have passed—
(a) the Matriculation Examination of a recognised Indian University, or
(b) an examination accepted by any such University as equivalent to a Matriculation Examination for the purpose of admission to a University course; or
(c) the Cambridge School Certificate Examination; or
(d) any other examination which may be recognised by the Federal Public Service Commission as equivalent to the above; or must possess one of the following certificates:—
(e) the Indian Army Special Certificate of Education; or
(f) the Certificate issued by the Inter-Provincial Board for Anglo-Indian and European Education to 9th Standard students who join the Forces; or
(g) the Higher Educational Test of the Royal Indian Navy; or
(h) the Higher Secondary Technical Examination Certificate of the Delhi Polytechnic; or
(i) the 10th class certificate from a Higher Secondary School in Delhi, Simla and must have been admitted to the 11th Class in such school;
(j) Junior examination of the Jamia Millia Islamia, Delhi, in the case of bona-fide resident students of the Jamia only.
(k) Bengal (Science) School Certificate.
(l) Bombay School Leaving Examination (without any condition).
(m) the Royal Indian Air Force Educational Test for re-classification Leading Aircraftsman.
(n) the Anglo Vernacular School Leaving Certificate (Burma) with eligibility for University course.
(o) the Burma High School Final Examination Certificate with eligibility for University course.
14. Candidates must pay the following fee:
A consolidated application and examination fee of Rs. 82/8/- (Rs. 20/10/- in the case of candidates belonging to the scheduled castes) with the application.
(A Treasury Receipt or crossed Indian Postal Orders only for this amount will be accepted by the Federal Public Service Commission. The Commission cannot accept the fee in cash or cheques.)
No claim for a refund of this fee will ordinarily be entertained, nor can the same be held in reserve for any other examination. A refund of Rs. 75 (Rs. 18/12/- in the case of candidates belonging to the scheduled castes) will, however, be allowed to a candidate who has paid the consolidated fee of Rs. 82/8/- (20/10/- in the case of candidates belonging to the scheduled castes) if he is not admitted to the examination by the Commission, or having been admitted secures 35 per cent. or more of the aggregate marks at the examination. Other candidates will forfeit the entire fee.
Note:—The Commission may at their discretion remit the prescribed fee where they are satisfied that the applicant is a bona fide refugee and is not in a position to pay the prescribed fee.
15. A candidate must satisfy the Federal Public Service Commission and the appointing authority that he is suitable in all respects for admission to the Academy.
16. The decision of the Federal Public Service Commission as to the eligibility or otherwise of a candidate shall be final.
17. No candidate shall be admitted to the examination unless he holds a certificate of admission from the Federal Public Service Commission.
18. Any attempt on the part of a candidate to enlist support for his application will disqualify him for admission.
19. The maximum number of candidates to be admitted to the examination may in the discretion of the Government of India, be limited to such number as the Government of India may decide. If a limit is imposed and the number of candidates exceeds that limit, the Federal Public Service Commission shall select from among the applicants those who shall be admitted to the examination and shall have regard in so doing to the suitability of the applicants, for admission to the Academy.
20. The examination will include the following subjects and the maximum number of marks obtainable for each subject is as follows:
| Subject | Maximum Marks |
|--------------------------------|---------------|
| 1. English | 300 |
| 2. General Knowledge and Current Affairs | 300 |
| 3. Mathematics—I | 150 |
| Mathematics—II | 150 |
In order to qualify in the written examination, candidates must obtain 50 per cent. of the aggregate marks.
21. From the marks assigned to candidates in each subject such deduction will be made as the Federal Public Service Commission may consider necessary in order to secure that no credit is allowed for merely superficial knowledge.
22. Deductions for handwriting which is at all difficult to read will be made up to 20 per cent. of the maximum marks for the written subjects. In English, and in every other subject, deductions for bad English spelling will be made up to 10 per cent. of the maximum marks.
23. The Federal Public Service Commission shall prepare a list of candidates in order of their merit as disclosed by the aggregate marks awarded to each candidate at the written examination. The candidates who obtain qualifying marks at the written examination shall appear before a Services Selection Board which will make recommendations for the final selection.
24. Candidates finally selected by Services Selection Boards will undergo a two years' course at the Inter-Services Wing of the Armed Forces Academy. The successful candidates after the first two years' training will undergo further specialised training in the branch or service for which they may be selected; for example, those earmarked for the Army will do a further course of two years at the Military Wing of the Academy. While at the Academy, cadets will be subject to the discipline of the Service for which selected.
25. Before the candidate joins the Academy, the parent or guardian will be required to sign a bond to the effect that, if for any reasons considered within the control of the candidate, he wishes to withdraw before the completion of the course, or fails to accept a commission if offered, he will be liable to refund the whole or such portion of the cost of tuition, food, clothing and pay and allowances received, as may be decided upon by Government.
26. During the period of training, the cadets will be eligible for an allowance of Rs. 75 per mensem. This allowance will, however, cease with effect from the 1st January, 1950, from which date the parents or guardians of the candidates will be required to meet their pocket expenses and to fill in a declaration that they are in a position and will be prepared to discharge the financial obligations attaching to the candidates' training, before the candidate is admitted to the Academy.
While undergoing training, cadets will be provided with free accommodation (including allied services) and messing. Service clothing will be issued to them against their entitlement of outfit allowance.
27. Candidates for the Indian States Forces will be required to fulfil the same conditions as are laid down for others.
H. M. PATEL, Secy.
Syllabus for entrance examination to the Inter Services Wing of the Armed Forces, Academy.
Papers will be set on the following subjects:
| Paper | Subject | Time | Marks |
|--------|--------------------------------|--------|-------|
| 1 | English | 2½ hrs.| 300 |
| 2 | Mathematics | 2 hrs. | 150 |
| 3 | General Knowledge and current affairs | 2½ hrs.| 300 |
| 4 | Mathematics II | 2 hrs. | 150 |
The standard for these papers will approximately be the same as that of the Matriculation Examination.
ENGLISH
Questions may be asked on any of the following:
(a) An exercise in composition to test a candidate's abilities to write English that is simple and grammatically correct.
(b) A simple prose passage to be condensed by the candidate with the object of testing comprehension and expression.
(c) Correction of sentences.
(d) Reported Speech, questions and Commands.
(e) Uses of simple words having similar pronunciations but different meanings and common phrases.
MATHEMATICS I.
Arithmetic and Mensuration.—Volgar and decimal fractions, ratio and proportion, percentages, averages, profit and loss, simple and compound interest, stocks and shares, square roots of whole numbers and decimals, areas and volumes of regular figures.
General Knowledge and Current Affairs.—Questions to be set on the general geography of the world with particular reference to India. Indian History, everyday science and current affairs.
MATHEMATICS II—Algebra and Geometry.
Algebra.—Addition, subtraction, multiplication, division, simple equations, H.C.F., L.C.M., fractions, simultaneous equations, involution, evolution, factors, quadratic equations.
Geometry.—Knowledge of the properties of angles at a point, parallel straight lines, angles of a triangle, congruency of triangles, properties of the angles, sides and diagonals of a parallelogram, rhombus, rectangle, square and trapezium.
Properties of circles i.e., angle subtended by an arc or chord at the centre of a circle is double that subtended at the circumference, angle in a semi-circle is at rightangles to the radius at the point of contact, angle between chord and tangent equal to the angle in the alternate segment.
Constructions, Bisection of angle and straight line, construction of perpendiculars, parallels triangles, tangents to circles, inscribed and circumscribed circles of triangle.
FEDERAL PUBLIC SERVICE COMMISSION.
Instructions to candidates regarding the filling up and submission of applications for the examination for entry into the Inter Service Wing of the Armed Forces Academy at Dehra Dun.
(1) A copy of the notification, etc., for the Examination is sent herewith. (The fact that these papers are being supplied to a candidate is no evidence of his eligibility for admission to the examination. Candidates should consult them to see if they are eligible before filling up the application form or paying the prescribed fee into a treasury. The conditions prescribed cannot be relaxed).
(2) The enclosed application form must be filled up in the candidate's own handwriting.
The application form should be submitted direct to the Secretary, Federal Public Service Commission, Council Chamber (Post Box No. 186), New Delhi. A service candidate must submit his application through his Commanding Officer, who will, if he considers the candidate eligible, forward it to the Federal Public Service Commission with his recommendation (vide Section B of the application form). Cadets of the Prince of Wales's Royal Indian Military College, Dehra Dun and KGRIM Colleges should submit their applications through the Principal of the College. Candidates from Indian States for ultimate entry into the Indian State Forces should submit their applications through the Military Adviser-in-Chief, Indian State Forces. No application received after the date prescribed in the notification will be accepted.
(3) Applications should be sent by registered post when they cannot be presented in person. If a candidate fails to register his application, he does so at his own risk. If he desires an acknowledgment, he should send his application "Registered Acknowledgment Due". No application will be otherwise acknowledged.
(4) If before or after the examination it is found that a candidate has knowingly furnished any particulars which are false, or has suppressed material information, he will be disqualified, and, if already admitted to the Academy, removed.
(5) The candidate must send the following documents with his application:
(i) A treasury receipt or crossed Indian postal orders for Rs. 82/8/- (Rs. 20/10/- in the case of candidates belonging to the scheduled castes). (Fees in cash or by cheque are not acceptable).
(ii) A certificate of age.
(iii) A certificate of educational qualifications in original.
(iv) A certificate from a Government doctor not below the rank of Assistant Surgeon in the prescribed form.
Details of the required documents are given below:
Candidates are warned that if the application is incompletely or wrongly filled up or is not accompanied by the documents mentioned in items (ii), (iii) and (iv) above, or by a reasonable explanation of the absence of such documents it will be summarily rejected and that no appeal against its rejection will be entertained.
(i) A treasury receipt or crossed Indian postal orders for Rs. 82/8/- (Rs. 20/10/- in the case of candidates belonging to the scheduled castes). The amount may be deposited in the nearest Government Treasury, or in a branch
of the Imperial Bank of India or in a State Treasury authorised to transact business on behalf of Government. (Amounts deposited at Bombay, Calcutta, Delhi or Madras should be deposited in the Reserve Bank of India instead of in the Imperial Bank of India). The Treasury or Bank should be asked to credit it to Government under the account head "XXXVI-Miscellaneous Departments—Examination Fees—Receipts of the Federal Public Service Commission."
CANDIDATES MUST SEE THAT THEY ARE ELIGIBLE AND MUST DECIDE DEFINITELY TO ENTER FOR THE EXAMINATION BEFORE DEPOSITING THE FEE IN THE TREASURY (OR BANK). THE APPLICATION FEE OF Rs. 7-8/- (Rs. 1-14-0 in the case of candidates belonging to the scheduled castes) WILL NOT BE RETURNED IN ANY CIRCUMSTANCES WHATSOEVER NOR WILL IT BE HELD IN RESERVE FOR ANY OTHER EXAMINATION (OR SELECTION) ONCE AN APPLICATION HAS BEEN CONSIDERED BY THE COMMISSION. A REFUND OF Rs. 75/- (Rs. 18/12/- in the case of candidates belonging to the scheduled castes) will however be allowed to a candidate who has paid the consolidated fee of Rs. 82/8/- (20/10/- in the case of candidates belonging to the scheduled castes), if he is not admitted to the examination by the commission or having been admitted secures 35 per cent. or more of the aggregate marks at the examination. Other candidates will forfeit the entire fee. The name of the examination and of the Treasury at which the fee is deposited should be clearly entered in the Treasury Receipt. The treasury receipt should be on the form pertaining to Central Government transactions and should be obtained from the treasury at which the fee is deposited.
Note 1.—Candidates, who are in the United Kingdom, Australia, Ceylon, Malaya, Burma or Pakistan at the time of submitting their applications should deposit the amount of their prescribed fee in the offices of the High Commissioner for India in the United Kingdom, Australia, Pakistan, Burma or in the office of the Government of India's Representative in Ceylon, or Malaya, as the case may be and forward the receipt from that office.
Note 2.—Cash or cheques will not be accepted by the Federal Public Service Commission.
Note 3.—An application not accompanied by a Treasury Receipt or crossed Indian postal orders for Rs. 32-9/- (Rs. 20-10-0 in the case of candidates belonging to the scheduled castes) will be summarily rejected and no explanation for inability to send the Treasury Receipt or a crossed Indian Postal Order with the application will be considered. This does not apply to refugee candidates seeking remission of the fee (vide para. 14 above).
(ii) Certificate of age (see paragraph 9 of the Notification).
(a) The only proof of age ordinarily accepted by the Commission is the age or date of birth entered in the Matriculation certificate or one of the other certificates listed in paragraph 13 of the Notification. This certificate must be sent with the application in original.
If a Matriculation or equivalent certificate does not give the exact date of birth the candidate must send in addition to the Matriculation or equivalent certificate, a certificate (in original) from the Headmaster of the High School which he first attended showing the date of his birth or his exact age as recorded at the time of his admission to the school. An Anglo-Indian, or an Indian Christian may send his original Baptismal or Birth Registration Certificate instead of the Headmaster's certificate.
A candidate who has passed the Matriculation or equivalent examination as a private student must submit, in addition to the Matriculation or equivalent certificate, a certificate from the Headmaster of the school which he first attended showing the date of his birth or his exact age as recorded in the school admission register. If no school was ever attended, a certificate extract from
20. The examination will include the following subjects and the maximum number of marks obtainable for each subject is as follows:
| Subject | Maximum Marks |
|--------------------------------|---------------|
| 1. English | 300 |
| 2. General Knowledge and Current Affairs | 300 |
| 3. Mathematics—I | 150 |
| Mathematics—II | 150 |
In order to qualify in the written examination, candidates must obtain 50 per cent. of the aggregate marks.
21. From the marks assigned to candidates in each subject such deduction will be made as the Federal Public Service Commission may consider necessary in order to secure that no credit is allowed for merely superficial knowledge.
22. Deductions for handwriting which is at all difficult to read will be made up to 20 per cent. of the maximum marks for the written subjects. In English, and in every other subject, deductions for bad English spelling will be made up to 10 per cent. of the maximum marks.
23. The Federal Public Service Commission shall prepare a list of candidates in order of their merit as disclosed by the aggregate marks awarded to each candidate at the written examination. The candidates who obtain qualifying marks at the written examination shall appear before a Services Selection Board which will make recommendations for the final selection.
24. Candidates finally selected in Services Selection Boards will undergo a two years' course at the Inter-Services Wing of the Armed Forces Academy. The successful candidates after the first two years' training will undergo further specialised training in the branch or service for which they may be selected; for example, those earmarked for the Army will do a further course of two years at the Military Wing of the Academy. While at the Academy, cadets will be subject to the discipline of the Service for which selected.
25. Before the candidate joins the Academy, the parent or guardian will be required to sign a bond to the effect that, if for any reasons considered within the control of the candidate, he wishes to withdraw before the completion of the course, or fails to accept a commission if offered, he will be liable to refund the whole or such portion of the cost of tuition, food, clothing and pay and allowances received, as may be decided upon by Government.
26. During the period of training, the cadets will be eligible for an allowance of Rs. 75 per mensem. This allowance will, however, cease with effect from the 1st January, 1950, from which date the parents or guardians of the candidates will be required to meet their pocket expenses and to fill in a declaration that they are in a position and will be prepared to discharge the financial obligations attaching to the candidates' training, before the candidate is admitted to the Academy.
While undergoing training, cadets will be provided with free accommodation (including allied services) and messing. Service clothing will be issued to them against their entitlement of outfit allowance.
27. Candidates for the Indian States Forces will be required to fulfil the same conditions as are laid down for others.
H. M. PATEL, Secy.
Syllabus for entrance examination to the Inter Services Wing of the Armies Forces, Academy.
Papers will be set on the following subjects:
| Paper | Subject | Time | Marks |
|-------|--------------------------------|-------|-------|
| 1 | English | 2½ hrs.| 300 |
| 2 | Mathematics | 2 hrs.| 150 |
| 3 | General Knowledge and current affairs | 2½ hrs.| 300 |
| 4 | Mathematics II | 2 hrs.| 150 |
The standard for these papers will approximately be the same as that of the Matriculation Examination.
ENGLISH
Questions may be asked on any of the following:
(a) An exercise in composition to test a candidate's abilities to write English that is simple and grammatically correct.
(b) A simple prose passage to be condensed by the candidate with the object of testing comprehension and expression.
(c) Correction of sentences.
(d) Reported Speech, questions and Commands.
(e) Uses of simple words having similar pronunciations but different meanings and common phrases.
MATHEMATICS I.
Arithmetic and Mensuration.—Vulgar and decimal fractions, ratio and proportion, percentages, averages, profit and loss, simple and compound interest, stocks and shares, square roots of whole numbers and decimals, areas and volumes of regular figures.
General Knowledge and Current Affairs.—Questions to be set on the general geography of the world with particular reference to India. Indian History, everyday science and current affairs.
MATHEMATICS II—Algebra and Geometry.
Algebra.—Addition, subtraction, multiplication, division, simple equations, H.C.F., L.C.M., fractions, simultaneous equations, involution, evolution, factors, quadratic equations.
Geometry.—Knowledge of the properties of angles at a point, parallel straight lines, angles of a triangle, congruency of triangles, properties of the angles, sides and diagonals of a parallelogram, rhombus, rectangle, square and trapezium.
Properties of circles i.e. angle subtended by an arc or chord at the centre of a circle is double that subtended at the circumference, angle in a semi-circle is at right angles to the radius at the point of contact, angle between chord and tangent equal to the angle in the alternate segment.
Constructions, Bisection of angle and straight line, construction of perpendiculars, parallels triangles, tangents to circles, inscribed and circumscribed circles of triangle.
FEDERAL PUBLIC SERVICE COMMISSION.
Instructions to candidates regarding the filling up and submission of applications for the examination for entry into the Inter Service Wing of the Armed Forces Academy at Dehra Dun.
(1) A copy of the notification, etc., for the Examination is sent herewith. (The fact that these papers are being supplied to a candidate is no evidence of his eligibility for admission to the examination. Candidates should consult them to see if they are eligible before filling up the application form or paying the prescribed fee into a treasury. The conditions prescribed cannot be relaxed).
(2) The enclosed application form must be filled up in the candidate's own handwriting.
The application form should be submitted direct to the Secretary, Federal Public Service Commission, Council Chamber (Post Box No. 186), New Delhi. A service candidate must submit his application through his Commanding Officer, who will, if he considers the candidate eligible, forward it to the Federal Public Service Commission with his recommendation (vide Section B of the application form). Cadets of the Prince of Wales's Royal Indian Military College, Dehra Dun and KGrim Colleges should submit their applications through the Principal of the College. Candidates from Indian States for ultimate entry into the Indian State Forces should submit their applications through the Military Adviser-in-Chief, Indian State Forces. No application received after the date prescribed in the notification will be accepted.
(3) Applications should be sent by registered post when they cannot be presented in person. If a candidate fails to register his application, he does so at his own risk. If he desires an acknowledgment, he should send his application "Registered Acknowledgment Due". No application will be otherwise acknowledged.
(4) If before or after the examination it is found that a candidate has knowingly furnished any particulars which are false, or has suppressed material information, he will be disqualified, and, if already admitted to the Academy, removed.
(5) The candidate must send the following documents with his application:
(i) A treasury receipt or crossed Indian postal orders for Rs. 82/8/- (Rs. 20/10/- in the case of candidates belonging to the scheduled castes). (Fees in cash or by cheque are not acceptable).
(ii) A certificate of age.
(iii) A certificate of educational qualifications in original.
(iv) A certificate from a Government doctor not below the rank of Assistant Surgeon in the prescribed form.
Details of the required documents are given below:
Candidates are warned that if the application is incompletely or wrongly filled up or is not accompanied by the documents mentioned in items (ii), (iii) and (iv) above or by a reasonable explanation of the absence of such documents it will be summarily rejected and that no appeal against its rejection will be entertained.
(i) A treasury receipt or crossed Indian postal orders for Rs. 82/8/- (Rs. 20/10/- in the case of candidates belonging to the scheduled castes). The amount may be deposited in the nearest Government Treasury, or in a branch
of the Imperial Bank of India or in a State Treasury authorised to transact business on behalf of Government. (Amounts deposited at Bombay, Calcutta, Delhi or Madras should be deposited in the Reserve Bank of India instead of in the Imperial Bank of India). The Treasury or Bank should be asked to credit it to Government under the account head "XXXVI—Miscellaneous Departments—Examination Fees—Receipts of the Federal Public Service Commission."
CANDIDATES MUST SEE THAT THEY ARE ELIGIBLE AND MUST DECIDE DEFINITELY TO ENTER FOR THE EXAMINATION BEFORE DEPOSITING THE FEE IN THE TREASURY (OR BANK). THE APPLICATION FEE OF Rs. 7-8-0 (Rs. 1-14-0 IN THE CASE OF CANDIDATES BELONGING TO THE SCHEDULED CASTES) WILL NOT BE RETURNED IN ANY CIRCUMSTANCES WHATSOEVER NOR WILL IT BE HELD IN RESERVE FOR ANY OTHER EXAMINATION (OR SELECTION) ONCE AN APPLICATION HAS BEEN CONSIDERED BY THE COMMISSION. A REFUND OF Rs. 75/- (Rs. 18/12/- in the case of candidates belonging to the scheduled castes) will however be allowed to a candidate who has paid the consolidated fee of Rs. 82/8/- (20/10/- in the case of candidates belonging to the scheduled castes), if he is not admitted to the examination by the commission or having been admitted secures 35 per cent. or more of the aggregate marks at the examination. Other candidates will forfeit the entire fee. The name of the examination and of the Treasury at which the fee is deposited should be clearly entered in the Treasury Receipt. The treasury receipt should be on the form pertaining to Central Government transactions and should be obtained from the treasury at which the fee is deposited.
NOTE 1.—Candidates, who are in the United Kingdom, Australia, Ceylon, Malaya, Burma or Pakistan at the time of submitting their applications should deposit the amount of their prescribed fee in the offices of the High Commissioner for India in the United Kingdom, Australia, Pakistan, Burma or in the office of the Government of India's Representative in Ceylon, or Malaya, as the case may be and forward the receipt from that office.
NOTE 2.—Cash or cheques will not be accepted by the Federal Public Service Commission.
NOTE 3.—An application not accompanied by a Treasury Receipt or crossed Indian postal orders for Rs. 82-8-0 (Rs. 20-10-0 in the case of candidates belonging to the scheduled castes) will be summarily rejected and no explanation for inability to send the Treasury Receipt or a crossed Indian Postal Order with the application will be considered. This does not apply to refugee candidates seeking remission of the fee (vide para. 14 above).
(ii) Certificate of age (see paragraph 9 of the Notification).
(a) The only proof of age ordinarily accepted by the Commission is the age or date of birth entered in the Matriculation certificate or one of the other certificates listed in paragraph 13 of the Notification. This certificate must be sent with the application in original.
If a Matriculation or equivalent certificate does not give the exact date of birth the candidate must send in addition to the Matriculation or equivalent certificate, a certificate (in original) from the Headmaster of the High School which he first attended showing the date of his birth or his exact age as recorded at the time of his admission to the school. An Anglo-Indian, or an Indian Christian may send his original Baptismal or Birth Registration Certificate instead of the Headmaster's certificate.
A candidate who has passed the Matriculation or equivalent examination as a private student must submit, in addition to the Matriculation or equivalent certificate, a certificate from the Headmaster of the school which he first attended showing the date of his birth or his exact age as recorded in the school admission register. If no school was ever attended, a certificate extract from
the Municipal Birth register relating to himself or some other convincing proof in support of the age stated in the Matriculation certificate should be submitted. The application of a private student who can produce no satisfactory evidence in support of the age stated in his Matriculation or equivalent certificate may be rejected.
Note 1.—A transfer certificate from a school or college will not be accepted as evidence of age.
Note 2.—The age and nationality certificate, issued by some provincial authorities, is not required.
Note 3.—Ordinarily the Commission do not accept a date of birth other than that proved or supported by the Matriculation Certificate. If they do so they require not only convincing proof of the date claimed but also a satisfactory explanation of the incorrect entry in the Matriculation Certificate. Where the date of birth has been claimed and accepted by the Commission for the purpose of admission to an examination, no change will be allowed at a subsequent examination. Candidates who wish to challenge the entry of their age in a Matriculation Certificate must do so at the first opportunity. In such cases, a candidate must send direct to the Federal Public Service Commission all the evidence on which he bases his claim, as soon as he has submitted his application.
(b) Cadets of the Prince of Wale’s Royal Indian Military College, Dehra Dun or K.G.R.I.M. College must submit a certificate of age from the Principal of the College and no other certificate as evidence of age will be required.
(iii) Certificate of educational qualifications. (See paragraph 10 of the Notification).—A certificate or diploma in original showing that the candidate has one of the qualifications prescribed for the examination. The certificate submitted must be one issued by the authority (i.e. University or other examining body) awarding the particular qualification. If such a certificate or diploma is not submitted the candidate must explain its absence, and submit such other evidence (in original) as he can to support his claim to the requisite qualifications. The Commission will consider this evidence on its merits but do not bind themselves to accept it as sufficient.
Note.—Candidates who possess the Madras or Mysore Secondary School Leaving Certificates only, must submit in addition to their Secondary School Leaving Certificate proof that they have been declared eligible for admission to a University course of study or Matriculates. This certificate should be signed by the Registrar of the University concerned. But a candidate, who has been admitted to a recognised College or University, may submit a certificate in proof of this fact from the head of the institution concerned.
In the case of Universities in the Province of Madras applications for the issue of eligibility certificates should be made together with the prescribed fee to the Registrar of the University concerned and not to the Secretary, Board of Secondary Education.
(iv) A certificate from a Government Doctor not below the rank of Assistant Surgeon in the prescribed form (enclosed)—see paragraph 11 of the Notification.
(6) Candidates may be required at the interview by the Services Selection Board to produce the original of any documents of which copies have been submitted in connection with question 19 of the application form.
(7) Copies of the certificates mentioned in paragraph 5 (ii) and (iii) above should also be submitted along with the originals. If the candidate has already submitted any of these certificates in connection with another examination conducted by the Federal Public Service Commission and if it has not yet been returned to him, he should mention the fact when submitting his application, and, if possible, enclose a copy of the certificate. If the certificate is not with the Commission, it should be sent with the application whether the candidate appeared at a previous examination conducted by the Commission or not. If any certificate cannot be submitted with the application, reasonable explanation of its absence must be given.
Candidates are advised to keep attested copies of their original certificates with them before submitting them to the Federal Public Service Commission, as the Commission cannot undertake to return the original certificates until orders are passed on their applications, nor can they undertake to supply attested copies to candidates.
Note.—Certificates other than those mentioned in paragraph (§) (ii) and (iii) above will not be returned.
8. All communications in respect of an application should state the name of the examination and the candidate's address as mentioned in the application form and should be addressed to "the Secretary, Federal Public Service Commission, Council Chamber, Post Box No. 186, New Delhi" otherwise such communications will not be attended to.
9. The fact that an application form has been supplied on a particular date will not be accepted as an excuse for the late submission of an application or as evidence of the receiver's eligibility to compete.
10. Every candidate for admission to the examination will be informed at the earliest possible date of the result of his application. It is not possible for the Federal Public Service Commission, however, to say when that result will be communicated.
All returnable certificates or papers will be returned when the result of his application is communicated to the candidate.
11. Candidates must make arrangements to see that communications addressed to them to the address stated in their applications are redirected, if necessary. Also any change of address should be communicated at once to the Secretary of the Federal Public Service Commission. If a change of address has taken place after the examination, it should also be notified to Army Headquarters (India) A.G.'s Branch, Org. S.P. 2(a), G.H.Q., Post Office, New Delhi. Although the authorities make every effort to take account of changes in candidates' addresses, they cannot accept any responsibility in the matter.
12. A refugee seeking remission of the prescribed application and examination fees should forward along with his application his Refugee Registration Card (in original) and a certificate (also in original) from a District Officer or a Gazetted Officer of Government or a Member of the Central or Provincial Legislature to show that he is not in a position to pay the prescribed fees.
FEDERAL PUBLIC SERVICE COMMISSION
Application form for admission to the Inter Service Wing of the Armed Forces Academy at Dehradun
(A treasury receipt or crossed Indian Postal Orders for Rs. 82-8-0 (Rs. 20-10-0 in the case of candidates belonging to the scheduled castes) must be forwarded with this application. An application not accompanied by a Treasury Receipt or a crossed Indian Postal Order will not be considered). (This does not apply to refugee candidates seeking remission of the fee vide para. 12 of Instructions to candidates).
SECTION "A" TO BE COMPLETED BY THE CANDIDATE
1. Name in full (in block capitals)
2. Postal address in full. Any change of address should be communicated at once to the Secretary of the Federal Public Service Commission and after the examination also to the A.G.'s Branch, Org. SP 2 (a), Army Headquarters (India), G.H.Q. Post Office, New Delhi.
Note.—Candidates must make arrangements to see that communications addressed to them at the addresses stated in their applications are redirected, if necessary. The authorities concerned make every effort to take account of changes in candidates' addresses but cannot accept any responsibility in this matter.
3. Exact date of birth
4. (a) Place of birth and Province or State to which it is situated
(b) Province or State to which you belong
(c) District to which you belong
(d) Give below particulars of place(s) where you have lived for more than six months during the last three years.
| Place (including district) of residence | Address | Period of residence with dates |
|-----------------------------------------|---------|-------------------------------|
5. At which of the following places do you wish to appear for the examination Allahabad, Bombay, Calcutta, Delhi, Madras or Nagpur.
Note.—Ordinarily no request for a change in the place selected by the candidate will be entertained.
6. Are you a national of the Indian Dominion by birth and/or by domicile?
7. Are you a subject of a State which has acceded to India or of Nepal? If so, of what State?
8. If you are not a subject of the Dominion of India or an Indian State, have you obtained a declaration of eligibility from the Government of India, Home Ministry. Give particulars.
9. (i) State your
(a) Religion
(b) Caste, sect
(ii) Are you a member of a scheduled caste (Answer Yes or No). If the answer is yes, give particulars and attach a certificate from the District Magistrate in support of your claim.
10. What is your father's name and his address. If dead, state his last address.
11. Is he or was he a national of the Indian Dominion by birth and/or by domicile?
12. Is he or was he the subject of an Indian State? If so, of what State?
13. Did your father ever change his nationality?
14. What is or was his occupation?
15. If your father is dead, give the full address of your guardian
16. Give the name, address and occupation of your next of kin showing relationship.
17. (a) Did you appear at, or apply for admission to, any examination or selection held previously by the Federal Public Service Commission for recruitment to any service or post under Government of India? Answer "Yes" or "No" as the case may be.
(b) Have you applied for any other examination or selection to be held shortly by the Federal Public Service Commission? If the answer be "Yes" give the name of examination or selection.
18. If the answer to item 17 (a) is "Yes" supply the following information as far as possible:
| Name of Examination of selection | Year | Whether you were admitted to the examination and whether you appeared thereat | Your Roll Number | Rank |
|----------------------------------|------|---------------------------------------------------------------------------------|-----------------|------|
| | | | | |
| | | | | |
| | | | | |
| | | | | |
19. Did your father or any near relative ever serve in the armed forces? If so, give brief particulars and attach copies of any documents in support of your statements.
20. Have you served in the Navy, Army, or Air Force in any capacity? If so, give details.
21. Did you apply previously for any type of commission in the Armed Forces including State Forces? If so, state particulars and the results obtained.
22. Name in order, with dates of entering and leaving, the places of education you have attended.
| Place of Education and names of Institutions in which you are educated | Class up to which you studied | Date of entry | Date of leaving |
|------------------------------------------------------------------------|------------------------------|---------------|-----------------|
| | | | |
| | | | |
| | | | |
| | | | |
23. (a) Give particulars of all examination (if any) you have passed and the class, division or other distinction obtained commencing with the Matriculation or equivalent examination.
| Examination or Degree | Class or Division | Year | Subject taken | (a) Name of University. |
|-----------------------|------------------|------|---------------|------------------------|
| | Pass | | | |
| | Hons. | | | |
23. (b) (i) State whether you passed the Matriculation examination as a private candidate;
(ii) If so, who recommended your application
24. (a) What games do you play or have you played?
(b) Name any position of authority (e.g. School monitor) or distinction in games or athletics you have achieved, mentioning dates.
25. Have you ever been a Boy Scout or a member of a Cadet or University Training Corps? If so, give particulars as to date and ranks achieved. State also your Corps Number and the name of the School or College from which you were enrolled. The Corps Number must be stated.
26. Give the name and address of the principal or head of the College or School at which you were last educated or are now being educated.
27. If your time since leaving school or college is not fully accounted for by the replies given above, account for the remainder here with dates. If you have had employers, state their names and addresses in full.
28. State in the opposite column the branch or service in which you desire to enter the Inter-Services Wing of the Armed Forces Academy, Dhaula Dua, with a view to obtaining a Commission. (a) Indian Army; (b) Royal Indian Navy; (c) Royal Indian Air Force; (d) Indian Sate Forces in the State(s) mentioned opposite.
If you wish to compete for more than one branch state the branches in order of your preference. If you are a candidate for the Indian State Forces name also the State(s) in which you desire to serve.
29. State the name of the Treasury, Bank or Post Office from which you submit a treasury receipt or postal orders and the numbers and date of the treasury receipt or postal orders.
| Name of Treasury, Bank or Post Office | Number of Treasury Receipt or Postal Order | Date | Value Rs. a. |
|---------------------------------------|------------------------------------------|------|--------------|
30. Give a list of the documents enclosed (vide para. 5 of Instructions to Candidates):
(1)
(2)
(3)
(4)
(5)
DECLARATIONS TO BE SIGNED BY THE CANDIDATE
1. I hereby declare that the statements made in this form are true to the best of my knowledge and belief; that I am not married, and I undertake that I will not marry, while I am a candidate for admission to or am under training for the Armed Forces, and that I am—
(a) a national of the Indian Dominion by birth or by domicile,
(b) a person of Indian origin,
(c) a ruler or citizen of a State which has acceded to India, or of Nepal.
(d) a citizen of a territory adjacent to India (state the name of the territory).
(A person in whose favour a declaration of eligibility has been issued by the Government of India.)
2. I also declare that I have not incurred and, if accepted for training for the Armed Forces, will not, during such training, incur any financial obligation which I would be bound to discharge out of my pay as officer of the Armed Forces, if I receive a Commission.
Note 1.—A candidate who marries subsequent to the date of this declaration, though successful at the ensuing or any subsequent examination, will not be selected for training and a candidate who marries while under training may be discharged.
Note 2.—The total estimated cost of training payable by a guardian or parent will be notified later.
3. I understand that any medical examination conducted at any stage of the selection procedure does not necessarily mean that I have been selected.
Signature of witness.......................... Signature of candidate.......................
Full address........................................ Full address..................................
Date........................................ Date........................................
SECTION B
Not applicable to civilian candidates
(To be completed by the Commanding Officer of a Service candidate)
QUESTIONS
1. Date of joining the Corps/Establishment.
2. Whether still an efficient Member.
3. Rank in the Army/Navy/Air Force.
4. Date of appointment to that rank.
Appreciation of the candidate's likelihood to make a suitable Officer (the opinion given should, if possible, touch upon the general character of the candidate and such qualities as his keenness, courage, initiative, self-reliance, powers of leadership and reliability and upon any other matter which may be useful to the Commission):
Commanding Unit or Establishment.
Place ..........................................
Date ..........................................
SECTION C
(To be completed by Federal Public Service Commission)
Name of candidate .......................................................
Aggregate marks awarded ................................................
Remarks ...........................................................................
Station ........................................ Signature .....................
Date ........................................ Designation ....................
SECTION D
(To be completed by President, Services Selection Board)
Name of candidate .......................................................
Batch No. ...............................................................
Board's grading (both in words as well as in figures) ..............
Arm/Service for which recommended ....................................
Station ........................................ Signature .....................
Date ........................................ President .................. S.S.B.
SECTION E
(Medical Board's Report)
Name of candidate .......................................................
Medical category in which placed .........................................
(i) Fit, Medical Category 'A'.
(ii) Unfit temporarily, likely to be fit in 3 months.
(iii) Unfit temporarily, likely to be fit in more than 3 months.
(iv) Unfit permanently.
Remarks ................................................................
................................................................
................................................................
Date ........................................ President
Station ........................................ Member
................................................................
Member
MEDICAL CERTIFICATE
(To be submitted along with the application by candidates for admission to the Inter-Services Wing of the Armed Forces Academy at Dehra Dun vide paragraph 8 of Notification).
Certified that Shri ..................................................................
a candidate for the examination for admission to the Inter-Services Wing of the Armed Forces Academy at Dehra Dun has been examined by me and that in my opinion he is medically fit in all respects to take his place in the Armed Forces. Certified also that in my opinion the development of the candidate is such that by the time he attains the age of 17 the candidate will reach the following minimum standards:—
| Height without shoes | Chest |
|----------------------|-------|
| | Girth when fully expanded | Range of expansion not less than |
| Inches | Inches | Inches |
| 62 and under 62 | 33 | 2 |
| 65 and under 68 | 33½ | 2 |
| 68 and under 72 | 34 | 2 |
| 72 and upwards | 34 | 2 |
Signature ...........................................
Date ........................................... *Designation ...........................................
*This certificate should be signed by a Government Doctor not below the rank of an Assistant Surgeon or a Service Medical Doctor.
Bond to be signed by parent or guardian.
THIS AGREEMENT dated day of between guarantor which expression shall include his personal representatives when the context so admits) of the one part, and the Governor General of India (hereinafter called the Government which expression shall include his successors and assigns where the context so admits) of the other part.
WHEREAS
by caste/class resident of Cadet) has, at the request of the guarantor, been selected by the Government for admission to the Inter Services Wing of the Armed Forces Academy on the terms hereinafter appearing for the purpose of receiving preliminary training with a view to being commissioned in the
*Royal Indian Navy*
Indian Army
Royal Indian Air Force
if considered by the Government to be suitable and if there is any vacancy.
NOW IT IS AGREED between the parties hereto that in consideration of the Cadet being admitted by the Government to the Inter Services Wing of the Armed Forces Academy for the purpose of the aforesaid training at the request of the guarantor, he the guarantor covenants with the Government that the Cadet will attend the Inter Services Wing of the Armed Forces Academy for preliminary training and the
*Naval Training Ships/Establishments*
Military Wing of the Armed Forces Academy
Air Force Training Establishments
for further training as a Cadet/Blight Cadet/Subordinate Officer for the prescribed period or until he is declared fit [as to which the decision of (here insert the appropriate designation of officer) for the time being at
*Naval H.Q.*
Army H.Q.
Air H.Q.
shall be final] to be granted a Commission and that the cadet will, if offered a Commission as an
*Officer in the Royal Indian Navy*
Indian Commissioned Officer in the Indian Army
Officer of the Royal Indian Air Force
accept such Commission unless he, the Cadet, is prevented from doing so by death or on account of ill health, or some other reason over which he the Cadet has no control, or by being removed on the grounds that he the Cadet, is considered by the said
*Naval H.Q.*
Army H.Q.
Air H.Q.
to be unfit to continue as a Cadet/Subordinate Officer or to be granted Commissioned Rank.
If for any reason not beyond the control of the Cadet he does not complete the prescribed period of his training at the Inter Services Wing of the Armed Forces Academy and the
*Naval Training Ships/Establishments
Military Wing of the Armed Forces Academy
Air Force Training Establishments
or he, the Cadet, does not accept a Commission if offered as covenanted above, then the guarantor shall forthwith pay to the Government in cash such sum as the said
*Naval H.Q.
Army H.Q.
Air H.Q.
shall fix but not exceeding such expenses as shall have been incurred by the Government on account of the Cadet at the Inter Services Wing of the Armed Forces Academy and at the
*Naval Training Ships/Establishments
Military Wing of the Armed Forces Academy
Air Force Training Establishments
and all monies received by the Cadet as pay and allowances upto the date of his withdrawal from Cadet Training or the date of his refusal to accept a Commission as an
*Officer in the Royal Indian Navy
Indian Commissioned Officer in the Indian Army
Officer of the Royal Indian Air Force
as the case may be together with interest or the amount calculated at fixed Government rates then in force for Government loans.
And it is lastly agreed that if there is any dispute as to the effect or meaning of these presents the decision of which has not been expressly hereinbefore provided for, the same shall be referred to the decision of the Secretary of the Government of India in the Ministry of Defence, whose decision shall be final. As witness the hands of the parties the day and year first before written.
Signed by the said,
in the presence of
Signed by
on behalf of the Governor General of India
in the presence of
Note.—(a) *Delete whichever is inapplicable.
(b) The Agreement Form is to be duly stamped. The necessary stamped paper is to be purchased by the guarantor from the local Revenue Officer.
(c) The stamped copy of the Agreement will be accompanied by a certificate in original from the Local Civil Authority concerned declaring that the guarantor of the boy is a person of sufficient standing to fulfil the undertaking.
(d) The signature of the guarantor is to be witnessed by a serving or Pensioned I.C.O. or J.C.O. or any Government servant of gazetted status.
(e) The Agreement Form should not be stamped or executed until the boy has been selected by the Government for admission.
H. M. PATEL, Secy. |
Back in 1963 when, out of a mixture of desperation and naïveté, I founded Something Else Press in order “forever” to publish the best work which others could or would not, after my own *Jefferson’s Birthday/Postface* (1964) my second proposed title was to be a sort of Ray Johnson sampler. Why? In the first place it was clear to me that his collages and other major works were among the most innovative pieces being done, on a par with, say, the best of Johns and Rauschenberg, who were considered the superstars of the time. Warhol would soon be added to this group, though the other pop artists seemed (and still seem) too self-conscious and formally timid to rank with that trio. In the second place, Johnson was without gallery representation, and thus it was hard for people with whom he had no direct personal connection to find out about or to experience his art. Third, though Johnson had performed at George Maciunas’ AG Gallery and most of us Fluxus artists considered him somehow one of us, he did not work closely with Maciunas and was thus considered something of an outsider to Fluxus. Therefore, since I did not want to compete directly with Maciunas’s Fluxus publications, I ran no risk of offending would-be Pope George if I published Ray Johnson. Fourth and perhaps most interesting, I was fascinated by the way that the small works which Ray Johnson used to send through the mail seemed so rooted in their moment and their context and yet somehow they seemed to acquire new and larger meaning as time went along. For instance a number of works by Johnson describe him as “silent” or from the “Land of Silence.” I always assumed that this was Zen imagery in some way, and perhaps it was partly that. But Johnson was of Swedish-Finnish descent and only this spring (1995), during which I visited Swedish Finland, did I discover that the people there really do regard themselves as unusually silent people, that there is a joke, which I heard over and over again, that “The Finns are a people who are silent in two languages.” Thus Johnson’s image is expanded many years after the fact, as he almost certainly knew it would be. Since a book is a more permanent body than a mailing piece or even than our own physical ones, I could not help wondering what it would be like to make a new body for Johnson’s ideas as a sort of love letter or time capsule for the future, since it was quite clear to me that the book would entail a sacrifice of resources for the present—no way could this be a money-making project. Like Maciunas, I sought to keep the costs down by doing most of the work myself in consultation with Johnson, and a small legacy which I received from the death of a member of my family provided the cash for typesetting, printing and binding costs.
I had first seen Johnson in 1958 when he was working on a “mural” for the Living Theater’s then-new premises at Sixth Avenue and Fourteenth Street in New York. My task there was to paint the Ladies Restroom purple, and I would see Johnson in discussion with Julian Beck and Judith Malina or others when I came out from my labors. I did not meet him, but I kept hearing the name of Jasper Johns, so I assumed that this was who the gentle-voiced man with close-cropped blond hair must be. In April 1959 there was a concert at “The Village Gate” which we both attended. Standing next to him I asked him if he were Jasper Johns. He said that no, he was Ray Johnson, and our conversation started from there, touching on Zen, the Living Theater and cabbages and kings. Sometime later I received in the mail a small wooden construction that suggested a Japanese flag with the caption, “Are you angry? Jasper Johns.” The piece is now in the Ernst/Siegel Collection in Paris. I don’t recall what I sent him back, but soon I received a marzipan frog and a broken watch and this was followed by a flood of little plays, carbons of letters to people illustrious and less so, poem inventions, drawings and cut-up collages (“moticos”), to which I replied by sending him either similar things by myself or found things that seemed suitable but which sometimes weren’t, such as a large Polyporus sulphureus mushroom which rotted in transit and must have given poor Ray a jolt when he unpacked it, since I received a good many worm-like inscriptions shortly after that.
A “Japanese American Flag” sent to Dick Higgins and made by Ray Johnson in which he associates this small wooden construction with Jasper Johns via the caption “Are you angry? Jasper Johns” written by Ray on September 16, 1959
In due course my filing cabinet needed a whole drawer just for Ray Johnson things, those which I kept and did not send back or along to others. Ray would visit, often in the company of “Dorothy Nonagon” (Dorothy Podber), his frequent companion of the time. She had listed the art gallery she had run, the Nonagon Gallery, as if her last name were “Nonagon” to avoid the higher rate which the New York Telephone Company charged to corporate customers. Her name survived the gallery for several years. The two would arrive unexpectedly at my apartment, now for a visit, now to
take me off on a ramble (they introduced me to my wife of now thirty-five years, Alison Knowles), now to go to some strange event, and many of these things would turn into art. The process of interrelationship of art and life, which we in Fluxus referred to as the "art/life dichotomy," found its own form in Johnson's sendings and those whom he stimulated to act in a parallel manner. Too, the personal had a greater role in Ray's work than in Fluxus works; one would not learn much about Ray's very private life and loves (other than a few names) from his work, but one would learn who liked herb teas, the size of composer Earl Brown's cat "Sam," and similar seeming trivia which give personality to life.
A decidedly wooden reply was offered by Jasper Johns via his associate Sarah Taggart in response to an inquiry by the editor on Ray's "Are you angry? Jasper Johns"
And yet where would it lead? I was fascinated then (as I have been since childhood) by books and printing. I had, as I said, started Something Else Press, and to assemble into a suitable format a collection of these seemingly ephemeral pieces by Ray Johnson seemed like one of the most worthy statements I could make. First I needed Johnson's permission. He gave it to me but seemed not to believe that such a book was possible. Next I went through the files and, by then, boxes of Johnsonia which I had accumulated. I wanted a representative collection, and when I told Ray about this, he proceeded to send me all kinds of additional materials whose existence I had not even suspected. As soon as my Jefferson's Birthday/Postface was pasted up and "on press" I had most of the texts for The Paper Snake type-set using Morris F. Benton's "Cloister" typeface. I liked its archaic look, which was largely due to its Venetian e with its slanting cross line—e—since this suggested the interweaving of past and present, old-fashioned and very modern, an idea to which I, like George Maciunas, was committed.
In 1963-5 I worked for Book Press, a book manufacturer, and for Russell and Russell, a scholarly reprint publisher, doing production and design. At Russell and Russell I learned the importance of using pH neutral papers, papers which would not yellow, as well as other long-lasting materials. To think of design as merely type layout and graphics seemed silly, akin to a designer of aircraft whose plans might look good but which would become unsafe after a few years use. At Book Press I learned to make really rugged books, as well as to use "self-endsheets" when desired, how to fold heavy papers, what cloths would last the best, and so on. In addition I had built a small graphics studio for myself, and could make my own half-tones. Trained in color separation, I was fascinated by the technology of breaking down colored materials into their constituent parts in various ways, some quite unconventional. The Paper Snake was designed to resemble a juvenile, with large format and heavy materials. But there was no money to print it in four-color process, the usual way to print color. So I used two colors for the cover (printed on binding cloth and also on the jacket), a cyan blue (normal for four-color work) and a cheap, sour red which looked almost orange when printed solid and almost rose pink when printed pale. When different strengths of these colors were combined, using halftone dots the result suggests brown, black, purple, pink and so on, giving the effect of a much more lavish production than we could actually do. These colors were also included inside the book by using a four-page signature which wrapped around the main ones in the middle, thus creating a contrast with the navy blue and brown inks of the main body of the book. None of Johnson's collages looks exactly like the printed image; but most have very much the same overall appearance as their printed images.
The book was to be a statement made in collaboration with a visual artist; so it must be a
visual work and should, ideally, parallel the quality of his visual work, projecting off the page into the world. While this last could not be done exactly, the effect could be suggested by having some of the texts run side by side with other pieces to which they were not related. Other texts were simply repeated at different spots on the page, allowing a visual layout which was certainly non-linear. Johnson liked the work to suggest a juvenile, with the freshness which juveniles are supposed to have. He was drawing many snakes at the time, such as a “brick snake” for Ann Wilson which appears at the very end of the book, and he decided to call the book “The Paper Snake” to indicate that it was a work in its own right. I asked him what the book should cost; he said immediately “$3.47,” a thoroughly unusual price. I gagged, knowing that I was unlikely ever to recover my investment in the project at that rate, but I used that price anyway, thinking that the price, which startled people, was a form of publicity—they would never forget it.
Finally the paste-ups were done, the book was printed by my former employers, Zaccar Offset, and was taken to be bound by Charles Bohn and Company (which no longer exists). Ray did not seem to believe that the book would ever actually materialize, and, since I wanted Ray to remain interested in the book long after its publication, I phoned Emily Swisher, my service representative at Bohn’s and with whom I had become friendly, and I arranged to take Ray to Bohn’s bindery right when the book was being cased in, that is when the sheets were being glued into the assembled board bindings. So it happened that one cold day in February 1965 Ray and I appeared at Bohn’s and we watched the team of people in the bindery putting the books together. He was so delighted to see a team of people actually working on his book that it moved him enough to provoke a very unusual postcard for him, probably in the Sohm Archive in Stuttgart today, which reads, simply, “Thanks.”
There was a “Special Edition” too, bound in book cloth which I designed, and each copy contained a small original Johnson. It consisted of 197 unnumbered copies. In my naive way I imagined that those who could afford to do so must want to own an original Johnson; but they didn’t. Johnson’s friend Stanton Kreider bought a copy and then spent the next year telling me what a silly decision that had been. That edition hardly sold at all, even for its modest price of $12.00, but today it is very very rare and is probably worth about $400 as of this writing. I wish I owned even one copy.
The book was not understood. I think that of the dozen or so reviews which appeared none was favorable. The silliest was one in Art Voices which accused the book of elitism and preciousness, but none saw the relevance of doing a book which would share the private with a public world in the way that this book did. However the artists seemed to understand and they have used it as a paradigm ever since. When Something Else Press went bankrupt in 1974 there were still around seven hundred copies of the original 1840 copies left; most of these wound up in a tomato warehouse in Vermont which had formerly been a marble worker’s union hall, and were stored under the podium where Rosa Luxemburg gave her one and only speech in America early in this century. Is there a correspondence (“correspondance” is the corresponding term in Johnson’s world) between The Paper Snake and Rosa Luxemburg? Ray Johnson might have found one. Eventually the books left the tomato warehouse and were acquired by Jon Hendricks in New York (who may still have a few copies for sale, though probably not for $3.47). He is also curator of the Gilbert and Lila Silverman Fluxus Collection, some of which is stored on Hendricks’s premises, so it is very gratifying to think that Johnson has wound up side by side with Fluxus though not officially a Fluxus artist. -Ø-
This piece was written by Dick Higgins in May of 1995. In October of 1998 he died at 60 years of age. Besides founding Something Else Press and co-founding Fluxus, Higgins was a primemover in the 1960s avant-garde that included happenings and concrete poetry. He led an incredibly prolific and creative life as a writer, poet, artist, teacher and composer. Dick Higgins was both a contributor and supporter of this publication and a deep inspiration. His thoughtful and far-ranging perspectives were matched only by an enormous capacity and energy to bring his work, the overlooked works of others, and fresh ideas into the world.
Photograph by Buster Cleveland
© Lightworks Magazine, Inc. |
Very many thanks to all those sending in their dues promptly. At present there are six members still owing and if his newsletter has a BIG RED 'X' on it please do send your $5 in now, otherwise this may be your last copy!
We have at this time 35 members and there are five complementary copies sent out each time. Several members of BNAPS have recently enquired about joining and there is one new member to report. We welcome Dr. J. Frank of 50 Cotswold Drive, Saxtonwold, Johannesburg 2196, South Africa. A recent letter from Dr. Frank tells of his spending an afternoon with our other South African member, John Wannerton.
Our finances are now in good order. Our main expense is in postage. For example, it costs about $12 for each issue of the Newsletter. The printing cost, so far, is nil except for the paper thanks to our member from Salmon Arm, B.C. Perhaps a summary of the money situation would fit in here:
- Balance at Jan 1, 1983: $65.41
- Dues received to date: $160.00
- Postage: $62.39
- Paper: $13.79
- Balance at Feb 29, 1984: $149.23
A note has been sent to your editor with a request for info on this cover. It appears to be dated in 1916 and the FPO # is 13W. Note use of Canadian postage (from Canada?). The questions asked are:
What is the significance of the S?
Why is the Field Censor # obliterated?
Are there any other examples out there?
Our main article this time is from Brian Plain and am sure it will be of interest to most as it deals with the RCAF in Ceylon in World War II and little has been written on the postal aspects of the Canadians there.
Some times there is too much space left over, but not this time!
"With military duties reduced to a minimum, efforts were made to provide opportunities for all to partake in sport. There was time also to begin preparing the men for their return to civil life. Education, in many cases interrupted by the war, received special attention. Battalions ran their own schools, finding teachers from their own ranks to instruct men in elementary subjects. In this they were helped by text-books prepared and printed under the auspices of the Khaki University. The Khaki University of Canada, which originated as a project of the National Committee of the Canadian Y.M.C.A., had begun to function in England and France in the autumn of 1917, but the German offensive of the following spring had halted the work in France."
'Canadian Soldiers Letter' of 17 July 1919 from the Central College of the Khaki University of Canada in Ripon, Yorks.
"During 1918 Khaki Colleges were established in fourteen different locations in the United Kingdom, and in September of that year the Khaki University of Canada was formally authorized as a branch of the General Staff of the O.M.F.C., with control over all existing educational organizations overseas. The Central College of the Khaki University, in Ripon, Yorkshire, offered matriculation courses and the first two years of a university arts course... In addition some 300 graduate students and undergraduates of at least two years' university standing at home were sent to various universities in Great Britain. These were enrolled for the two academic terms commencing 1 October 1918 and 1 February 1919."
(From G.W.L.Nicholson: CANADIAN EXPEDITIONARY FORCE 1914-19)
Early in 1942, it was realized that 222 Group, RAF, responsible for the defence of Ceylon, was totally unable to meet the demands of the job. Their resources were weighted towards fighter defence, and had neither reconnaissance nor long range strike capabilities. Their single craft capable of reconnaissance was a Catalina of 205 Squadron, RAF. As a result of this situation, the British Chiefs of Staff, on February 18 1942, allocated four Catalina aircraft from the British Coastal Command, and ordered them to Ceylon. It was further decided that these aircraft would be provided by transferring 413 Squadron, the only RCAF squadron flying the Catalina, from Scotland, to the new RAF base at Koggala, in southern Ceylon.
413 Squadron had been formed in July 1941 at RAF Station Stranraer, and in the fall of 1941 was transferred to its permanent base at Sullom Voe in the Shetland Islands. It was here that the order for transfer was received. They left for Ceylon on 18 March 1942, and required ten days for the trip which took them via Gibraltar, Cairo, Aboukir, Basra, Iraq, Karachi and finally Koggala on 28 March. Ground crew, spare parts and the remainder of the squadron embarked from England on the Dutch ship, New Holland, and arrived in Ceylon later.
The arrival of 413 Squadron gave the Canadian Forces an 'official' presence in Ceylon, however Canadian servicemen had been serving in Ceylon in various capacities since early in the war, their official presence masked by the RAF squadrons to which they were attached.
POSTAL DETAILS
The Canadian Postal Corps does not seem to have been involved in the mails to and from Ceylon, at least in the early phases of Canadian involvement in Asia, preferring, it seems, to allow Canadian service mail to be handled by the British system which was quite well developed. Therefore there are no cancellations that are specifically Canadian, rather, the markings are either the local domestic marks, or those of the RAF Postal Service. As one would expect, considering the rather long distances involved, most of the mail went by air. For airmail, Ceylon postage was required with the initial rate being 1 Rupee (33 cents Canadian), but in 1943, with the introduction of the Air Mail Letter Card (AMLC), the rate became 75 cents Ceylon, or 25 cents Canadian. Mail addressed to servicemen in Ceylon and sent by Armed Forces Air Letter went for the standard 10 cent rate.
Early mail travelled via England and bore routing instructions:
CEYLON-UK-CANADA
These letters were presumably carried by planes of the British Overseas Airway Corporation to England, and thence over the Atlantic. Later, a new route was developed that routed the mail:
CEYLON-LAGOS-USA-CANADA
This mail was carried over the new West Africa-USA route by Pan American Airways. An interesting side-light to this movement of mail was a circular single-ring marking stating:
CANADA AND USA ONLY (in three lines)
This marking was probably added by the RAF Base Post Office in Colombo to enable easier sorting at Lagos, the intermediate transfer point for the mail. Late in 1944 the Canadian Forces Post established a satellite office in Colombo. This office provided a directory service only, but did not carry on any financial services. As a result, purchase of stamps money orders, and registration had to be carried out at the RAF, or nearby civil offices.
ILLUSTRATIONS
#1 Dated July 1944 and carries the RAFPOST/COLOMBO single ring dater 26mm in diameter. This is similar to marking #2 as listed for the forces in SE Asia by Guertin. There are no route markings on the cover, but there is a Guertin Type 29 RAF Censor marking. In addition the cover has an 'Examiner 2147' label and is officer signed. Two thick parallel sortation lines are also seen at the top of the cover.
#2 An early cover dated September 11, 1942. The R.A.F. BASE P.O./CEYLON dated marking is 27mm in diameter. The censor mark is Guertin Type 24 (with high numbers recorded from Ceylon), and is again officer censored. The typed routing shows the BOAC route via England.
#3 This is the only 'surface' rate cover that I have seen and as such has no postage. It has a lovely strike of the large 32mm double-ring RAF POST/COLOMBO marking that has also been reported by Guertin. It has a Type 29 censor mark and is officer signed. An added feature of this cover is that it is a Salvation Army Field Service item.
#4 This undated cover shows another R.A.F. BASE P.O./CEYLON mark. This is similar in text but very different to that seen in cover #2. Here the date is absent, and the indicia slot is filled with parallel lines. A trace of a Guertin Type 30 censor mark is seen.
#5 This Air Mail Letter Card shows several points about Ceylon mail.
a-The Koggala 'Barred-8' that served to cancel mail in a mute fashion. (It is assumed that this was Koggala, but any information to the contrary would be appreciated.)
b-The postal rate for an AMLC is 75 cents Ceylon.
c-The routing is VIA/CEYLON-LAGOS-U.S.A. in script.
d-A Type 30 Censor marking (British).
e-A U.S. Censor marking that was obviously applied in New York on the way to Canada.
#6 These two AMLC's both show the 75 cent rate to Canada. They both show the scripted routing on the PanAm flight to West Africa, but more importantly, they show the use of the CANADA/AND U.S.A./ONLY sortation marking.
#8 This is the only registered cover that I have seen. It has a label R/R.A.F. BASE P.O./CEYLON with number 566 in the space below. The cancellation is similar to the one mentioned for cover #3 but with the inclusion of the word REGISTERED. The Type 29 censor mark is present and the cover is officer signed by G/Capt.D.S.Patterson, RCAF Staff Officer, HQ Air Command, SE Asia The rate was 6 Rupees, 25 cents.
REFERENCES
GUERTIN,H.E.:THE WARTIME MAILS AND STAMPS CANADA 1939-46;
Private printing, Toronto.
MELNYK,T.W.:CANADIAN FLYING OPERATIONS IN SOUTH EAST ASIA 1941-45;
Ministry of Supply and Services Canada 1976, Ottawa.
WEBB,Lt.Col.R.H.:THE R.C.A.F. IN SOUTH EAST ASIA 1942-45;
Canadian Philatelist, July-August 1964.
KOSTENUK,S & GRIFFIN,J:RCAF SQUADRONS AND AIRCRAFT; 1977 Ottawa.
Personal communications and loan of materials from:
K.V.Ellison, Oyama, BC John Frith, Sudbury, Ontario
Ken Pugh, Brandon, Man. Wm.Robinson, Vancouver, BC
Rum 603 Hem. Beach
BY AIR MAIL - PAR AVION
Miss C. Davis,
186 Davis St.,
Hamilton, Ont.,
Canada.
RAF POST
JULY 44
COLOMBO
RAF CENSOR
456
BY AIR MAIL
ON ACTIVE SERVICE
Miss Doodee Collett
3548 Vendome Avenue
Montreal
Quebec
Canada.
Ceylon U.K. Canada.
On Active Service
Dr. J.H. Porter
1519 Buller Ave,
New Westminster,
B.C.,
Canada.
With the Canadian Active Service Forces
On Active Service
By Air Mail
To Miss Iris Fowler
34 - 2nd Street West
Royal Beauty Salon
Calgary, Alberta
Canada
By Air Mail
R.A.F. BASE R.O.
CEYLON
BY AIR MAIL
VIA
CEYLON
LAGOS
U.S.A.
AIR MAIL
LETTER CARD
IF ANYTHING IS ENCLOSED IT WILL BE SENT BY ORDINARY POSTAGE
D 404020
TPR. J.R. McCallum
4876 GROSVENOR AVE.
MONTREAL, P.Q.
CANADA.
WHEN FOLDED THE LETTER CARD MUST CONFORM IN SIZE AND SHAPE WITH THE BLUE BORDER WITHIN WHICH THE ADDRESS ONLY MAY BE WRITTEN.
R.A.F.
CENSOR
W 9
From:
F/o H.B. Morley
(44) J-10366
R.C.A.F.
BY AIR MAIL
CANADA
AND U.S.A.
ONLY.
LETTER CARD
IF ANYTHING IS ENCLOSED THIS CARD WILL BE SENT BY ORDINARY MAIL.
Aug 27
Ceylon
Miss Oana Alder
Hyde Park
USA
Ontario
WHEN FOLDER THE LETTER CARD MUST CONFORM IN SIZE AND SHAPE WITH
AIR MAIL
LETTER CARD
IF ANYTHING IS ENCLOSED THIS CARD WILL BE SENT BY ORDINARY MAIL.
Ceylon, Lagos-U.S.
Miss Rachel Canningway
183 9th Avenue
Grand Mere
Canada
MUST CONFORM IN SIZE AND SHAPE WITH
THE CARD AS SHOWN ON THE ADDRESS ONLY MAY BE WRITTEN.
RAF BASE P.O.
CEYLON
"REGISTERED"
Mr. D. STEWART PATTERSON
90 J. Blandford Morgan
3462 PEEL ST
MONTREAL, QUE
CANADA
28 AUG 45
RAF POST COLOMBO
REGISTERED
No. 413 Squadron
Badge In front of a maple leaf an elephant's head affronte
Motto Ad vigilamus undis (We watch the waves)
Authority King George VI, October 1943
The elephant head represents the squadron's operations from Ceylon, while the motto suggests its functions.
Formed at Stranraer, Scotland on 1 July 1941 as the RCAF's eleventh — third coastal and first flying boat
General Reconnaissance — squadron formed overseas, the unit flew Catalina aircraft on north Atlantic reconnaissance and anti-submarine patrols. In March 1942, it was hurriedly moved to the Far East. As aircraft and crews arrived at Koggala, Ceylon, they were pressed into service making reconnaissance flights over the Indian Ocean to watch for the approach of a Japanese naval force. On 4 April, S/L L.J. Birchall, whose aircraft and crew had arrived in Ceylon only two days earlier, sighted and reported a large Japanese fleet 350 miles south of Ceylon. The Catalina (Mk.I AJ155 "A") was shot down by Japanese carrier aircraft, and S/L Birchall and the survivors of his crew were taken prisoner, but their warning had alerted Ceylon's defences and the Japanese attack was repulsed. The squadron remained in Ceylon until early 1945; it was then returned to the United Kingdom for conversion to a Bomber unit, but was instead disbanded at Bournemouth, Hampshire on 23 February 1945.
Brief Chronology Formed at Stranraer, Scot. 1 Jul 41. Disbanded at Bournemouth, Hants., Eng. 23 Feb 45. Title or Nickname "Tusker".
Commanders
W/C V.H.A. McBratney (RAF) 1 Jul 41 - 18 Aug 41.
W/C R.G. Briese 19 Aug 41 - 22 Oct 41 KIA.
W/C J.D. Twigg 15 Nov 41 - 19 Mar 42.
W/C J.L. Plant 20 Mar 42 - 21 Oct 42.
W/C J.C. Scott, DSO 22 Oct 42 - 20 Jun 43.
W/C L.H. Randall, DFC 21 Jun 43 - 14 Sep 44.
W/C S.R. McMillan 15 Sep 44 - 18 Feb 45.
Higher Formations and Squadron Locations
Coastal Command:
No. 15 Group,
Stranraer, Scot. 1 Jul 41 - 30 Sep 41.
No. 18 Group,
Sullom Voe, Shetland 1 Oct 41 - 3 Mar 42.
En route to Ceylon 4 Mar 42 - 29 May 42.
(First 4 aircraft arrived 2-4 Apr 42)
South East Asia Command:
No. 227 Group,
Koggala, Ceylon 2 Apr 42 - 19 Jan 45.
Detachments at Addu Atoll, Seychelles Is., Indian Ocean, Mombasa, Kenya, Bahrain, Persian Gulf; Langebaan, South Africa, Aden.
En route to England (minus aircraft) 21 Jan 45 - 20 Feb 4
Bomber Command:
No. 6 (RCAF) Group (on paper only).
Bournemouth, Hants. 21 Feb 45 - 23 Feb 45.
(Officially transferred to Bomber Command 18 Feb 45, while still at sea, though "virtually non-existent" as a un |
Exploring the Vision
A study series for small groups
Following Christ, walking together as First and Second Peoples, seeking community, compassion and justice for all creation
Study 1 Following Christ
INTRODUCTION
The Synod’s Vision Statement is a response to the call of Christ: “Come, follow me!”
The Statement reflects a determined desire, heard from consultations throughout the Church, to make sure Christ remains the centre of our personal and communal life. Such a call provokes us to:
- renew commitment to, and confidence in, following Christ;
- pursue practices that help us focus on both the ‘being and doing’ of following Christ; and
- follow Christ in life-long learning, reflection and thinking about our faith.
May this study help us to live authentically as people who continue to hear Christ’s call:
“Come, follow me.”
GATHERING WORSHIP
Call to worship – share in the following by nominating a leader. Group responses are in bold.
Come into the fold of the Good Shepherd, to whom we belong.
The loving shepherd attends to all of our needs.
Come and rest in the presence of the Good Shepherd, who watches over us.
The faithful shepherd seeks only good for us.
Come and praise the Good Shepherd, who loves us to the end of life.
This trustworthy servant is worthy of our love and honour.
Come and follow the way of the Good Shepherd.
The self-giving shepherd is our model for loving service.
Let us worship the one who meets us in green pastures and preserves us from danger.
(Source: Call To Worship 2009-2010, Presbyterian Church USA)
Scripture - Mark 1:16-17a, 2:14
Have someone in the group slowly read the following verses from Mark’s Gospel. Select a second person to repeat the reading after a time of silence lasting a minute or two. In the silence between readings, use your imagination to consider the reactions, thoughts and feelings of those who heard Jesus’ words.
As Jesus walked beside the Sea of Galilee, he saw Simon and his brother Andrew casting a net into the lake, for they were fishermen. “Come, follow me”, Jesus said.
As Jesus walked along [beside the lake], he saw Levi son of Alphaeus sitting at the tax collector’s booth. “Follow me,” Jesus told him, and Levi got up and followed him.
**Pray together** – in sung or spoken word – the following two verses from *The Summons* (*All Together OK 413*)
*Will you come and follow me if I but call your name?*
*Will you go where you don’t know and never be the same?*
*Will you let my love be shown? Will you let my name be known, will you let my life be grown in you and you in me?*
*Lord your summons echoes true when you but call my name.*
*Let me turn and follow you and never be the same.*
*In Your company I’ll go where Your love and footsteps show.*
*Thus I’ll move and live and grow in you and you in me.*
©1987, Iona Community
---
**EXPLORING THE THEME**
“Following Christ” – these two words have profound consequences.
From the paper “Theological Reflections on the Vision and Mission Principles”\(^1\) we read:
Our faith does not begin with us but with Jesus Christ and his Way. We follow in his footsteps, called to a Way that leads through a cross to New Life. Jesus sets the pattern and by the presence of his Spirit nurtures us and transforms us as we follow him into the world.
This following of Christ is a community-creating and mission-participating call. It is a call to be a movement of disciples that forms a particular community. This community follows Christ into the world. In doing so, it shares in God’s mission of hope and reconciliation in the world. Participation in God’s mission for followers of Christ is not optional, but is at the heart of their calling and their serving in the world.
**Sharing together:**
**In small groups of twos or threes:**
Many would relate to following (supporting) a sports team or favourite player. Nowadays, many people would think of following someone on Twitter or Facebook. What do you think of when you hear the word “following”? When you think of following someone or something, what comes to mind? Briefly discuss together your thoughts.
Repeatedly in the Gospels, Jesus calls disciples with the words “follow me”. As you feel able, share together about your own sense of call to follow Christ.
**Together as one larger group:**
In the following sharing, sit quietly for a time before beginning and consider the invitation below. The group is asked to listen to each person’s offering without further response or comment.
*As you feel prompted, try to describe what it means to be called to follow Christ using only a brief phrase or simple sentence.*
---
\(^1\)Available at: uca.victas.org.au/visionandmission/resources
Consider one of Jesus’ first acts of public ministry in Matthew’s Gospel. It is an account of the calling of the first disciples. Have someone in your group read aloud Matthew 4:18-25.
1. **Identify three scenes in the passage that refer to ‘following’. What are the circumstances of each following moment? Are there similarities and differences?**
2. **What is the cost of following Christ for the fishermen? Is that the same cost for us today? What is the same and what is different?**
Finally, the narrative describes how Jesus’ teaching and healing ministry attracts attention and his fame spreads throughout the region.
3. **Try to describe what motivates the crowd to follow Jesus. How does this differ from the fishermen? Does motivation matter when following Christ? If so, how?**
**CONNECTING WITH SCRIPTURE**
In this part of the study, groups consider a number of scriptural passages from John 10 that develop the theme of following Christ. The images of the shepherd and the sheep are explored in two parts.
**Part 1: Following Jesus, the Good Shepherd**
Have someone in the group read John 10:11-16.
Jesus declares in John 10:11, “I am the good shepherd. The good shepherd lays down his life for the sheep.” The relationship between a sheep and its shepherd gives insight into what it means to follow Christ. Yet the image needs some explanation for our culture because shepherds 2000 years ago were a little different from sheep farmers of our time.
When we consider sheep in the field in those times, we find they are not clean and white as seen in many pictorial representations. Their fleeces are muddy and dirty, and they can be smelly. They look fearful and cautious, and quite defenceless. They are not fast runners. The sheep are also weak-sighted, prone to be disoriented, and often stubborn. For them, the ever present shepherd means safety, guidance and provision of food and water. Without the shepherd they are vulnerable and may not survive.
4. **Following Christ is like following our shepherd – Jesus – as sheep. What feelings or ideas does this image for following Jesus offer for you?**
Interestingly, Jesus contrasts the shepherd with the hired hands saying: “The hired hand, who is not the shepherd and does not own the sheep, sees the wolf coming and leaves the sheep and runs away.” By this means of contrast, Jesus seeks to teach his followers about the character of the Good Shepherd.
5. **Try to list as a group, some characteristics of the good shepherd that Jesus highlights and how these contrast with the hired hands. What do you feel is most significant in the list? Why?**
In verses 14–16, Jesus points to the nature of the relationship between the shepherd and the sheep. Here, Jesus declares: “I know my sheep and my sheep know me – just as the Father knows me and I know the Father”.
6. **Discuss together what you think the shepherd and the sheep each bring to the relationship. How can this relationship be “just as” the relationship between Jesus and the holy one he calls Father?**
**Pause for a time of personal reflection:**
Considering what you have discussed in Part 1, ask the following questions:
What have you found reassuring or challenging?
Name what is most precious to you in your relationship with Jesus the Good Shepherd? Name what you feel is challenging in that relationship?
**Come together as a group:**
Offer a prayer together that:
(i) Gives thanks for the reassuring and precious things; and
(ii) Seeks help with the challenging things.
Offer this prayer in ways that are appropriate for your group. For some groups, symbols may be helpful.
Part 2: Listening for the Shepherd’s voice
Knowing the shepherd and recognising the shepherd’s voice are features of sheep that belong to the shepherd’s flock. Jesus said those who belong to the shepherd’s flock will “listen to my voice” (John 10:16). They will follow that voice alone, and create a healthy bond with their shepherd. Earlier in the same chapter, in John 10:4-5, Jesus describes the scene saying,
“When the shepherd has brought out all his own, he goes ahead of them, and his sheep follow him because they know his voice. They will not follow a stranger, but they will run from him because they do not know the voice of strangers.”
7. Discuss together how sheep might learn ‘to know the voice’ of their shepherd?
Perhaps, in more familiar images, you could consider how dogs learn to know the voice of their masters or children learn the voice of their parents? In what ways might this inform how we learn to follow the Good Shepherd?
Later in John 10, we discover that Jesus’ words were dividing his listeners. Some claimed: ‘He is demon-possessed and raving mad. Why listen to him?’ (John 10:20). He is further challenged when visiting Jerusalem. It is the time of Hanukkah, the Festival of Dedication. As he walked though Solomon’s Colonnade, some surrounded him and asked, “How long are you going to keep us in suspense? If you are the Messiah, tell us plainly” (John 10:24). In John 10:25-27 Jesus answered,
“I did tell you, but you do not believe. The works I do in my Father’s name testify about me, but you do not believe because you are not my sheep. My sheep hear my voice. I know them, and they follow me.”
8. Gather in small groups of about three people – giving each person an opportunity to share.
Consider the challenge of hearing and knowing the voice of the Good Shepherd.
In what ways do you find this an easy thing to do?
In what ways do you find this a difficult thing to do?
CONSIDERING OUR RESPONSE
Part 1: Hearing the voice of the Shepherd takes time
The Psalms testify to the struggle of God’s people listening for God’s voice. Hearing God’s voice is a life-long journey of discovery and uncertainty, of deepening familiarity and surprising truths. It takes time, and is helped by particular skills and practices.
Allocate one or two passages from the list below to each person in the group. Make sure all the passages are allocated.
- Psalm 1:1-3
- Psalm 5:1-3
- Psalm 40:1-3
- Psalm 37:5-7
- Psalm 46:10
- Psalm 100:1-5
- Psalm 95:6-8
9. Have everyone quietly read their allocated passages. If time permits, additional passages can be read. Share together the following:
(i) List what personal qualities or traits the passages suggest are needed in those who seek to hear the voice of the Good Shepherd.
(ii) Do you agree with the list from the passages? What qualities would you like to add?
(iii) Give time for group members to consider – what practical commitment(s) can you make towards practicing these qualities in your life?
Part 2: Hearing the voice of the Shepherd involves the flock
Community is an important arena in which we learn to be sheep of the Good Shepherd. In this sense, we are sheep of “one flock” (John 10:16). We do not simply listen on our own for the familiar voice of our shepherd, but we listen together with others of the flock who have come to know that voice too.
Jesus sought relationships with his followers that reflected the relationship he experienced with God the Father – “I know my sheep and my sheep know me – just as the Father knows me and I know the Father” (John 10:14-15). By those trusting relationships he wished to make a life-sustaining community with his sheep, to guide and save them. Through his sheep he hoped to offer that life-giving way to all people.
10. The early church community, as recorded in Acts 2:42-47, showed the first fruits that Christians developed as a flock. Focusing upon these verses, find the five actions (verbs) that describe their life together. Can you find evidence of those five actions in your church community? How is the modern equivalent of these actions in your community similar or different to that depicted in Acts 2?
In a rich variety of ways, ‘communal disciplines’ are practiced by today’s Christian communities. These disciplines help God’s people to listen for the voice of the Shepherd as a central characteristic of their life together. Some examples of such disciplines include:
- Engaging with scripture – reading, reflection, study, teaching.
- Praying – in rich variety of ways and contexts, both individually and together.
- Serving our neighbour – being active in loving service in the community.
- Worshipping – gathering regularly as God’s people around Word and Sacrament.
11. Share together your thoughts on how important you feel these practices are to hearing the voice of the Shepherd. Share what other practices you would add as important.
Before you conclude – space for quiet reflection
Allow sufficient time for each participant to note down their personal responses to the following questions:
a. What new insights or encouragements have you gained from this study?
b. What has challenged you or raised new questions for you?
c. What personal commitment could you make in response to Christ’s call “Come, follow me”?
d. Can you identify what practical commitment your group could make to grow as a community that seeks to hear the voice of the Shepherd?
After this time, with participants free to choose to respond, extend an invitation for anyone to share from their responses. It may be particularly helpful for the whole group to note responses relating to question (d).
CLOSING WORSHIP
To prepare for this closing worship, first select:
(i) someone to read ‘I believe I need a shepherd’;
(ii) someone to read the scripture exercise including words for the ‘imaginative verse’;
Enter this time of closing worship without further announcement. Readers are encouraged to take their time to allow for quiet spaces.
‘I believe I need a shepherd’
by Bruce D. Prewer, 2002.
I believe I need a shepherd.
Because I am sometimes timid and other times overconfident,
because I often don’t know the best path yet pretend I do,
because I rush into dead ends or lead others into hazardous places,
because my brightest ideas are seamed with darkness,
because the things I crave may not be what is good for me,
I need a shepherd.
I believe in Jesus, the best possible shepherd;
his wisdom leads me to the best opportunities,
his word comforts me when I’m anxious or afraid,
his arm steadies me when I feel weary and heavy-laden,
his wounded body displays the cost of my rescue.
I believe in Jesus, the best possible shepherd.
I believe that I do not find him but he finds me,
that I live under his care by virtue of sheer grace,
the love he gives me is to be shared with others,
that he treasures my name and prepares a place for me,
that his fold transfixes earth and heaven.
I trust Jesus, the good shepherd. Amen.
Scripture - Mark 1:16-17a, 2:14
This is a repeat of the exercise shared in the opening worship. However, this time a third ‘imaginative verse’ is added.
Have someone in the group slowly read the verses. Repeat the reading after a time of silence lasting a minute or two. In the silence, use your imagination to consider your personal reactions, thoughts and feelings to hearing Jesus’ words “Come, follow me”.
As Jesus walked beside the Sea of Galilee, he saw Simon and his brother Andrew casting a net into the lake, for they were fishermen. “Come, follow me” …
As Jesus walked along [the lake], he saw Levi son of Alphaeus sitting at the tax collector’s booth. “Follow me,” Jesus told him, and Levi got up and followed him.
As Jesus walked along …
[add the name of the town or street where you are gathered],
he saw this small group …
[add name(s) that would distinguish your own group]
They gathered to share and learn and grow. Jesus spoke to them: “Come, follow me”.
Optional – at the conclusion of the above reading, sing or play a recording of a song for reflection. Draw on contemporary songs or suggestions from Together in Song such as:
‘The Lord’s my Shepherd’ (10)
‘The King of Love My Shepherd is’ (145)
‘Master, Speak! Thy Servant Hareth!’ (597)
Closing prayer (by Rev Jennie Gordon)
Pray together:
We go on,
in the compassionate community of love,
finding wonder and wisdom
in all we encounter,
being bearers of hope, kindness and grace
in the name of Christ,
Amen
Series reviewers: Rev Jennie Gordon, Minister of the Word, Yarra Ranges Parish, Presbytery of Yarra Yarra
Rev Graeme Harrison, Minister of the Word, Living Faith Church, Presbytery of Yarra Yarra
Series Editor: Rev David Withers, Strategic Framework Minister, Synod of Victoria and Tasmania
Uniting Church in Australia
SYNOD OF VICTORIA AND TASMANIA
Following Walking Seeking |
Of Winks and Nods - Webster's Uncertain Effect on Current and Future Abortion Legislation
Randall D. Eggert
Andrew J. Klinghammer
Jeanne Morrison
Follow this and additional works at: https://scholarship.law.missouri.edu/mlr
Part of the Law Commons
Recommended Citation
Randall D. Eggert, Andrew J. Klinghammer, and Jeanne Morrison, Of Winks and Nods - Webster's Uncertain Effect on Current and Future Abortion Legislation, 55 Mo. L. Rev. (1990)
Available at: https://scholarship.law.missouri.edu/mlr/vol55/iss1/17
This Article is brought to you for free and open access by the Law Journals at University of Missouri School of Law Scholarship Repository. It has been accepted for inclusion in Missouri Law Review by an authorized editor of University of Missouri School of Law Scholarship Repository. For more information, please contact firstname.lastname@example.org.
"Of Winks and Nods" - Webster's Uncertain Effect on Current and Future Abortion Legislation
Webster v. Reproductive Health Services
INTRODUCTION
Perhaps no other decision by the Supreme Court in its last term received as much attention as the long-awaited ruling in *Webster v. Reproductive Health Services*. *Webster* concerned the constitutionality of various provisions regulating abortion in Missouri. The Supreme Court upheld the validity of each of the statutory provisions it addressed. Nevertheless, each was dealt with in a manner that did not disturb any major aspect of abortion law as it has developed since *Roe v. Wade*. The *Webster* decision does reflect the possibility of a change in the near future concerning the standard to be used in evaluating the validity of state abortion regulations. The opinion also reflects the widely differing views of the justices concerning the *Roe* framework, which measures the competing interests regarding abortion throughout a pregnancy. The effect the decision may have on the manner in which state legislatures will be allowed to regulate abortion in the future is unclear.
Justice Blackmun's dissent described his view of the effect: "The plurality opinion is filled with winks, and nods, and knowing glances to those who would do away with *Roe* explicitly." The plurality probably would not agree with Justice Blackmun's "winks and nods" analogy. It acknowledged, however, that its holding does allow state legislatures to adopt abortion regulations which would have been prohibited under previous abortion law. A majority of the Court, therefore, agreed that some movement has occurred to alter the nature of the power to
---
1. 109 S. Ct. 3040 (1989).
2. 410 U.S. 113 (1973).
3. See infra notes 157-71 and accompanying text for a discussion of this issue.
4. See infra notes 94-137 and accompanying text for a discussion of this issue.
5. 109 S. Ct. at 3067 (Blackmun, J., dissenting).
6. Id. at 3058.
previous abortion law.\textsuperscript{6} A majority of the Court, therefore, agreed that some movement has occurred to alter the nature of the power to regulate abortion as it has been defined in previous post-\textit{Roe} cases.
This Comment will analyze the implications and effects of the Court's holding in \textit{Webster} and evaluate current and future state abortion regulation in light of the decision. Part I traces the legal history of \textit{Webster} and the statutory provisions that were the subject of the case. Part II analyzes the Supreme Court's decision in \textit{Webster} and outlines the potentially changing standard by which future abortion regulations will be evaluated. Part III discusses current state abortion regulations concerning the four areas involved in \textit{Webster} and addresses the possible future effect of \textit{Webster} in these areas.\textsuperscript{7}
\section*{I. LEGAL HISTORY}
\subsection*{A. Missouri's Battles with the Supreme Court Over \textit{Roe v. Wade}}
\textit{Webster} does not represent the first time Missouri law has been called into question by \textit{Roe v. Wade}. Missouri has consistently challenged the parameters of the Supreme Court's recognition of the right to an abortion. Three times previous to \textit{Webster}, Missouri Attorneys General sought to preserve abortion regulations considered inconsistent with \textit{Roe}. For the most part, they were unsuccessful.\textsuperscript{8} In
\begin{itemize}
\item \textsuperscript{6} \textit{Id.} at 3058.
\item \textsuperscript{7} Both Justices Scalia and Blackmun note that \textit{Webster} increases even further the impact of abortion as a political issue. They suggest that the decision invites state legislatures to regulate abortion while the Court retains power under \textit{Roe} to determine the constitutionality of these new regulations. With its focus on current and possible future state legislation, this Note recognizes that conclusion.
\item \textsuperscript{8} The first of these attempts involved statutes criminalizing the performance of abortions except when the mother's life was in danger. In \textit{Danforth v. Rodgers}, 414 U.S. 1035 (1973), the Supreme Court declared these statutes to be unconstitutional. In response to this decision, Missouri legislators in June, 1974, imposed regulations on abortions during every phase of pregnancy. 109 S. Ct. at 3047 n.1. These regulations were challenged in \textit{Planned Parenthood v. Danforth}, 428 U.S. 52 (1976). In this case, the Supreme Court found unconstitutional provisions requiring spousal consent and in the case of minors, parental consent, for an abortion. \textit{See id.} at 67-75.
In 1979, Missouri legislators tried again to restrict abortion practices by enacting legislation which 1) required abortions after the twelfth week of pregnancy to be performed in hospitals; 2) required a pathology report for each abortion performed; 3) required the presence of two physicians when abortions were performed after viability; and 4) required minors to secure parental
the fourth attempt, as noted above, Missouri Attorney General William Webster found a more sympathetic audience.
B. Missouri Abortion Act of 1986
In February of 1986, seven members of the Missouri General Assembly introduced into the Missouri House of Representatives House Bill No. 1596 (Act) known as "An Act . . . relating to unborn children and abortion . . . [and] to the use of public funds." The Act passed both the House and Senate in April of 1986 by substantial majorities and in June 1986 Governor John Ashcroft signed it into law. By its own provision, the Act was to become effective in August of 1986.
Of the twenty sections contained in the original Act, seven faced challenges in the United States District Court. Although all seven were struck down by the district court and—on appeal—the Eighth
requirement. *Id.* at 481. However, the Court held that the other provisions under scrutiny were constitutional. *Id.* at 494. The Court reasoned that the requirements in *Ashcroft* "provided a judicial alternative" by allowing the young woman to anonymously seek consent for an abortion from the juvenile court. *Id.* at 492.
In comparison to Missouri, Pennsylvania has been before the Supreme Court to defend statutory sections alleged to be contrary to *Roe* on three occasions: Thornburgh v. American College of Obstetricians & Gynecologists, 476 U.S. 747 (1986); Colautti v. Franklin, 439 U.S. 379 (1979); Beal v. Doe, 432 U.S. 438 (1977).
9. H.R. 1596, 83rd Gen. Ass., 2nd Sess. (1986).
10. The Bill first passed the Missouri House of Representatives on April 3, 1986 by a vote of 124 to 27. *Journal of the House of the State of Missouri, Second Regular Session January 8, 1986 to May 15, 1986 and Veto Session September 3, 1986 to September 9, 1986*, at 882-83 (1986) [hereinafter *House Journal*]. The Senate passed an amended version of House Bill 1596 on April 16, 1986 by a vote of 23 to 5. *Journal of the Senate of the State of Missouri, Second Regular Session January 8, 1986 to May 15, 1986 and Veto Session September 3, 1986 to September 9, 1986*, at 1161-62 (1986). The House approved the amended Senate version on April 23 by a vote of 119 to 36. *House Journal, supra*, at 1477-78. Governor Ashcroft signed the bill into law on June 26, 1986. *Id.* at 2229. The lopsided majorities that approved the bill indicated the deep, bipartisan support abortion restrictions have traditionally received from the Missouri General Assembly.
11. Reproductive Health Servs. v. Webster, 662 F. Supp. 407, 411 (W.D. Mo. 1987) [hereinafter *Reproductive Health Servs. I*].
12. *See id.* at 430.
Circuit, only four of the provisions were appealed to the Supreme Court.\textsuperscript{13} These four included the following: 1) a "preamble" which declared that the life of each human being begins at conception;\textsuperscript{14} 2) a prohibition on the use of public facilities for abortions and the participation by public employees in performing abortions;\textsuperscript{15} 3) a prohibition on the use of public funding for abortion counseling;\textsuperscript{16} and 4) a requirement that physicians conduct viability tests prior to performing abortions.\textsuperscript{17}
The "preamble" provided that "[t]he life of each human being begins at conception" and "[u]nhorn children have protectable interests in life, health, and well-being."\textsuperscript{18} It also stated that all state laws are to be interpreted to provide unborn children with the same rights available to other persons, subject to the federal constitution, decisions of the Supreme Court, and contrary state provisions.\textsuperscript{19}
The restrictions concerning public funds, facilities, and employees who perform abortions or counsel women to have abortions were contained in three separate Missouri statutes.\textsuperscript{20} All three statutes also contained provisions not appealed to the Supreme Court despite lower court findings that the provisions were unconstitutionally vague. These include restrictions on the use of public funds to perform abortions\textsuperscript{21}
\textsuperscript{13} The three provisions invalidated by the lower courts but not appealed to the Supreme Court included: 1) a requirement that all abortions performed at or after the sixteenth week of pregnancy be performed in a hospital; 2) a prohibition on the use of public employees and facilities for abortion counseling; and 3) a requirement that each physician obtain a woman's "informed consent" prior to the performance of an abortion. 109 S. Ct. at 3049. This latter provision required both the physician and the woman to sign a form indicating that the woman was informed as to the following: 1) whether or not she was pregnant; 2) the "particular risks" associated with the abortion technique to be used; and 3) alternatives to abortion. MO. REV. STAT. § 188.039 (1986).
\textsuperscript{14} Mo. REV. STAT. § 1.205 (1986).
\textsuperscript{15} Id. §§ 188.210, 188.215.
\textsuperscript{16} Id. § 188.205.
\textsuperscript{17} Id. § 188.029.
\textsuperscript{18} Id. § 1.205.1.
\textsuperscript{19} Id. § 1.205.2.
\textsuperscript{20} Id. §§ 188.205, 188.210, 188.215.
\textsuperscript{21} Id. § 188.205. The district court and court of appeals both found section 188.205 void for vagueness based on its use of the terms "encouraging" and "counseling." See, e.g., Reproductive Health Servs. I, 662 F. Supp. at 426. Missouri appealed this finding to the Supreme Court. The focus of the public funding provision was limited to those persons responsible for expending public funds according to the Missouri Attorney General. This interpretation rendered moot the question before the Court concerning the constitutionality of section 188.205. 109 S. Ct. at 3053.
and restrictions on the use of public employees and public facilities to counsel women concerning abortion.\textsuperscript{22}
For purposes of the Act, the Missouri General Assembly defined a "public employee" as "any person employed by this state or any agency or political subdivision thereof."\textsuperscript{23} A "public facility" was defined as "any public institution, public facility, public equipment or any physical asset owned, leased or controlled by [the] state, or any agency or political subdivision thereof."\textsuperscript{24} The Act defined a "public fund" as "any fund[] received or controlled by this state or any agency or political subdivision thereof, including, but not limited to, funds derived from federal, state or local taxes, gifts or grants from any source, public or private, federal grants or payments, or intergovernmental transfers."\textsuperscript{25}
The provision requiring viability testing by a physician applied only when the physician had reason to believe the woman was at or beyond the twentieth week of pregnancy.\textsuperscript{26}
Reproductive Health Services of St. Louis and Planned Parenthood of Kansas City, two non-profit corporations that assisted in the performance of abortions, filed a class action suit challenging the Act in the United States District Court for the Western District of Missouri.\textsuperscript{27} After filing the action in July, 1986, the class representatives sought a temporary injunction to restrain enforcement of the challenged sections of the Act.\textsuperscript{28} The district court granted the request.\textsuperscript{29} In December, 1986, the district court heard a full trial on the merits.\textsuperscript{30}
The district court interpreted the preamble as an attempt by the state to make an end run around the Supreme Court's admonition in \textit{City of Akron v. Akron Center for Reproductive Health, Inc.}\textsuperscript{31} that a "State may not adopt one theory of when life begins to justify its
\begin{itemize}
\item \textsuperscript{22} Mo. Rev. Stat. §§ 188.210, 188.215 (1986). The district court and court of appeals also found both of these statutes void for vagueness. See, e.g., Reproductive Health Serv. v. Webster, 851 F.2d 1071, 1077-79 (8th Cir. 1988) [hereinafter Reproductive Health Serv. II]. The Missouri Attorney General did not appeal the Eighth Circuit's ruling on these provisions. 109 S. Ct at 3049.
\item \textsuperscript{23} Mo. Rev. Stat. § 188.200(1) (1986).
\item \textsuperscript{24} Id. § 188.200(2).
\item \textsuperscript{25} Id. § 188.200(3).
\item \textsuperscript{26} Id. § 188.029.
\item \textsuperscript{27} Reproductive Health Servs. I, 662 F. Supp. at 410. The two non-profit corporations were joined in the class action by three physicians, one nurse, and one social worker. All were "public employees" at "public facilities" in Missouri. 109 S. Ct. at 3048.
\item \textsuperscript{28} Id.
\item \textsuperscript{29} Id.
\item \textsuperscript{30} Id.
\item \textsuperscript{31} 462 U.S. 416 (1983).
regulation of abortion.\textsuperscript{32} On appeal, the Eighth Circuit agreed and noted that the preamble was part of a bill almost exclusively devoted to abortion. From this the court of appeals drew the inference that "the state intended its abortion regulations to be understood against the backdrop of its theory of life."\textsuperscript{33} The appellate court also rejected the state's reasoning that because the preamble is subject to Supreme Court decisions, it is not directed at abortion and is, therefore, constitutional. As the court explained, such a declaration cannot "validate state laws that are in fact incompatible with the constitution."\textsuperscript{34}
The Eighth Circuit reiterated the district court's reasoning as it related to the provision requiring viability tests by physicians. The court stated that "the Supreme Court has squarely addressed this point and declared that 'neither the legislature nor the courts may proclaim one of the elements entering into the ascertainment of viability—be it weeks of gestation or fetal weight or any other single factor.'"\textsuperscript{35} Since the determination of viability is to be made as a "matter of medical skill and judgment" the court concluded that the provision represented "an impermissible legislative intrusion."\textsuperscript{36}
The Eighth Circuit also agreed with the district court that the statutory provisions prohibiting the use of public funds, facilities, or employees to "encourage and counsel" a woman to have an abortion were void for vagueness and a violation of the right to privacy. Concerning the vagueness contention, the state argued that the two words "encourage" and "counsel" encompassed and named only "affirmative advocacy." The court rejected this interpretation noting that the word "counsel" is "fraught with ambiguity; its range is incapable of objective measurement."\textsuperscript{37}
On the question of right to privacy, the court found "that the ban on using public funds, employees, and facilities to encourage or counsel a woman to have an abortion is an unacceptable infringement of the woman's fourteenth amendment right to choose an abortion."\textsuperscript{38} The court of appeals relied upon its decision in \textit{Nyberg v. City of Virginia}\textsuperscript{39} to address the issue of public facilities. It found that this ban created an undue burden on the free exercise of the right to choose abortion.
\begin{itemize}
\item[32.] See, e.g., \textit{Reproductive Health Servs. I}, 662 F. Supp. at 413.
\item[33.] \textit{Reproductive Health Serv. II}, 851 F.2d at 1076.
\item[34.] \textit{Id.} at 1077.
\item[35.] \textit{Id.} at 1074 (quoting Colautti v. Franklin, 439 U.S. 379, 388-89 (1979)).
\item[36.] \textit{Reproductive Health Serv. II}, 851 F.2d at 1074 (quoting \textit{Reproductive Health Servs. I}, 662 F. Supp. at 423).
\item[37.] \textit{Reproductive Health Serv. II}, 851 F.2d at 1078.
\item[38.] \textit{Id.} at 1079.
\item[39.] 667 F.2d 754 (8th Cir. 1982), \textit{appeal dismissed, cert. denied}, 462 U.S. 1125 (1983).
This burden is even more nettlesome, noted the court, when "it bars women seeking to obtain and pay for abortions access to public facilities when the evidence demonstrates that no public funds are expended by allowing the abortion."\textsuperscript{40} Concerning the restrictions covering public employees, the court of appeals reasoned that this provision of the statute placed "obstacles in the path of the woman's exercise of her freedom of choice."\textsuperscript{41} It further reasoned that these obstacles would be unable to stand absent a compelling state interest. Since the State was unable to provide such an interest, the court ruled that the statute violated the due process clause as interpreted in \textit{Roe}.\textsuperscript{42}
\section*{II. ANALYSIS OF THE U.S. SUPREME COURT'S DECISION IN WEBSTER}
The Supreme Court's ruling in \textit{Webster} reversed the decisions of the district court and the court of appeals on the four portions of the Missouri abortion statute that were before the court. In doing so, five opinions were filed by the Court. The plurality opinion, written by Justice Rehnquist and joined by Justices White and Kennedy, upheld both the preamble and the ban on use of public facilities and employees as not being facially unconstitutional. The plurality found the viability testing provision of the Missouri statute constitutional, but also found that the provision conflicted with the trimester framework of \textit{Roe v. Wade}. They used this conflict as a basis to modify \textit{Roe} by abandoning the trimester framework, but the remaining holdings of \textit{Roe} were left intact. The counseling provision in section 188.205 was found moot by a unanimous decision of the Court.
Justice O'Connor concurred with the results reached by the plurality on the four portions of the statute before the Court. She disagreed with the plurality, however, that \textit{Webster} afforded an
\begin{itemize}
\item \textsuperscript{40} \textit{Reproductive Health Serv. II}, 851 F.2d at 1082.
\item \textsuperscript{41} \textit{Id.} at 1083 (quoting Harris v. McRae, 448 U.S. 297, 318 (1980)).
\item \textsuperscript{42} \textit{Id.} at 1083. The district court concluded that the restrictions on public funds and assistance by public employees was a violation of the eighth amendment since such provisions effectively denied women inmates access to "medically necessary" abortions. \textit{Reproductive Health Servs. I}, 662 F. Supp. at 428-29. The court of appeals disagreed with this contention. \textit{Reproductive Health Serv. II}, 851 F.2d at 1084. It found that the word "assisting" in the statute, which makes it unlawful to expend public money, did not prevent "state employees from arranging for abortion procedures for inmates or from transporting and escorting inmates to abortion facilities." \textit{Id.} Because the Supreme Court has "made clear that neither the due process clause nor the equal protection clause requires public funding for abortions," the court of appeals found the first sentence of section 188.205 to be constitutional. \textit{Id.}
opportunity to reconsider the *Roe* framework and she found that the viability testing provision could be upheld as consistent with the framework. Justice Scalia also concurred with the results reached by the plurality on the four issues before the Court. He wrote separately to express his belief that *Roe* should have been fully addressed and reversed. Two dissenting opinions, one written by Justice Stevens and the other by Justice Blackmun with whom Justices Brennan and Marshall joined, found the remaining three provisions of the Missouri statute unconstitutional.
Each of the opinions gave separate treatment to the four provisions of the Missouri statute and for the purposes of this analysis each of the provisions will be treated separately.
**A. The Four Provisions of the Missouri Act**
1. The Preamble
The plurality criticized the meaning the court of appeals attributed to the statement in *City of Akron v. Akron Center for Reproductive Health, Inc.*\(^{43}\) that "a State may not adopt one theory of when life begins to justify its regulation of abortions."\(^{44}\) The plurality found this statement to mean only that an abortion regulation otherwise invalid under *Roe v. Wade* cannot be justified because it embodies the State's theory of when life begins.\(^{45}\) They asserted that this meaning has no application to the preamble since the language of the preamble does not expressly regulate abortion. The plurality reasoned that the preamble may be read as the State simply exercising its authority to make the kind of value judgment favoring childbirth over abortion found permissible under the Court's decision in *Maher v. Roe*.\(^{46}\)
Because they viewed the preamble as a permissible "value judgment" of the State, the plurality found passing on the constitutionality of the preamble unnecessary. The plurality delayed this determination until the Missouri courts decide the extent to which the preamble will be used to interpret state statutes and regulations or to restrict
---
43. 462 U.S. 416 (1983)
44. *Id.* at 444.
45. 109 S. Ct. at 3050.
46. *Id.* The right of a state to express such a "value judgment" was enunciated in *Maher v. Roe*, 432 U.S. 464 (1977), which found that "Roe did not declare an unqualified 'constitutional right to abortion.' . . . It implies no limitation on the authority of a State to make a value judgment favoring childbirth over abortion, and to implement that judgment by the allocation of public funds." *Id.* at 473-74.
abortions in a specific way.\textsuperscript{47} They reasoned that passing on the constitutionality is unnecessary at this time as they do not have the power "to decide . . . abstract propositions or to declare, for the government of future cases, principles or rules of law which cannot affect the result as to the thing in issue in the case before it."\textsuperscript{48}
In his dissent, Justice Stevens found the preamble unconstitutional as interfering with both contraceptive choices and the Establishment Clause of the first amendment. Justice Stevens addressed this first claim by pointing out that the Missouri abortion statute defines conception as "the fertilization of the ovum of a female with the sperm of a male."\textsuperscript{49} According to Justice Stevens, this implies regulation of post-fertilization forms of contraception such as the IUD and "morning after pill" which prevent pregnancy by preventing a fertilized egg from implanting on the wall of the uterus.\textsuperscript{50} Justice Stevens found this implication unconstitutional under the right of privacy in contraceptive
\textsuperscript{47} 109 S. Ct. at 3050. Several efforts have been made in Missouri to apply the preamble to existing law in numerous contexts. The first involved calculating a person's age from the time of conception, thus adding nine months to age as it is traditionally measured. Columbia Daily Tribune, July 25, 1989, at 10, col. 2. The Director of the Missouri Department of Revenue concluded that the word "age" in state law means the time since birth. \textit{Id}. Therefore, the moment of conception does not give rise to tax deductions in Missouri nor does one become eligible for a driver's license at 15 years and 3 months. \textit{Id}. The attorney of an imprisoned woman used the preamble to bring suit against the state on behalf of her fetus. Columbia Daily Tribune, Aug. 3, 1989, at 1, col. 1. She alleged that the constitutional rights of the fetus were violated because it was being imprisoned without having been charged with a crime, allowed an attorney, or convicted or sentenced. \textit{Id}. A St. Louis County Judge, citing the preamble, accepted a necessity defense and acquitted 21 people accused of trespassing during sit-ins at an abortion clinic. Columbia Daily Tribune, Aug. 17, 1989, at 1, col. 2. A Boone County Judge held that the preamble does not add nine months to a person's age and so does not provide a defense to the charge of possession of alcohol by a minor. Columbia Daily Tribune, Aug. 19, 1989, at 1, col. 1. Further clarification of the impact of the preamble will be provided when the Attorney General responds to the request of a member of the Missouri General Assembly for an opinion of its affect on a wide range of state laws. Columbia Daily Tribune, Sept. 2, 1989, at 1, col. 3.
\textsuperscript{48} 109 S. Ct. at 3050 (quoting Tyler v. Judges of Court of Registration, 179 U.S. 405 (1900)).
\textsuperscript{49} Mo. Rev. Stat. § 188.015(3) (1986).
\textsuperscript{50} 109 S. Ct. at 3080-81. Justice Stevens also points out that the definition of conception under the Missouri statute conflicts with that of standard medical texts which define conception as the implantation of the ovum in the uterus. This occurs about six days after fertilization. \textit{See}, e.g., D. Mishell & V. Davajan, Infertility, Contraception & Reproductive Endocrinology 109-110 (2d ed. 1986).
choices\textsuperscript{51} enunciated in \textit{Griswold v. Connecticut}\textsuperscript{52} and other cases involving freedom of personal choice in the area of marriage and family life.\textsuperscript{53} He conceded that religious beliefs in the sanctity of human life from the moment of conception provide a \textit{theological} basis for making a distinction between contraceptives which act immediately before fertilization and those which act immediately after such time. He found, however, that the absence of any identifiable \textit{secular} basis for this distinction renders the preamble invalid.\textsuperscript{54}
Justice Stevens also used his conclusion that the preamble serves no identifiable secular purpose in asserting that the preamble violates the Establishment Clause of the first amendment. He viewed the "findings" of the preamble as endorsing the theological position that preserving the life of the fetus during the first forty or eighty days of pregnancy involves the same secular interest which exists after viability or after the fetus has become a "person" for purposes of protection under the Constitution.\textsuperscript{55} Justice Stevens asserted that, during the period immediately before and after fertilization, the Constitution allows a woman to use contraceptives to prevent the fertilized ovum from developing.\textsuperscript{56} He placed, as a matter of law, the burden on Missouri to identify secular rights which distinguish the first days of pregnancy from the period immediately before and after fertilization in order to sustain the position endorsed by the preamble.\textsuperscript{57} Justice Stevens concluded that no valid secular purpose exists which justifies making such a distinction; therefore the preamble's endorsement of a theological position is unconstitutional under the Establishment Clause.
In asserting that no such secular interest exists, Justice Stevens withdrew a number of areas from consideration as secular interests of the State. No interest exists in protecting the newly fertilized egg from
\begin{itemize}
\item 51. 109 S. Ct. at 3082. In her concurring opinion, Justice O'Connor agrees with Justice Stevens that \textit{Griswold} and its progeny may protect the use of post-fertilization contraceptive devices. \textit{Id.} at 3059. However, she points out that the appellees did not seek to enjoin such potential violations of \textit{Griswold}, and there is no indication that the preamble will be applied in this way. Under such circumstances, she finds that the plurality is correct in finding an unconstitutional application too hypothetical to invalidate the preamble on this basis. \textit{Id.} at 3059.
\item 52. 381 U.S. 479 (1965).
\item 53. See Loving v. Virginia, 388 U.S. 1, 12 (1967); Pierce v. Society of Sisters, 268 U.S. 510, 534-35 (1925); Meyer v. Nebraska, 262 U.S. 390, 394 (1923); see also Eisenstadt v. Baird, 405 U.S. 438, 453 (1972); Prince v. Massachusetts, 321 U.S. 158, 166 (1944); Skinner V. Oklahoma, 316 U.S. 535, 541 (1942).
\item 54. 109 S. Ct. at 3082.
\item 55. \textit{Id.} at 3083.
\item 56. \textit{Id.} at 3083-84.
\item 57. \textit{Id.} at 3084.
physical harm, he argued, because the capacity for suffering has not yet developed.\textsuperscript{58} According to Justice Stevens, the potential societal interests in increasing population or the balancing of fiscal costs and benefits are nonexistent because currently such considerations come down on the side of permitting abortions.\textsuperscript{59} Although the State was admitted to have a valid interest in protecting a woman from an incorrect abortion decision, the interest was not deemed to justify the findings of the preamble. Additionally, Justice Stevens was unpersuaded by the State's argument that the preamble is merely an amendment to its tort, property, and criminal laws. He supported this conclusion by contending that none of these areas of Missouri law were based or supported by a definition of when life begins. He also pointed out that such an argument is inconsistent with the prohibition, under the Missouri Constitution, against statutes which pertain to more than one subject matter.\textsuperscript{60}
Justice Stevens bolstered his conclusion that the preamble violates the first amendment by pointing to the deeply held religious convictions of many of the participants involved in the abortion debate. These beliefs cannot find their way into abortion regulation, he asserted, because under the Establishment Clause, "[t]he Missouri Legislature may not inject its endorsement of a particular religious tradition into this debate."\textsuperscript{61}
In his dissenting opinion, Justice Blackmun agreed with Justice Stevens that the preamble unconstitutionally burdens the use of post-fertilization contraceptives such as the IUD and "morning after" pill. Additionally, he asserted the preamble may be invalidated because of its statement that the rights of the unborn are "subject only to the Constitution of the United States, and decisional interpretations thereof by the United States Supreme Court."\textsuperscript{62} Justice Blackmun found that this creates an interest in fetal life defined only by the limits of the Supreme Court's holdings in the abortion area. He stated that such an interest of indeterminable limits has the danger of "the unconstitutional effect of chilling the exercise of a woman's right to terminate a
\begin{itemize}
\item \textsuperscript{58.} \textit{Id.}
\item \textsuperscript{59.} \textit{Id.}
\item \textsuperscript{60.} \textit{Id.} Article 3, section 23 of the Missouri Constitution provides: No bill shall contain more than one subject which shall be clearly expressed in its title, except bills enacted under the third exception in section 37 of this article and general appropriation bills, which may embrace the various subjects and accounts for which moneys are appropriated.
\textit{MO. CONST.,} art. III, § 23.
\item \textsuperscript{61.} 109 S. Ct. at 3085.
\item \textsuperscript{62.} \textit{MO. REV. STAT.} § 1.205 (1986).
pregnancy and of burdening the freedom of health professionals to provide abortion services.\textsuperscript{63}
2. Use of Public Employees or Facilities
The plurality, joined by Justices O'Connor and Scalia, upheld the prohibition in the Missouri statute on the use of public employees or facilities as consistent with the Supreme Court's earlier public funding decisions in \textit{Maher v. Roe},\textsuperscript{64} \textit{Poelker v. Doe},\textsuperscript{65} and \textit{Harris v. McRae}.\textsuperscript{66} The plurality also felt the ban reflects the general proposition that an affirmative right to governmental assistance is not protected by the due process clause even when the aid is needed to secure due process interests, which themselves cannot be deprived by the government.\textsuperscript{67}
\textit{Maher} was an early case involving public funding of abortions. The court in \textit{Maher} upheld a Connecticut welfare regulation providing Medicaid benefits for childbirth expenses but not for nontherapeutic abortions. The Court approved cutting off Medicaid benefits for abortions even though it "may make it difficult-and in some cases, perhaps, impossible-for some women to have abortions" without public funding.\textsuperscript{68} In \textit{Poelker}, a companion case to \textit{Maher}, the Supreme Court upheld the constitutionality of a directive issued by the mayor of St. Louis prohibiting the performance of nontherapeutic abortions in city funded hospitals. The Court reached this decision even though city hospitals provided financed medical services for childbirth. \textit{Harris v. McRae} involved a failed constitutional challenge to the Hyde Amendment, a law which severely restricted the use of federal funds to reimburse the cost of nontherapeutic abortions under Medicaid.
The plurality rejected the court of appeals' reasoning that these cases could be distinguished because the Missouri statute "does more than demonstrate a political choice in favor or childbirth; it clearly narrows and in some cases forecloses the availability of abortion to women."\textsuperscript{69} The plurality found that, similar to \textit{McRae}, the statute is valid because it is not a "government obstacle" to obtaining an abortion and does not leave a pregnant woman with any fewer choices than if the State chose not to operate any public hospitals.\textsuperscript{70}
\begin{itemize}
\item 63. 109 S. Ct. at 3068 n.1.
\item 64. 432 U.S. 464 (1977).
\item 65. 432 U.S. 519 (1977).
\item 66. 448 U.S. 297 (1980).
\item 67. 109 S. Ct. at 3051; see DeShaney v. Winnebago County Dept. of Social Servs., 109 S. Ct. 998, 1003 (1989).
\item 68. \textit{Maher}, 432 U.S. at 474.
\item 69. \textit{Reproductive Health Serv. II}, 851 F.2d at 1081.
\item 70. 109 S. Ct. at 3052; see \textit{McRae}, 448 U.S. at 315-17.
admitted that the statute restricts a woman's ability to obtain an abortion to the extent she chooses to use a physician affiliated with a pubic hospital. They characterized this restriction, however, as being considerably less burdensome and easier to remedy than the case in *Maher*. Additionally, the plurality upheld the statute on the basis of the statement in *Maher* that a state may implement a value judgment favoring childbirth by refusing to fund abortions. They found that this allows the state to implement that same value judgment by the way in which it allocates other public resources such as hospitals and medical staff.\(^{71}\)
The Eighth Circuit distinguished the Missouri statute from *Maher* and its progeny on the basis that public facilities in Missouri recoup the expenses of providing abortions with payments from the patients. To the appellate court this indicated the Missouri statute created a governmental obstacle to the right to receive an abortion rather than merely expressing a preference for childbirth.\(^{72}\) The plurality disagreed with this analysis and found no obstacle is created since, "[n]othing in the Constitution requires States to enter or remain in the business of performing abortions. Nor, as appellees suggest, do private physicians and their patients have some kind of constitutional right of access to public facilities for the performance of abortions."\(^{73}\) The opinion also questioned how the Missouri statute burdens a woman's abortion decision at all if the State recoups all of its expenses in performing abortions when no state subsidy is available.\(^{74}\)
The plurality concluded that *Maher*, *Poelker*, and *McRae* support its view that a state may prohibit its resources from being used in abortions even when the state recoups all of its expenses. They point out that the ban upheld in *Poelker* applied to all women regardless of their ability to pay. The plurality also pointed to the Court's emphasis in *Poelker* that the decision to prohibit abortions in city hospitals was "subject to public debate and approval or disapproval at the polls" and that "the Constitution does not forbid a State or city, pursuant to democratic processes, from expressing a preference for normal childbirth as St. Louis has done."\(^{75}\) The plurality seemed to indicate that the
\(^{71}\) 109 S. Ct. at 3052.
\(^{72}\) *Reproductive Health Serv. II*, 851 F.2d at 1083.
\(^{73}\) 109 S. Ct. at 3052.
\(^{74}\) *Id.* The plurality opinion does indicate, however, this conclusion might change if a state had socialized medicine in which all of the hospitals and physicians in the state were publicly funded or if the State attempted to bar physicians who performed abortions in private institutions from using public facilities for any purpose. *Id.* at 3052 n.8
\(^{75}\) *Poelker*, 432 U.S. at 521.
decision to devote public resources of any kind to the performance of abortions is a political issue.
In her concurring opinion, Justice O'Connor agreed with the plurality's holding but she found that the broad definition given to "public facilities" in the statute may permit some unconstitutional applications of the ban. She implied that *Maher*, *Poelker*, and *McRae* do not have unlimited application to the Missouri statute. She found that these decisions "stand for the proposition that *some quite straightforward applications* of the Missouri ban on the use of public facilities for performing abortions would be constitutional."76 The appellees suggested that attempting to impose the ban on abortions on private hospitals that are connected to public water and sewage lines is one potential misapplication of the definition of a public facility.77 Justice O'Connor viewed these potential unconstitutional applications insufficient to invalidate the statute, however, because the appellees brought only a facial challenge to the statute. A facial challenge may be defeated if any set of circumstances exist under which the statute would be valid.78
Like Justice O'Connor, Justice Blackmun's dissent found the statute's definition of a "public facility" troublesome. He did not, however, hesitate to declare the statute invalid on this basis. He found that through a definition of "public facility," which prohibits abortions in institutions that in all pertinent respects are private, Missouri has gone beyond just withdrawing from the business of abortion. He asserted the statute is an affirmative step, in violation of *Roe*'s command, toward restricting abortions by private physicians in private hospitals.79 Justice Blackmun distinguished the "sweeping scope" of the provision as going far beyond the rights of a state established in
---
76. 109 S. Ct. at 3059 (emphasis added). The type of application of the broad definition of a "public facility" which Justice O'Connor may find unconstitutional is suggested in the appellees' brief. It states therein that this definition could include private hospitals which are linked to public water and sewage lines or which lease state land or equipment. Brief for Appellees at 49-50, Webster v. Reproductive Health Servs., 109 S. Ct. 3040 (1989) [hereinafter Brief for Appellees].
77. Brief for Appellees, *supra* note 76, at 49-50.
78. 109 S. Ct. at 3060.
79. *Id.* at 3068 n.1. Justice Blackmun uses Truman Medical Center in Kansas City, Missouri as an example of this type of application of the statute. In 1985, 97% of all Missouri abortions at sixteen weeks or later were performed at Truman Medical Center. Justice Blackmun points out that the hospital is located on ground leased from a political subdivision of the state. Therefore, he claims that the statute may be applied to prohibit abortions at this facility even though the hospital is staffed primarily by private doctors and administered by a private corporation. *Id.*
Maher, Poelker, and Harris to offer incentives in favor of childbirth and disassociate state-owned institutions and personnel from abortion services. Contrary to the plurality opinion, Justice Blackmun felt the statute leaves a woman with fewer choices—and in some cases no choice—than she would have if the State chose not to operate any public hospitals at all. He stated that by the manner in which public facility has been defined, "Missouri has brought to bear the full force of its economic power and control over essential facilities to discourage its citizens from exercising their constitutional rights."
3. The Counseling Provision
Although all three of the counseling provisions of the Act were struck down by the lower courts, Missouri only brought section 188.205, which deals with funding, to the Supreme Court. The State asserted in its brief to the court that this provision is directed solely at the persons responsible for expending public funds and does not apply to public or private physicians or health care providers. The appellees' brief stated that they are not adversely affected under such an interpretation; therefore, a controversy no longer exists concerning this provision. The plurality opinion, speaking for the unanimous Court on this issue, found that this rendered the controversy over section 188.205 moot. It directed the court of appeals to vacate the judgment of the district court with instructions to dismiss the relevant part of the complaint.
80. Id.
81. The appeal of the other two provisions of the statute would have undoubtedly brought complex first amendment issues before the Court as well as the question of whether the provisions unconstitutionally restricted abortion.
82. Brief for Appellants at 43, Webster v. Reproductive Health Servs., 109 S. Ct. 3040 (1989) [hereinafter Brief for Appellants].
83. Brief for Appellees, supra note 76, at 31-32.
84. 109 S. Ct. at 3054. The plurality ends its discussion on this issue with a quote from Deakins v. Monaghan, 484 U.S. 193, 200 (1988), which states, "Because this [dispute] was rendered moot in part by [appellees] willingness permanently to withdraw their equitable claims from their federal action, a dismissal with prejudice is indicated." 109 S. Ct. at 3054. Both Justice O'Connor and Justice Blackmun, however, note the interpretation of section 188.205 given by the State in its brief is not binding upon the Missouri Supreme Court and the provision might be relitigated should that court adopt a different interpretation. Id. at 3061, 3069 n.1.
4. Viability Testing
The viability testing provision in section 188.029 of the Missouri statute elicited the most commentary from the Justices and provided the plurality with an opportunity to challenge the *Roe* trimester framework. The testing provision consists of two sentences which provide:
Before a physician performs an abortion on a woman he has reason to believe is carrying an unborn child of twenty or more weeks gestational age, the physician shall first determine if the unborn child is viable by using and exercising that degree of care, skill, and proficiency commonly exercised by the ordinary skillful, careful, and prudent physician engaged in similar practice under the same or similar conditions. In making this determination of viability, the physician shall perform or cause to be performed such medical examinations and tests as are necessary to make a finding of the gestational age, weight, and lung maturity of the unborn child and shall enter such findings and determination of viability in the medical record of the mother.\(^{85}\)
**a. Interpretation of Section 188.029**
The debate over the interpretation of the viability testing provision centered on the interplay between the provision's two sentences. The court of appeals interpreted the second sentence of the statute as requiring that after twenty weeks the physician must perform tests to determine gestational age, fetal weight, and lung maturity regardless of the costs, health risks, and usefulness of performing those tests in a particular situation.\(^{86}\)
Although the usual practice of the Court is to defer to the lower court's construction of a state statute, the plurality rejected the court of appeal's interpretation as "plain error."\(^{87}\) The plurality found that the court of appeals erred by not reading the second sentence in the context of the provision as a whole. The opinion stated that the lower court's interpretation violated both canons of Missouri statutory interpretation, and the general principle that statutes should be interpreted to avoid constitutional difficulties.\(^{88}\) Under the lower court's interpretation, the second sentence of section 188.029 requires the physician to perform the indicated tests regardless of whether, in the physician's medical
---
\(^{85}\) Mo. Rev. Stat. § 188.029 (1986).
\(^{86}\) *Reproductive Health Serv. II*, 851 F.2d at 1074.
\(^{87}\) 109 S. Ct. at 3054.
\(^{88}\) *Id.* at 3054-55.
judgment, the tests would be helpful in determining viability or would pose significant risks to the mother and the fetus. The first sentence, however, requires the physician to exercise reasonable professional skill and judgment. The apparent conflict between these two sentences led the plurality to conclude that the lower court misinterpreted the statute. Additionally, the plurality found that such an interpretation is incongruous with the use of the word "necessary" in the statute and the statute's expressed purpose of determining viability.\textsuperscript{89} Under the plurality's interpretation of the statute, then, the viability testing provision does not require the physician in all cases to perform tests to determine gestational age, weight, and lung maturity of the unborn child. The plurality interpreted the testing provision to require a physician to perform tests only when the tests will be useful in making subsidiary findings about viability.\textsuperscript{90}
Justice Stevens' dissent stated that the Court's practice of accepting the interpretation of the lower court even when a different interpretation is justified forecloses adoption of the plurality's interpretation.\textsuperscript{91} He also asserted that the interpretation adopted by the court of appeals is the "plain meaning" of the statute which cannot be ignored even if the plurality's interpretation avoids constitutional difficulties.\textsuperscript{92}
\textsuperscript{89} \textit{Id.} at 3055.
\textsuperscript{90} \textit{Id.} at 3054-55. Justice O'Connor's concurring opinion agrees with the plurality's interpretation of section 188.029. She adds, however, that in addition to only requiring tests useful in making subsidiary findings as to viability, the statute requires only tests which would be prudent to perform in the particular medical situation before the physician. \textit{Id.} at 3061.
As a practical matter, the provision may have little effect on the performance of viability tests by physicians. The parties in \textit{Webster} agree that prior to thirty weeks of pregnancy, the only possible finding relevant to determining viability is that of gestational age. They also agree that the standard medical procedure for ascertaining gestational age is ultrasonography, a process using sound waves to create a visual image. Sophisticated ultrasound equipment is needed to make the three-dimensional measurements required to estimate fetal weight. The only known test to determine fetal lung maturity is amniocentesis. This involves the insertion of a hollow needle into the uterus to extract amniotic fluid which is then analyzed for the presence of certain chemicals. This test yields no useful information about viability before thirty weeks of pregnancy. Brief for Appellees, \textit{supra} note 76, at 26-27; Brief for Appellants, \textit{supra} note 82, at 32.
\textsuperscript{91} 109 S. Ct. at 3079-80.
\textsuperscript{92} \textit{Id.} at 3080. Justice Blackmun and the other dissenters agree with Justice Stevens' interpretation that the second sentence of section 188.029 requires the physician to perform tests to determine gestational age, weight, and lung maturity regardless of whether these tests are necessary to make a viability determination, add to the cost of the abortion, or pose substantial medical risks to the woman and the fetus. Under such a construction, both
supported his conclusion by adding that the word "shall" is used twice in the second sentence of the statute without any qualifying language. He also pointed out that under the plurality's interpretation the second sentence adds nothing to the first sentence's requirement that a physician use his best skill and judgment. Contrary to the plurality's opinion, Justice Stevens asserted that it is not incongruous to assume the Missouri Legislature was trying to protect nonviable fetuses by making an abortion more expensive. He claimed the preamble and the statute as a whole indicate that the purpose of the Missouri abortion statute is "to protect the potential life of the fetus, rather than to safeguard maternal health."
b. Conflict With the Roe Framework
After setting out its interpretation of section 188.029, the plurality maintained that the statute conflicts with the Court's decisions in *Colautti v. Franklin* and *City of Akron*. The plurality did not find the testing provision unconstitutional because of this conflict. Rather, it used the conflict as a basis for abandoning the trimester framework established in *Roe v. Wade*. The *Roe* framework sought to balance the interests of a state in safeguarding maternal health and protecting potential human life against a woman's constitutional privacy rights which were found to encompass the decision concerning whether to terminate her pregnancy. The framework places no restrictions on dissents find that the statute is unconstitutional regardless of the *Roe* framework. They find that even under the rational basis test the statute's requirement of tests which have no medical justification impose additional health risks upon the woman and the fetus. Therefore, they conclude that such tests bear no rational relation to the State's interest in the protection of fetal life. *Id.* at 3070. Justice Blackmun also agrees with the finding of the court of appeals that section 188.029 conflicts with the decision in *Colautti v. Franklin*, 439 U.S. 379, 388-89 (1979), that a state may not proclaim one of the elements entering into the determination of viability. 109 S. Ct. at 3070 n.4.
93. *Id.* at 3080 (quoting *Reproductive Health Servs. I*, 662 F. Supp. at 420).
94. 439 U.S. 379 (1979).
95. "[A] State may properly assert important interests in safeguarding health, in maintaining medical standards, and in protecting potential life. At some point in pregnancy, these respective interests become sufficiently compelling to sustain regulation of the factors that govern the abortion decision. The privacy right, therefore, cannot be said to be absolute." *Roe*, 410 U.S. at 154.
96. "This right of privacy, whether it be founded in the Fourteenth Amendment's concept of personal liberty and restrictions upon state action, as we feel it is, or . . . in the Ninth Amendment's reservation of rights to the people, is broad enough to encompass a woman's decision whether or not to
abortions performed in the first trimester of pregnancy.\textsuperscript{97} The state's interest in \textit{maternal health} becomes compelling at the second trimester of pregnancy. At this point, the state may regulate abortion to the extent the regulation reasonably relates to the preservation and protection of maternal health.\textsuperscript{98} The framework sets viability as the point at which the state's interest in \textit{potential human life} becomes compelling. With a compelling interest, the state may "regulate, and even proscribe, abortion except when it is necessary, in appropriate medical judgment, for the preservation of the life or health of the mother."\textsuperscript{99}
Two findings of the plurality provide the basis for the conflict between the viability testing provision of the Missouri statute and the Court's decisions in \textit{Colautti} and \textit{City of Akron}. First, the plurality stated that the testing statute is concerned not with maternal health, but with promoting the State's interest in potential human life.\textsuperscript{100} Second, the statute is said to create a presumption that a viable fetus exists at twenty weeks. The presumption must be rebutted with tests before an abortion may be performed.\textsuperscript{101}
In \textit{Colautti}, the Court emphasized the importance of the viability determination in the \textit{Roe} framework and the role of the physician in making this determination. The Court stated, "[t]he determination of whether a particular fetus is viable is, and must be, a matter for the judgment of the responsible attending physician."\textsuperscript{102} The plurality asserted that Missouri's viability testing provision conflicts with this holding because it inflicts state regulation upon the medical determination of viability. Further, added the plurality, both the district court and court of appeals struck down the testing provision on this basis.\textsuperscript{103} The provision in \textit{City of Akron} that is relevant to this issue required second trimester abortions to be performed in hospitals. The Court struck down the regulation because it burdened access to obtaining an abortion by doubling the cost.\textsuperscript{104} Because the testing provision of the Missouri Act, in some cases, increases the cost of second trimester
\textsuperscript{97} \textit{Id.} at 163.
\textsuperscript{98} \textit{Id.}
\textsuperscript{99} \textit{Id.} at 165.
\textsuperscript{100} 109 S. Ct. at 3055.
\textsuperscript{101} \textit{Id.}
\textsuperscript{102} \textit{Colautti}, 439 U.S. at 396 (quoting Planned Parenthood of Central Mo. v. Danforth, 428 U.S. 53, 64 (1976)).
\textsuperscript{103} 109 S. Ct. at 3056.
\textsuperscript{104} \textit{City of Akron}, 462 U.S. at 434-35.
abortions, the plurality felt it conflicts with the holding in *City of Akron*.\textsuperscript{105}
The plurality believed the inconsistency between the Missouri statute and the holdings in *Colautti* and *City of Akron* indicates the inadequacy of the trimester framework and has resulted in the complication of abortion law. The opinion stated that "the rigid trimester analysis of the course of a pregnancy enunciated in *Roe* has resulted in subsequent cases like *Colautti* and *Akron* making constitutional law in this area a virtual Procrustean bed."\textsuperscript{106}
Justice Blackmun's dissent emphasized that the plurality adopted an incorrect interpretation of section 188.029. He suggested, however, that even under the plurality's interpretation, the statute does not conflict with the decisions in either *Colautti*\textsuperscript{107} or *City of Akron*.\textsuperscript{108} More significantly, Justice Blackmun emphasized that, even though some second trimester abortions in which the fetus is not viable will be affected, the plurality's interpretation does not conflict with *Roe*. He stated, "Nothing in *Roe*, or any of its progeny, holds that a State may not effectuate its compelling interest in the potential life of a viable fetus by seeking to ensure that no viable fetus is mistakenly aborted because of the inherent lack of precision in estimates of gestational age."\textsuperscript{109} The additional costs added to second trimester abortions by the testing provision were justified as being "merely incidental" to, and a necessary accommodation of, the State's unquestioned right to prohibit nontherapeutic abortions after the point of viability.\textsuperscript{110} Thus, Justice
\textsuperscript{105} 109 S. Ct. at 3056.
\textsuperscript{106} \textit{Id.}
\textsuperscript{107} Justice Blackmun reads the plurality's interpretation of section 188.029 as only instructing a physician to use tests to make the findings listed in the statute when such tests are medically feasible and appropriate. As such, he finds the provision does not conflict with *Colautti* since the determination of viability is still within the medical judgment of the physician. \textit{Id.} at 3071 n.6.
\textsuperscript{108} Justice Blackmun concludes the application and justification of the viability testing provision sufficiently separates it from the regulation in *City of Akron* for it to be upheld under the holding in that case. He finds the testing provision of section 188.029, which would apply only to some second trimester abortions, is significantly different from the hospitalization regulation in *City of Akron* since that provision purported to regulate all second trimester abortions. Justice Blackmun also emphasizes the holding statement in *City of Akron* that the State may not impose "a heavy, and unnecessary, burden on women's access to a relatively inexpensive, and otherwise accessible, and safe abortion procedure." \textit{Id.} Justice Blackmun believes, unlike the regulation involved in *City of Akron*, the testing provision is necessary to effectuate the State's interest in potential human life of viable fetuses. \textit{Id.}
\textsuperscript{109} \textit{Id.} at 3071.
\textsuperscript{110} \textit{Id.} (emphasis added).
Blackmun acknowledged that, under some circumstances, the State's interest in potential human life may justify burdening second trimester abortions.
Justice O'Connor concurred with the plurality in upholding the testing provision. Like Justice Blackmun and other dissenters, however, she believed that the plurality's interpretation of the statute does not conflict with *Colautti* or *City of Akron* and provides no basis for reexamining the *Roe* trimester framework.\(^{111}\) While agreeing with the plurality that the purpose of the Missouri testing statute is to protect potential human life, she felt that this purpose does not place the statute in conflict with the *Roe* trimester framework. Similar to Justice Blackmun's discussion of the statute's validity under the *Roe* framework, Justice O'Connor based her finding of validity on the absence, in prior abortion decisions by the Court, of any holding that a State may not promote its interest in potential human life when viability is possible.\(^{112}\) She looked to *Thornburgh v. American College of Obstetricians & Gynecologists*\(^{113}\) as supporting the power of a state to promote this interest. In *Thornburgh*, the Court struck down a Pennsylvania statute requiring the presence of a second physician during an abortion performed after viability. Justice O'Connor suggested that the statute was struck down only because of the absence of any exception for emergency situations and not because any difference exists between promotion of the State's interest when viability is possible and when it is certain.\(^{114}\) The *Thornburgh* majority made no statement that the State's interest may differ in these two situations. Justice O'Connor viewed this as an indication that all nine members of the Court agreed
---
\(^{111}\) Justice O'Connor finds that the first sentence of the testing provision arguably conflicts with the decisions in *Planned Parenthood v. Danforth* and with *Colautti*. The presumption of viability at twenty weeks may be seen as restricting the judgment of a physician by requiring that the presumption be overcome before an abortion may be performed. Justice O'Connor points out, however, that she believes such an argument would be unsuccessful and, in any event, the question is not before the Court because the appellees did not appeal the district court's ruling that the first sentence is constitutional. 109 S. Ct. at 3061.
\(^{112}\) Justice Scalia's concurring opinion criticizes the concept of a State's "interest in potential life when viability is possible." *Id.* at 3066 n.4. He points out that by definition viability only involves the possibility that the fetus is capable of life outside the womb. He therefore concludes that the concept alluded to by Justice O'Connor is a "possibility of a possibility of survivability outside the womb." *Id.*
\(^{113}\) 476 U.S. 747 (1986).
\(^{114}\) 109 S. Ct. at 3063.
that a state may regulate abortion to protect its interest in potential life when viability is possible but not certain.\textsuperscript{115}
Justice O'Connor found no conflict existing between the testing provision and the statement in \textit{Colautti} that "neither the legislature nor the courts may proclaim one of the elements entering into the ascertainment of viability . . . as the determinant of when the State has a compelling interest . . . . Viability is the critical point."\textsuperscript{116} The plurality's interpretation only requires a physician to make subsidiary findings as to viability and Justice O'Connor felt this makes it clear that section 188.029 does not violate \textit{Colautti}'s rule that viability is the "critical point."\textsuperscript{117}
Likewise, Justice O'Connor found no conflict with the holding in \textit{City of Akron} that a state may not impose a "heavy and unnecessary, burden" on a woman's abortion rights. She reached this conclusion by applying the standard for evaluating regulation of pre-viability abortions she expressed in her dissent in \textit{City of Akron}. In that case, she suggested that "a regulation imposed on a lawful abortion is not unconstitutional unless it \textit{unduly burdens} the right to seek an abortion."\textsuperscript{118} Similar to the analysis of Justice Blackmun, Justice O'Connor found that the testing procedure, contrary to the statute involved in \textit{City of Akron}, does not violate the unduly burdensome standard because it will only marginally, if at all, increase the cost of an abortion.\textsuperscript{119} Justice O'Connor pointed out that unlike the statute in \textit{City of Akron} which applied to all second trimester abortions, section 188.029 applies only when viability is possible. Additionally, she found that her interpretation of the \textit{Thornburgh} decision makes the State's interest in determination of viability compelling whereas the hospitalization requirement in \textit{City of Akron} involved no such compelling interest.\textsuperscript{120}
\begin{itemize}
\item \textsuperscript{115} \textit{Id.}
\item \textsuperscript{116} \textit{Id.} (quoting \textit{Colautti}, 439 U.S. at 388-89).
\item \textsuperscript{117} \textit{Id.}; Justice Scalia disagrees with this analysis. He finds the principle expressed in \textit{Colautti} and \textit{Danforth} that viability must be a matter for the determination of the physician is violated by section 188.029. He believes section 189.029 requires in some instances that the physician perform tests that he or she would not otherwise have performed to determine whether a fetus is viable. \textit{Id.} at 3066 n.* (Scalia, J., concurring).
\item \textsuperscript{118} \textit{City of Akron}, 462 U.S. at 453 (O'Connor, J., dissenting) (emphasis added).
\item \textsuperscript{119} 109 S. Ct. at 3063.
\item \textsuperscript{120} \textit{Id.} Justice Scalia's concurring opinion criticizes the "undue burden" standard used by Justice O'Connor as lacking any basis for determining why the burden involved here is "due" but the burden in \textit{City of Akron} is "undue." He finds that because the financial burden imposed by the Missouri statute is much less than the one involved in \textit{City of Akron}, that case can not be used as a basis for evaluating the Missouri regulation.
c. Rejection of the Roe Framework
After noting a conflict between the viability testing provision and the *Roe* trimester framework, the plurality described the framework as a construction of the constitution which has proven "unsound in principle and unworkable in practice."121 The Court acknowledged the importance of *stare decisis* but stated that its importance is reduced in constitutional cases where change can be effectuated only through the Court and constitutional amendments.
The plurality condemned the framework on two principle grounds. First, they stated that the framework is inconsistent with the Constitution which is cast in general terms and speaks in general principles. Secondly, they found no reason why a state's interest in protection of human life should not be as compelling before viability as it is after viability.122
The plurality advanced its finding of inconsistency with the Constitution's general terms and principles by noting that the trimester and viability elements essential to the framework are not found in the Constitution. They asserted that the indeterminate bounds of inquiry involved in the framework have resulted in a "web of legal rules which have become increasingly intricate, resembling a code of regulations rather than a body of constitutional doctrine."123 The plurality also cited to a comment from Justice White's dissent in *Planned Parenthood v. Danforth*.124 In *Danforth*, Justice White alleged that the intricacies of the framework have made the Court the country's "ex officio medical board with the power to approve or disapprove medical and operative practices and standards throughout the United States."125
To avoid the question of *Roe v. Wade*'s validity, with the attendant costs that this will have for the Court and the principles of self-governance, on the basis of a standard that offers 'no guide but the Court's own discretion'... merely adds to the irrationality of what we do today.
*Id.* at 3066 n.* (quoting Baldwin v. Missouri, 281 U.S. 586, 595 (1930)).
121. *Id.* at 3056 (quoting Garcia v. San Antonio Metro. Transit Auth., 469 U.S. 528, 546 (1985)). Justice O'Connor disagrees with the plurality that addressing the *Roe* framework is required in this case. She does indicate, however, her continuing belief that the trimester framework of *Roe* is "problematic." *Id.* at 3063. In *City of Akron*, Justice O'Connor described the framework as "a completely unworkable method of accommodating the conflicting personal rights and compelling state interests that are involved in the abortion context." *City of Akron*, 462 U.S. at 454.
122. 109 S. Ct. at 3056-57.
123. *Id.* at 3057.
124. 428 U.S. 52 (1976).
125. *Id.* at 99.
The plurality's second basis for rejecting the *Roe* framework rested on their view that there is no reason why a state's interest in potential human life is not present before viability. The plurality rejected the *Roe* framework because it does not recognize such an interest of the state and sets viability as a rigid line before which the state cannot establish regulations to protect its interest in potential human life.\(^{126}\)
Justice Blackmun's dissent answered the plurality's first argument by pointing out that many constitutional doctrines are not found in the specific language of the Constitution. He used the first amendment's "actual malice" standard as an example of such a doctrine. These doctrines, he explained, are not rights protected by the Constitution. Rather, they are methods by which the scope of constitutional rights are measured or by which constitutional rights of individuals are balanced against those of the government.\(^{127}\) Justice Blackmun stated that the *Roe* framework operates to define and limit the rights underlying abortion to accommodate, but not destroy, the interests of the state. This accommodation of individual rights and state interests, he explained, lies at the heart of constitutional adjudication.\(^{128}\) He provided a similar answer to the plurality's assertion that the framework has resulted in abortion law resembling a code of regulations. Justice Blackmun pointed to the fine distinctions contained in a number of areas such as the fourth amendment freedom from unreasonable searches and seizures. He stated further that the Court has no more been established as an "ex officio medical board" by virtue of its abortion decisions than it has become a national school board due to its decisions involving religion in the public schools or become the bureau of prisons through its decisions concerning prison regulations.\(^{129}\) Justice Blackmun felt the intricacy of abortion law has developed not because the court has overstepped its judicial role, rather, because it has acted conscientiously to do careful justice to the fundamental rights involved.\(^{130}\)
Justice Blackmun strongly criticized the plurality for not providing greater explanation for their assertion that a state has a compelling interest in potential life throughout pregnancy. He characterized the lack of explanation as "it-is-so-because-we-say-so jurisprudence."\(^{131}\) Justice Blackmun answered the plurality's assertion that a state has a compelling interest throughout pregnancy by citing the opinion of Justice Stevens in *Thornburgh*. Therein, Stevens wrote, "The develop-
---
\(^{126}\) 109 S. Ct. at 3057.
\(^{127}\) Id. at 3072-73.
\(^{128}\) Id. at 3073.
\(^{129}\) Id. at 3074.
\(^{130}\) Id. at 3075.
\(^{131}\) Id.
ment of a fetus—and pregnancy itself—are not static conditions, and the assertion that the government's interest is static simply ignores this reality.\textsuperscript{132}
Justice Blackmun reaffirmed his belief in the effectiveness and fairness of the trimester framework and, in particular, the use of the viability line. He contended that prior to the point of viability the fetus cannot survive without the woman, therefore, it cannot be seen as having rights separate from or superior to those of the woman.\textsuperscript{133} He pointed out that the viability line marks the place in time where the fetus loses its dependence on the uterine environment. Therefore, he concluded it is only at this point that the state's interest in the protection of potential human life becomes compelling.\textsuperscript{134}
Justice Blackmun also faulted the plurality's analysis for not addressing what he felt was the true issue underlying this case: whether the constitutional general right to privacy recognized in decisions such as \textit{Griswold} and \textit{Roe} extends to abortion. Justice Blackmun stated that the issues surrounding these privacy rights are "questions of unsurpassed significance in this Court's interpretation of the Constitution."\textsuperscript{135} It was his belief that the plurality should have decided this case on those grounds.
The plurality answered this criticism by distinguishing \textit{Griswold} from the \textit{Roe} decision on the basis that \textit{Griswold}, unlike \textit{Roe}, contains no framework full of rules and regulations to be followed in interpreting the nature of the right involved.\textsuperscript{136} They also justified their hesitancy to address this issue by stating that the problems in applying \textit{Roe} show that it is wise to avoid unnecessarily distinguishing between "a 'fundamental right' to abortion, as the Court described it in \textit{Akron}, . . . a 'limited fundamental constitutional right' which Justice Blackmun's dissent [in \textit{Webster}] treat[ed] \textit{Roe} as having established, . . . or a liberty interest protected by the Due Process Clause, which [the plurality] believe[d] it to be."\textsuperscript{137}
\begin{itemize}
\item \textsuperscript{132} \textit{Thornburgh}, 476 U.S. at 778-79.
\item \textsuperscript{133} 109 S. Ct. at 3075.
\item \textsuperscript{134} \textit{Id}.
\item \textsuperscript{135} \textit{Id}. at 3072.
\item \textsuperscript{136} \textit{Id}. at 3057-58.
\item \textsuperscript{137} \textit{Id}. at 3058 (citations omitted). Justice Rehnquist similarly defined the right involved in abortion as a "liberty interest" in his dissenting opinion in \textit{Roe v. Wade}, and stated that laws in the abortion area were subject only to the rational basis test. He stated:
If the Court means by the term "privacy" no more than that the claim of a person to be free from unwanted state regulation of consensual transactions may be a form of "liberty" protected by the Fourteenth Amendment, there is no doubt that similar claims have been upheld
d. The "Permissibly Furthers" Standard
After finding the *Roe* trimester framework no longer applicable, the plurality replaced it with its own "permissibly furthers" standard. The plurality upheld the constitutionality of the viability testing provision because it "permissibly furthers the State's interest in protecting potential human life."138 Although it discarded the framework of *Roe*, the plurality stated that it modified and narrowed only the holding in *Roe* and did not overrule that decision. They found the Missouri statute, which uses viability as the point at which to assert its interest, too factually dissimilar from the statute in *Roe*, which prohibited all nontherapeutic abortions, to fully reconsider the *Roe* decision.139
Justice Blackmun disputed the basis for this distinction and concluded that the "permissibly furthers" standard is in effect equivalent to the rational basis test, the most lenient level of review for evaluating abortion regulations. He found that adoption of such a standard would overrule *Roe* for all practical purposes.140 He felt the plurality's standard violates every principle established in *Roe* and ignores the protection in that decision of what he called every woman's "limited fundamental constitutional right to decide whether to terminate a pregnancy."141 Justice Blackmun concluded it is the plurality's view that the interest of the state becomes compelling at conception. He claimed that this position allows for every regulation restricting abortion to be upheld as a "permissible" furtherance of the State's interest in potential human life. Therefore, he determined that the plurality's assertion that *Roe* lies undisturbed by its decision because of factual differences between the Missouri statute and the one involved in *Roe* is a distinction without a difference. He felt that under the plurality's analysis the statute involved in *Roe* could be upheld as "permissibly furthering" the interest of the state.142
The dissent felt the adoption of the "permissibly furthers" test reveals the ultimate objective of the plurality: the return of abortion
---
in our earlier decisions on the basis of that liberty. . . . But that liberty is not guaranteed absolutely against deprivation, only against deprivations without due process of law. The test traditionally applied in the area of social and economic legislation is whether or not a law such as that challenged has a rational relation to a valid state objective.
*Roe v. Wade*, 410 U.S. 113, 175 (1973) (Rehnquist, J., dissenting).
138. 109 S. Ct. at 3057.
139. *Id.* at 3058.
140. *Id.* at 3076 (Blackmun, J., dissenting).
141. *Id.*
142. *Id.* at 3077.
law to its pre-*Roe* state. The dissent's analysis led it to suggest that through the "permissibly furthers" standard the plurality implicitly invited state legislatures to enact more restrictive abortion regulations and to seek to assert the state's interest at the point of conception.\textsuperscript{143} The dissent believed that this invitation was made with the hope that new test cases would arise so the Court could overrule *Roe v. Wade* totally and return the ability to place the severe limitations on abortions to the states.\textsuperscript{144}
In answering this accusation, the plurality admitted that its opinion renders some regulation of abortion permissible that would be found unconstitutional under the logic of previous abortion decisions.\textsuperscript{145} The plurality found that the new participation of legislatures in this area which is allowed by its holding is consistent with the goal of constitutional adjudication. It said that such a procedure "hold[s] true the balance between that which the Constitution puts beyond the reach of the democratic process and that which it does not."\textsuperscript{146} The assumption of the dissent that state legislatures will use the plurality's holding to return to severe restrictions on abortions was attacked by the plurality because it "not only misread[] [its] views but [the dissent did] scant justice to those who serve in such bodies and the people who elect them."\textsuperscript{147} This statement suggests that the dissent was incorrect in its finding that the ultimate purpose of the plurality's holding was to initiate a process that will return abortion law to its pre-*Roe* state.
Justice Blackmun's dissent also directed criticism at the lack of discussion by the plurality concerning the effect of its holding. Justice Blackmun defined the right of reproductive choice as "vital to the full participation of women in the economic and political walks of American life."\textsuperscript{148} He criticized the plurality for not providing a greater explanation of why it "cast[] into darkness" the beliefs of women who have structured their lives around the right to reproductive choice. Additionally, the plurality was criticized for not addressing the disastrous results which are likely to occur when women ignore the law and seek out back-alley abortionists or attempt to perform abortions upon themselves. Justice Blackmun called the lack of consideration given to both of these areas "callous" and found the plurality's silence on these issues destructive to the Court as an institution.\textsuperscript{149}
\begin{itemize}
\item \textsuperscript{143} \textit{Id.} at 3067.
\item \textsuperscript{144} \textit{Id.}
\item \textsuperscript{145} \textit{Id.} at 3058 (plurality opinion).
\item \textsuperscript{146} \textit{Id.} at 3058.
\item \textsuperscript{147} \textit{Id.} at 3058.
\item \textsuperscript{148} \textit{Id.} at 3077 (Blackmun, J., dissenting).
\item \textsuperscript{149} \textit{Id.} at 3078.
Justice Blackmun also stated that special justification is needed to depart from *stare decisis*, which he stated applied with unique force in this case because of the nature of the rights involved. He found this special justification lacking in the plurality's opinion because of the plurality's silence about the impact of their decision on women who have come to believe that they possess certain abortion rights.\textsuperscript{150} Justice Blackmun believed that the lack of explanation by the plurality and its unjustified departure from *stare decisis* invited deserved criticism of the Court. Such criticism was based on "cowardice and illegitimacy" in dealing with what he called "the most politically divisive domestic legal issue of our time."\textsuperscript{151}
Justice Scalia wrote a separate concurring opinion which, while agreeing with the results reached on the specific issues before the court, criticized the plurality for not going further and explicitly overruling *Roe v. Wade*. The effect of the Missouri statute cannot, in Justice Scalia's view, be decided on statutory or procedural grounds in order to avoid deciding the constitutionality of the statute. He found this inquiry not limited, as Justice O'Connor suggested, by the rule that constitutional questions should be avoided when possible. Rather, he found guidance from the principle that a rule of constitutional law would not be formulated which is broader than is necessary to decide the case in question.\textsuperscript{152}
Justice Scalia found that this principle applied to the Court's examination of the viability testing statute. He then stated that valid and compelling reasons existed which brought the case within the exception allowing departure from the principle for good cause.\textsuperscript{153} Foremost among the reasons Justice Scalia asserted in support of this departure is his belief that the questions in this area are mainly political and not judicial. He felt that maintaining the Court's involvement in this area will distort the public's view of the role of the Court. The public will then subject the members of the Court to the types of public pressures from which the judiciary properly should be insulated and which are best reserved for political institutions.\textsuperscript{154}
\begin{itemize}
\item[150.] \textit{Id.}
\item[151.] \textit{Id.} at 3079.
\item[152.] \textit{Id.} at 3064 (Scalia, J., concurring).
\item[153.] \textit{Id.} at 3065. The origins of this exception are traced by Justice Scalia as far back as Marbury v. Madison, 5 U.S. (1 Cranch) 137 (1803). Justice Scalia points out that the exception permitting a broader holding than necessary has been permitted even in cases where the identical result could be reached by applying the rule displaced by the broader holding. \textit{See, e.g.,} Daniels v. Williams, 474 U.S. 327 (1986); Illinois v. Gates, 462 U.S. 213, \textit{reh'g denied}, 463 U.S. 1237 (1983).
\item[154.] 109 S. Ct. at 3064-65 (Scalia, J., concurring).
Justice Scalia contended that the nature of the abortion issue also justified departure from the "no broader than necessary" principle. He pointed out that, unlike most cases in which the party injured by the Court's failure to adopt a broader holding can challenge the holding himself, the harm which many feel is done by allowing unrestricted abortions does not lend itself to this solution.\textsuperscript{155}
The Court's hesitancy to overrule \textit{Roe} in this case led Justice Scalia to question how anything more than minor problematic aspects of \textit{Roe} can ever be reconsidered unless the Court is faced with a statute which directly violates its principles. "It thus appears that the mansion of constitutionalized abortion-law, constructed overnight in \textit{Roe v. Wade}, must be disassembled door-jamb by door-jamb, and never entirely brought down, no matter how wrong it may be."\textsuperscript{156}
\textbf{B. The Changing Standard}
While obviously disagreeing on the treatment of the specific issues, both the plurality and dissenting opinions agreed that the Court's decision invites state legislatures to pass more restrictive abortion regulations.\textsuperscript{157} Arguably, this invitation did not come because of any dramatic effect \textit{Webster} had on the specific regulation areas involved in the case. The Court upheld the Preamble by finding it to be a "value judgment" allowable under current abortion law. It left open the possibility of finding the Preamble unconstitutional if it is applied to restrict abortion rights.\textsuperscript{158} The Court left the abortion counseling area untouched by finding the dispute in that area moot.\textsuperscript{159} Much discussion surrounded the viability testing provisions, but five Justices found that the provisions could be upheld on noncontroversial grounds consistent with the \textit{Roe} trimester framework and prior abortion cases.\textsuperscript{160} The decision did extend the holding of \textit{Maher} that a state is not required to fund abortions by applying that principal to uphold the ban on use of public facilities. As Justice O'Connor pointed out, however, one reason the provision was upheld was that only a facial challenge to the statute was involved. Some potential applications of the statute may be unconstitutional.\textsuperscript{161} The invitation to state legislatures seems to come, then, not from changes in the specific areas
\begin{itemize}
\item \textsuperscript{155} \textit{Id.} at 3066.
\item \textsuperscript{156} \textit{Id.} at 3067.
\item \textsuperscript{157} \textit{Id.} at 3058 (plurality opinion); \textit{id.} at 3067 (Blackmun, J., dissenting).
\item \textsuperscript{158} \textit{Id.} at 3050.
\item \textsuperscript{159} \textit{Id.} at 3053-54.
\item \textsuperscript{160} \textit{Id.} at 3060-64 (O'Connor, J., concurring); \textit{id.} at 3071 (Blackmun, J., dissenting); \textit{id.} at 3079 (Stevens, J., concurring in part and dissenting in part).
\item \textsuperscript{161} \textit{Id.} at 3059-60.
dealt with in the case, but from the indications of a shift in how the Court will evaluate future abortion regulations.
*Roe v. Wade* established the abortion decision as a fundamental right.\(^{162}\) Therefore, the Court in its pre-*Webster* decisions applied the strict judicial scrutiny and compelling state interest test in evaluating abortion regulations. Under this test, a state's interest in protection of maternal health is not "compelling" until the second trimester of pregnancy. Abortion regulations are evaluated as either reasonably related to this compelling interest or as an unconstitutional burden on abortion.\(^{163}\)
The dissenters in pre-*Webster* cases, however, disagreed with the use of strict scrutiny and proposed two alternative tests. One test, advanced by Justices White and Rehnquist, asserted that the rights involved in abortion were not "fundamental," therefore, only a "rational relationship" need exist between an abortion regulation and the state interest involved.\(^{164}\) Justice White indicated in his *Thornburgh* dissent that this test would achieve the desirable result of allowing outright prohibition of abortion by the states.\(^{165}\) Justice O'Connor expressed the second alternative, the "undue burden" standard, in her dissent in *City of Akron*.\(^{166}\) Under this standard, strict scrutiny is not applied in every case. The Court is to first determine whether the state law bears a rational relationship to a compelling state interest, then, it should apply strict scrutiny only if the statute has "unduly burdened" the abortion decision.\(^{167}\)
Part of the significance of the *Webster* decision seems to be that five Justices indicated they are no longer willing to apply the strict scrutiny test in every case. These five Justices all agreed that the standard should be something less than strict scrutiny but they disagreed on the exact formulation of the standard. The three Justices of the plurality pointed to the "permissibly furthers" test; Justice Scalia seemingly would apply no test or at the very most a "rational basis" test; and Justice O'Connor reaffirmed her "undue burden" standard. The limits of the "permissibly furthers" standard used by the plurality are difficult to determine. The plurality did not expand on this standard and only stated that the Missouri viability testing provision is valid because it "permissibly furthers the State's interest in protecting potential human
---
\(^{162}\) *Roe*, 410 U.S. at 153-54.
\(^{163}\) *Id.* at 163-64.
\(^{164}\) *Thornburgh*, 476 U.S. at 788-97 (White, J., dissenting); see, e.g., *Roe*, 410 U.S. at 173-77 (Rehnquist, J., dissenting).
\(^{165}\) *Thornburgh*, 476 U.S. at 796 (White, J., dissenting).
\(^{166}\) *City of Akron*, 462 U.S. at 452-75 (O'Connor, J., dissenting).
\(^{167}\) *Id.* at 462-66.
life."168 The plurality answered the dissent's charge that the "permissibly furthers" test will send abortion law back to the "dark ages" by saying the dissent has "misread" its views.169 This may imply that the plurality has adopted a standard somewhat more restrictive than the rational basis test supported by Justices White and Rehnquist in their earlier dissents.
The dissenters in *Webster* may have hinted that they also will change the way they examine abortion regulations. Although they reaffirmed *Roe* and the framework it adopted, they characterized the right for the first time as a "limited fundamental constitutional right to decide whether to terminate a pregnancy."170 Like the plurality, the dissent did not discuss this characterization, making it difficult to determine what effect, if any, the dissent gave to defining the right as "limited." A possible indication of change is contained in Justice Blackmun's assertion that the viability testing provision as interpreted by the plurality does not violate *Roe*. He felt that the testing would have the effect of increasing costs of some second trimester abortions. He claimed, however, that the extra costs involved are "merely incidental to, and a necessary accommodation of, the State's unquestioned right to prohibit nontherapeutic abortions after the point of viability."171 This is the first time state intrusion into second trimester abortions for the purpose of furthering the interest in potential human life has been upheld by the Supreme Court.
Justice O'Connor's "undue burden" standard lies between the opposing views of the dissent and the plurality. Assuming the plurality's adoption of a "permissibly furthers" standard and the dissent labeling abortion rights "limited fundamental constitutional rights" represent changes in the way they will evaluate abortion regulation in the future, movement toward the middle to Justice O'Connor's view has occurred. This movement indicates that examination of future abortion regulation, while not falling to the leniency of the "rational basis standard," will be conducted under a standard less restrictive than the strict scrutiny applied in the past.
---
168. 109 S. Ct. at 3057.
169. *Id.* at 3058.
170. *Id.* at 3076 (Blackmun, J., dissenting) (emphasis added).
171. *Id.* at 3071.
III. THE APPROACH OF OTHER STATES REGARDING ISSUES ADDRESSED IN WEBSTER
A. The Determination of When Life Begins
In *Roe*, the Court acknowledged the strongly held, opposing views on the abortion controversy, much of which grows out of divergence in thinking on the question of when life begins. The Court considered itself in no better position to answer that question than all the others who had tried or declined to do so. It indicated that if a state believed itself to be in a position to answer the question of when life begins, it could do so, provided that the state did not use this determination to override the woman's right to privacy—namely, to have an abortion.
Eight states have statutes expressing views similar, at least in part, to those in Missouri's Preamble. All are contained within broad abortion control acts and all indicate an intention to protect the unborn.
Only two states, Illinois and Louisiana, specifically address when life begins. Their very similar statutes find that "the unborn child is a human being from the time of conception" and declare that the unborn child is "a legal person for the purposes of . . . the right to life from conception under the laws and Constitution of this State." When challenged, the Illinois statute was upheld by the Seventh Circuit Court of Appeals. The court found the statute lawful because of language contained in it which stated the legislative intent to regulate abortion only when such was in conformance with the decisions of the Supreme
---
172. *Roe*, 410 U.S. at 116.
173. *Id.* at 159.
174. *Id.* at 162.
175. CONN. GEN. STAT. ANN. § 53-31a (West 1985); ILL. ANN. STAT. ch. 38, para. 81-21 (Smith-Hurd Supp. 1989); KY. REV. STAT. ANN. § 311.710 (Michie/Bobbs-Merrill 1983); LA. REV. STAT. ANN. § 40:1299.35.0 (West Supp. 1989); MONT. CODE ANN. § 50-20-102 (1989); NEB. REV. STAT. § 28-325(1) (1985); N.D. CENT. CODE § 14-02.1-01 (1981); 18 PA. STAT. ANN. § 3202(a) (Purdon 1983).
176. The Missouri Preamble is located in a different section of the revised statutes than the provisions specifically regulating abortion. However, the preamble was included in the comprehensive bill enacted by the General Assembly "to repeal sections [of Missouri's revised statutes] relating to unborn children and abortion, and to enact . . . new sections relating to the same subject." H.R. 1596, 83rd Gen. Ass., 2nd Sess., 1986 Mo. Laws 689.
177. ILL. ANN. STAT. ch. 38, para. 81-21 (Smith-Hurd Supp. 1989); LA. REV. STAT. ANN. § 40:1299.35.0 (West Supp. 1989).
The statute also indicated explicitly that it was not in any way to restrict a woman's right to privacy, including the right to an abortion.\textsuperscript{179}
One other state, Connecticut, indicates the moment of conception is the point at which the State's interest in protecting and preserving human life begins.\textsuperscript{180} In \textit{Abele v. Marke},\textsuperscript{181} however, this provision was held to be an unconstitutional abridgement of a woman's right to an abortion. The court reasoned that while the State may regulate the manner in which abortions are performed, it may not prohibit them. The statute in question, the intent of which is to protect and preserve life from the moment of conception, arguably acts as such a prohibition.
The \textit{Webster} decision did not change, but rather clarified the \textit{Roe} holding that States wishing to adopt a view of when life begins may do so only if that view is not used to justify the regulation of abortion. This clarification likely will have little impact. The issue of whether an abortion regulation is an impermissible definition of when life begins seldom has been the subject of litigation. To be consistent with the principle laid down in \textit{Roe} and reaffirmed in \textit{Webster}, a statute would need to expressly indicate that it is to be applied in a manner consistent with all decisions of the Supreme Court and the United States Constitution.\textsuperscript{182} \textit{Webster} did not change the results reached in the cases involving the Illinois and Connecticut statutes.\textsuperscript{183}
\textsuperscript{178} Charles v. Carey, 627 F.2d 772, 779 (7th Cir. 1980), \textit{on remand}, 579 F. Supp. 377 (N.D. Ill. 1983).
\textsuperscript{179} \textit{Id.} at 778-79, 779 n.8.
\textsuperscript{180} Conn. Gen. Stat. Ann. § 53-31a (West 1985).
\textsuperscript{181} Abele v. Marke, 351 F. Supp. 224, 227 (D. Conn.), \textit{stay granted}, 409 U.S. 908, \textit{motion to vacate denied}, 409 U.S. 1021 (1972), \textit{stay vacated}, 410 U.S. 964, \textit{vacated and remanded}, 410 U.S. 951, \textit{reh'g denied}, 411 U.S. 940, \textit{on remand}, 369 F. Supp. 807 (D. Conn. 1973).
\textsuperscript{182} Section 1.205.2 of the Missouri statute provides:
the laws of this state shall be interpreted and construed to acknowledge on behalf of the unborn child at every stage of development, all the rights, privileges, and immunities available to other persons, citizens and residents of this state, subject only to the Constitution of the United States, and decisional interpretations thereof by the United States Supreme Court.
Mo. Rev. Stat. § 1.205.2 (1986). Section 188.010 indicates: "It is the intention of the general assembly of the state of Missouri . . . to regulate abortion to the full extent permitted by the Constitution of the United States, decisions of the United States Supreme Court, and federal statutes." MO. REV. STAT. § 188.010 (1986).
\textsuperscript{183} However, one may argue that the Connecticut statute is simply an expression by that state which favors childbirth over abortion, and that it is therefore constitutional. This rationale was used to uphold the Missouri
Statutes such as those in Illinois and Louisiana which declare that a fetus is a legal person appear to be contrary to the decision in *Roe* and its analysis of the meaning of "person" as used in the United States Constitution. Viewing the fetus as a person places states and courts in the position of having to choose between the interests of two persons. When abortion is at issue, this might involve having to choose between the lives of two persons.
The Court has not decided the constitutionality of statutory grants of other rights to fetuses. Nevertheless, rights such as tort recovery for prenatal injuries, prenatal inheritance, and other devolution of property have been accepted by several courts.\(^{184}\) Similar fetal rights which
---
Preamble. See supra notes 43-46 and accompanying text. In order to reach this result applying *Webster*, it would be necessary to establish that the Connecticut statute does not expressly regulate a woman's right to an abortion.
184. In Witty v. American Gen. Capital Distrib., 697 S.W.2d 636 (Tex. Ct. App. 1985), a Texas appellate court allowed recovery to the mother of a deceased unborn child, in her parental capacity, for the wrongful death of a four month old fetus. For a discussion of the history of judicial response to actions for prenatal injury resulting in death, see Kader, *The Law of Tortious Prenatal Death Since Roe v. Wade*, 45 Mo. L. Rev. 639 (1980); Note, *A Wrongful Death Action Can Be Maintained for Prenatal Injuries Causing the Stillbirth of a Fetus: Witty v. American General Capital Distributors*, 17 Tex. Tech. L. Rev. 983 (1986). Departing from precedent, the Supreme Judicial Court of Massachusetts prospectively held in Commonwealth v. Cass, 392 Mass. 799, 467 N.E.2d 1324 (1984), that a viable fetus constituted a person under the Massachusetts vehicular homicide statute. *Id.* at 801, 467 N.E.2d at 1326. See Note, *Criminal Law-Viable Fetus is Person for Purposes of Massachusetts Vehicular Homicide-Commonwealth v. Cass Statute*, 19 Suffolk U.L. Rev. 145 (1985).
A majority of courts which have ruled on the issue recognize a right to recover for injuries inflicted before birth. While some courts do not allow recovery for harm inflicted before the fetus is viable, recent trends suggest most eventually will allow prenatal tort actions for harm negligently inflicted any time between conception and birth. Note, *Negligent Infliction of Prenatal Death: New York's Uncompensated Injury after Tebbutt v. Virostek*, 19 Conn. L. Rev. 365, 377 (1987).
A United States District Court in Connecticut held that recent and well-established trends in state courts have "expanded the legal rights of the viable fetus in a wide variety of contexts." Douglas v. Town of Hartford, 542 F. Supp. 1267, 1270 (D. Conn. 1982). In that case, a child was allowed to assert a claim for injuries received as a result of alleged police brutality against his mother while she was pregnant. *Id.* The court held that a viable fetus is a person within the meaning of title 42, section 1983 of the United States Code. *Douglas*, 542 F. Supp. at 1270.
In People v. Monson, No. M-508197 (Cal. 1986), criminal charges were filed against a woman for failing to follow the instructions of her physician and thus, allegedly contributing to the death of her unborn child. This case reflects an emerging trend by courts and legislatures to recognize that a fetus has rights
required perfection by live birth were recognized by *Roe*.\(^{185}\)
**B. Limitations on the Use of Public Resources**
A popular way legislatures have attempted to restrict the availability of abortion has been through restrictions of funding for abortion services. The Supreme Court has upheld the ability of a state's legislature to act in this capacity within the framework of *Maher, Poelker,* and *Harris.*
Missouri statutes sections 188.205 to 188.215 reflect the attempts of one state to remove itself from the business of assisting abortions. Other states have adopted statutes concerning public funds and facilities that are similar to the Missouri provisions upheld by the Court in *Webster.* Of course, the question that must be asked is what effect, if any, *Webster* will have upon these various statutes, many of which have been declared unconstitutional by court decisions preceding *Webster.*
For purposes of this discussion, state statutes that limit or restrict abortion funding can be classified into three general areas. First, there are states that prohibit the use of public facilities to some degree to obtain abortions.\(^{186}\) Second, states might restrict to some degree the use of public funds to pay for abortions.\(^{187}\) A third group of states
---
\(^{185}\) *Roe*, 410 U.S. at 731.
\(^{186}\) ARIZ. REV. STAT. ANN. §§ 15-1630, 48-2212 (1984); GA. CODE ANN. § 32-881 (Harrison Supp. 1988); KY. REV. STAT. ANN. § 311.800 (Michie/Bobbs-Merrill 1983); LA. REV. STAT. ANN. § 40:1299.34.5 (West Supp. 1989); MO. REV. STAT. § 188.215 (1986); N.D. CENT. CODE § 14-02.3-0.4 (1981); 18 PA. CONS. STAT. ANN. § 3215 (Purdon 1983 & Supp. 1989); S.D. CODIFIED LAWS ANN. § 34-23A-15 (repealed 1982).
\(^{187}\) The Allen Guttmacher Institute in Washington D.C. has compiled a list of thirty-seven states that restrict to some degree the use of state funds to pay for abortions. These states include: Alabama, Arkansas, Arizona, Colorado, Delaware, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Mexico, North Dakota, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Wisconsin and Wyoming. *The Allen Guttmacher Institute, An Analysis of State Laws Enacted Since 1973 That Have Provisions Similar to Those Challenged In the Webster Case* (June, 1989). The authors of this Note discovered sixteen states that have codified these restrictions. These include the following: ARIZ. REV. STAT. ANN. § 35-196.02
attempt to place policy restrictions upon insurance coverage that pays for abortion services.\textsuperscript{188} \textit{Webster} only dealt with the issues of public facilities and counseling. An overview of the entire statutory scheme regarding the use of public funds for abortion services may assist in determining the impact of \textit{Webster} on existing and future statutory law.
1. The Use of Public Facilities for Abortion Services
While not numerous, the Missouri law restricting abortion in public facilities is not without its counterpart in other states. These restrictions can be broken down into two general groups. Kentucky,\textsuperscript{189} North Dakota,\textsuperscript{190} and Pennsylvania\textsuperscript{191} have enacted statutes that, like Missouri's statute, prohibit abortions in publicly owned hospitals or health care facilities. Arizona\textsuperscript{192} and Georgia\textsuperscript{193} prohibit the use of educational facilities, state built clinics, and public schools in performing or assisting in the performance of abortions.
a. Publicly Owned Hospitals and Health Care Facilities
In 1980 the Kentucky legislature amended Kentucky Revised Statute section 311.800 to prohibit "publicly owned hospital[s] or other publicly owned health care facilit[ies]" from performing or permitting the performance of abortions "except to save the life of the pregnant woman."\textsuperscript{194} Similar to Missouri's statute, Kentucky provided for injunctive action for "any resident of the county in which" there is a
\textsuperscript{188} \textit{Idaho Code} §§ 41-2142, 41-2210A, 41-3439 (Supp. 1989); 18 Pa. Cons. Stat. Ann. § 3215(e) (Purdon 1983); R.I. Gen. Laws §§ 27-18-28, 36-12-2.1 (1989 & 1984).
\textsuperscript{189} Ky. Rev. Stat. Ann. § 311.800 (Michie/Bobbs-Merrill 1983).
\textsuperscript{190} N.D. Cent. Code § 14-02.3-04 (1981).
\textsuperscript{191} 18 Pa. Cons. Stat. Ann. § 3215 (Purdon 1983).
\textsuperscript{192} Ariz. Rev. Stat. Ann. § 15-1630 (1984).
\textsuperscript{193} Ga. Code Ann. § 32-881 (Harrison Supp. 1989).
\textsuperscript{194} Act effective April 4, 1980, ch. 225, § 1, 1980 Ky. Acts 684-85.
publicly owned hospital or health care facility that is violating the ban.\textsuperscript{195}
While narrower in its scope of restriction, North Dakota aims for the same goal as Missouri and Kentucky. The North Dakota statute prohibits the performance of "an abortion in a hospital owned, maintained, or operated within the state" unless "necessary to prevent" the woman's death.\textsuperscript{196}
Like Missouri, Pennsylvania to some degree has a broader statute in its degree of exclusion. The Pennsylvania statute provides that "[n]o hospital, clinic or other health facility owned or operated" by the state, a county, or other government body except the United States is allowed to "[p]rovide, induce, perform or permit its facilities to be used" to obtain abortions except when the mother's life is endangered by the pregnancy. Unlike the Kentucky, Missouri, and North Dakota laws, Pennsylvania's statute provides an exemption in the event the pregnancy results from rape or incest.\textsuperscript{197}
In comparison, the statutes of all four states are directed at the prevention of abortion procedures in public hospitals and public facilities. The scope of this prevention is varied, however. Missouri's statute is directed at any "public facility."\textsuperscript{198} Kentucky's statutes are directed at "publicly-owned hospitals" or publicly owned health care facilities.\textsuperscript{199} Pennsylvania's statute provides the same degree of exclusion.\textsuperscript{200} Only North Dakota's statute prohibits abortions solely at "publicly owned hospitals."\textsuperscript{201} The statutes also vary as to the degree of punishment. The laws in Kentucky, North Dakota, and Pennsylvania all make a violation of their statute a misdemeanor offense.\textsuperscript{202} Missouri's statute has no provision for punishment. During oral arguments at the Supreme Court in \textit{Webster}, however, Missouri's attorney general indicated his belief that violation of Missouri's statute would \textit{not} be a misdemeanor.\textsuperscript{203} The Missouri and Kentucky statutes both provide private causes of action while North
\begin{itemize}
\item \textsuperscript{195} Ky. Rev. Stat. Ann. § 311.800(2) (Michie/Bobbs-Merrill 1983).
\item \textsuperscript{196} N.D. Cent. Code § 14-02.3-04 (1981).
\item \textsuperscript{197} 18 Pa. Cons. Stat. Ann. § 3215(c)(2) (Purdon 1983).
\item \textsuperscript{198} Mo. Rev. Stat. § 188.215 (1986).
\item \textsuperscript{199} Ky. Rev. Stat. Ann. § 311.800(1), (2) (Michie/Bobbs-Merrill 1983).
\item \textsuperscript{200} 18 Pa. Cons. Stat. Ann. § 3215(a) (Purdon 1983).
\item \textsuperscript{201} N.D. Cent. Code § 14-02.3-04 (1981).
\item \textsuperscript{202} See Ky. Rev. Stat. Ann. § 311.990(19) (Michie/Bobbs-Merrill 1983); N.D. Cent. Code § 14-02.3-05 (1981); 18 Pa. Cons. Stat. Ann. § 3215(n) (Purdon 1983).
\item \textsuperscript{203} N. Y. Times, April 27, 1989, at B12, col. 2.
Dakota and Pennsylvania do not.\textsuperscript{204} Only Missouri's statute has been challenged on facial constitutionality.
\textit{b. Educational Facilities, State-built Clinics, and Public Schools}
Both Arizona\textsuperscript{205} and Georgia\textsuperscript{206} have restricted the ability to perform abortions in educational facilities but to different degrees. Arizona's law focuses upon the use of state universities and college facilities in performing abortions. Georgia has similar restrictions that focus upon public schools.
Arizona's statute prohibits the performance of abortions "at any facility under the jurisdiction of the Arizona Board of Regents" unless the abortion is necessary to save the mother's life.\textsuperscript{207} In effect, the law prohibits abortions at Arizona public educational facilities with that one exception. In \textit{Roe v. Arizona Board of Regents},\textsuperscript{208} a nineteen year old unmarried female in the second trimester of pregnancy sought to have the Arizona prohibition declared unconstitutional. The Arizona Supreme Court rejected this challenge: "Even as plaintiff does not have an absolute right to an abortion on demand, she also does not have a right to select any public facility she chooses for an abortion."\textsuperscript{209} The court reasoned that if there are alternative and adequate public facilities available to her, the woman's right of choice has been protected. Therefore, she cannot complain that she would rather have the abortion performed at a different facility.\textsuperscript{210}
Georgia's statute provides that "[n]o facility operated on public school property or operated by a public school district and no employee of any such facility acting within the scope of such employee's employment shall provide [the] . . . (2) [p]erformance of abortions."\textsuperscript{211} Passed in 1988, the statute has yet to face a serious constitutional challenge in the courts.
Both Arizona and Georgia's statutes are more limited in the scope of their restriction than Kentucky, Missouri, North Dakota and Pennsylvania. In all regards, however, the Arizona statute probably has the same effect as the statutes of the more restrictive states since most
\begin{itemize}
\item \textsuperscript{204} See Ky. Rev. Stat. Ann. § 311.800(2) (Michie/Bobbs-Merrill 1983); Mo. Rev. Stat. § 188.220 (1986).
\item \textsuperscript{205} Ariz. Rev. Stat. Ann. § 15-1630 (1984).
\item \textsuperscript{206} Ga. Code Ann. § 32-881 (Harrison Supp. 1989).
\item \textsuperscript{207} Ariz. Rev. Stat. Ann. § 15-1630 (1984).
\item \textsuperscript{208} 173 Ariz. 178, 549 P.2d 150 (1976).
\item \textsuperscript{209} Id. at 180, 549 P.2d at 152.
\item \textsuperscript{210} Id.
\item \textsuperscript{211} Ga. Code Ann. § 32-881 (Harrison Supp. 1989).
public hospitals are affiliated with public universities.\textsuperscript{212} As \textit{Roe v. Arizona Board of Regents} pointed out, the constitutionality of Arizona's statute is hinged upon the availability of "alternative adequate public facilities" to perform the abortion.\textsuperscript{213}
\section*{2. The Public Funding of Abortions}
Of the sixteen states that have codified abortion funding restrictions, nine prohibit the use of public funds by statute except when the life of the mother is endangered.\textsuperscript{214} Four states statutorily prohibit abortion funding except in cases of life endangerment, rape, or incest.\textsuperscript{215} Two states restrict the use of Medicaid to fund abortions,\textsuperscript{216} while another prohibits funds for abortion except in cases of life endangerment, rape, incest or severe fetal deformity.\textsuperscript{217} One state, Colorado, prohibits public funding of abortion in its constitution.\textsuperscript{218}
The right of states to restrict public funds for the performance of abortion is hinged upon the \textit{Maher-Poelker-Harris} framework.\textsuperscript{219} The decision in \textit{Webster} does not alter this framework; instead it builds upon it by holding that certain bans upon the use of public employees and facilities in performing abortions are valid.
\section*{3. Medical Insurance Coverage of Abortion}
Some states, in addition to restricting state funding of abortions, also limit the ability of state employees to have elective abortions provided for under state insurance coverage. For example, Rhode Island
\begin{itemize}
\item \textsuperscript{212} It is worth noting that the hospital involved in \textit{Webster Truman Medical Center}, was associated with the University of Missouri School of Medicine. \textit{Reproductive Health Servs. I}, 662 F. Supp. at 411.
\item \textsuperscript{213} S.D. \textit{Codified Laws Ann.} § 34-23A-15 (repealed 1982).
\item \textsuperscript{214} ARIZ. \textit{Rev. Stat. Ann.} § 35-196.02 (1990); COLO. \textit{Rev. Stat.} §§ 26-4-105.5, 26-15-104.5 (1989); IND. \textit{Code Ann.} § 16-10-3.3 (Burns 1989); KY. \textit{Rev. Stat. Ann.} § 311.715 (Michie/Bobbs-Merrill 1983); LA. \textit{Rev. Stat. Ann.} § 40:1299.34.5 (West Supp. 1989); MO. \textit{Rev. Stat.} § 188.205 (1986); N.D. \textit{Cent. Code} § 14-02.3-01 (1981); OHIO \textit{Rev. Code Ann.} § 5101.55 (Anderson 1989); S.D. \textit{Codified Laws Ann.} § 28-6-4.5 (1986).
\item \textsuperscript{215} IDAHO \textit{Code} § 56-209c (Supp. 1989); 18, 62 PA. \textit{Cons. Stat. Ann.} § 3215, § 453 (Purdon 1983 & Supp. 1989); WIS. \textit{Stat. Ann.} §§ 20-927, 59.07(136), 66.04(1)(m) (West 1986 & 1989); WYO. \textit{Stat.} § 35-6-117 (1988).
\item \textsuperscript{216} N.J. \textit{Stat. Ann.} § 30:4D-6.1 (West 1981); UTAH \textit{Code Ann.} § 26-18-4 (1989).
\item \textsuperscript{217} VA. \textit{Code Ann.} §§ 32.1-92.1, 92.2 (1985).
\item \textsuperscript{218} COLO. \textit{Const. art. V, § 50}.
\item \textsuperscript{219} See supra notes 64-80 and accompanying text.
excludes "in any health insurance contracts, plans or policies covering employees [of the state] any provision which shall provide coverage for induced abortions (except where the life of the mother would be endangered if the fetus were carried to term, or where the pregnancy resulted from rape or incest)."220
Pennsylvania and Idaho have adopted statutes which require certain insurance policies to expressly exclude coverage of abortion services not necessary to save the woman's life or in cases of rape or incest.221 Under these statutes, a woman could still acquire insurance to cover the expenses of an elective abortion. Yet, she could only do so by paying a higher premium. This type of provision was upheld in Thornburgh.222
4. Limitations on the Use of Public Resources: Post-Webster
The decision in Webster provides a logical extension of previous decisions by the Supreme Court concerning the use of public financing for abortion services. Maher, Poelker, and Harris were concerned primarily with restrictions limited to the area of public funding. On the other hand, the provisions upheld in Webster dealt specifically with restrictions on the use of public employees and facilities to assist in the performance of abortions. Even prior to Webster one might logically conclude that if public funding for the performance of abortions is prohibited, such funds could not be used to pay out the salaries of public employees who perform abortions. One might also logically assume under the Maher-Poelker-Harris framework that buildings supported or built by public funds could not be used to facilitate the performance of abortions. Thus, what might have been implied before is now expressly permitted as a result of Webster.
The plurality opinion contended that under Maher, Poelker, and Harris the restriction of public facilities and staff to perform abortions "places no governmental obstacle in the path of a woman who chooses to terminate her pregnancy."223 According to the plurality, a state's refusal to provide these services "leaves a pregnant woman with the same choices as if the State had chosen not to operate any public hospitals at all."224
220. R.I. GEN. LAWS §§ 27-18-28, 36-12-2.1 (1989).
221. IDAHO CODE §§ 41-2142, 41-2210A, 41-3439 (Supp. 1989); 18 PA. CONS. STAT. ANN. § 3215(e) (Purdon 1983).
222. Thornburgh, 552 F. Supp. at 809.
223. 109 S. Ct. at 3052.
224. Id.
Justice O'Connor agreed with the plurality on this point, but expressed in her opinion some of the concerns highlighted by the appellees. O'Connor pointed out that section 188.200(2) defines public facility as "any public institution, public facility, public equipment, or any physical asset owned, leased, or controlled by this state or any agency or political subdivisions thereof." She contended that under certain situations the ban on the use of such facilities would be unconstitutional. O'Connor observed that possible constitutional violations could exist if the state attempts to enforce a ban similar to Missouri's "against private hospitals using public water and sewage lines, or against private hospitals leasing state-owned equipment or state land."
Justice O'Connor appeared to stand in the middle of a sharply divided court on this issue. Therefore, the extent of her analysis is likely to determine the parameters within which a state legislature may act to prohibit the use of public facilities for abortion services.
After *Webster* it seems clear that a state may restrict public resources of any kind from use in assisting abortions. As in *Webster*, this naturally includes public facilities. The definition given to "public facilities" by a statute may determine the extent of a state's prohibition under such a provision. Justice O'Connor's opinion is an important signpost for the interpretation of present and future statutes that deal with public facilities. These statutes may pass scrutiny under the test of facial constitutionality. Contrary to the issue addressed in *Webster*, however, they may be overreaching in the scope of their restrictions, thus inviting a different analysis by the court.
The states of Kentucky, North Dakota, and Pennsylvania, which have adopted statutes similar to Missouri's, limit the scope of abortion restrictions in such a way that each most likely would be upheld. The opinion in *Webster* also seems to uphold the validity of the
---
225. *Id.* at 3059 (O'Connor, J., concurring).
226. *Id.*
227. *Id.*
228. Kentucky's statute is specifically limited to publicly owned hospitals and health care facilities. *Ky. Rev. Stat. Ann.* § 311.800 (Michie/Bobbs-Merrill 1983). North Dakota's statute is limited to government hospitals. *N.D. Cent. Code* § 14-02.3-04 (1981). Pennsylvania's statute deals with any "hospital, clinic or other health care facility owned or operated by the commonwealth, a country, a city or other governmental entity (except the government of the United States, another state or a foreign nation)." *18 Pa. Cons. Stat. Ann.* § 3215 (Purdon 1983). At the time of this writing the Pennsylvania House of Representatives had adopted a new set of abortion restrictions which reaffirmed the state's commitment to the prohibition of public hospitals from performing abortions, except to save the woman's life or in cases of rape or incest. *St. Louis Post-Dispatch*, Oct. 25, 1989, at 1, 11.
contention in *Arizona Board of Regents* that the Arizona statute restricting abortions from being performed in educational facilities funded by the state is constitutional.\textsuperscript{229} Such a statute appears to be permissible so long as it is not overreaching in an attempt to contort its application to non-public facilities.\textsuperscript{230}
By building upon the *Maher-Poelker-Harris* framework, the Court in *Webster* placed itself alongside the view that "[n]othing in the Constitution requires States to enter or remain in the business of performing abortions" or that "private physicians and their patients have some kind of constitutional right of access to public facilities for the performance of abortions."\textsuperscript{231}
**C. The Use of Public Funds and Employees to Counsel or Encourage Women to Have Abortions**
Unlike the public facility restriction, the restrictions on counseling to encourage abortion has faced stiffer opposition and frequently has been found unconstitutional prior to *Webster*. The major challenge to this type of state statute has been possible first amendment violations. As the attorney for Reproductive Health Services stated in his argument to the Supreme Court in *Webster*, "It touches upon the free speech aspects of both the physician and the patient and, secondly, it clearly touches upon the . . . fundamental right . . . of abortion."\textsuperscript{232}
Two states whose prohibitions against counseling women on abortion have never been challenged are Georgia and Louisiana. Georgia has the less inclusive statute. It mandates that no employee in Georgia's public school system shall provide "[r]eferences for abortion."\textsuperscript{233} Under the Georgia statute, it appears that a public school
\textsuperscript{229}. *Webster*'s plurality holds that "[n]othing in the Constitution requires states to enter or remain in the business of performing abortions." 109 S. Ct. at 3052. Justice O'Connor seems to hold this belief as well. *Id.* at 3059. Thus, it appears that the concern expressed by the Arizona Supreme Court in *Roe v. Arizona Board of Regents* that the constitutionality of Arizona's statute is hinged upon the availability of "alternative adequate public facilities" to perform the abortion finds no merit in the *Webster* court. *Roe v. Arizona Board of Regents*, 113 Ariz. at 180, 549 P.2d at 152. Justice O'Connor is concerned about \textit{public} intrusions into the rights of \textit{private} facilities to perform abortions, not with the curtailment of abortion by public facilities in general. 109 S. Ct. at 3059.
\textsuperscript{230}. 109 S. Ct. at 3059-60.
\textsuperscript{231}. *Id.* at 3052.
\textsuperscript{232}. N. Y. Times Nat'l, Apr. 27, 1989, at 6, col 3.
\textsuperscript{233}. GA. CODE ANN. § 32-881(a)(3) (1988).
employee may advise a student on the feasibility of an abortion but may not refer that student to an abortion facility to obtain the abortion.\textsuperscript{234}
The Louisiana statute is more restrictive. It prohibits all employees of the state or any person receiving "governmental assistance" for work to "require or recommend that any woman have an abortion."\textsuperscript{235} The Louisiana statute specifically exempts from its coverage physicians who are "acting to save or preserve the life of the pregnant woman."\textsuperscript{236} Neither the Louisiana nor Georgia statute has been tested in regard to the first amendment's right to free speech.
Other states adopting similar statutes have been subject to suit over the free speech issue. Arizona's statute restricting abortion counseling was struck down in \textit{Planned Parenthood v. Arizona}.\textsuperscript{237} In \textit{Planned Parenthood}, a footnote to a state appropriations bill "prohibited state money from being given to agencies or entities which offer abortions, abortion procedures, 'counseling for abortion procedures,' or 'abortion referrals.'"\textsuperscript{238} The district court held that this language of the appropriations bill "necessarily means that the plaintiffs would be prohibited from exercising their First Amendment right to disseminate abortion information."\textsuperscript{239} Also, the court found the footnote sufficiently vague under the due process clause of the fourteenth amendment. The court, in finding the footnote void for vagueness, concluded that because of the "footnote's ambiguity the plaintiffs will be forced to guess whether they are in violation of the law."\textsuperscript{240} The court pointed out that the footnote did not address whether "counseling" refers "to the act of advocating abortion as an alternative to pregnancy and childbirth, or [if] it merely refer[s] to voluntarily offering advice on abortion."\textsuperscript{241} To be consistent with the bill, the court questioned whether an agency must refrain from ever mentioning abortion as an alternative when a pregnant woman seeks advice on the alternatives to pregnancy.\textsuperscript{242}
This decision was overturned by the Ninth Circuit Court of Appeals in 1983.\textsuperscript{243} Concerning the first amendment claim, the court of appeals determined "the state of Arizona may not unreasonably interfere with the right of Planned Parenthood to engage in abortion or
\begin{itemize}
\item \textsuperscript{234} \textit{Id.}
\item \textsuperscript{235} LA. REV. STAT. ANN. § 40:1299.34 (West Supp. 1989).
\item \textsuperscript{236} \textit{Id.}
\item \textsuperscript{237} 537 F. Supp. 90 (D. Ariz. 1982), \textit{rev'd}, 718 F.2d 938 (9th Cir. 1983), \textit{appeal after remand}, 789 F.2d 1348 (9th Cir. 1986).
\item \textsuperscript{238} \textit{Id.} at 91.
\item \textsuperscript{239} \textit{Id.} at 92.
\item \textsuperscript{240} \textit{Id.}
\item \textsuperscript{241} \textit{Id.} at 1348.
\item \textsuperscript{242} \textit{Id.}
\item \textsuperscript{243} See \textit{Planned Parenthood v. Arizona}, 718 F.2d 938 (9th Cir. 1983).
abortion-related speech activities, but the State need not support, monetarily or otherwise, those activities.\textsuperscript{244} Regarding the vagueness claim, the court reasoned:
we find that ‘counseling for abortion procedures’ is a more narrowly drawn term. The term ‘abortion procedure’ is commonly used to refer to the actual operation performed by medical personnel in carrying out the abortion. Thus, the reasonable person would understand the statute to refuse funding for counseling activities closely tied to the actual abortion operation, such as preparing a woman who has already decided to have an abortion for the medical treatment she is about to undergo.\textsuperscript{245}
The court remanded the case, however, “to give the state the opportunity to prove that withdrawing all state funds from Planned Parenthood was the only way to ensure that Planned Parenthood would not use state funds to support its abortion-related activities.”\textsuperscript{246} On remand, the State did not adequately show that the withdrawal of state funds was the only way to prevent Planned Parenthood from using state money for abortion counseling.\textsuperscript{247} Because of alternative methods, such as monitoring the use of funds by Planned Parenthood, the district court again ruled the statute unconstitutional.\textsuperscript{248} This decision was upheld by both the Ninth Circuit Court of Appeals and the Supreme Court.\textsuperscript{249}
A North Dakota statute dealing with the prohibition of state money for "any person, public or private agency which performs, refers, or encourages abortion" also was declared unconstitutional in \textit{Valley Family Planning v. North Dakota}.\textsuperscript{250} The district court invalidated the North Dakota statute declaring, "The denial of funds to Valley Family Planning solely because of its abortion referral activities is an attempt by the State of North Dakota to produce a result it could not command directly."\textsuperscript{251} The court found the statute violated the free expression rights of the first amendment and also determined that it was unconstitutionally vague under the fourteenth amendment.\textsuperscript{252}
\begin{itemize}
\item \textsuperscript{244} \textit{Id.} at 944.
\item \textsuperscript{245} \textit{Id.} at 948-49 (citation omitted).
\item \textsuperscript{246} \textit{Id.} at 946.
\item \textsuperscript{247} Planned Parenthood v. Arizona, 789 F.2d 1348 (9th Cir. 1986).
\item \textsuperscript{248} \textit{Id.} at 1348.
\item \textsuperscript{249} See \textit{id.} at 1351, aff'd. mem., 479 U.S. 925 (1986).
\item \textsuperscript{250} 489 F. Supp. 238 (D.N.C. 1980), aff'd, 661 F.2d 99 (8th Cir. 1981).
\item \textsuperscript{251} \textit{Id.} at 243.
\item \textsuperscript{252} \textit{Id.}
Missouri's statutes are similar to Louisiana's in that they prohibit public employees from assisting in abortions. They also resemble the invalidated North Dakota statute which restricted state funds "for the purpose of encouraging or counseling a woman to have an abortion not necessary to save her life." The Ninth Circuit Court of Appeals in *Planned Parenthood I and II*, reached its conclusion concerning Arizona's restriction on state funding for abortion counseling in a different manner than the Eighth Circuit Court of Appeals' approach in *Valley Family Planning*. Nevertheless, in the end, both decisions reached the same result—that the attempted statutes were unconstitutional.
In *Webster*, Missouri argued that the scope of section 188.205 should be construed narrowly. The State claimed that the section was "not directed at the conduct of any physician or health care provider, private or public," instead it was "directed solely at those persons responsible for expending public funds." In oral argument, Missouri Attorney General Webster insisted that section 188.205 "does not go to the speech [of encouraging abortion] but rather is directed at the entities responsible for expending public funds." Faced with this interpretation, the appellees conceded in their brief that the statute would not adversely affect them. The Court accepted this concession and unanimously agreed that this limited focus of section 188.205 rendered the controversy moot.
This decision limits the impact *Webster* will have, if any, upon counseling statutes similar to Missouri's. Since *Webster* did not address the counseling issue substantively, it appears that prior arguments raised in the Arizona cases and *Valley Family Planning* remain valid. Therefore, Arizona and North Dakota, which both had similar provisions struck down, can find no justification in *Webster* to revive those statutes.
In addition, the first amendment's right to free speech may still protect the right of health care professionals to counsel women on abortion, even if a counseling provision which prohibits such an action exists. Therefore, if the statutes in Louisiana or Georgia are to be interpreted in such a manner as to interfere with these first amendment rights, they are most likely unconstitutional.
---
253. 109 S. Ct. at 3053.
254. N. Y. Times Nat'l, Apr. 27, 1989, at 1, col 1.
255. 109 S. Ct. at 3053.
256. Id.
257. It appears that *Webster* at least on this point cannot be considered to go beyond the effect which it has on Missouri law specifically. See id. at 3053-54.
The only concrete position on which *Webster* stands concerning this issue is that state legislatures probably can limit funding for the counseling of abortion consistent with the Constitution so long as the focus of that limitation is upon the revenue officers of the state and not doctors.\textsuperscript{258} States would be hard pressed to find in *Webster* justification to place restrictive burdens upon state-employed doctors to forbid counseling a woman about her option of abortion.\textsuperscript{259}
**D. The Role of Viability Testing and the Physician**
In all abortion decisions, the Court has indicated that a state's interest in protecting potential life becomes greater than a woman's right to personal privacy, including the right to an abortion, at the point the fetus becomes viable. Viability has been held to be a flexible point which must be assessed by a physician on a case-by-case basis.
Fourteen states have statutory provisions defining a specific number of weeks into a pregnancy when interest in protection of the prenatal life becomes greater than interest in the woman's right to privacy.\textsuperscript{260} These statutes differ in several respects.
Eight states\textsuperscript{261} appear to accept the invitation issued in *Roe* to proscribe abortion after the fetus is viable.\textsuperscript{262} Their definition of when
\textsuperscript{258.} *Id.* at 3053.
\textsuperscript{259.} *Id.*
\textsuperscript{260.} ARK. STAT. ANN. § 20-16-703 (1987); DEL. CODE ANN. tit. 24, § 1790 (1988); FLA. STAT. ANN. §§ 390.001(2), 310.011(6) (West 1986); IDAHO CODE § 18-604(5) (1987); MD. HEALTH-GEN. CODE ANN. § 20-208(b)(1) (1987); MASS. GEN. L. ch. 112, § 12M (1983); MINN. STAT. ANN. § 145.411 subd. 2 (West 1989); NEV. REV. STAT. § 442.250 (1987); N.Y. PENAL LAW § 125.05(3) (McKinney 1987); N.C. GEN. STAT. § 14-45.1(b) (1986); OKLA. STAT. ANN. tit. 63, § 1-732(B) (West 1984); 18 PA. CONS. STAT. ANN. § 3211(a) (Purdon 1983); S.C. CODE ANN. § 44-41-10(L) (Law. Co-op. 1985); S.D. CODIFIED LAWS ANN. § 34-23A-5 (1986).
\textsuperscript{261.} DEL. CODE ANN. tit. 24, § 1790 (1988); FLA. STAT. ANN. § 390.001(2) (West 1986); MD. HEALTH-GEN. CODE ANN. § 20-208(b)(1) (1987); MASS. GEN. L. ch. 112, § 12M (1983); NEV. REV. STAT. § 442.250 (1987); N.Y. PENAL LAW § 125.05(3) (McKinney 1987); N.C. GEN. STAT. § 14-45.1(b) (1986); S.D. CODIFIED LAWS ANN. § 34-23A-S (1986).
\textsuperscript{262.} Seven of the eight statutes recognize the requirement in *Roe* that any prohibition on post-viability abortion provide for an exception when necessary to protect or preserve the life or health of the pregnant woman. A physician is required to make the determination that an exception is necessary in five of these states. Delaware and Maryland require that authorization for such an abortion be granted by a hospital review authority appointed by the hospital. DEL. CODE ANN. tit. 24, § 1790(a) (1988); MD. HEALTH-GEN. CODE ANN. § 20-208(b)(2) (1987). However, according to the Maryland Attorney General this provision is unconstitutional. *See* 62 Op. Att'y. Gen. 3 (1977). Except when a
viability occurs is made implicitly by simply defining a specific number of weeks into the pregnancy after which abortion is prohibited. Delaware and North Carolina place the restriction at twenty weeks; Maryland at twenty-six; the others at twenty-four.
The remaining states have express presumptions about viability. Statutes in Arkansas, Idaho, and South Carolina contain presumptions that a fetus is not viable "prior to the end of the twenty-fifth week," "before the commencement of the twenty-fifth week," and "no sooner than the twenty-fourth week" respectively.\textsuperscript{263} These statutes proscribe abortion after that point except under certain situations. Idaho provides an exception only to protect the life of the woman. In addition to an exception to protect the life or health of the mother, Arkansas allows post-viability abortions if the pregnancy results from rape or incest perpetrated on a minor.\textsuperscript{264} The Idaho presumption is irrebuttable in all civil or criminal proceedings. Violation of the Arkansas or South Carolina statutes subjects the violator to criminal sanctions.
The South Carolina statute was held unconstitutional in \textit{Floyd v. Anders}.\textsuperscript{265} The district court ruled that the question of viability is one of fact. Thus, it determined that legislatures may not fix a particular date for viability; rather, they must allow the determination to be made on the basis of each individual fetus.\textsuperscript{266}
The Minnesota statute indicates that, "[d]uring the second half of its gestation period a fetus shall be considered potentially 'viable.'"\textsuperscript{267} It proscribes abortion after that point unless the attending physician certifies in writing that the abortion is necessary to preserve the life or physician certifies in writing that emergency procedures are necessary, Florida requires that two physicians certify to the fact that a post-viability abortion is necessary to save the life or preserve the health of the woman. \textsc{Fla. Stat. Ann.} § 390.001(2)(a), (b) (West 1986).
The Delaware provisions also require that two physicians certify that circumstances warranting such an abortion exist. \textsc{Del. Code Ann. tit. 24, § 1790(b)(2)} (1988). The New York statute makes an exception to the prohibition on post-viability abortions only for the preservation of life of the pregnant woman. \textsc{N.Y. Penal Law} § 125.05(3)(b) (McKinney 1987). The Massachusetts statute does not clearly indicate how it is to be determined that an abortion is "necessary" after the twenty-fourth week of pregnancy. \textsc{Mass. Gen. L. ch. 112, § 12L} (1983). Florida, Massachusetts, and New York provide criminal sanctions for violating their statutes.
\begin{itemize}
\item \textsuperscript{263} Ark. Stat. Ann. § 20-16-703 (1987); Idaho Code § 18-604(5) (1987); S.C. Code Ann. § 44-41-10(L) (Law. Co-op. 1985).
\item \textsuperscript{264} Ark. Stat. Ann. § 20-16-705(c) (1987).
\item \textsuperscript{265} 440 F. Supp. 535 (D.S.C. 1977), vacated and remanded, 440 U.S. 445 (1979).
\item \textsuperscript{266} \textit{Id.} at 539.
\item \textsuperscript{267} Minn. Stat. Ann. § 145.411 subd. 2 (West 1989).
health of the pregnant woman. Violation of the statute is a felony. In *Hodgson v. Lawson*,\textsuperscript{268} this provision was held constitutionally impermissible because it established a presumption that viability occurs at the end of the twentieth week of gestation.
The Oklahoma statute presumes the "unborn child to be viable if more than twenty-four (24) weeks have elapsed from the probable beginning of the last menstrual period of the pregnant woman."\textsuperscript{269} A physician may rebut this presumption through the exercise of his medical judgment. He must certify in writing the criteria upon which he determined the fetus was not viable before he can perform any abortion. If he determines the fetus is viable, he may perform an abortion only if necessary to prevent the pregnant woman's death or impairment of health. Violation of this statute is defined as a homicide.\textsuperscript{270}
The Pennsylvania statute\textsuperscript{271} is most like that of the Missouri statute upheld in *Webster*. It requires that a physician determine whether a fetus is viable when the woman seeking an abortion is beyond nineteen weeks of pregnancy. The physician's good faith judgment, rather than any specific test, is adequate for making this determination. This statute was held unconstitutional in *Thornburgh* because of its reporting requirements. The Court believed that such requirements were designed for the purpose of identifying the woman rather than advancing any legitimate interest.\textsuperscript{272} The constitutionality of the viability determination requirement was not at issue.
Only eight states\textsuperscript{273} other than Missouri explicitly require any determination that the fetus is or is not viable before an abortion may be performed. All defer to the attending physician to exercise his judgment\textsuperscript{274} to establish viability. None requires or even suggests that the physician conduct tests to make this determination. The Oklahoma statute indicates the physician may determine the gestational age of the
\begin{itemize}
\item \textsuperscript{268} 542 F.2d 1350 (8th Cir. 1976).
\item \textsuperscript{269} OKLA. STAT. ANN. tit. 63, § 1-732(B) (West 1984).
\item \textsuperscript{270} Id. § 1-732(F).
\item \textsuperscript{271} 18 PA. CONS. STAT. ANN. § 3211(a) (Purdon 1983).
\item \textsuperscript{272} Thornburgh v. American College of Obstetricians & Gynecologists, 476 U.S. 747, 769 (1986).
\item \textsuperscript{273} IND. CODE § 35-1-58.5-3[10-109] (1984); IOWA CODE § 702.20 (1989); LA. REV. STAT. ANN. § 40:1299.35.4(A) (West Supp. 1989); NEB. REV. STAT. § 28-329 (1985); Nev. Rev. Stat. § 442.250(2) (1987); OKLA. STAT. ANN. tit. 63, § 1-732(B) (West 1984); 18 PA. CONS. STAT. ANN. § 3211(a) (Purdon 1989); Wis. STAT. ANN. § 940.15(2) (West Supp. 1989).
\item \textsuperscript{274} In these statutes, the word "judgment" frequently is modified by adjectives such as "responsible medical," "good faith," "best medical," "sound medical" and "reasonable medical."
fetus by relying on information provided by the pregnant woman or by conducting an examination of her.\textsuperscript{275} A subjective standard of certainty is defined for the physician in Nebraska and Nevada.\textsuperscript{276} The only objective requirements deal with reporting. Pennsylvania requires that the physician report the basis for his determination.\textsuperscript{277} Indiana requires that the physician certify the determination of viability in any required written reports. Oklahoma requires certification in writing as to the precise medical criteria upon which a determination of nonviability is based.\textsuperscript{278}
The Supreme Court has not assessed the constitutionality of a statute which defines when viability occurs in terms of a specific number of weeks of gestation. By applying the holding in \textit{Colautti},\textsuperscript{279} however, such a statute probably would be unconstitutional. The law before \textit{Webster} did not allow the prohibition of abortions prior to viability. This has not been changed by the decision in \textit{Webster}. As previously discussed, viability is a flexible point determinable by a physician. Thus, a definition or presumption of viability used as a point beyond which abortion is proscribed and based only on gestational age or weeks of pregnancy, is probably an unconstitutional interference with the physician's case-by-case exercise of professional judgment. This same result would be reached regardless of whether the definition is expressed or implied. Applying this to existing law, the statutes of twelve of the fourteen states\textsuperscript{280} which define viability in these terms, would be unconstitutional.
Because Missouri's rebuttable presumption was not at issue before the Supreme Court, it is uncertain whether it and Pennsylvania's similar statute would be held constitutional. They appear to be consistent with previous Court decisions. Each relies on the physician's medical judgment to determine the viability of the fetus. Rather than defining viability in terms of gestation, both statutes simply call the physician's attention to the need to assess viability beginning at a specific number of weeks of gestation. Justice O'Connor suggests that such a requirement is not an impermissible restriction on the judgment of the attending physician.\textsuperscript{281}
\begin{itemize}
\item \textsuperscript{275} OKLA. STAT. ANN. tit. 63, § 1-732(B) (West 1984).
\item \textsuperscript{276} NEB. REV. STAT. § 28-329 (1985) ("the unborn child clearly appears to have reached viability"); Nev. Rev. Stat. § 442.250(2) (1987) ("there is a reasonable likelihood of the sustained survival of the fetus").
\item \textsuperscript{277} 18 PA. CONS. STAT. ANN. § 3211(a) (Purdon 1989).
\item \textsuperscript{278} OKLA. STAT. ANN. tit. 63, § 1-732(B) (1984).
\item \textsuperscript{279} See supra notes 102-03 and accompanying text.
\item \textsuperscript{280} See statutes cited supra note 260.
\item \textsuperscript{281} 109 S. Ct. at 3061.
The Oklahoma statute presumes the existence of viability at a specific number of weeks of gestation. This presumption is rebuttable by the physician who is asked to perform the abortion. Therefore, the Oklahoma statute provides the required flexibility by continuing to allow the determination of viability to be made on a case-by-case basis by a physician. For this reason, it would probably survive constitutional challenge.
State legislatures which desire to invoke additional restrictions on abortion are likely to emulate the viability testing provisions of the Missouri Act. It is not unreasonable to assume that some legislatures may even attempt to enact stricter requirements in this area than those contained in the Missouri provision. As Justice Blackmun pointed out in *Webster*, a viability testing requirement may be viewed as a means by which a state seeks to protect its compelling interest to ensure that no viable fetus is aborted mistakenly.\(^{282}\) In 1986, there were 1,987 live births of *less than* 20 weeks of gestation in the United States.\(^{283}\) Therefore, legislatures may attempt to require viability testing at an even earlier stage than is provided for under the Missouri standard.
No state other than Missouri requires the physician to inform his or her medical judgment with findings derived from tests necessary to determine one or more measures of viability. Because the Supreme Court indicated this is permissible, it provides another area for future legislative effort. Assuming that a state considers it important to have viability of the fetus determined, a statute acknowledging the Court's holding that this determination is a subjective process made by a physician exercising medical judgment would be consistent with *Webster* and all previous holdings. To be certain that a statute is consistent with *Webster*, it would need to suggest to the physician that he choose appropriate medical technology to make one or more of a variety of
\(^{282}\) 109 S. Ct. at 3070-71.
\(^{283}\) *U.S. Dept. of Health and Human Services, Vital Statistics of the U.S. 1986, 1 Natality* 257 (1988). This represented .05% of all live birth in that year. *Id.*
In addition to the foregoing, Justice O'Connor points out, "In 1973, viability before 28 weeks was considered unusual . . . . However, recent studies have demonstrated increasingly earlier fetal viability. It is certainly reasonable to believe that fetal viability in the first trimester of pregnancy may be possible in the not too distant future." *City of Akron v. Akron Center for Reproductive Health*, 462 U.S. 416, 457 (1983) (O'Connor, J., dissenting) (citations omitted). *But see Rhoden, Late Abortion and Technological Advances in Fetal Viability, 17 Fam. Plan. Persp.,* July-Aug. 1985, at 160. ("[T]he actual situation is that over the past decade, the threshold of viability has shifted backwards by several weeks. It may shift further, or it may not. While there are isolated reports of infants surviving who are born at 23 weeks' gestation, many experts doubt that the current threshold will be superseded . . . .").
findings in determining the presence of viability. A statute would be flawed if it relied on only one finding, if it required that a specific test be made, or if it required a test which was contraindicated by prevailing medical standards. Nevertheless, viability testing requirements other than those specifically discussed in *Webster* and greater state regulation of medical practice relative to abortion may be permissible now. The Court clearly indicated that regulation in the second trimester may be done to protect potential life as well as to protect the health of the pregnant woman.\textsuperscript{284}
Despite this likely effect, which will give states more freedom to invoke stricter abortion regulations, it is not clear what standard will be used to assess the constitutionality of any new regulation. The plurality was satisfied that Missouri's testing requirement permissibly furthers the State's interest in protecting potential life.\textsuperscript{285} Justice O'Connor appeared to advance that any regulation not impose an undue burden on the woman's abortion decision. She suggested that a medically imprudent regulation would be an undue burden.\textsuperscript{286}
**CONCLUSION**
The decision in *Webster* addressed the constitutionality of four provisions of a comprehensive act regulating abortion in Missouri. A majority of the Court upheld these provisions. Three opinions were written by these five justices, however, and they showed significant differences in the rationale used to reach this result.
The Court held that the "Preamble" to Missouri's statute, which declares that the life of each human being begins at conception, is a permissible expression of a value judgment which does not directly regulate abortion. Therefore, the Court did not rule on the constitutionality of the preamble because the state courts had not yet determined whether the provision would be applied to regulate the performance of abortions.\textsuperscript{287} In addition to the Preamble, the Court upheld separate provisions of the Missouri Act prohibiting the use of public employees and public facilities for performing or assisting an abortion not necessary to save the life of the mother.\textsuperscript{288} The controversy concerning a restriction on the use of public funds for encouraging or counseling a
\textsuperscript{284}. 109 S. Ct. at 3057.
\textsuperscript{285}. \textit{See id.}
\textsuperscript{286}. \textit{Id.} at 3063 (O'Connor, J., dissenting). \textit{See supra} notes 162-71 and accompanying text for a discussion of the different standards advocated by members of the Court for use in determining the validity of state abortion regulations.
\textsuperscript{287}. 109 S. Ct. at 3050; \textit{see supra} notes 43-63 and accompanying text.
\textsuperscript{288}. 109 S. Ct. at 3050-53; \textit{see supra} notes 64-80 and accompanying text.
woman to have an abortion not necessary to save her life was held to be moot.\textsuperscript{289} Finally, the Court upheld the requirement that a physician determine the viability of a fetus by informing his or her professional judgment with tests useful in making findings relative to fetal age, weight, and lung maturity.\textsuperscript{290}
The most significant part of the \textit{Webster} decision was not the holdings on the specific statutory provisions. Rather, one area of significance concerns the views expressed in regard to the \textit{Roe} framework, which has undergirded practically every post-\textit{Roe} decision dealing with abortion. Another significant area of \textit{Webster} is the apparently changing standard used to evaluate the conflicting interests present when an abortion is considered.
Four of the justices appear ready to overturn the \textit{Roe} framework, viewing it as rigid, unsound, and unworkable, resembling regulation more than constitutional doctrine. Justice O'Connor joined with the dissenters in saying that the Missouri statute provided no need to re-examine the \textit{Roe} framework. While continuing to view viability as the point at which the interest in protecting potential life dominates a woman's right to privacy, including the right to an abortion, Justices O'Connor, Blackmun, Brennan, and Marshall are willing to allow some second trimester regulation to protect potential life. This is a departure from a strict adherence to the \textit{Roe} framework, which allowed second trimester regulation only to protect the woman's health. This opening from \textit{Webster} provides a likely avenue for further regulation of abortions.
A second avenue for additional abortion regulation was provided by the position of five justices who indicated that in the future they will use a standard other than strict scrutiny and compelling interest to assess the constitutionality of statutes regulating abortion. While these justices do not appear to agree on the exact standard that should be applied, it is clear that each supports the adoption of a less strict standard than the one used in pre-\textit{Webster} cases. Some clarification of the extent of these changes may be provided later this year when the Supreme Court decides \textit{Hodgson v. Minnesota}\textsuperscript{291} and \textit{Akron Center for Reproductive Health v. Ohio}.\textsuperscript{292} Each concerns the constitutionality of statutory provisions requiring that notice be provided to the parents of a minor before she receives an abortion.
All members of the Supreme Court agree that the decision in \textit{Webster} may encourage other states to change their abortion laws. It should come as no surprise then that shortly after the \textit{Webster} decision
\begin{itemize}
\item \textsuperscript{289} 109 S. Ct. at 3053-54; see \textit{supra} notes 81-84 and accompanying text.
\item \textsuperscript{290} 109 S. Ct. at 3054-58; see \textit{supra} notes 85-93 and accompanying text.
\item \textsuperscript{291} 853 F.2d 1452 (8th Cir. 1988).
\item \textsuperscript{292} 854 F.2d 852 (6th Cir. 1988).
numerous proposals were made by individual members of the various state legislatures in an attempt to place further restrictions on abortion. In November of 1989, Pennsylvania, which already had some of the most restrictive abortion regulations in the nation prior to *Webster*, became the first state to officially make such changes.\(^{293}\)
The new Pennsylvania law, however, did not enact restrictions that corresponded with the four issues confronted in *Webster*. Instead, the Pennsylvania General Assembly focused on the following areas: a ban on abortions after the twenty-fourth week of pregnancy,\(^{294}\) requirements that the doctor performing the abortion determine the gestational age of the "unborn child,"\(^{295}\) a requirement to insure "spousal notice,"\(^{296}\) a requirement for the "informed consent" of the woman submitting to the abortion,\(^{297}\) and the prohibition of abortions based solely on the sex of the "child."\(^{298}\)
The new Pennsylvania law does provide for an exception to the ban on abortions performed after the twenty-fourth week of pregnancy. The ban does not apply in situations where "the abortion is necessary to prevent either the death of the pregnant woman or the substantial and irreversible impairment of a major bodily function of the woman."\(^{299}\) In the case of both exceptions the abortion must be performed in a hospital and an attending physician must be present in case of a live birth of the aborted "child."\(^{300}\)
The new Pennsylvania law also requires the physician to determine the gestational age of the "unborn child."\(^{301}\) Unlike the Missouri statute, however, there is no discussion in the Pennsylvania law of a point at which viability is presumed to exist.\(^{302}\) In passing the new law, the Pennsylvania General Assembly also repealed a previous statute which made post-viability abortions a third-degree felony.\(^{303}\) Since there is no presumption of viability and no penalty for post-viability abortions, it is unclear how the state plans to regulate pre-
---
\(^{293}\). 1990 Pa. Legis. Serv. §§ 18-3203 to 3220 (Purdon).
\(^{294}\). *Id.* § 3211(a).
\(^{295}\). *Id.* § 3210. The statute defines "unborn child" as "an individual organism of the species Homo sapiens from fertilization until live birth." *Id.* § 3203.
\(^{296}\). *Id.* § 3209.
\(^{297}\). *Id.* § 3205.
\(^{298}\). *Id.* § 3204.
\(^{299}\). *Id.* § 3211(b)(1).
\(^{300}\). *Id.* § 3211(c)(3)(5).
\(^{301}\). *Id.* § 3210.
\(^{302}\). *See* Mo. Rev. Stat. § 188.029 (1986).
\(^{303}\). 18 Pa. Cons. Stat. Ann. § 3210(a) (Purdon Supp. 1989) (repealed).
viability abortions beyond the gestational determination and spousal notice requirements.
The spousal notice requirement in the new Pennsylvania law is not as restrictive as it appears at first glance. This provision requires the woman undergoing the abortion to sign an unnotarized statement that "she has notified her spouse that she is about to undergo an abortion." 304 The law claims that "any false statement made [by the woman] is punishable by law" but the penalties run to the performing doctor. The statute provides for the possible suspension of the performing doctor's license and civil liability of the doctor to the unnotified spouse. 305 It also provides for exceptions to the spousal notice requirement when 1) the woman's spouse is not the father of the "child," 2) the spouse after diligent effort, could not be found, 3) the pregnancy results from spousal rape, 4) the woman has reason to believe that she may receive bodily injury if she informs her spouse and 5) in cases of medical emergency. 306
The Pennsylvania law expands the scope of informed notice requirements. Before the passage of the new statutes, the law required the doctor to "orally [inform] the woman of the nature of the proposed procedure or treatment, and of those risks" involved in the abortion. 307 The new law requires the performing or referring physician to provide the following information to the woman at least twenty-four hours prior to the abortion: 1) the proposed procedure and the risks involved, 2) the probable gestational age of the "child," and 3) the medical risks involved with carrying the "child" to term. 308
Although the Pennsylvania General Assembly took up the suggestion of the Webster court to legislate upon the abortion question, the thrust of the new law was far afield from the provisions discussed in Webster. In passing such a law, the Pennsylvania Legislature may seek to expand the scope of abortion regulations with a favorable appeal of the new law to the Supreme Court.
The governor of Missouri and several Missouri legislators are seeking to place additional restrictions on a woman's access to an abortion. A new bill proposed in January 1990 in the Missouri House of Representatives seeks to restrict abortions caused by unwanted pregnancies, and the use of abortion as a form of birth control, to select the sex of an offspring, to prevent multiple births, to prevent the loss of
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304. 1990 Pa. Legis. Serv. § 18-3209(a) (Purdon).
305. Id. § 3209(e).
306. Id. § 3209(b).
307. 18 PA. CONS. STAT. ANN. § 3205(a) (Purdon 1983) (repealed).
308. 1990 Pa. Legis. Serv. § 18-3205(a)(1).
an educational or job opportunity, and to avoid the expense of child birth or child rearing.\textsuperscript{309}
Governor John Ashcroft of Missouri also plans to propose to the Missouri General Assembly laws that ban abortions for sex selection, racial discrimination, and birth control.\textsuperscript{310} According to the governor, these measures would eliminate the right of a woman to a second abortion and cut the number of abortions performed in Missouri by half.\textsuperscript{311} Legislative leaders, however, have indicated they may refuse to take up abortion related issues until after the 1990 elections.\textsuperscript{312}
The Supreme Court's ruling in \textit{Webster} invoked only minor change in existing abortion law. Its greater effect will be determined as state legislatures and courts respond to the invitation it issued.
\begin{center}
RAN DALL D. EGGERT \\
ANDREW J. KLINGHAMMER \\
JEANNE MORRISON
\end{center}
\textsuperscript{309} St. Louis Post-Dispatch, Jan. 17, 1990, at 4A, col. 1.
\textsuperscript{310} St. Louis Post-Dispatch, Jan. 20, 1990, at 1A, col. 1.
\textsuperscript{311} \textit{Id.}
\textsuperscript{312} \textit{Id.}
Missouri Law Review, Vol. 55, Iss. 1 [1990], Art. 17
https://scholarship.law.missouri.edu/mlr/vol55/iss1/17 |
S&T Needs to Improve Its Management and Oversight of R&D Projects
March 7, 2022
OIG-22-30
MEMORANDUM FOR: Kathryn Coulter Mitchell
Senior Official Performing the Duties of the Under Secretary
Science and Technology Directorate
FROM: Joseph V. Cuffari, Ph.D.
Inspector General
SUBJECT: S&T Needs to Improve Its Management and Oversight of R&D Projects
Attached for your action is our final report, *S&T Needs to Improve Its Management and Oversight of R&D Projects*. We incorporated the formal comments provided by your office.
The report contains five recommendations aimed at improving execution of the Science and Technology Directorate research and development projects. Your office concurred with all five recommendations. Based on information provided in your response to the draft report, we consider recommendations 3 and 4 open and unresolved. As prescribed by the Department of Homeland Security Directive 077-01, *Follow-Up and Resolutions for the Office of Inspector General Report Recommendations*, within 90 days of the date of this memorandum, please provide our office with a written response that includes your (1) agreement or disagreement, (2) corrective action plan, and (3) target completion date for each recommendation. Also, please include responsible parties and any other supporting documentation necessary to inform us about the current status of the recommendation. Until your response is received and evaluated, the recommendations will be considered open and unresolved.
Based on information provided in your response to the draft report, we consider recommendations 1, 2, and 5 open and resolved. Once your office has fully implemented the recommendations, please submit a formal closeout letter to us within 30 days so that we may close the recommendations. The memorandum should be accompanied by evidence of completion of agreed-upon corrective actions and of the disposition of any monetary amounts. Please send your response or closure request to, email@example.com.
Consistent with our responsibility under the *Inspector General Act*, we will provide copies of our report to congressional committees with oversight and
appropriation responsibility over the Department of Homeland Security. We will post the report on our website for public dissemination.
Please call me with any questions, or your staff may contact Bruce Miller, Deputy Inspector General for Audits, at (202) 981-6000.
Attachment
DHS OIG Highlights
S&T Needs to Improve Its Management and Oversight of R&D Projects
March 7, 2022
Why We Did This Audit
S&T aims to deliver timely, innovative technology solutions to bolster DHS mission operations. To do this, S&T works with DHS and its components to identify capability gaps in DHS operations and to research and develop technologies to address those gaps. We conducted this audit to determine whether S&T executes R&D projects in accordance with Federal and DHS guidelines, policies, and procedures.
What We Found
The Department of Homeland Security Science and Technology Directorate (S&T) did not execute all research and development (R&D) projects in accordance with Federal and DHS guidelines, policies, and procedures. Specifically, S&T did not consistently comply with sensitive information and privacy requirements to protect sensitive information. In addition, not all S&T project managers obtained the required Federal Acquisition Certification to ensure they met training, experience, and development requirements. Finally, for most R&D projects we reviewed, S&T project managers did not prepare project plans for review and approval.
We attribute S&T’s noncompliance to insufficient oversight and guidance to ensure necessary steps were completed for each project. S&T also does not have a centralized approach to manage and monitor project execution, further hindering its ability to ensure compliance.
Without effective management and monitoring of R&D projects, S&T faces increased risk of unauthorized disclosure of sensitive and personally identifiable information. It also faces greater risk of projects missing milestones, exceeding the budget, or not achieving desired objectives. As a result, S&T may not be able to fully achieve its mission to research and develop technologies addressing gaps in DHS operations.
What We Recommend
We made five recommendations to S&T to improve the execution of R&D projects.
For Further Information:
Contact our Office of Public Affairs at (202) 981-6000, or email us at firstname.lastname@example.org
S&T Response
S&T concurred with all five recommendations. We included a copy of S&T’s comments in Appendix B.
# Table of Contents
Background .......................................................................................................................... 1
Results of Audit ..................................................................................................................... 5
- S&T Did Not Comply with All Sensitive Information and Privacy Requirements .................... 6
- Not All R&D Project Managers Obtained the Federal Acquisition Certification for Program and Project Managers ................................................................. 10
- Project Managers Did Not Prepare a Project Plan for All R&D Projects .............................. 12
- S&T Did Not Sufficiently Manage and Monitor R&D Project Execution ............................... 12
Conclusion ........................................................................................................................... 15
Recommendations .............................................................................................................. 15
Appendix A: Objective, Scope, and Methodology ................................................................. 19
Appendix B: S&T Comments to the Draft Report ................................................................. 22
Appendix C: Office of Audits Major Contributors to This Report ........................................ 26
Appendix D: Report Distribution .......................................................................................... 27
## Abbreviations
| Abbreviation | Description |
|--------------|-------------|
| EPIC | Execution, Performance, Invoice, Consolidation |
| FAC-P/PM | Federal Acquisition Certification for Program and Project Managers |
| GAO | Government Accountability Office |
| MCS | Office of Mission and Capability Support |
| OES | Office of Enterprise Services |
| OIC | Office of Innovation and Collaboration |
| OMB | Office of Management and Budget |
| OSE | Office of Science and Engineering |
| PII | personally identifiable information |
| PTA | Privacy Threshold Analysis |
| R&D | research and development |
| S&T | Science and Technology Directorate |
| STATS | Science and Technology Analytical Tracking System |
Background
Federal agencies must continually identify ways to apply new and emerging technologies to improve how they carry out mission operations and deliver services for the American people. The *Homeland Security Act of 2002*,\(^1\) as amended, gives the Science and Technology Directorate (S&T) primary responsibility for research and development\(^2\) (R&D) within the Department of Homeland Security. S&T provides DHS and its components, as well as state and local partners, with the technology and capabilities needed to protect the homeland. Specifically, S&T R&D activities are meant to anticipate and respond to changes in technology and threats and to address unmet needs or gaps in existing DHS technology capabilities.
S&T’s mission is to enable effective, efficient, and secure operations across all homeland security missions by applying scientific, engineering, analytic, and innovative approaches to deliver timely solutions and support departmental acquisitions. To accomplish its mission, S&T works with DHS and its components to identify capability gaps in DHS operations and to research and develop technologies to address those gaps. For example, to address the growing need for new or improved border surveillance capabilities, S&T initiated a Ground Based Technologies Program to focus R&D projects on enhancing situational awareness, providing automated detections and alerts, and enhancing the safety of DHS officers and agents. Similarly, to address the need for effective screening of air cargo, S&T initiated an Air Cargo Screening Program to develop new security technologies to cost-efficiently screen diverse and complex cargo. In fiscal year 2020, S&T budgeted $18.4 million for these two programs.
S&T Organization
S&T is composed of a Privacy Office and four operational offices that support DHS components and homeland security customers, as shown in Figure 1.
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\(^1\) *Homeland Security Act of 2002*, Pub. L. No. 107–296.
\(^2\) R&D is a systematic study and application of knowledge aimed at discovering and producing solutions to meet an operational need.
The Privacy Office, within the Office of the Under Secretary, assesses the privacy risks in programs and systems within S&T, and develops privacy mitigation strategies. The mission of the S&T Privacy Office is to protect individuals by embedding and enforcing privacy protections and transparency in all S&T activities.
MCS works with S&T customers throughout the R&D process to define priorities, gaps, and requirements and to find or develop technology solutions for the homeland security mission.
OSE provides technical functions and services to S&T programs, DHS components, and other homeland security customers such as the Federal, state, and local first responder community, by conducting research to identify and understand current, emerging, and future threats, and offering subject matter expertise.
OIC provides DHS access to technology-based capabilities and solutions through a network of partnerships with other Federal departments and agencies, industry and international partners, and academia. OIC manages tools and contract mechanisms that allow S&T to sponsor critical R&D activities.
OES supports S&T operations, including the management of personnel, finance and budget, facilities, information technology, compliance, contract administration, and security. Within OES, the Program Support
Office provides direct support to program\(^3\) and project\(^4\) managers throughout S&T and facilitates the development of common standards, guidance, and program and project management processes for S&T.
**S&T’s R&D Business Process Flow**
In 2018, S&T developed a set of high-level foundational processes, known as the Operating Model Blueprint, to standardize common program and project management practices for R&D efforts. In 2019, S&T formally documented its R&D Business Process Flow\(^5\) to define the required steps and activities to ensure alignment with S&T’s Operating Model Blueprint during R&D project execution. The process flow includes steps that outline how S&T executes projects. Some of these steps include:
- review the viable options and select an approach;
- assign a project manager;
- ensure a project manager identifies resources and forms the project team; and
- develop a project management plan (project plan).
According to the 2019 R&D Business Process Flow, the S&T project manager performs tasks in accordance with the project plan to develop and test a capability that meets the customer’s requirement and to deliver the solution to the customer. The project manager is responsible for managing the solution development activities, including authorizing and directing work, verifying the work is completed, and implementing corrective actions, if necessary. Additionally, the project manager is responsible for monitoring and reporting project risks and issues, assessing progress, reporting status information, and communicating with stakeholders. When the project is executed as part of a program that encompasses multiple projects, the project manager works closely with the program manager to ensure project and program objectives align.
The project manager is also responsible for completing sensitive information compliance requirements. For example, the project manager is responsible for
---
\(^3\) S&T defines a program as the “totality of activities directed to accomplish specific goals and objectives, which may provide new or improved capabilities in response to approved requirements and/or sustain existing capabilities, and which may have multiple projects to obtain specific capability requirements or capital assets.”
\(^4\) S&T defines a project as a “temporary endeavor undertaken to create a unique product, service, or result; involves the definition, acquisition, and fielding of a unique product, service or result in accordance with specified resources and requirements.”
\(^5\) *Understanding S&T’s Business Process Flow, Overview of S&T’s Research, Development and Matrixed Process*, Version 1, October 15, 2019.
submitting the Checklist for Sensitive Information and a Privacy Threshold Analysis (PTA) to the S&T Privacy Office for review. The checklist is designed to help the user create safeguards for sensitive information\(^6\) by identifying whether contractors will have access to sensitive information and whether contractor information technologies will be used to input, store, process, output, and/or transmit sensitive information. In addition, a PTA includes a general description of the system or program and describes whether personally identifiable information\(^7\) (PII) is collected, and if so, from whom, and how that information will be used.
**Prior Reporting and Oversight**
In March 2019, the Government Accountability Office (GAO) reported\(^8\) that S&T used disparate information sources to identify and track R&D project information, leading to difficulty integrating complete R&D project information and resulting in reporting that was not comprehensive. GAO recommended that the Secretary of Homeland Security develop a mechanism to align processes and information sources for collecting R&D project data from DHS components to ensure information could be collected, integrated, and result in a comprehensive accounting of R&D projects DHS-wide. As of September 2021, GAO closed all the recommendations as implemented.
In March 2020, DHS OIG received allegations of potential privacy violations relating to project *Night Fury*, conducted by OSE, to research and develop open source data analytics tools. For this $443,000 project, S&T contracted specific tasks to a university to collect social media data on behalf of S&T. OSE sought to test and develop analytic capabilities to identify potential terrorism risks on publicly available social media and other open source platforms. The complainant stated the project began in September 2018 and specifically included data collection of millions of social media records, including posts, videos, and photos. Also, the complainant notified OIG of concerns that S&T may not have ensured effective programmatic oversight, employee accountability, Federal records management, contract documentation, and information security for this specific project.
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\(^6\) Sensitive information is any information, which if lost, misused, disclosed, or without authorization is accessed or modified could adversely affect the national or homeland security interest, the conduct of Federal programs, or the privacy to which individuals are entitled under the *Privacy Act of 1974*.
\(^7\) Personally identifiable information is information that permits an individual’s identity to be directly or indirectly inferred, including other information that is linked or linkable to an individual. For example, when linked to an individual, such information includes the person’s name, social security number, date and place of birth, etc.
\(^8\) *Research & Development Coordination Has Improved, but Additional Actions Needed to Track and Evaluate Projects*, GAO 19-210, March 2019.
During our review of this allegation, we identified privacy safeguards that should have been in place for this project, including a Checklist for Sensitive Information and a PTA. We reviewed project *Night Fury* and determined it did have a completed checklist and a PTA that was currently under review by the DHS Privacy Office. Based on this review, we conducted a broader review of 24 R&D projects. In FY 2020, S&T had 369 ongoing R&D projects in the execution phase, with obligations totaling $305 million\(^9\) — an average obligation of $826,000 per project. We conducted this audit to determine whether S&T executes R&D projects in accordance with Federal and DHS guidelines, policies, and procedures.\(^{10}\)
**Results of Audit**
S&T did not execute all R&D projects in accordance with Federal and DHS guidelines, policies, and procedures. Specifically, S&T did not consistently comply with sensitive information and privacy requirements to protect sensitive information. In addition, not all S&T project managers obtained the required Federal Acquisition Certification to ensure they met training, experience, and development requirements. Finally, for most R&D projects we reviewed, S&T project managers did not prepare project plans for review and approval.
We attribute S&T’s noncompliance to insufficient oversight and guidance to ensure necessary steps were completed for each project. S&T also does not have a centralized approach to manage and monitor project execution, further hindering its ability to ensure compliance.
Without effective management and monitoring of R&D projects, S&T faces increased risk of unauthorized disclosure of sensitive and PII. It also faces greater risk of projects missing milestones, exceeding the budget, or not achieving desired objectives. As a result, S&T may not be able to fully achieve its mission to research and develop technologies addressing gaps in DHS operations.
---
\(^9\) S&T provided the number and dollar amount of R&D projects in the execution phase during FY 2020. See the table in Appendix A for a detailed examination.
\(^{10}\) See Appendix A for a description of our sample selection and testing methodology.
S&T Did Not Comply with All Sensitive Information and Privacy Requirements
Based on our review of S&T privacy safeguards for 24 R&D projects, we determined that S&T did not comply with sensitive information and privacy requirements for some projects. Although S&T project managers prepared the necessary Checklist for Sensitive Information documentation to account for sensitive information for most projects we reviewed, the contracts for some projects did not include the special clauses required to ensure protection of sensitive information. In addition, we determined that S&T did not prepare a PTA for all R&D projects as required.
S&T Did Not Comply with Checklist for Sensitive Information Requirements
The S&T Privacy Office assists the DHS Privacy Office with addressing privacy incidents and complaints within S&T. The S&T Privacy Officer’s responsibilities include:
- maintaining ongoing review of all component information technology systems and programs, information sharing, and other activities to identify collections and uses of PII;
- coordinating with system and program managers to complete required privacy compliance documentation; and
- overseeing component implementation of DHS and component privacy policy, including procedures and guidance for handling suspected and confirmed privacy incidents.
The S&T Privacy Office is also responsible for ensuring compliance with Federal and DHS privacy policies and procedures. At the Federal level, the *Homeland Security Act of 2002, as amended*, requires the DHS Privacy Officer to establish privacy policies that ensure the use of technologies sustain and do not erode privacy protections. The S&T Privacy Office ensures this by completing privacy compliance documentation. At the Department level, the *DHS Acquisition Manual* requires S&T to complete a Checklist for Sensitive Information for all project acquisitions, regardless of dollar value. The manual also requires review of the completed checklist by the Component Chief Information Officer, Chief Security Officer, and Privacy Officer, as well as other DHS officials in specific circumstances.
---
11 DHS Acquisition Manual, *Security Requirements for Contractor Access to Unclassified Facilities, IT Resources, and Sensitive Information*, 3004.470(b), October 2009.
As part of the completion of the Checklist for Sensitive Information, prior to funding the project, S&T officials determine whether an R&D project acquisition will have a high risk of unauthorized access to or disclosure of sensitive information. For example, S&T officials designated one project high-risk because the contractor would have access to videos, photos, and audio that may contain PII. When an R&D project is deemed high-risk, the contracting officer must include three special clauses in the contract:
1. Safeguarding of Sensitive Information;
2. Information Technology Security and Privacy Training; and
3. Contractor Employee Access.
These special clauses provide privacy and security protections, mandate privacy training for contractors, and hold contractors responsible in case of a PII breach. The clauses and associated language are to be added into the contract without revision.
For the 24 projects we reviewed for compliance with the Checklist for Sensitive Information requirements, including the addition of special clauses where applicable, project managers prepared the checklist for 22 (92 percent). However, 3 of the 22 checklists were not signed by the appropriate officials. In one of the three, the Chief Information Officer did not sign the checklist as required.\(^{12}\) The second checklist was not signed by officials from the DHS Cybersecurity and Infrastructure Security Agency and the Transportation Security Administration, which were required because the contractor would have access to vulnerable and sensitive security information.\(^{13}\) An official from the Transportation Security Administration did not sign the third checklist even though the project required review by that component because the contractor would have access to sensitive security information.
We also identified three instances in which the Checklist for Sensitive Information was signed by the appropriate official, indicating it was reviewed and approved, but the checklist was not filled out completely. Two were completed incorrectly, one of which indicated that contractor support was necessary to complete privacy compliance documentation but did not identify
\(^{12}\) This signature was required because it was unclear whether contractor information systems would be used to input, store, process, output, or transmit sensitive information.
\(^{13}\) Sensitive security information is information obtained or developed in the conduct of security activities, including R&D, upon which disclosure of this information would: (1) constitute an unwarranted invasion of privacy (including, but not limited to, information contained in any personnel, medical, or similar file); (2) reveal trade secrets or privileged or confidential information obtained from any person; or (3) be detrimental to the security of transportation.
and describe the activities and level of support needed. In the other instance, entire sections of the approved checklist were not completed.
Project managers did not prepare the Checklist for Sensitive Information for 2 of the 24 projects. These projects, with total obligations of almost $398,000, were part of an $8 million program for which a checklist was completed. This checklist indicated that the program would have a high risk of unauthorized access to or disclosure of sensitive information. Although a small percentage of the total program costs, we could not determine whether these two projects were at high risk of unauthorized access to or disclosure of sensitive information because the projects were not individually addressed in the checklist.
Although project managers completed the checklists for most projects we reviewed, the contracts for some high-risk projects did not contain the required special clauses. S&T officials determined that 12 of the 24 R&D projects we reviewed were high-risk. However, only 6 of the 12 contracts contained all three required special clauses. The contracts for the remaining six projects were missing at least one of the required special clauses. The contracts for three of the six R&D projects did not contain any of the three special clauses, as shown in Table 1.
Table 1. Required Special Clauses in Contracts for High-Risk Projects
| Special Clauses | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 |
|----------------------------------|----|----|----|----|----|----|----|----|----|----|----|----|
| Safeguarding of Sensitive | ✓ | ✓ | X | X | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | X |
| Information Technology | ✓ | ✓ | X | X | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | ✓ | X |
| Security & Privacy Training | ✓ | ✓ | X | X | ✓ | X | ✓ | ✓ | X | ✓ | X | X |
✓ Clause Included; X Clause Not Included
Source: DHS OIG prepared based on fieldwork results
The DHS Office of Procurement Operations provides S&T with procurement and acquisition management services. According to an Office of Procurement Operations official, the required special clauses were not included in the contracts for the six high-risk projects due to contracting officer error. To remedy this oversight, the office planned to incorporate the missing special clauses through modifications to the contract documents. Without the special clauses included in the contract, S&T is at increased risk of unauthorized disclosure of sensitive information, which could result in privacy incidents involving PII.
Project Managers Did Not Prepare a Privacy Threshold Analysis for All Projects
DHS privacy policy\(^{14}\) requires that project managers, in consultation with the Component Privacy Officer, complete a PTA for all R&D projects. The PTA must be provided to the DHS Privacy Office for review. The DHS Privacy Office uses a PTA to identify programs, projects, and systems that are privacy sensitive and to assess the need for further privacy compliance documentation.
S&T project managers did not prepare a PTA for 13 (54 percent) of the 24 projects reviewed, even though the checklist indicated that 9 of the 13 projects involved PII. Additionally, two project managers prepared PTAs for the program instead of the project. However, the program PTAs did not address how the specific projects within the program would manage PII.
S&T project managers completed PTAs for 9 of 24 projects, but at the time of our audit, the DHS Privacy Office had not yet reviewed and approved two of the nine completed PTAs, and a third completed PTA was still under review by the S&T Privacy Office. However, S&T began executing these three projects before the privacy compliance process was completed. For three of the six PTAs that were completed, reviewed, and approved, the DHS Privacy Office had determined the projects needed additional privacy documentation, which the project manager prepared as required.
During our review of the checklists for the 24 projects, we identified 10 instances in which the S&T Privacy Office requested (on the checklist) that the project manager complete a PTA. In one instance, the S&T Privacy Office explicitly requested a PTA for a high-risk project, but the project manager did not prepare one, asserting that a PTA was not required for the project and that the S&T Privacy Office had already reviewed the checklist.
In 2019, the DHS Privacy Office completed a Privacy Compliance Review\(^{15}\) of S&T’s privacy compliance process. The office reported that S&T had historically produced minimal privacy compliance documentation even though its R&D projects included PII. It also reported that S&T had not followed the prescribed PTA process. According to the DHS Privacy Office, preparation of the PTA and review by the Privacy Office are not optional, and S&T is not authorized to determine whether a project is privacy sensitive, even for projects the program manager deems as not impacting privacy. The DHS Privacy Office also reported that S&T did not submit documentation for several major projects
\(^{14}\) DHS Instruction, 140-06-001, *Privacy Policy for Research Programs and Projects*, August 2012.
\(^{15}\) *Privacy Compliance Review of the Science and Technology Directorate*, June 24, 2019.
until the projects were ready to start, which allowed no time to fully adjudicate privacy concerns.
Additionally, the DHS Privacy Office noted in its report that, with increased S&T Privacy Office staffing, the quality and timeliness of privacy compliance documentation had improved. However, for six projects we reviewed for which PTAs were not completed, the contracts were executed after the DHS Privacy Office issued its report to S&T.
Without a PTA, S&T and DHS cannot identify projects that are privacy sensitive. They also cannot demonstrate the inclusion of privacy considerations during the review of the project, demonstrate compliance with privacy laws and regulations and, for projects the DHS Privacy Office determines are privacy-sensitive, identify and mitigate privacy risks. Without a PTA, the S&T Privacy Office does not have insight on privacy matters within those projects. For example, the PTA associated with the hotline complaint required additional privacy compliance documentation. When the S&T Privacy Office staff began creating the documentation, they had concerns about privacy matters with the project and elevated the concerns to the DHS Privacy Office. Without a PTA, this level of oversight would not have happened.
**Not All R&D Project Managers Obtained the Federal Acquisition Certification for Program and Project Managers**
We also sought to determine compliance with appropriate Federal acquisition certification requirements. Office of Management and Budget (OMB)\(^{16}\) and DHS policy\(^{17}\) require all program and project managers to obtain Federal Acquisition Certification for Program and Project Managers (FAC-P/PM). Project managers are critical for developing Government requirements, defining measurable performance standards, and managing lifecycle activities to ensure that intended outcomes are achieved. The FAC-P/PM establishes general training, experience, and development requirements for program and project managers.
The FAC-P/PM contains three levels of certification: entry-, mid-, and senior-level. The appropriate level of certification needed to lead a program or project is determined by the agency. DHS policy states that entry-level certification is appropriate for project team members, mid-level certification is appropriate for
---
\(^{16}\) OMB Memorandum for Chief Acquisition Officers, Senior Procurement Executives, *Revisions to the Federal Acquisition Certification for Program and Project Managers (FAC-P/PM)*, December 16, 2013.
\(^{17}\) DHS Policy 064-04-001, *Acquisition Certification Requirements for Program and Project Management*, April 2014.
project managers and those managing programs of low to moderate risk, and senior-level certification is appropriate for personnel who manage and evaluate moderate to high-risk programs. OMB requirements and DHS policy allow project managers to meet the certification requirements within 12 months of their assignment to a project.
Of the 24 projects we reviewed, S&T project managers for 9 of them had obtained the appropriate FAC-P/PM certification, and one additional project manager was in the process of obtaining the certification. However, project managers for the remaining 14 projects were not FAC-P/PM-certified. Of the 14 projects managed without a FAC-P/PM-certified project manager, 4 were identified as high-risk for sensitive information on the project’s checklist.
Although not FAC-P/PM-certified, 8 of the 14 project managers had Contracting Officer’s Representative certifications, and two project managers had Program Manager certifications issued by external organizations. OMB requirements state that an individual with a Contracting Officer’s Representative certification does not necessarily meet the requirements for the FAC-P/PM. In addition, DHS policy allows current DHS Program Manager certifications to be converted to FAC-P/PM, but to do so, personnel certified in program management or holding other external certifications must meet additional requirements.
S&T did not require R&D project managers to obtain the FAC-P/PM certification. Although, in an October 2019 memorandum to S&T management, the Program Support Office recommended that all S&T project managers be FAC-P/PM-certified, only one of the three S&T offices, MCS, required its project managers to obtain the certification. However, project managers for 7 of the 15 MCS projects we reviewed were not certified.
An S&T official stated that R&D project managers were exempt from the certification because research projects are not considered acquisition projects. However, OMB guidance states that the *Services Acquisition Reform Act of 2003* expanded the definition of acquisition to include functions performed by program and project managers. Further, the guidance states that the certification is mandatory for project managers who are responsible for, among other things, accomplishing a specifically designated work effort established to achieve stated objectives, defined tasks, or other units of related effort on a schedule, within cost constraints and in support of the program mission or objective. In addition, the guidance states that waivers of certifications are not allowed.
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18 *The Services Acquisition Reform Act of 2003*, P.L. 108-136.
Without FAC-P/PM certification, S&T project managers may not gain the necessary knowledge and skills to manage R&D projects, particularly those that are high-risk, high-impact. Establishing FAC-P/PM requirements for this critical workforce will better position S&T for success in its R&D efforts.
**Project Managers Did Not Prepare a Project Plan for All R&D Projects**
Lastly, we sought to determine compliance with S&T’s project management requirements, as defined in its 2019 R&D Business Process Flow. The documented process flow states project managers are required to prepare a project plan for all MCS projects, while S&T management must review and approve the plan before the project execution begins.\(^{19}\) The project plan establishes the total scope of work, defines project objectives, and develops the course of action to meet those objectives.
We determined S&T project managers did not prepare project plans for most (92 percent) of the 24 R&D projects we reviewed. Specifically, project managers prepared project plans for only 2 of the 24 projects. Although the two plans included the required information, the plans were not approved by S&T management before the project execution phase, as required. For the remaining 22 projects, project managers did not prepare project plans. Instead of project plans, project managers prepared program plans for 16 projects, research plans for 2 projects, and no plans for 4 projects.
Without a project plan, project managers’ ability to track the completion of project tasks and oversee contractor performance and deliverables may be hindered. This could result in increased risk of projects missing milestones or exceeding the budget. Additionally, project managers may not anticipate and mitigate project risks and issues that could prevent the project from achieving the desired objective.
**S&T Did Not Sufficiently Manage and Monitor R&D Project Execution**
S&T did not have sufficient guidance or oversight to ensure compliance with Federal and DHS guidelines, policies, and procedures when executing R&D projects. In addition, S&T did not have a centralized system to manage and monitor R&D projects.
\(^{19}\) Although S&T is only applying the process flow to MCS-based programs and projects, OIC and OSE officials stated that their project managers must also prepare project plans for the projects they manage.
S&T Did Not Have Sufficient Oversight or Guidance for Project Execution
S&T project managers did not comply with all sensitive information and privacy requirements due to a lack of oversight to ensure necessary steps were completed. For example, although the contracting officers are supposed to include the special clauses in the contracts for high-risk projects, S&T project managers did not consistently review the documents to ensure the special clauses were inserted. Instead, according to an S&T official, providing the contract to the project manager for review varies depending on the contracting officer. Additionally, project managers may focus their review on the specific project requirements of the contract rather than the special clauses. Finally, S&T has not clearly communicated the requirement to prepare a PTA to ensure project managers prepare them. Project managers stated that they did not prepare a PTA because they were not aware that a PTA was required or believed that a PTA was only required if the project collected PII.
Although the 2019 Business Process Flow’s applicability is limited to MCS-based programs and projects, S&T did not provide project managers in S&T with clear and sufficient guidance for executing R&D projects. An S&T official stated the Business Process Flow was the only S&T guidance for R&D project managers. In addition, although the Project Management Plan Template\(^{20}\) states that the project plan is meant to be tailored to the needs of the project based on size, complexity, and duration, the Business Process Flow does not clearly state the difference, if any, in the requirements to prepare project plans, as well as checklists and PTAs, for standalone projects and projects performed as part of larger programs. The process flow also does not directly address the requirements, form, and minimum content for project plans for research projects. The limited application of the Business Process Flow to MCS and its lack of detailed guidance resulted in confusion and differing interpretations of when checklists, PTAs, and project plans were required for projects.
The Business Process Flow references additional guidance from the 2019 Program and Project Manager Handbook.\(^{21}\) However, S&T had not finalized and implemented the handbook at the time of this audit. In addition, during our audit, S&T released an updated 2021 version of the Business Process Flow.\(^{22}\) The 2021 version applies to programs and projects in all S&T offices, but it
---
\(^{20}\) The Program Support Office developed a Project Management Plan Template for R&D project managers in 2019. The template instructions indicate that project managers can tailor the plan to fit the specific needs of each project.
\(^{21}\) *Program & Project Management Handbook, A Reference for Program and Project Management in the Science and Technology Directorate*, Version 0.1, July 30, 2019.
\(^{22}\) *Understanding S&T’s Business Process Flow, Overview of S&T’s Matrixed Research and Development Process*, Version 2, March 11, 2021.
does not clearly address how to apply the requirements to different types of projects.
**S&T Did Not Have a Centralized Approach to Manage and Monitor R&D Projects**
S&T has not yet implemented a centralized approach to manage and monitor R&D project execution. Instead, S&T relied on multiple information technology systems that were neither integrated nor intended for project management purposes. For example, to provide us with information on its projects, S&T used Execution, Performance, Invoice, Consolidation (EPIC), a legacy system that pulls information from the Federal Financial Management System.\(^{23}\) However, S&T was unable to provide the project status of all R&D projects. To satisfy our request for a list of projects executed during FY 2020, S&T obtained a list of R&D projects with obligations from EPIC. To obtain a list of project managers for the 24 projects we selected for review, S&T pulled the information from a second system — the Procurement Request Information System Management, but 14 of the 24 (58 percent) project managers were inaccurate.
S&T’s management of project records is decentralized, which prevented efficient data gathering for this audit. Instead, S&T relied on individual project managers to maintain their own records of official project files and documentation for each project they manage. This proved challenging when project managers were out of the office or no longer worked for S&T. In addition, when S&T officials needed project information, S&T sent a data request out to all program and project managers. For example, in February 2020, an S&T official emailed all S&T offices requesting that they each provide all project plans or other relevant project documentation as well as a list of all S&T program and project managers.
S&T began transitioning from EPIC to its replacement system — the Science and Technology Analytical Tracking System (STATS) — in August 2018. STATS can track projects and store privacy and project documentation, and it includes risk and workforce management tools. For example, according to the STATS user guide, STATS can generate information about cost, schedule, quality, risk, and customer satisfaction, which project managers can use for status updates to management and to the customer. During our audit, in May 2021, STATS received its official system designation and EPIC was decommissioned in August 2021. Although S&T encouraged project managers to use STATS, at the time of our audit, S&T had not yet mandated the use of STATS across all S&T offices. Without a centralized system enabling
\(^{23}\) The Federal Financial Management System is a web-based, workflow management and financial transaction system that provides core financial management functions for S&T.
management to readily obtain the information necessary to track and monitor R&D projects, S&T cannot ensure compliance with Federal and DHS guidelines, policies, and procedures.
**Conclusion**
Without effective oversight of its compliance with privacy protections, S&T may be at risk of inadvertently disclosing sensitive information or PII. For example, when R&D projects are initiated without special clauses for sensitive information and PTAs, the risk of unauthorized disclosure of sensitive information increases and is more vulnerable to privacy incidents involving PII. Likewise, without effective project management and monitoring practices, S&T may not be able to achieve its mission to deliver timely solutions and support departmental acquisitions. Until S&T improves its management and monitoring of R&D project execution, it will be at risk of not meeting its mission to research and develop technologies addressing gaps in DHS operations.
**Recommendations**
**Recommendation 1:** We recommend the Senior Official Performing the Duties of the Under Secretary for the Science and Technology Directorate, in consultation with the Office of Procurement Operations, develop and implement a process to ensure required special clauses are included in contracts for project acquisitions with a high risk of unauthorized access to or disclosure of sensitive information.
**Recommendation 2:** We recommend the Senior Official Performing the Duties of the Under Secretary for the Science and Technology Directorate develop and implement a process, with a timeline, to ensure that project managers prepare Privacy Threshold Analyses for all projects and provide the analyses to the S&T Privacy Office for review.
**Recommendation 3:** We recommend the Senior Official Performing the Duties of the Under Secretary for the Science and Technology Directorate clarify the requirements for the preparation of Checklists for Sensitive Information, Privacy Threshold Analyses, project plans, update S&T guidance, and formally communicate the requirements to program and project managers.
**Recommendation 4:** We recommend the Senior Official Performing the Duties of the Under Secretary for the Science and Technology Directorate develop and implement a policy to require and track FAC-P/PM certification for research and development program and project managers that meets Office of Management and Budget and Department of Homeland Security requirements.
Recommendation 5: We recommend the Senior Official Performing the Duties of the Under Secretary for the Science and Technology Directorate require that program and project managers use the Science and Technology Analytical Tracking System, or other centralized project management system, to track and manage all research and development projects.
S&T Comments and OIG Analysis
We obtained written comments on a draft of this report from S&T. We have reviewed S&T’s comments, as well as the technical comments previously submitted under separate cover, and updated the report as appropriate. S&T concurred with all five recommendations. A summary of S&T’s responses and our analysis follows.
S&T’s Comments to Recommendation 1: Concur. The S&T Compliance Division and the S&T Office of Contracts, Acquisition, and Program Support are collaboratively drafting a formal process, and associated implementation training, in consultation with the Office of Procurement Operations, to ensure the proper clauses are included in contracts for project acquisitions with a high risk of unauthorized access to, or disclosure of, sensitive information. Once complete, this formal process and training will be provided to Program Managers, Contract Officer Representatives, and staff in the S&T Compliance Division.
Additionally, in July 2021, a “Project Situational Compliance” Checklist was added as Appendix A to the current S&T internal Program and Project Management Plan templates, which requires PMs to consider all compliance requirements impacting their program prior to the Procurement Request submission. Estimated Completion Date (ECD): January 31, 2023.
OIG Analysis of S&T’s Comments: S&T’s actions are responsive to this recommendation, which will remain open and resolved until S&T provides documentation showing that all planned corrective actions are completed.
S&T’s Comments to Recommendation 2: Concur. The S&T Compliance Director, in coordination with leadership across the Directorate and the S&T Program Support Office, is developing a process with associated timeline, checklists, and guidance to ensure that the privacy documentation, including the projected timeline with milestones, is developed, as appropriate. Once complete, this process will be formally communicated to program and project managers to ensure the requirements are understood. ECD: January 31, 2023.
OIG Analysis of S&T’s Comments: S&T’s actions are responsive to this recommendation, which will remain open and resolved until S&T provides documentation showing that all planned corrective actions are completed.
S&T’s Comments to Recommendation 3: Concur. The S&T Compliance Director is leading the effort to develop a process, including projected timelines and milestones, to clarify the requirements of privacy documentation. Once complete, this process will be formally communicated to program and project managers to ensure the requirements are understood. ECD: January 31, 2023.
OIG Analysis of S&T’s Comments: S&T’s actions are partially responsive to this recommendation. However, the corrective action does not address additional guidance for project plans. The recommendation will remain open and unresolved until S&T provides documentation showing that all planned corrective actions, including guidance for project plans are completed.
S&T’s Comments to Recommendation 4: Concur. On December 1, 2021, the Director of Mission Capability Support issued a memorandum, “Federal Acquisition Certification for the Office of Mission and Capability Support (MCS) Program Managers (FAC-P/PM) Certification,” requiring project management certifications for all program managers. The Program Support Office is coordinating with the Human Capital Office and S&T Principal Directors to enhance existing processes to also track PM certifications.
Additionally, OMB is currently rolling out the Competency Exploration for Development and Readiness tool, in coordination with the DHS Office of the Chief Human Capital Officer (OCHCO), during 2022. The Program Support Office is working with OCHCO and the Principal Directors to begin using this tool within S&T, which will collect data to baseline project management capabilities within the organization and identify areas where S&T needs to increase certifications and skills to appropriate levels. ECD: March 31, 2023.
OIG Analysis of S&T’s Comments: S&T’s actions are partially responsive to this recommendation. However, programs and projects are also being executed in OIC and OSE. Therefore, this recommendation will remain open and unresolved until S&T provides documentation showing the FAC P/PM is applied to all program and project managers conducting R&D.
S&T’s Comments to Recommendation 5: Concur. STATS is the current authoritative data source for all research and development projects. The Deputy Under Secretary for S&T will issue a formal memorandum requiring the use of STATS for all research and development projects. ECD: March 31, 2022.
OIG Analysis of S&T’s Comments: S&T’s actions are responsive to this recommendation, which will remain open and resolved until S&T provides documentation showing that all planned corrective actions are completed.
Appendix A
Objective, Scope, and Methodology
The Department of Homeland Security Office of Inspector General was established by the *Homeland Security Act of 2002* (Public Law 107–296) by amendment to the *Inspector General Act of 1978*. Our audit objective was to determine whether S&T executes R&D projects in accordance with Federal and DHS guidelines, policies, and procedures.
We originally planned to focus our audit work on pilot projects. However, S&T was unable to provide the project status of all R&D projects at this level of detail. Therefore, we adjusted our audit objective and testing methodology to include all ongoing projects in the execution phase.
To accomplish our objective, we obtained and reviewed relevant Federal laws and OMB requirements. We also obtained and reviewed DHS and S&T policies, procedures, and guidance relating to R&D activities. We reviewed and analyzed prior OIG and GAO audit reports related to the audit objective.
We interviewed S&T officials from the four primary S&T offices: MCS, OIC, OSE, OES. We also interviewed officials in S&T’s Office of Strategy and Policy and Privacy Office to obtain an understanding of S&T’s organizational structure as well as their roles and responsibilities relating to R&D and their processes and procedures. Additionally, we met with the Chief of Staff Office, and Contract Acquisition Program Support, Finance and Budget, and the Program Support Office within OES to obtain a universe of R&D projects for our testing sample. Further, we met with the DHS Program Accountability Risk Management and Office of Management and Budget to obtain an understanding of project manager certification requirements. We also met with Office of Procurement Operations to obtain an understanding of the awarded contracts within our sample.
The Finance and Budget Division provided us a list of R&D projects managed by S&T that were in the execution phase during FY 2020. The list contained a total of 383 projects with obligations of approximately $309 million. During data validation, we discovered 14 of the 383 projects were in-house projects managed by OES. The team removed these 14 OES projects from our potential sampling universe, resulting in 369 projects with obligations totaling approximately $305 million.
To ensure coverage of projects executed by MCS, OIC, and OSE, we sorted the data provided by office. We then judgmentally selected a total of 24 projects to review. The following table provides the total number of projects and dollar
amount of obligations for each office and the number and dollar amount of projects selected for testing.
**Universe of R&D Projects by S&T Office and Number Selected for Testing from Each Office**
| Office | Universe of Projects | Total Obligations | Number of Projects Selected | Percent of Selected Projects* | Obligations for Selected Projects | Percent of Selected Obligations* |
|--------|----------------------|-------------------|----------------------------|------------------------------|----------------------------------|---------------------------------|
| MCS | 230 | $214,538,192 | 15 | 7% | $17,860,122 | 8% |
| OIC | 77 | $55,385,760 | 5 | 6% | $1,809,724 | 3% |
| OSE | 62 | $34,992,878 | 4 | 6% | $1,634,180 | 5% |
| **Total** | **369** | **$304,916,830** | **24** | **7%** | **$21,304,026** | **7%** |
* Percent rounded to nearest whole number
Source: DHS OIG-prepared based on information in the list of R&D projects provided by S&T
We interviewed S&T officials to confirm the information for each project selected. However, the data field for the assigned project managers was inaccurate. As a result, S&T manually created an updated list of project managers that we used to obtain the project file for each of the 24 selected projects. We determined the project list to be sufficiently reliable for our audit purposes.
During our survey work we identified the checklist requirements and used them as a basis for developing our compliance tests. We also identified project management requirements from our review of the process flow. We then created a data collection instrument to test the 24 selected projects to determine whether S&T executed R&D projects in accordance with Federal and DHS guidelines, policies, and procedures.
We requested the entire project file from the assigned project manager for each selected project and reviewed information in the file to complete the data collection instrument. In some instances, the project files did not contain the documents we needed to perform our compliance tests. We followed up with the project managers as applicable to obtain the missing documents. We also requested project file documentation from Office of Procurement Operations for projects that were deemed high risk.
Other than obtaining and reviewing project documentation for each of the 24 selected projects, we did not perform data reliability testing for the remaining 345 projects in our universe of R&D projects, and we did not assess the completeness or accuracy of R&D projects. The scope of this audit was limited to assessing S&T’s compliance with guidelines, policies, and procedures.
We identified control weaknesses in the control environment and monitoring internal control components. We assessed internal controls and compliance with laws and regulations necessary to satisfy the audit objective. We identified control weaknesses, as described in the Results of Audit section of this report. However, because we limited our review to the control environment and monitoring components, other internal control deficiencies may have existed at the time of our audit.
We conducted this audit between October 2020 and September 2021 pursuant to the *Inspector General Act of 1978, as amended*, and according to generally accepted government auditing standards. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based upon our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findings and conclusions based upon our audit objectives.
Thank you for the opportunity to comment on this draft report. The Science and Technology Directorate (S&T) appreciates the work of the Office of Inspector General (OIG) in planning and conducting its review and issuing this report.
Senior S&T leadership is pleased to note OIG’s recognition that S&T works with Components in the U.S. Department of Homeland Security (DHS) to identify capability gaps in DHS operations, and to research and develop technologies to address those gaps. For example, during the last 3 years S&T implemented management systems to strengthen its project and financial management processes, including the:
1) Business Process Flow (BPF), which encompasses the entire process of gap identification, decomposition, project development, funding, execution, and transition; and
2) Science and Technology Analytical Tracking System (STATS), which is currently in use as the authoritative data source for all research and development projects.
S&T remains committed to enabling effective, efficient, and secure operations across all homeland security missions by applying scientific, engineering, analytic, and innovative approaches to deliver timely solutions and support departmental acquisitions.
The draft report contained 5 recommendations with which S&T concurs. Attached find our detailed response to each recommendation. S&T previously submitted technical comments addressing several accuracy, contextual, and other issues under a separate cover for OIG’s consideration.
Again, thank you for the opportunity to review and comment on this draft report. Please feel free to contact me if you have any questions. We look forward to working with you again in the future.
Attachment
OIG recommended that the Senior Official Performing the Duties of the Under Secretary for S&T:
**Recommendation 1:** In consultation with the Office of Procurement Operations, develop and implement a process, to ensure required special clauses are included in contracts for project acquisitions with a high risk of unauthorized access to or disclosure of sensitive information.
**Response:** Concur. The S&T Compliance Division and the S&T Office of Contracts, Acquisition, and Program Support are collaboratively drafting a formal process, and associated implementation training, in consultation with the Office of Procurement Operations, to ensure the proper clauses are included in contracts for project acquisitions with a high risk of unauthorized access to, or disclosure of, sensitive information. Once complete, this formal process and training will be provided to Program Managers (PMs), Contract Officer Representatives, and staff in the S&T Compliance Division.
Additionally, in July 2021, a “Project Situational Compliance” Checklist was added as Appendix A to the current S&T internal Program and Project Management Plan templates, which requires PMs to consider all compliance requirements impacting their program prior to the Procurement Request submission. Estimated Completion Date (ECD): January 31, 2023.
**Recommendation 2:** Develop and implement a process, with a timeline, to ensure that project managers prepare Privacy Threshold Analyses for all projects and provide the analyses to the S&T Privacy Office for review.
**Response:** Concur. The S&T Compliance Director, in coordination with leadership across the Directorate and the S&T Program Support Office (PSO), is developing a process with associated timeline, checklists, and guidance to ensure that the privacy documentation, including the projected timeline with milestones, is developed, as appropriate. Once complete, this process will be formally communicated to program and project managers to ensure the requirements are understood. ECD: January 31, 2023.
**Recommendation 3:** Clarify the requirements for the preparation of Checklists for Sensitive Information, Privacy Threshold Analyses, project plans, update S&T guidance, and formally communicate the requirements to program and project managers.
**Response:** Concur. The process currently under development by the S&T Compliance Director, in coordination with leadership across the Directorate and the S&T PSO, to
ensure the development of the privacy documentation, including the projected timeline with milestones, as appropriate, will also address this recommendation. Once complete, this process will be formally communicated to program and project managers to ensure the requirements are understood. ECD: January 31, 2023.
**Recommendation 4:** Develop and implement a policy to require and track FAC-P/PM [Federal Acquisition Certification for Program and Project Managers] certification for research and development program and project managers that meets Office of Management and Budget [OMB] and Department of Homeland Security requirements.
**Response:** Concur. On December 1, 2021, the Director of Mission Capability Support issued a memorandum, “Federal Acquisition Certification for the Office of Mission and Capability Support (MCS) Program Managers (FAC-P/PM) Certification,” requiring project management certifications for all program managers. PSO is coordinating with the Human Capital Office and S&T Principal Directors to enhance existing processes to also track PM certifications.
Additionally, OMB is currently rolling out the Competency Exploration for Development And Readiness tool, in coordination with the DHS Office of the Chief Human Capital Officer (OCHCO), during 2022. PSO is working with OCHCO and the Principal Directors to begin using this tool within S&T, which will collect data to baseline project management capabilities within the organization and identify areas where S&T needs to increase certifications and skills to appropriate levels. ECD: March 31, 2023.
**Recommendation 5:** Require that program and project managers use the Science and Technology Analytical Tracking System [STATS], or other centralized project management system, to track and manage all research and development projects.
**Response:** Concur. STATS is the current authoritative data source for all research and development projects. The Deputy Under Secretary for S&T will issue a formal memorandum requiring the use of STATS for all research and development projects. ECD: March 31, 2022.
Appendix C
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A scalable architecture for quantum computation with molecular nanomagnets
M. D. Jenkins,\textsuperscript{a,b}\textsuperscript{\dagger} D. Zueco,\textsuperscript{a,b,c} O. Roubeau,\textsuperscript{a,b} G. Aromí\textsuperscript{d}, J. Majer,\textsuperscript{e} and F. Luis\textsuperscript{a,b}
August 22, 2016
Abstract
A proposal for a magnetic quantum processor that consists of individual molecular spins coupled to superconducting coplanar resonators and transmission lines is carefully examined. We derive a simple magnetic quantum electrodynamics Hamiltonian to describe the underlying physics. It is shown that these hybrid devices can perform arbitrary operations on each spin qubit and induce tunable interactions between any pair of them. The combination of these two operations ensures that the processor can perform universal quantum computations. The feasibility of this proposal is critically discussed using the results of realistic calculations, based on parameters of existing devices and molecular qubits. These results show that the proposal is feasible, provided that molecules with sufficiently long coherence times can be developed and accurately integrated into specific areas of the device. This architecture has an enormous potential for scaling up quantum computation thanks to the microscopic nature of the individual constituents, the molecules, and the possibility of using their internal spin degrees of freedom.
\textsuperscript{a} Instituto de Ciencia de Materiales de Aragón, Universidad de Zaragoza, Zaragoza, Spain. Tel: 34 876 553342; E-mail: email@example.com
\textsuperscript{b} Departamento de Física de la Materia Condensada, Universidad de Zaragoza, Zaragoza, Spain.
\textsuperscript{c} Fundacion ARAID, 50004 Zaragoza, Spain.
\textsuperscript{d} Departament de Química Inorgànica, Universitat de Barcelona, Barcelona, Spain.
\textsuperscript{e} Vienna Center for Quantum Science and Technology, Atominstitut, TU Wien, 1020 Vienna, Austria.
\textsuperscript{\dagger} Electronic Supplementary Information (ESI) available: . See DOI:
\textsuperscript{\ddagger} Present address: Kavli Institute of Nanoscience, Delft University of Technology, Delft, The Netherlands.
1 Introduction
Quantum information [43, 61] is not only one of the most dynamical and fascinating branches of science, it is also seen by many as the technological revolution of the 21st century. Quantum coherence and entanglement give resources to crack tough computational problems, relevant to the design of new chemicals and materials, the safe data protection and communication and the efficient search in large data bases, which are beyond those affordable by any classical device. An outstanding challenge, common to existing schemes based on either trapped ions or solid state devices, is to scale up quantum computation architectures to a level where they are of practical use in these applications.[71]
Molecular nanomagnets[30, 10] consist of a magnetic core, containing one or several magnetic ions, which is surrounded and held together by organic ligands. They joined the list of quantum hardware candidates about a decade ago when it was shown that qubit states might be encoded using the different molecular spin orientations and their quantum superpositions.[46, 81, 3] A particularly attractive feature is that macroscopic numbers of identical molecules can be synthesized by a single chemical reaction and that their magnetic properties, thus the relevant parameters that define the qubit frequency and states, are amenable to chemical design.[56, 8, 74] Chemistry enables also the realization of rigid molecular structures with a low concentration of nuclear spins. This strategy has led to a spectacular progress, shown in Fig. 1, in enhancing spin coherence times to maximum values close to ms,[87, 7, 90, 6, 5] Besides, isolated molecular qubits can be grafted to surfaces[29, 54, 21, 23] and to other nanostructures, like carbon nanotubes,[82, 28] and can also be integrated into nanoelectronic devices, such as nanocontacts prepared by electromigration.[34, 15, 83, 63] This possibility has allowed detecting the reversal of a single molecular spin and reading-out and coherently manipulating its nuclear spin state, using either magnetic or electric rf fields.[83, 80, 79]
In spite of this progress, a clear technology able to build a scalable computation architecture with these materials is still missing. Here, we describe in detail a proposal for an all-magnetic quantum processor. For this, we critically examine the possibility of using superconducting circuits to read-out, control and communicate molecular spin qubits. Our calculations are based on state-of-the art parameters for existing molecules and circuit designs. The results show that the idea is realizable. Besides, we describe the main challenges and propose a preliminary road map to overcome them. One of the aims of this work is to set well-defined goals that can serve as a guide for the further development of this field.
The paper is organized as follows. In section 2, the basic idea is presented. Adapting previous work on circuit QED to the case of molecular spin qubits, it is also discussed how the coupling of these qubits to the superconducting circuit allows the realization of basic quantum operations. This discussion also sets threshold values for the spin coherence time and the coupling of each spin to photons that are required to carry out these operations. Sections 3 and 4 describe whether the proposal is technically feasible, i.e., whether these threshold values can be attained via the fabrication of suitable superconducting devices and a proper integration of molecular qubits onto predefined circuit areas. Section 5 discusses the intrinsic potential of this proposal in terms of density of quantum information that can
be processed by a single chip and of possibilities for creative design. Section 6 summarizes the main results, the challenges lying ahead for the development of this technology and how chemistry can contribute to achieve the crucial milestones.
2 Architecture and basic operations
A quantum computation is implementing the coherent evolution of a set of information units, or qubits, from a well defined initial state, the input in computational language, to a final, or output, state, which must be measured. Therefore, we should think of ways of building physical devices able to carry out such unitary evolutions in a controlled manner. In the following, we introduce a solid-state architecture based on magnetic molecules coupled to superconducting circuits, and discuss how these hybrid devices can perform quantum operations.
2.1 Overall description
Any quantum operation can be decomposed as a set of single-qubit and two-qubit gates.\[61\] A rather general strategy for scalability consists then of interconnecting a network of qubits via quantum channels which mediate the transfer of quantum information between nodes.\[12, 71\] This scheme, inspired by work on cavity quantum electrodynamics (QED), has been successfully implemented with solid-state superconducting devices: artificial atoms (solid-state qubits) couple to the electromagnetic field generated by a photon trapped in on-chip superconducting resonators.\[84\] This strong coupling provides the opportunity to coherently control\[73\] and read-out\[85\] the qubits, as well as to transfer information between different ones.\[50, 22, 62\]
Figure 1: Recent progress in the spin coherence times of molecular nanomagnets with either $S = 1/2$, $\bullet$, or $S > 1/2$, $\circ$. Data for the former are taken from Refs. \[3, 87, 7, 90\] whereas those for the latter correspond to Refs. \[56, 70, 77, 74\].
Large ensembles of spins, like NV$^-$ centers in diamond and others, have also been coherently coupled to such devices with the idea of using them as quantum memories.\[72, 42, 89, 2\] Concerning molecular systems, related proposals are to use the collective coupling between a molecular magnetic crystal and a resonator to define either a spin-photon hybrid qubit\[17, 18\] or multiple qubits based on different spin-wave modes.\[88\] In both approaches, quantum gates are performed by coupling to an auxiliary superconducting qubit, which provides the necessary nonlinear energy spectrum. An obvious alternative is to use the energy levels of individual molecules. It has been predicted that single molecular spins can show sufficiently strong couplings to quantum superconducting circuits, provided that suitable conditions are met.\[37\] The use of single spins as qubits has also the advantage of minimizing the effect of dipole-dipole magnetic interactions, which constitute a major source of decoherence.\[60\] Building on this idea, in this work we propose to apply circuit QED technology to read-out, coherently control, and interconnect individual molecular spin qubits.
A schematic view of the proposal is shown in Fig. 2. This magnetic quantum processor consists of three main components: a coplanar superconducting resonator, a set of individual magnetic molecules placed on specific locations of its central line, and a set of auxiliary superconducting wave guides perpendicular to the latter. The coplanar resonator consists of a central line coupled to the input and output leads by coupling capacitors and placed...
in between two quasi-infinite ground planes.\[27, 33\] The chips are fabricated by depositing a thin film of a superconducting material (typically between 150 and 300 nm of Nb, Al, NbTi or even a high-$T_c$ superconducting material such as YBaCuO \[31\]) on a suitable substrate, like sapphire or silicon, and then using optical lithography to fabricate the lines and the coupling capacitors. These resonators support quantized electromagnetic photons with resonance frequencies $\omega_r/2\pi$ in the $1-10$ GHz region and really long lifetimes.\[58, 13\] Each magnetic molecule $i = 1, N$ represents a qubit whose logic states $|0\rangle_i$ and $|1\rangle_i$ correspond to two mutually orthogonal magnetic energy states. The energy gap $\Delta_i$ between the two levels associated with $|0\rangle_i$ and $|1\rangle_i$ can be tuned by an external homogeneous magnetic field $\vec{B}$ and by local fields $\vec{b}_i$ generated by electrical currents flowing through the auxiliary lines. Depending on the orientation of $\vec{B}$, which determines the quantization axis of the qubits, these local fields can also induce transitions between the two qubit states. Each qubit couples also to the magnetic component $\vec{b}_r$ of the resonator’s electromagnetic field. In its fundamental mode, this component has nodes at the two resonator ends and a broad maximum at its center, where the molecules are to be placed. The coupling strength to a single photon trapped in the resonator is denoted by $g_i$. The following sub-section provides a short description of the basic Hamiltonian that governs this hybrid system and that forms the basis for its quantum operation.
### 2.2 Magnetic QED Hamiltonian
The setup of Fig. 2 can be described by the following Hamiltonian
$$\mathcal{H} = \sum_{i=1}^{N} \mathcal{H}_{\text{mol},i} + \mathcal{H}_r + \sum_{i=1}^{N} \mathcal{H}_{\text{coupling},i} \quad (1)$$
The first term describes the magnetism of the isolated molecules and its response to external (and classical) magnetic fields, which together determine the qubit states $|0\rangle_i$ and $|1\rangle_i$ as well as the qubit energy gap $\hbar \omega_i$. The second and third terms describe the quantized electromagnetic field in the resonator and its coupling to the spin qubits, respectively. In addition, one has to consider losses in the resonator, at a rate $\kappa$, and in the magnetic molecules, at a rate $\gamma$, respectively. In the former, losses are determined by the inverse of the quality factor $Q = \omega_r/2\pi\kappa$ (the number of coherent oscillations of an electromagnetic mode inside the resonator).\[33, 58, 13\] In the latter, they are determined by the decoherence of spin states, e.g. via the emission of phonons (rate $T_1^{-1}$) or, mainly, by the couplings to nuclear spins that induce (at a rate $T_2^{-1}$) phase shifts between different components of the spin wave function.\[77, 87, 7\] Magnetic dipolar interactions between molecules, which can dominate decoherence in ensembles,\[60\] are expected to play almost no role, as different qubits are located very far apart in this scheme.
In the simplest scenario, when only second order anisotropy terms are relevant, the spin Hamiltonian of each molecule reads as follows: $\mathcal{H}_{\text{mol},i} = D S_z^2 + E (S_x^2 - S_y^2) - \mu_B \vec{B}_i \hat{g}_S \vec{S}$, with $\vec{S}$ the spin operators referred to principal anisotropy axes $x$, $y$ and $z$, $D$ and $E$ second order anisotropy constants, $\hat{g}_S$ the gyromagnetic tensor and $\vec{B}_i$ the local magnetic
field. In our proposal, the field has two components: an homogeneous magnetic field $\vec{B}$, applied by an external source (a magnet), and a local magnetic field $\vec{b}_i$ generated by the auxiliary lines [Cf. Fig. 2]. The latter can have a dc and an oscillating component, i.e. $\vec{b}_i = \vec{b}_{i,dc} + \vec{b}_{i,ac}\cos(\omega t)$. Since these are open transmission lines, the frequency $\omega$ can vary between typically 1 and 10 GHz.\[19\]
For molecules with a net spin $S = 1/2$, such as the Cr$_7$Ni rings and mononuclear Cu(II) and V(IV) complexes,\[81, 3, 87, 7, 90, 6, 5\] the qubit basis is formed by ‘spin-up’ and ‘spin-down’ projections along $\vec{B}_i$. The magnetic field intensity and the effective gyromagnetic ratio $g_S$, which depends on the relative orientation of $\vec{B}_i$ with respect to the molecular axes, determine the qubit frequency $\hbar \omega_i = \mu_B g_S B_i$, with $g_S \simeq 2$. In the case of high-spin ($S > 1/2$) molecules, two suitable definitions exist for the computational basis.\[37\] The first one is to identify the logic states with two spin projections $|m\rangle$ along $z$, whose energies are split by the magnetic anisotropy, that is, $|0\rangle_i \simeq |+ S\rangle_i$ and $|1\rangle_i \simeq |+ S - 1\rangle_i$ for $D < 0$ and $|0\rangle_i \simeq |0\rangle_i$ and $|1\rangle_i \simeq |+ 1\rangle_i$ for $D > 0$. A second natural choice is to use the two lowest-lying eigenstates of $\mathcal{H}_{\text{mol},i}$. In this case, off-diagonal anisotropy terms can give rise to a finite tunnel splitting even at zero field. In both cases, the magnetic field dependence of the qubit level splitting $\hbar \omega_i \equiv \langle 1|\mathcal{H}_{\text{mol},i}|1\rangle - \langle 0|\mathcal{H}_{\text{mol},i}|0\rangle$ can be approximately written as $\hbar \omega_i \simeq \hbar \omega_i(B_i = 0) + g_S \mu_B B_i$ where $g_S$ is again an effective gyromagnetic ratio.
In order to simplify the discussion, we shall consider in the analysis that follows a simplified version of the Hamiltonian (1) which is derived by projecting the original one onto a basis formed by the two logic states of each molecule. The magnetic QED Hamiltonian then reads as follows
$$\mathcal{H} = \sum_{i=1}^{N} \left[ \hbar \omega_i \sigma_{z,i} - \frac{g_S \mu_B}{2} \vec{\sigma}_i \vec{b}_{i,ac} \cos(\omega t) \right] + \hbar \omega_r a^\dagger a$$
$$+ \sum_{i=1}^{N} g_i \hat{\sigma}_{x,i}(a^\dagger + a),$$
where the first, second and third terms describe, respectively, the ensemble of spin qubits, coupled to magnetic fields $\vec{B}$ and $\vec{b}_i$, the resonator and their mutual interaction. Here, $\sigma_{a,i}$ are Pauli matrices along the local qubit axes and $a$ and $a^\dagger$ are, respectively, annihilation and creation operators of photons in the resonator. For $B_i \neq 0$, the qubit axes do not necessarily coincide with the local anisotropy axes of the molecule. The resonance frequency $\omega_r$ of the coplanar resonator, typically of few GHz, can be easily adjusted by design to adapt it to the range of molecular transitions. Each of the molecules can be tuned in and out of resonance with the circuit by the local magnetic fields $b_{i,dc}$ (further details on this are given in section 3.2 below). A crucial parameter, for the present purposes, is the coupling strength of the spins to the resonator quantized magnetic field $b_r \sim (a + a^\dagger)$. It is given by\[37\]
$$g_i = \frac{g_S \mu_B}{\sqrt{2}} \left| \langle 0|\vec{b}_i(\vec{r}_i)\vec{S}|1\rangle \right|.$$
Its actual value is discussed in the next section 3.1 for different circuit designs and potential
molecular qubits. In the rest of this section we show that Eq. (2) is sufficient for performing universal quantum computation.
2.3 Elemental quantum operations on molecular spin qubits
All operations described below are carried out in the dispersive regime. This regime corresponds to a situation in which the qubits are detuned from the resonator, thus avoiding any transfer of energy excitations between both subsystems. It is then appropriate to define a frequency mismatch parameter $\Delta_i \equiv \hbar(\omega_i - \omega_r)$. The dispersive regime is defined by the condition $\Delta_i > g_i$ or, equivalently, $g_i/\Delta_i < 1$.
2.3.1 Qubit initialization
Each spin qubit naturally relaxes, at a rate $T_1^{-1}$, towards its ground state as temperature decreases. Initialization can then be achieved by operating the device at temperatures such that $k_B T \ll \hbar \omega_i$. For typical values of the qubit frequencies in the range of $1-10$ GHz, a ground state population above 0.999 is achieved for temperatures ranging from 7 to 70 mK.
2.3.2 Operations on single qubits
As said above, any computation can be decomposed into one and two qubit operations. Single qubit rotations, i.e., transitions between any two superpositions of $|0\rangle_i$ and $|1\rangle_i$ for each molecule, can be induced by using magnetic field pulses generated by the auxiliary lines. A first method, which somehow mimics that used with superconducting qubits,[12, 85] is to tune $\omega_i$ locally by a dc magnetic field $\vec{b}_{ac,i}$ and then manipulate the spin states with microwave pulses applied through the resonator. Another possibility is available when $\vec{b}_{ac,i}$ is not parallel to the qubit quantization axis $z$. A microwave pulse $\vec{b}_{ac,i} \cos(\omega t)$ having $\omega = \omega_i$ is then able to induce a transition between the two qubit states. The final state can be controlled by suitably choosing the pulse duration.
2.3.3 Two-qubit operations
Two-qubit gates are more difficult to implement. It is the challenge of controlling molecule-molecule interactions that largely justifies the architecture proposed here. The figure of merit is the turn on / off ratio of the interaction that must be tuned in situ in order to carry out each of the gates set by the different steps of a given algorithm. To see how to implement these interactions, we focus here onto the case of two molecules, i and j, coupled to a resonator. Since molecule-molecule interactions are mediated by the resonator, we expect that taking the former out of resonance with the latter must tend to suppress any cross talk among them. This guess is confirmed by calculations. It can be shown that, for
$g_i/\Delta_i < 1$, the resonator mediated interaction between the two molecules reads\cite{91}
$$\mathcal{H}_{i,j} = g_i g_j \left[ \frac{1}{\Delta_i} + \frac{1}{\Delta_j} - \frac{1}{\hbar (\omega_1 + \omega_i)} - \frac{1}{\hbar (\omega_j + \omega_i)} \right] \sigma_{x,i} \sigma_{x,j}$$
(4)
When the two qubits are in resonance with each other, that is, when $\Delta_i = \Delta_j \equiv \Delta$, this effective interaction induces a coherent evolution of their spin states at a frequency $\simeq g_i g_j / \Delta$. Such effective coupling of two qubits via a resonator (quantum bus) has been first proposed\cite{12} and then realized\cite{50} with superconducting qubits. Two-qubit gates can be implemented by controlling the time interval in which the interaction is active. The interaction can be effectively switched-on and off, as required by the gate operation, by detuning the two qubits from each other. It is worth mentioning again that, even when the interaction is on, the molecules are energetically detuned from the resonator. Therefore, the gate operation does not involve any energy exchange between these two systems.
### 2.3.4 Qubit read-out
Finally, we mention how to perform the read out of each qubit. The possibility of doing non-demolition measurements of the qubit state is based on the fact that, in the dispersive regime $g_i/\Delta_i < 1$, the energy level spacing of the coupled qubit-resonator system depends on the state of the qubit. The resonance frequency, which can be determined by measuring the transmission through the device, is then shifted by $-g_i^2/\Delta_i$ ($+g_i^2/\Delta_i$) when the qubit $i$ is in state $|0\rangle_i$ ($|1\rangle_i$). As with the previous operations, this idea has been put in practice with superconducting qubits\cite{12,73}. Different qubits can be read-out by tuning their respective energy mismatch parameters $\Delta_i$, e.g. by making all $\Delta_j$, with $j \neq i$, much larger than $\Delta_i$. Since qubit flips by the driving field are suppressed in either case, this allows probing the states of the qubits by monitoring the cavity transmission without altering them.
## 3 Is it feasible?
Whether the device operation outlined in the previous section is technically feasible depends mainly on making $g_i^2/\Delta_i$ sufficiently large with respect to dissipation, *i.e.* with respect to both $\kappa$ and $T_2^{-1}$. This energy scale determines the rate at which two qubit gates operate (see Eq. (4)) and the ability to read-out the qubit state. The above condition is then required to ensure that gate operations are not disturbed by decoherence and that resonance peaks associated with qubit states $|0\rangle_i$ and $|1\rangle_i$ can be resolved experimentally. Since $g_i/\Delta_i < 1$ in the dispersive regime, this condition implies that the coupling $g_i$ must be larger than both $\kappa$ and $T_2^{-1}$. Achieving this *strong coupling limit*, defined by the condition $g_i T_2 / \hbar > 1$, for individual molecular spins represents a daunting challenge. Besides, it is necessary to tune the energies of the qubits in order to switch-on and off the resonator mediated couplings between them. These two technical requirements are discussed quantitatively in the two subsections that follow next.
Figure 3: A. Image of a coplanar superconducting resonator fabricated of Nb deposited onto saphire. For the ground, $\lambda/2$, cavity mode the radiation magnetic field shows a maximum in the central region, shown in B. By reducing the width of the central line in this region (panel C), the magnetic field intensity can be enhanced. D and E show, respectively, the magnetic field at the surface of the device as a function of $X$ (perpendicular to the central line) and at $X = 0$ as a function of $Z$, the vertical distance above the substrate, for different central line widths $w$. Panel D shows also, in the background, a contour plot of the magnetic field generated by the resonator in the $Y-Z$ plane.
### 3.1 Spin-photon coupling and decoherence
The concept of circuit QED and the technology associated with it can be extended to diverse qubit realizations, provided that the energy coupling between qubits and photons is made sufficiently large as compared with the rates of decoherence. In the case of superconducting qubits, the large electric or magnetic dipolar moments make this coupling exceptionally strong.\[84, 62\] For a single $S = 1/2$ electronic spin, the typical coupling to a conventional resonator with a $15 \mu m$ wide central line is of order $12 \text{ Hz}.\[37\]$ In spite of the rather spectacular progress achieved in the last few years in enhancing spin coherence times (see Fig. 1) this value corresponds to $g_i T_2 < 8 \times 10^{-3}$, thus very far from the strong coupling regime. Here, we discuss how to locally enhance $g_i$ via modifications of the circuit design. A closely related question is how to integrate the molecular spin qubits into these regions. This is left for a separate section 4.
The basic idea is illustrated in Fig. 3, which shows an example of a Nb coplanar resonator. In its ground $\lambda/2$ mode, the amplitude $b_z$ of the microwave magnetic field vanishes at the two coupling capacitors, which mark the two ends of the cavity, and becomes maximum near the middle of the central line (the area shown in Fig. 3B). This amplitude varies along the two directions, $Y$ (in plane) and $Z$ (vertical), perpendicular to the central line, showing sharp maxima near the edges of this line (Fig. 3D) and decaying as one moves vertically from the surface (Fig. 3E). The sharp maxima in $b_z(Y)$ originate from the fact that superconducting currents flow mainly via a thin layer, of the order of the penetration depth, near the surface of the wire. If the width $w$ of the central line is made smaller, down
to a few nm, the two peaks eventually merge into one giving rise to a large enhancement of the maximum $b_t$. This effect can be seen in Figs. 3D and E, which show the results of numerical simulations of $b_t$ for resonators having constrictions of different widths. It has recently been shown that such nanoconstrictions can be fabricated by means of ion-beam nanolithography, that its presence does not affect much the resonance frequency and the intrinsic quality factor of the resonator, provided they are sufficiently short, say, $< 1 \mu$m,\[39\] and that these properties remain stable under magnetic fields up to $\sim 0.15$ T.\[38\] A SEM image of a representative example is shown in Fig. 3C.
The enhancement of the microwave field provides an opportunity to enhance also the coupling to magnetic molecules located at or near the constriction.\[37\] Here, the small size of the molecular spin qubits can be seen as an advantage, provided that they can be integrated with sufficient accuracy. Figure 4 shows how the coupling of a 6 GHz resonator to some qubit candidates depends on $w$. In these calculations, the molecules are located right on the center of the line ($Y = 0$ and $Z = 0$). The characteristic coupling strength shows a close to linear relation with $1/w$, increasing by three orders of magnitude as $w$ decreases from 14 $\mu$m down to 10 nm. Preliminary experiments performed on free radical molecules coupled to 100 nm wide constrictions confirm that the single spin coupling constant $g$ can be enhanced by more than two orders of magnitude with respect to that measured using conventional resonators.\[38\]
For very narrow constrictions, the strong coupling limit can therefore be attained provided that coherence times are also sufficiently long. For instance, in the case of the (PPh$_4$)$_2$Cu (mnt)$_2$ complex, with a low-temperature $T_2 \simeq 68 \mu$s,\[7\] reaching this limit requires decreasing $w$ down to 10 nm, which is close to the limit of nano-lithography technologies. The best situation is encountered for the nuclear-spin free (d$_{20}$-Ph$_4$P)$_2$[V(C$_8$S$_8$)$_3$],\[90\] also with a net $S = 1/2$, which thanks to its record $T_2 \simeq 700 \mu$s might attain $gT_2 \simeq 10$. Reaching the strong coupling regime for $S = 1/2$ molecules can, however, be also limited by the decoherence rate $\kappa$ of the circuits.
A way of further enhancing the coupling is to look for molecules with a spin $S > 1/2$, such as lanthanide single-ion magnets.\[44\] However, the best $T_2$ values reported to date for these qubit candidates are still rather modest (see Fig. 1), and in most cases insufficient to reach strong coupling, as can be seen in Fig. 4, which shows calculations performed for a GdW$_{30}$ polyoxometalate molecule having $T_2 \simeq 1.2 \mu$s at low temperatures.\[56\] A promising possibility is to use tunnel split $|\pm m\rangle$ magnetic states to define the qubit basis.\[37\] Clock transitions between these states have been shown\[74\] to be robust against decoherence induced by fluctuations in the local magnetic field and they can give rise to an enhancement of $g_t$ by a factor $2m$ with respect to the simple case of a $S = 1/2$ spin. For the recently studied HoW$_{10}$ polyoxometalate molecule, with $m = 4$, attaining this goal requires that $T_2 > 8 \mu$s, which seems to be within reach.\[74\] However, because of the strong hyperfine coupling of Ho these states are excited states, thus they cannot be initialized by cooling. Finding similar phenomena in systems with weaker hyperfine interactions would then be preferable.
An important conclusion of the above discussion is that, in the optimization of molecular spin qubits, it is not just the value of $T_2$ that matters but, rather, the product $2mT_2$, where
Figure 4: Left: dependence of the single spin to single photon coupling $g$ on the width $w$ of the resonator central line calculated for different molecular spin qubits. In all calculations, the resonator and qubit frequencies were set to 6 GHz, which corresponds to a magnetic field $B = 0.43$ T for $(\text{PPh}_4)_2[\text{Cu(mnt)}_2]$ and $(\text{d}_{20}-\text{Ph}_4\text{P})_2[\text{V(C}_8\text{S}_8)_3]$, both with $S = 1/2$, and to $B \simeq 0$ for $\text{GdW}_{30}$. Right: same data multiplied by the low-temperature spin coherence times $T_2$ of these molecules. The threshold for strong coupling, or coherent regime, is shown.
$m$ is the spin projection of the (tunnel-split) ground state. Using the results of the above calculations, an approximate quantitative criterion can be derived. A molecular qubit candidate must fulfill $2mT_2 > 70\mu s$ in order to be potentially useful for this application.
### 3.2 Tuning the spin qubits
Also relevant for this proposal is $\Delta_i$, which measures the energy detuning of each spin qubit with respect to the photons trapped in the resonator. As a starting condition, all qubits can be taken close to resonance, i.e. $\Delta_i \simeq 0$, using an homogeneous external magnetic field $\vec{B}$. Then, each of them can be finely tuned around this condition using the field $\vec{b}_{\text{dc},i}$ generated by the auxiliary lines in order to either read out their spin states or induce effective qubit-qubit couplings. The set-up is shown schematically in Fig. 5. Arrays of equally spaced 2 microns wide and 100 nm thick superconducting lines can be fabricated by optical lithography and then isolated from the resonator lines by a thin (100 nm) insulating film. Suitable choices for the latter material can be either SiN or Al$_2$O$_3$, whose dielectric constants are close to those of silicon or sapphire that are commonly used as substrates to fabricate the chips. The fact that the nanoconstrictions have dimensions comparable to the superconducting penetration depth, or even smaller, largely suppresses the screening of $\vec{b}_i$ by the central line of the resonator in these regions.
The magnetic field generated by each line can be easily computed. Results of these calculations, which give the energy tuning $\Delta_i \simeq g_S\mu_B b_{\text{dc},i}$ as a function of the location of the molecule, are shown in Fig 5. These results show that values of $\Delta_i \sim 50$ MHz
can be obtained for molecules located near the nanoconstrictions and for superconducting currents smaller than 10 mA. These values are much larger than the resonance line widths $\omega_r/2\pi Q \sim 5 - 50$ kHz, than the spin level intrinsic line widths $\sim 1/T_2 \sim 10^{-3} - 2$ MHz (Fig. 1), and than the maximum attainable coupling strengths $g_i \sim 0.1$ MHz (Fig. 4). Therefore, using these lines it is possible to properly detune each spin from the resonator and from other qubits, as required. An additional important requirement is that the influence of neighbouring lines on a given qubit is minimized in order to avoid any cross-talk between different nodes. Using the results shown in Fig. 5, we find that the different field components generated by one of these lines decay by more than two (out-of plane) or three (in plane) orders of magnitude for separations larger than 10 microns. If required, their mutual influence can be reduced by inserting additional ground lines in between the tuning lines. It can be concluded that a proper isolation can be achieved by separating nearest neighbour qubits by a distance of at least 10 µm.
The same auxiliary wave guides can also be used to apply ac magnetic field pulses $\vec{b}_{ac,i} \cos(\omega t)$ which induce single qubit operations. Since the frequencies of these coherent spin rotations are also determined by the magnetic field amplitude $\vec{b}_{ac,i}$, operation frequencies faster than $10 - 50$ MHz can be attained in this manner.
4 Integration of molecular spin qubits into superconducting circuits
In this architecture, each constriction is coupled to only one molecule. This is probably one of the most challenging aspects of the proposal. Why it is a necessary condition can be easily understood. The proper definition, read-out and coherent control of each spin qubit is based on the fact that only one transition between two spin states is resonant with the photons. Clearly, this condition breaks down for an ensemble of identical, noninteracting molecular spins, for which degeneracies exist between different such transitions.[88, 35] However, this condition also ensures that we profit the most from the great potential of molecular systems for attaining very large quantum information densities and from their design versatility and that spins are protected from dipole-dipole interactions. These aspects will be considered in the next section. Here, we discuss possible strategies to properly integrate molecular spin qubits into the devices.
Even though the goal is to have only one molecule contributing to the coupling at each site i, the integration itself could be done by either transferring molecules in solution or molecules forming small pre-defined frameworks. However, it is then necessary to ensure that only one molecule from the deposit has a non-vanishing coupling to the resonator. This condition can be met provided that the starting material (either the solution or the framework) is magnetically diluted to such a point that the probability of two spins being sufficiently close to a resonator constriction is statistically very low. This trick has been used in the coherent control and read out of individual magnetic impurities in semiconductors.[65] In order to simplify the device operation, energy gaps $\hbar \omega_i$ and spinFigure 5: Top: Energy tuning of a spin qubit, generated by a current flowing through a 100 nm thick, 2 microns wide superconducting line located 100 nm under the resonator plane, calculated as a function of the location of the molecule. Bottom: Artistic image of the device in the close neighborhood of a nanoconstriction hosting a molecular spin qubit. Here, $I_1$ is the electrical current flowing via the auxiliary line and $\vec{b}_i$ is the magnetic field the this current generates.
Photon couplings $g_i$ of different qubits must also be very close to each other, although some inhomogeneities can be compensated using the energy bias $\Delta_i$ generated by the auxiliary lines. This requirement implies that molecules not only need to be chemically identical but also need to orient in a preferred manner.
Integration of spin qubits as single molecules benefits from the progress made in the last decade on the surface deposition of molecular nanomagnets.\[29, 21, 23\] Functionalization of the molecule and/or the substrate to allow specific covalent or other strong interactions between them has given access to a variety of sub-monolayer deposits of various molecular nanomagnets (mostly analogues of the prototypical [Mn$_{12}$], [Fe$_4$] and [TbPc$_2$]) species), on different substrates. In certain cases, the robustness of their quantum magnetic properties has been shown experimentally.\[54\] In most studies, however, the precise location of the molecules is not controlled, giving rise to a random disposition/separation on the substrate.\[29, 21, 23\] A remarkable example in this respect is the use of the strong $\pi - \pi$ interaction of a pyrene arm appended to a [TbPc$_2$] double-decker molecule to favor its specific binding to a carbon nanotube-based device. This allowed detecting the strong spin-phonon coupling between the molecular spin and the nanotube, which acts as
Figure 6: Top. A, Molecular structure of Cu(II)tetracarboxyphenylporphyrin (CuTCPP), a candidate spin qubit that can be used for direct deposition after adequate functionalization (for example through esterification) or as a node for the formation of a $2D$ network. B, portion of a diluted $2D$ network built from a mixture of CuTCPP and of its diamagnetic analogue ZnTCPP, connected through Zn(II)$_2$ carboxylate paddle wheels. Colour code: dark orange, Cu(II), light violet, Zn(II), red, O, blue N, grey, C, light grey, H. Bottom. Schematic representation of some of the envisioned strategies to integrate spin qubits into superconducting nanoconstrictions: C, chemical reactor vessel strategy in which the tip of an atomic force microscope deposits drops containing either the functionalized spin qubit molecule to react directly with the substrate or the reaction mixture of a spin qubit and a linker to form locally a $2D$ network; D, ink mixtures strategy towards the on-surface formation of a $2D$ network. An hydrophobic reagent (for example CuTCPP) remains over the meniscus surface (dark red) while an hydrophilic reagent (for example a Zn(II) salt) runs through the aqueous meniscus (blue), thereby confining on the substrate the $2D$ network formed at the interface.
Such specific interaction of a molecule with a certain area of the surface allows fixing it at the desired location, albeit it does not necessarily help controlling the number of molecules deposited in a given area. It is worth mentioning that the resonator Nb surface will be covered by a native thin layer of Nb oxide. Useful chemical functions to append the spin qubit molecules would then be chlorosilane, phosphonate or carboxylate, since they are able to efficiently bind directly to a metal oxide surface,\[67\] either through covalent bonds or via strong hydrogen bonds. Alternatives involve the prior removal of the thin oxide layer (e.g. by stripping with HF). Then, appending a thiol to the molecule\[54\] or stacking aromatic clouds of molecules such as phthalocyanine or porphyrine complexes can become useful routes to strongly bind the molecular spin qubits to the metallic surface.\[40, 76\] However, these direct surface depositions should be localized onto the nanoconstrictions and therefore, they have to rely on lithographic methods, since deposition on other areas of the device with similar reactivities (rest of the resonator line, neighbouring lines, the sapphire substrate or the alumina or SiN insulating layer) has to be avoided. Dip-Pen Nanolithography (DPN) has already been used to deliver small droplets of magnetic molecules onto specific areas of superconducting sensors.\[55, 11\] Another approach could involve localized pre-functionalization of the constriction, entailing a different reactivity to the area of interest and therefore allowing the specific attachment of molecules with an adequate function. Here, DPN can also be used to form a self-assembled monolayer (SAM) on a specific area of the Nb oxide surface using concentrated droplets of either a phosphonate or a chlorosilane bearing the chemical function that will bind the spin qubit molecule. This strategy however implies that the molecule would be located at a distance from the surface. Clearly, because the constrictions area is rather large with respect to the size of the molecule, very dilute solutions will have to be used to limit the number of molecules deposited. Among the synthetic systems for which a reasonable spin coherence has been demonstrated, obvious candidates suitable for such direct surface anchoring would be:
1. Cu(II) and V(IV)O phtalocyanine (Pc) molecules and by extension their porphyrin (Pp) analogues, due to: i) their versatile chemistry, allowing many substituents to be grafted on the Pc or Pp deck, ii) their electro-neutrality, iii) the likely small effect that the deck functionalization and surface deposition will have on their spin coherence times, since the rigid environment of the metal ion will remain unchanged. Similar arguments apply to other vanadyl complexes reported very recently.\[78\]
2. Ln polyoxometalates such as [GdW$_{30}$], [GdW$_{10}$], or [HoW$_{10}$] due to: i) the robustness of the polyoxometalate core, ii) the availability of procedures to graft functions on the POM outer shell;\[66\] iii) the availability of methods to graft POMs on surfaces in an ordered manner, for which the POM typical negative charge has not been a limitation\[48\]
3. Heterometallic [Cr$_7$Ni] rings due to: i) their reported versatile coordination and supramolecular chemistry allowing their use as a building block\[57\] and ii) previous studies of deposition on metallic surfaces that have shown the robustness of the molecular properties[32, 68]
4. Neutral asymmetric [LnLn'] complexes,[1] due to i) their outer carboxylate functions that may bind to surfaces, ii) their (relative) stability in solution and preliminary evidence for DPN deposition iii) the potential to implement more than one qubit and iv) their adjustable Ln/Ln' composition (see next section).
Unfortunately, the charged nature of the spin carriers in (PPh$_4$)$_2$ [Cu(mnt)$_2$] or in (PPh$_4$)$_2$[V(C$_8$S$_8$)$_2$], makes them less appealing candidates, even though they exhibit the longest coherence times measured so far.
Regarding the transfer of molecules forming small pre-defined ensembles, the required identity of all molecules and proper isolation from each other can be accessed through the periodicity provided by $2D$ networks, within which the spin qubit would be acting as node. The subjacent covalent or metal-organic framework (so-called COF and MOF respectively) will enforce the strict identity and homogeneous orientation of all molecules/nodes, while a proper adjustment of the dilution with a non-magnetic analogue node can provide the necessary control on the number of qubits per surface area. The surface-confined assembly of $2D$ architectures is actually the subject of intense research. On-surface COFs[20] and MOFs[75, 51, 24] have both been successfully formed, with a high degree of structural order up to the micrometer scale.[9] The former materials provide higher thermal and chemical stability, but in general do not guarantee error correction during the assembly due to the irreversible formation of covalent bonds. The latter systems may allow adaptation of the $2D$ network to the surface defects, as shown using flexible linkers.[41] Importantly, both types of $2D$ domains can in principle be formed locally through either one or several of the following lithographic strategies, in general after the formation of an adequate SAM: i) patterning droplets containing the spin qubit building block and linker, thus confining the reaction within the deposited volume, possibly after thermal activation; ii) use of microfluidic pens to deliver small volumes of precursors at specific locations of the surface and perform the reaction locally:[16] iii) confined in-plane deposition induced by the use of inks mixtures with different solubility;[69] iv) in-plane deposition through the receding meniscus technique, i.e. controlling the relative contribution of evaporation and viscous forces, forcing the system to work into the liquid viscosity driving deposition.[45]
For the elaboration of such surface-induced frameworks, a few synthetic systems appear as potentially good nodes, for which non-magnetic analogues are available:
1) Cu(II) and V(IV)O tetrasubstituted porphyrins (for example CuTCPP, see Fig. 6; diamagnetic analogues can be with either Zn(II), Ti(IV)O or Ni(II)) due to: i) the existence of a number of $2D$ and $3D$ MOFs and COFs based on these or similar molecules,[14, 47] ii) the fact that ordered $2D$ networks have been deposited successfully on surfaces;[52] iii) their versatile chemistry and relative ease of purification, which should allow the modulation of the $2D$ framework[53]
2) heterometallic [Cr$_7$Ni] rings (diamagnetic analogue could be the [Cr$_8$] ring due to its singlet ground state), given the existence of some extended networks built on these
building blocks and their versatile chemistry; by extension, any spin qubit molecule with exchangeable carboxylates or other labile coordination sites, such as triangular $[M_3]$ complexes.
At this stage, it is still unclear which strategy will prove more effective. We are currently exploring several of them, mostly using porphyrin synthetic systems.
5 Potential for scalability
In some of the previous sections, we have often used the analogy of the present proposal with similar schemes that make use of superconducting circuits, like transmons, to realize qubits. Considering the underlying physics, both schemes are similar. However, their parameters differ. Whereas superconducting circuits strongly couple to the electrical rf field generated by the resonators, attaining this limit for a single molecular spin is very challenging. In return, molecular spins have properties that make them very attractive for building dense and complex quantum computational architectures.
The first and obvious one, which they share with other microscopic qubits like impurity spins in semiconductors, is the fact of being very small, with lateral dimensions of about 1 nm, thus much smaller than solid state qubits. As mentioned above, this fact allows enhancing the coupling to photons near narrow areas at the edges of the superconducting wires and in nanoconstrictions. The operational architecture needed to control and read out each qubit occupies just a few microns wide area and is separated by about 10 µm from its nearest neighbours. By contrast, the region in which the microwave magnetic field $b_z$ generated by the resonator stays close to its maximum scales with the wavelength of microwave photons, between 66 mm for $\omega_c/2\pi = 1$ GHz and 6.6 mm for $\omega_c/2\pi = 10$ GHz, and it is therefore much wider. One can then see from these considerations that a single chip can host, and couple to, a very large number $N > 100$ of qubits. The limit in the density of quantum information processable by each device would probably be set by the influence that the presence of nanoconstrictions and auxiliary lines has on the circuit losses, which will eventually limit the attainment of the strong coupling condition $g_i \kappa > 1$. Also, reading out $N$ qubits in a single transmission experiment requires that the resonance frequencies that correspond to each logical state of the array (say 1001 · · · 001) are different. This can be achieved by making $\Delta_i$ of all spins different from each other. Besides, these frequencies must also be separated by shifts larger than the resonance width $\kappa$. This second requirement imposes that $g_i > N\kappa$, thus going beyond the standard strong coupling regime by a factor $N$.
But molecules are not just "small", but also very reproducible and flexible objects. In contrast with "natural" magnetic defects, such as NV$^-$ centers in diamond or P impurities in silicon, magnetic molecules are artificial objects synthesized by chemical methods. One of the advantages, which has been discussed in the previous section, is that molecules are often stable in solution. This considerably eases the preparation of different material forms and, what is essential for the present purposes, their integration into devices.
Chemical design offers also nearly unbound possibilities to modify the properties of the magnetic core. In particular, each molecule can host and stabilize not just one, but several addressable qubits. We recently reviewed the potential and first results of using coordination complexes to host 2-qubit quantum gates.\[4\] Possible strategies include: a) the elaboration of molecules containing two well-defined paramagnetic metal ion clusters, each acting as single spin qubit and weakly coupled to the other one, and b) the design of dinuclear complexes of anisotropic metal ions, specifically lanthanides, possessing dissimilar environments and a weak exchange interaction. Since then, exciting results showing the validity of both approaches have been reported. A $[\text{Tb}]_2$ and a $[\text{CeEr}]$ complexes were shown to fulfil all requisites to embody universal C-NOT quantum gates.\[49, 1\] Spin coherence times of a molecular 2–qubit gate were also measured for the first time on the latter complex. Although $T_2$ is still relatively short ($\simeq 410$ ns) these experiments show that coherent manipulations of these systems are nevertheless feasible. Even more recently, a family of $[\text{Cr}_7\text{Ni}]$ dimers with a variety of linking groups has been studied and realizations of C-NOT and C-PHASE gates based on these supramolecular systems have been proposed.\[26, 25\] The additional spin degrees of freedom introduce a kind of extra dimension to the Hilbert space along which computation can be scaled up. However, perhaps the most interesting application of such extra states is the development of on-site protocols to protect qubits from decoherence. For this, it is not even necessary that the number of spin states be a multiple of 2. Embedding a qubit in a system with a Hilbert space of dimension $d > 2$ (a “qudit”) enables correcting some specific errors.\[64\]
The operations required to control the molecular gates or the qudits are combinations of phase and energy shifts, which can be induced by dc field pulses $b_{i,\text{dc}}$, and of resonant transitions between different levels, induced by ac pulses $b_{i,\text{ac}}$. In connection with the present proposal, an important limitation is that, in order to be accessible, all spin energy levels must be separated by gaps comparable to $\omega$, which as said above lies between 1 and 10 GHz. In addition, these energy gaps must all be different from each other, in order to be addressable (e.g. by varying $\omega$), but not too different. The latter requirement ensures that different transitions can also be tuned with respect to the fixed resonator frequency $\omega_r$ using the energy bias $\Delta_i \sim 5 - 50$ MHz that can be generated by the auxiliary lines. This condition seems to be fulfilled by molecular gates made of true $S = 1/2$ qubits. In the case of molecules made of lanthanide ions, it would be necessary to look for those having the smallest possible magnetic anisotropy, e.g. Gd(III).
## 6 Summary and outlook
In this work, we have put forward a first proposal for a scalable magnetic quantum processor involving individual molecular spin qubits coupled to superconducting resonators and to superconducting open lines. This hybrid device allows performing basic operations on each individual qubit as well as switching on and off the effective couplings between any two qubits that are required to perform two-qubit gates. Thanks to the microscopic size, identical nature and design versatility of the molecular qubits, this architecture would
enable processing high quantum information densities, unparalleled by other existing solid-state platforms. Besides, calculations show that the proposal is feasible, although very challenging.
Some of these challenges set specific targets for the development of suitable molecules and new methods to manipulate them. A crucial milestone in this endeavor is to attain the coherent or strong coupling regime, that is, to make the coupling strength $g_i$ of individual molecular spins to single photons trapped in the resonator sufficiently large as compared to the dissipation rates of both the spins $T_2^{-1}$ and the superconducting circuit $\kappa$. In order to reach this limit the magnetic field generated by the resonator needs to be enhanced locally by reducing the diameter of its central superconducting line to values of order of a few tens of nm. In addition, spin coherence times need to be improved to the limit. However important, enhancing $T_2$ (and $T_1$) is not all that is necessary. For the case of $S = 1/2$ molecular complexes, $T_2$ values close to a ms are necessary to compensate for their relatively weak coupling. Yet, in this case the decoherence time of the circuit might become the limiting factor. Stronger couplings can be attained with qubits having $S > 1/2$. A promising strategy is the use of clock transitions between high-spin states of lanthanide ions. In this case, the strong coupling could be reached provided that $T_2$ is enhanced to values of more than $10 - 50 \mu s$. An alternative would be to develop qubit candidates that couple to the electric field of the photons, e.g. via the modulation of the crystal field and the spin-orbit interaction. Perhaps the most difficult challenge is related to the need of properly integrating the molecular qubits into specific areas of the circuit, namely, on the nanoconstrictions and close to the auxiliary superconducting lines that tune their energies and induce single qubit operations. Also in this aspect, it will be necessary to go beyond the limits of present technologies. Potentially promising strategies combine chemical functionalization with nanolithography methods. Finally, this proposal underlines the need to characterize spin relaxation and decoherence of isolated spins grafted onto superconducting substrates.
7 Acknowledgements
The authors acknowledge funding from the Spanish Ministry of Economy and Competitivty (MINECO) through grants FIS2014-55867-P, MAT2014-53432-C5-1-R, MAT2014-53961-R, MAT2015-68204-R, and MAT2015-70868-ERC, from the European Research Council through grant ERC-2010-StG (258060 FuncMolQIP) and from a TOP grant of the Technical University of Vienna.
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ZDRAVJE OTROK IN MLADOSTNIKOV
HEALTH OF CHILDREN AND ADOLESCENTS
Proceedings
Edited by Ana Petelin
Uredniški odbor Založbe Univerze na Primorskem
Gregor Pobežin, UP Fakulteta za humanistične študije
Ana Grdovič Gnip, UP Fakulteta za management
Vito Vitrih, UP FAMNIT in UP IAM
Silva Bratož, UP Pedagoška fakulteta
Simon Kerma, UP FTS – Turistika
Ana Petelin, UP Fakulteta za vede o zdravstvu
Janko Gravner, University of California Davis
Krstivoje Špijunović, Učiteljski fakultet Užice
Miloš Zelenka, Jihočeská univerzita v Českých Budějovicích
in Univerzita Konštantína Filozofa v Nitre
Jonatan Vinkler, Založba Univerze na Primorskem
Alen Ježovnik, Založba Univerze na Primorskem
zdravje otrok in mladostnikov
health of children and adolescents
Univerza na Primorskem • Fakulteta za vede o zdravju
Università del Litorale • Facoltà di scienze della salute
University of Primorska • Faculty of Health Sciences
Zdravje otrok in mladostnikov
Health of children and adolescents
Edited by Ana Petelin
2022
| Page | Title | Authors |
|------|----------------------------------------------------------------------|----------------------------------------------|
| 9 | The importance of systematic planning and implementation of physical education in the first three years of elementary school | Saša Arh, Jera Gregorc |
| 17 | Oral hygiene and the use of fluoride toothpastes in children and adolescents in Slovenia in 2019 | Barbara Artnik, Martin Ranfl |
| 29 | Amount and intensity of physical activity of a group of gymnasts | Urška Čeklić |
| 39 | Elementary school projects as a possibility of improving pupils’ eating habits | Bine Dobnikar, Tamara Poklar Vatovec |
| 49 | Growing up in a family with alcohol addiction and the importance of strengthening protective factors to maintain the health of a child | Karmen Henigsman |
| 59 | Movement and hardware content selection for exergame development | Andrej Kocjan |
| 69 | Nutrition for healthy term infants and the role of gut microbiota | Katja Kramberger, Katja Bezek |
| 79 | Parent awareness about the onset of febrile seizures and fever | Rebeka Kuzelj, Katarina Merše Lovrinčević, Tjaša Hrovat Ferfolja |
Meta Lavrič, Monika Brdnik, Vanja Gomboc, Nuša Zadravec Šedivy, Vita Poštuvan
87 The impact of the environment on the distress and suicidal behaviour of children and adolescents
Marjeta Logar Čuček
101 The influence of Roma women’s education regarding their reproductive health on the health of their children
Anja Magajna, Barbara Artnik, Martin Ranfl
113 Factors related to oral health-related quality of life among children and adolescents in Slovenia
Matija Maršič, Matej Plevnik
123 The effect of inspiratory muscle training on the maintenance of swimming abilities
Miran Muhič, Klavdija Rančnik
135 The role of muscle and fat mass in the expression of explosive power in preschool children
Kristina Rakuša Krašovec
141 Health education work in kindergartens
Klavdija Rančnik, Miran Muhič
151 Relationship of body mass index with some motor abilities of preschool children
The importance of systematic planning and implementation of physical education in the first three years of elementary school
Saša Arh\textsuperscript{1}, Jera Gregorc\textsuperscript{2}
\textsuperscript{1}OŠ prof. dr. Josipa Plemlja Bled, Bled, Slovenia
\textsuperscript{2} University of Ljubljana, Faculty of Education, Ljubljana, Slovenia
firstname.lastname@example.org
Abstract
Introduction: The purpose of this paper is to analyze the importance of systematic planning and implementation of physical education in the first three years of primary school for the development of endurance. The importance of physical education “in person” has already been proven in Slovenia by the fact that the general physical performance of students decreases when they return to school after a long period of distance learning. In this paper we analyze the importance of systematic planning and implementation of physical education for the development of aerobic power. Methods: In this research sample, we included two elementary schools that are located in a similar geographic environment (lake, mountains, proximity to forests and meadows, proximity and variety of safe routes, etc.) but have different ways of planning and implementing physical education. The first is the Slovenian elementary school, where 105 physical education lessons and 5 sports days are systematically planned and included in the annual curriculum each year. The second is the Austrian elementary school, where there are 105 physical education lessons in the first and second grades and 70 physical education lessons in the third grade, however they have no sports days in any class and there is a loose annual plan for physical education, without preparation of individual physical education lessons. The sample consists only of healthy students from the two elementary schools at the end of the first three years (i.e. 66 third grade students, 33 from Slovenia and 33 from Austria). The sample of variables represents a “beep test” for measuring aerobic power (Leger and Lampert, 1982). All participating students volunteered for the test. The procedure and method of motivation was the same for all. Students had to run a distance of 20 meters as many times as possible, taking into account the running pace, which increased by 0.5 km/h every minute at an initial speed of 8.5 km/h. Results were recorded as the sum of all partial distances the student could still run.
at the forced pace. **Results:** Slovenian students completed an average of 33.4 (SD = 12.9) stages of the test, while Austrian students completed an average of 26.7 (SD = 11.8) stages. Analysis of the results shows that Slovenian students completed on average almost 7 more stages than Austrian students. Boys and girls did not differ among either Slovenian or Austrian students. Because of the abnormally distributed data, we used the alternative nonparametric Mann Whitney U test to detect statistically significant differences between students. Slovenian students performed statistically significantly better than Austrian students (U = 373.0, p = 0.028). **Discussion and conclusions:** Based on the results, we conclude that systematic planning of the subject of physical education, which requires in-depth and systematic planning by the teacher, contributes significantly to the development of aerobic power. Aerobic power is an indicator of endurance, which is one of the most important factors for health. Despite the many indirect influences on the development of aerobic power, we believe that the teacher plays a more important role in its development than he may realize.
**Keywords:** endurance, aerobic power, conception and implementation, first triad
**Introduction**
Endurance is a functional ability of a person that enables him or her to perform an activity for a long period of time without having to interrupt it due to fatigue (Škof, 2010; Retar, 2019). Endurance is usually divided into aerobic and anaerobic based on the predominant way the ATP molecule is obtained (Patel, 2017). Aerobic or cardiovascular endurance is increased in any activity that is performed over a long period of time, continuously, and in a cyclic loading pattern, as is typical for swimming, running, cycling, cross-country skiing, etc. (Bishop, 2010). The main limiting factor of aerobic endurance is maximal oxygen uptake (Ušaj, 2014), which is measured in laboratories using a special protocol and while wearing a special mask that allows calculation of oxygen consumption based on gas exchange (Insel, Walton, and Fahey, 2017).
Measuring aerobic endurance in the laboratory is obviously not possible in schools because of the large number of students. Therefore, a series of tests were developed and the results were compared with the results of the laboratory tests. The compared results indicated which tests should be performed with repetitive movements and in what manner in a natural environment to obtain the most comparable results. It turned out (Lang et al., 2016) that the “Beep Test” is the most reliable and widely used test for measuring aerobic performance in recent years, as it is performed in more than 50 countries and is also part of the EUROFIT measurement battery. Neville et al. (2021) state that the “Beep Test” is the so-called gold standard for measuring aerobic performance in schools. The same authors emphasize the ease of use in schools, the importance of performing the test with several students at the same time, the good control of performance, the affordability, the importance of proven comparability with laboratory results, and the importance of comparison between different age groups, schools, countries, etc.
The “Beep Test” can be found under various names: Incremental Run, Multi-stage Fitness Test, Beep Test, Pacer Test, Leger Test, and 20-m Shuttle Run Test. They are exactly the same execution, namely that the participant runs a distance of 20 m, while the pace of the run is determined by a sound signal. The frequency of the sound signal increases by half a kilometer per hour every minute, starting at 8.5 km/h. If a person is unable to cross the 20-meter line after two consecutive tones, the test is over for them and the last distance traveled is recorded (Ruiz et al., 2010).
We use the test to determine the level of endurance or individual aerobic capacity of each student, which is the starting point for preparing physical education classes with the goal of developing endurance. Aerobic endurance is one of the functional abilities of a person that is positively related to the cognitive performance of an individual (Howie et al., 2015), so it is very important to develop it systematically in schools. There is a trend of decreasing endurance in schools (Starc et al., 2020), so experts are already warning of the consequences not only for health but also for the decline of cognitive functions.
At schools, there are various options for endurance training (running, cycling, in-line skating, swimming, cross-country skiing, hiking, etc.). Endurance training usually takes place outdoors, so geographic location (distance or proximity to lakes, mountains, forests, trails, etc.) is an important external factor in implementation. The next important factor is the curriculum and its implementation, and this is the external factor we focus on in this study. We want to investigate the importance of the implementation of Physical Education, the annual curriculum, structured preparation and other forms of implementation of the Physical Education (school in nature and sports days) in schools for aerobic performance in the first three years of primary school.
Methods
A sample of participants
The study sample includes two elementary schools that are located in similar geographic settings (lake, mountains, proximity to forests and meadows, proximity and variety of safe trails, etc.) but use different methods for planning and implementing physical education as a subject. The first is a Slovenian elementary school where 105 hours of physical education and 5 sports days are systematically planned each year and included in the annual curriculum; the second is an Austrian elementary school where 105 hours of physical education are planned in the first and second grades and 70 hours of physical education are planned in the third grade, and no sports days are planned in any grade, and again there is a loose annual plan for physical education without preparation of individual sports lessons. Only healthy students from both elementary
schools were included in the further study at the end of the first three years (i.e., 66 third grade students, 33 from Slovenia and 33 from Austria).
**A sample of variables**
We included the “beep test” (Leger and Lampert, 1982) in the sample of variables. The “beep test” is a standardized test for measuring aerobic power. From the partial values obtained, the maximum oxygen uptake can be determined in the tables for each age.
**The organization and process of data collection**
All participating students took the test voluntarily. The administration of the test and the method of motivation were the same for all students. We administered the test at approximately the same time (morning time, April 2022). Endurance is influenced by many factors that we wanted to mitigate as much as possible (daily well-being, prolonged illness, individual participation in endurance activities during leisure time, etc.). Only healthy students were included in the sample. By increasing the sample size, we aimed to reduce individual influences on the outcome. Students were required to run a distance of 20 meters as many times as possible, taking into account the running pace, which increased by 0.5 km/h every minute at an initial speed of 8.5 km/h. Results were recorded as the sum of all partial distances the student could still cover at the given speed.
**Methods of data processing**
The data obtained from the “beep test” were processed using the statistical program SPSS 21 (Statistical Package for The Social Science). For the comparison between Slovenian and Austrian students, due to the abnormally distributed data, the alternative nonparametric Mann Whitney U test was used to detect statistically significant differences between students. Statistical significance was tested at the 5 percent risk level.
**Results**
The results of our investigation are presented in a table and a figure. In figure 1 we present a comparison between Slovenian and Austrian students in terms of the average sublevel achieved, while the table shows whether the perceived differences are statistically significant.
Figure 1 shows that Austrian students passed an average of 26.7 sublevels of the beep test, while Slovenian students passed 33.4 sublevels. Using the Kolmogorov-Smirn test, we found that the distribution curves of the results for both the Austrian and Slovenian students did not conform to the normal distribution. Therefore, we used nonparametric tests below to measure the differences between the groups of students.
Figure 1: Diagram of differences between Slovenian and Austrian students in the sublevels of the beep test. (Source: Author).
Table 1: Ranks and Test Statistics
| Beep test | Beep test | N | Mean Rank | Sum of Ranks | Mann-Whitney U | Wilcoxon W | Sig. |
|-----------|-----------|-----|-----------|--------------|----------------|------------|------|
| Sublevels of beep test | Austria | 33 | 28,3 | 934,0 | | | |
| | Slovenia | 33 | 38,7 | 1277,0 | | | |
| | Total | 66 | | | 373,0 | 934,0 | 0,028*|
N – number of participants, * p<0.05
Table 1 shows that Slovenian students differ statistically significantly in the number of sublevels of the beep test passed (U = 373, p=0.028). The analysis of the results of the comparison schools shows statistically significant differences in the aerobic performance test. In the following we will try to find the reasons for this and make some suggestions.
Discussion
We have based the study on three foundations, first, the importance of developing endurance in the first triad of elementary school, second, the importance of good curricular starting points (core competencies and a concept-based approach), and third, the importance of writing precise and structured lesson plan documents.
There are many factors that influence endurance, the most common of which include obesity (Matejek et al., 2014), one’s activity level, heredity, biological basis, and daily form (Škof, 2016; Ušaj, 2003). In addition to physical performance, the effects of endurance affect various cognitive functions that are indispensable in the educational system and consequently influence student performance. Aerobic exercise improves blood flow to the brain and increases the concentration of the neurotrophin BDNF for neuron growth (Pencea et al., 2001). Neural networks are also associated with solving other cognitive problems (Singh et al., 2019), which consequently means that students learn new
cognitive concepts more easily and quickly. Starc et al. (2020) note that the decline in student endurance after returning to school is due to various interventions during an outbreak of coronavirus disease, suggesting a resulting decline in cognitive performance and consequently academic success. Resilience is thus an important functional skill, and it makes sense to include it in the general curriculum of educational systems.
A comparison of educational systems (Gracar, 2015) and especially of curricular starting points between Austria and Slovenia shows that Austrian starting points are more comprehensive, less specific and more general. In particular, the analysis of lesson plan documents (Kovač et al., 2011; Jahresplanung, 2021) of annual training preparations and preparations for individual lessons shows that Slovenian annual training preparations for the subject of physical education are more structured, more weekly hours are devoted to them, and they have additionally defined sports days and school-based character.
The results of our study show that it makes sense to structure curricula better and give teachers fewer choices. Compared to the Austrian children, the Slovenian children passed almost 7 more sublevels in the placement test (Figure 1). Because of the scatter of the data, we used the nonparametric Mann Whitney U test, which showed that the differences were statistically significant (Table 1). We adjusted for age and external conditions, selected schools that were as similar in size as possible, and attempted to limit any factors that would make it financially or organizationally impossible to conduct the exercise.
**Conclusions**
We found differences between the groups. We believe that the openness and less structured nature of the curriculum allows the teacher to work more flexibly for the students and him/herself. On the other hand, we find that greater structure can mean more reliable and consistent delivery of endurance activities.
The limitations of the study lie primarily in the number of students selected and, relatedly, teachers, who may be an important factor in the frequency and intensity of instruction. By determining 24-hour intensity, we would obtain more detailed data on extracurricular activities than by subjectively assessing the frequency and intensity of instruction. By increasing the sample size of comparable schools from several countries with different curriculum structure and openness, with direct measurement of additional physical activity, and with different mechanisms for evaluating teachers’ work, our conclusions would be more reliable.
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Oral hygiene and the use of fluoride toothpastes in children and adolescents in Slovenia in 2019
Barbara Artnik¹, Martin Ranfi²
¹University of Ljubljana, Faculty of Medicine, Chair of Public Health, Ljubljana, Slovenia
²National Institute of Public Health, Regional Unit Murska Sobota, Murska Sobota, Slovenia
email@example.com; firstname.lastname@example.org
Abstract
Introduction: We present the results of the »National Survey on Oral Health of Children and Adolescents in Slovenia in 2019«, which established for the first time at the national level, the level of oral health care among children and adolescents. The aim of our study was to assess the state of oral health of children and adolescents and provide recommendations for its promotion. We report in more detail the results and findings related to oral hygiene and fluoride use.
Methods: The target population were children and adolescents aged 0–17 years. The sample, representative for gender and age, included 3,200 children and adolescents (1% of this population in Slovenia). The survey was conducted using the EGOHID questionnaire. Data were weighted by gender and age. The distributions of proportions between different groups (by gender or age) and comparisons were analysed with the chi-square test and the CCP test to compare proportions between different groups.
Results: Only 62% of children aged 0–5 regularly brushed their teeth (or were assisted by parents). The proportion of children who brushed their teeth regularly increased slightly after the age of 5, with 80% of children brushing their teeth regularly. On average, 20% of children/adolescents did not brush their teeth regularly between the ages of 6–10 and 11–17. Among adolescents aged 15–17, 91% of girls and only 66% of boys regularly brushed their teeth (hi-square test = 17.4, p <0.001; p <0.001). After the age of 4, the proportion of children whose parents helped clean their teeth decreased sharply, with 81% of 5-year-olds, 71% of 6-year-olds and 62% of 7-year-olds being helped. Only 30% of children before the age of 1 used fluoride-containing toothpaste. 66% of children/adolescents, aged 3–13, were expected to use fluoride-containing toothpaste. After the age of 14, the proportion of adolescents who did not know if their toothpaste contained fluoride increased, and as many as 33% of adolescents stated that they did not use toothpaste that
contained fluoride. 47% of parents believed that daily cleaning of teeth with fluoride-containing toothpaste was good for the child’s teeth, and 13% thought that it was harmful. As many as 20% of parents of children aged 0–5 believed that fluoride-containing toothpaste was harmful to their teeth, compared to 9% of parents of children aged 6–10.
**Discussion and conclusions:** Controlled cleaning of teeth with fluoride-containing toothpaste at least twice a day is recommended as an effective measure to prevent dental and oral diseases. It is recommended that children start brushing their teeth as soon as the first tooth erupts into the oral cavity and help them until they develop the necessary motor skills. Findings and recommendations for improving oral health represent a step towards reducing the burden of dental and oral diseases and costs in the (dental) health care system.
**Keywords:** oral health, children, adolescents, oral hygiene, fluorides
**Introduction**
Oral health is an integral part of general health and has a significant impact on the quality of life of the individual and society. Oral health, like other aspects of health, is determined by individual, social and physical environment (WHO, 2016). With the aim of transforming and modernizing the existing system of oral health and dental care indicators, a project group has prepared a selection of 40 indicators for monitoring oral health as part of the European Global Oral Health Indicators Development (EGOHID) project (Bourgeois et al., 2005; Bourgeois and Llondra, 2005; Bourgeois et al., 2008a).
In Slovenia, we also follow the trend of establishing a system for monitoring oral health indicators. In this paper, we focus on the “National Survey on Oral Health of Children and Adolescents in Slovenia in 2019”, with which we determined for the first time at the national level how parents/guardians of children/adolescents, and adolescents take care of (their) oral health, and how they assess (their) oral health. The aim of our study was to assess the state of oral health of children and adolescents and provide recommendations for promoting oral health. We report in more detail the results and findings related to oral hygiene and fluoride use.
**Methods**
When conducting the study, we followed the recommended international methodology for reporting on oral health (Bourgeois et al., 2008a; Bourgeois et al., 2008b; WHO, 2013).
**Research design**
We conducted a survey on the oral health of children and adolescents at the national level for the first time. It was designed as a cross-sectional epidemiological survey of the Health Interview Survey (HIS) type.
Observers
The target population of the »National Survey on Oral Health of Children and Adolescents in Slovenia in 2019« were children and adolescents under the age of 18 on February 13, 2019, who lived as members of private households. The sample, representative for gender and age, was prepared by the Statistical Office of the Republic of Slovenia (SURS) from its databases based on simple random sampling. The sampling frame was the Central Population Register of Slovenia. The sample included approximately 3,200 children and adolescents, which accounts for 1% of this population in Slovenia.
Research tool
The survey was conducted using the EGOHID questionnaire on the oral health of children and adolescents. Questionnaires for children and adolescents differed from each other according to the requirements and age characteristics of the population (0–5 years, 6–10 years, 11–17 years). They contained 33–37 closed and/or open-ended questions. We created the online survey questionnaires using the online tool 1KA (2019). They could only be accessed by using the personalized password that the invitees received in the notification letter.
Research procedure
The set of indicators was prepared in accordance with the EGOHID methodology (EC, 2004; Bourgeois et al., 2008a). In 2018, we conducted a pilot verification of the international methodology for monitoring global oral health indicators in Slovenia (Šket, 2015). In January 2019, the SURS prepared a sample of 3,200 children and adolescents. The observation period took place from February 13 to March 30, 2019. Respondents were sent notification letters by mail with the option of completing an anonymous questionnaire online using a personalized password. We also sent them a reminder by post.
Observed outcomes and explanatory factors
In our study, we examined the frequency of teeth cleaning since the eruption of the first tooth. In the analysis, we combined the categories of brushing your teeth twice or several times a day and the categories once a day, several times a week, once a week and never, since regular teeth brushing means brushing your teeth at least twice a day. We were interested in whether parents/guardians help or have helped children in brushing their teeth. The question was answered by those parents/guardians whose children brush their teeth, or where they were assisted. Additionally, we asked whether children/adolescents use toothpaste, and if they do, whether it contains fluoride.
Other observed outcomes are presented in more detail in the scientific monograph (Artnik et al., 2020).
The interpretation of the results was based on the number and proportions of people in the selected categories, according to demographic variables (gender, age, education of parents/guardians, living environment) or other variables that were determined according to the research needs or for planning further measures.
**Methods of analysis**
The data obtained from the study were weighted by gender and age, considering one-year age groups. The analysis of sample and population weighted data was performed in the computer programs IBM SPSS Statistics for Windows, version 21.0 (2020) and R program, version 3.6.0 (n. d.).
The distributions of proportions between different groups (by gender or age) and comparisons were tested using the chi-square test and the CCP test (Column Comparison Proportion test) to compare proportions between different groups. In both cases, we used a 95% confidence interval in order to be able to assess the studied situation (Benjamini and Hochberg, 1995; IBM, 2017).
**Results**
Among the 3,200 selected persons, 3,164 were suitable (these persons could be reached at the addresses that were accessible to us). The questionnaire was completed by 1,406 parents or adolescents, which represented a response rate of 44%, namely in the age group 0–5 years 43% (469 children), in the age group 6–10 years 46% (465 children) and in the age group 11–17 years 45% (472 adolescents).
**Frequency of teeth cleaning**
We found out that only 62% of children aged 0–5 brushed their teeth regularly (or their parents helped them). The proportion of children who brushed their teeth regularly is the smallest among children under the age of 1; parents regularly brushed the teeth of only 30% of children up to the age of 1. Among children aged 1–4 years, the proportion increased to 65% (Figure 1).
The proportion of children who brushed their teeth regularly increased slightly after the age of 5, namely 80% of children brushed their teeth regularly. On average, 20% of children/adolescents did not brush their teeth regularly between the ages of 6–10 and 11–17.
For children aged 0–10 years who brushed their teeth regularly, we noted that the differences in the proportion between boys and girls were not statistically significant. Among adolescents aged 11–17, 86% of girls and 74% of boys brushed their teeth regularly; differences in the proportion between genders were statistically significant (chi-square test = 9.517, p = 0.002; CCP test, p = 0.02). The biggest (statistically significant) differences were seen among adolescents aged 15–17 years, among whom 91% of girls and only 66% of boys regularly brushed their teeth (chi-square test = 17.4, p < 0.001; p < 0.001).
The results showed that the education of the parents had no effect on whether children aged 0–5 brushed their teeth more regularly. The proportion of children who brushed their teeth or had their teeth brushed regularly and whose parents had at least a higher education increased in the age group of children 6–10 years, compared to children aged 0–5 years; these proportion differences were statistically significant (chi-square test = 43.855, p < 0.001; CCP test, p < 0.001).
In a rural living environment, there was a lower proportion of children/adolescents who regularly brushed their teeth, compared to children and adolescents from urban or suburban environments. The differences were most noticeable in children aged 0–5 years; 55% of children in rural areas cleaned their teeth regularly, 66% in urban areas and 71% in suburban areas.
**Parents’ help in brushing their children’s teeth**
The results showed that parents of most children (97%) aged 0–4 years helped with brushing their teeth (Figure 2).
This proportion drops sharply after 4 years of age, when parents helped 81% of 5-year-olds, 71% of 6-year-olds and 62% of 7-year-olds. The sum of the yellow and red coloured columns in Figure 2 shows the proportion of children in different age groups whose parents did not (anymore) help with brushing their teeth. The results showed that parents of 30% of 6-year-olds and 40% of 7-year-olds no longer helped with brushing their teeth. Parents’ help in brushing their children’s teeth drops sharply between the ages of 7 and 10.
Fluoride-containing toothpaste use
In the study we found that among two-year-old children, approximately every tenth child does not use (any) toothpaste, but after the age of 3, almost all children use it (Figure 3). Further, the analysis showed that only 30% of children before the age of 1, used fluoride-containing toothpaste.
Children/adolescents aged 3–13 years were most likely to use fluoride-containing toothpaste. 66% of children/adolescents, aged 3–13, were expected to use fluoride-containing toothpaste, 18% of children/adolescents indicated that they did not use fluoride-containing toothpaste, and 17% of children/adolescents did not know whether they used fluoride-containing toothpaste. After the age of 14, the proportion of adolescents who did not know if their toothpaste contains fluoride increased, and as many as 33% of adolescents stated that they did not use toothpaste that contains fluoride.
Among parents who reported that their child used fluoride-containing toothpaste, 47% believed that fluoride-containing toothpaste was beneficial for the child’s teeth, 41% of parents could not decide whether brushing teeth with fluoride toothpaste was beneficial or harmful, and 13% of them believed that brushing teeth with fluoride-containing toothpaste was harmful for the child’s teeth (Figure 4).
Among parents with at least a higher education, 56% believed that using toothpaste containing fluoride was beneficial for the child’s teeth; compared to parents with no more than an upper secondary education, among whom only 36% thought so (Figure 4); the differences in proportions were statistically significant (chi-square test = 32.152, p < 0.001; CCP test, p < 0.001). There was a difference between parents with no more than an upper secondary education who believed that fluoride-containing toothpaste was harmful to the teeth, depending on the age group of the children. As many as 20% of parents of children aged 0–5 years believed that fluoride-containing toothpaste was harmful to their teeth, compared to 9% of parents of children aged 6–10 years (Figure 4); the difference was statistically significant (chi-square test = 6.690, p = 0.035; CCP test, p = 0.031). There were no differences between the proportions of parents of children aged 0–5 and 6–10 years with at least a higher education who believed that fluoride-containing toothpaste was harmful for the child’s teeth.
Discussion
The findings of our study point to insufficient teeth cleaning, inadequate parents’ help in brushing their children’s teeth, and ignorance of the benefits of using fluoride toothpaste.
Frequency of teeth cleaning
The most common method of removing plaque from the tooth surface is brushing with a toothbrush. Systematic review of the relationship between age and the beginning of tooth cleaning and the development of caries has not (yet) been done, but there are many observational studies that report this (Verrrips et al., 1994; Hinds and Gregory, 1995; Vanobbergen et al., 2001; Wigen et al., 2018).
The results of a study conducted in Slovenia in 2018 (Jeriček-Klanšček et al., 2019) showed that 70% of young people brush their teeth regularly. There were significant differences between genders (girls brushed teeth more often). The proportion of those who regularly brushed their teeth was highest among 17-year-old girls (81%) and lowest among 15-year-old boys (57%). The results of our study, carried out in 2019, show similar, even slightly higher proportions of young people of both genders who brush their teeth regularly.
Parents’ help in brushing their children’s teeth
Children cannot brush their teeth without help and should be assisted until motor and mental functions allow them to adequately brush their teeth alone. Since children’s coordination is different, there is no uniformly recommended age as to when children should be assisted with toothbrushing. However, it is recommended to assist with toothbrushing at least until the child is about 6 or 7 years old (Oral Health Foundation, n. d.; WebMD, 2018; BDA, 2020; CDC, 2022), as the first permanent teeth erupt at this age.
Fluoride-containing toothpaste use
It is possible that the data on the fluoride content in toothpaste obtained from parents and adolescents (who had the possibility to complete the questionnaire themselves) were not reliable and that they did not know whether children/adolescents were using fluoride-containing toothpaste. The European Academy of Paediatric Dentistry (Toumba et al., 2019) and the American Academy of Pediatric Dentistry (AAPD, 2016) recommends brushing teeth with fluoride toothpaste at least twice a day. At the same time, we should pay attention to the appropriate concentration of fluorides according to the age of the child and the amount of toothpaste children use daily when brushing their teeth.
Conclusions
The results of the »National Survey on Oral Health of Children and Adolescents in Slovenia in 2019« represent a step towards reducing the burden of dental and oral diseases and costs in the (dental) health care system. An important challenge for the future is continuous monitoring of oral health and the dental health care system in Slovenia with oral health indicators according to international recommendations, which will make it easier to plan suitable and effective programs for improving oral health. We should encourage activities to improve oral health and strengthen awareness of the importance of oral health in an individual’s life. Oral health is an important part of general health, which has been proven to contribute to a better quality of life.
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Amount and intensity of physical activity of a group of gymnasts
Urška Čeklić
University of Primorska, Faculty of Health Sciences, Izola, Slovenia
email@example.com
Abstract
Introduction: Physical activity (PA) has many health benefits for children and adolescents and can contribute to adequate body mass, increase bone density, prevent as chronic noncommunicable diseases and improve cognitive skills. Accelerometers are valid and useful devices for assessing the intensity and volume of PA in children and adolescents. Therefore, accelerometry has become one of the most objective methods to measure PA in children and adolescents. The aim of our study was to investigate whether our sample of gymnasts achieved the daily recommendations of PA. We hypothesized that there would be differences in mean of moderate to vigorous physical activity (MVPA) between weekdays and weekends. We also hypothesized that our sample would be less sedentary than their peers, which has been found in several studies.
Methods: Twenty-nine female gymnasts (Salto club) participated in our study, from which we obtained 25 useful data. The participants were aged between 8 and 16 years (12.26 ± 2.21 years; body height 152.08 ± 11.33; body mass 43.74 ± 8.69; BMI 18.70 ± 1.59). Participants were measured with an accelerometer (GT3X+, ActiGraph, USA) for 10 consecutive days between 3.10.2020 and 12.10.2020 (from Saturday to Monday). The variables obtained on the average amount and intensity of PA and sedentary time, were used for further analysis.
Results: By analyzing the obtained results, we found that the participants achieved the daily recommendations of amount and intensity of PA during the week and at the weekend. On average, they participated in MVPA for 205.22 ± 62.19 minutes, which is equivalent to 3.42 ± 1.04 hours per day. They spent 156.62 ± 42.22 minutes at moderate intensity PA, while they spent 30.03 ± 15.35 minutes at vigorous PA. The dependent t-test showed that the participants spent statistically significantly more time in MVPA during the week than at weekends \(t(24) = 6.57; p < 0.001\). In addition, the sample of gymnasts tended to spend more than 9 hours
per day in physical inactivity (sedentariness) during the week days and at the weekend, but the analysis did not show statistical significance \((p = 0.07)\). **Discussion and conclusions**: The results of the present study show that the participants achieved daily recommendations for the amount and intensity of PA. In addition, sample of gymnasts tended to spend more than 9 hours sedentary, both during the week and at weekends. PA, especially gymnastics can help increase the recommended daily amount of PA and thus might reduce the consequences of a sedentarism.
**Keywords**: accelerometer ActiGraph GT3X+, children and adolescents, sedentarism
**Introduction**
Nowadays, children and adolescents are increasingly inactive due to modern lifestyle, that forces them to spend most of the day sedentary. At every turn, they use various technologies instead being physically active in their everyday, such as school time, homework and, unfortunately, leisure time. Physical activity (PA) has many health benefits for children and adolescents and can contribute to adequate body mass, increase bone density, prevent chronic non-communicable diseases and improve cognitive skills (Cooper et al., 2015; Duncan et al., 2018; Pfitzner et al., 2013).
WHO guidelines on PA and sedentary behavior (2020) suggest for children and adolescents (age 5–17 years) to be at least an average of 60 minutes per day of moderate- to vigorous-intensity (MVPA), mostly aerobic physical activity. Therefore, PA for children in adolescents should include at least 3 days a week as well as activities that strengthen muscles and bones. In addition, WHO recommends limiting the amount of time spent sedentary, especially in front of screens (e.g. TV, computers, video games etc.). Several studies have reported that most children and adolescents are not sufficiently active and that activity levels decrease with age in childhood (Chung et al., 2012; Cooper et al., 2015; Guthold et al., 2010; Nader et al., 2008). A study that examined PA of European children aged 2–11 years concluded that only 2–15 % of girls achieved the minimum MVPA recommendation (Konstabel et al., 2014a). Similarly, a study by Hallal et al. (2012) and Guthold et al. (2010), conducted on a sample of 13 to 15 year old youth, found that only 20 % (boys and girls) and 15.4 % (girls), respectively, met the 60-minute MVPA recommendation. Some studies that found that more than 95 % of 9-year-old and 82 % and 65 % of 15-year-old adolescents were sufficiently active, respectively, due to the use of age-specific intensity thresholds (Guthold et al., 2010).
Assessing PA of children and adolescents is key for monitoring their health status as well as to determining the effectiveness of exercise interventions (Duncan et al., 2020; Duncan et al., 2018). Within the last decades, researchers have begun to use different methods to assess adequate daily PA. As a results, accelerometry has become one of the most objective methods for measuring PA in children and adolescents (Borghese et al., 2017; Duncan et al.,
The devices are more reliable and valid methods for assessing the frequency, duration and intensity of PA in children and adolescents (Borghese et al., 2017; Duncan et al., 2020; Duncan et al., 2018; Toftager et al., 2013), instead of alternative methods such as self-reports (Duncan et al., 2020; Freedson et al., 2005; Huber et al., 2019).
Studies conducted on children and adolescents suggest different wearing duration for the accelerometer: a) at least 3 days (Cooper et al., 2015; Fairclough et al., 2012; Konstabel et al., 2014), b) some of them suggest at least 4 days (Hallal et al., 2012; Nader et al., 2008; Pfitzner, Gorzelniak, Heinrich, von Berg, et al., 2013), c) 5 days (Volmut et al., 2021) or even 7 days (Borghese et al., 2017; Chung, A. E., Cockrell Skinner, A., Steiner, M. J., Perrin, 2012; Fairclough et al., 2012; Guthold et al., 2010; Mässe et al., 2005; McLellan et al., 2020; Nader et al., 2008; Pfitzner, Gorzelniak, Heinrich, von Berg, et al., 2013; Riddoch et al., 2007; Toftager et al., 2013) The duration of wearing the device during the day is also important to obtain valid data of PA and sedentary. Most studies conducted recommended at least 8 hours of valid recording time per day (Cooper et al., 2015; Konstabel et al., 2014) to avoid loss of data from participants who used minimum of 10 hours per day (Borghese et al., 2017; Fairclough et al., 2012; Hallal et al., 2012; McLellan et al., 2020; Pfitzner et al., 2013; Riddoch et al., 2007).
Despite the difference in waking wear time per day and wearing period (the number of days), some study used calculation only per weekday during specific period of the day (before school, during school, after school, early evening and evening) (Catellier et al., 2005; Fairclough et al., 2012; Konstabel et al., 2014a; McLellan et al., 2020), the other studies compare differences between weekday and weekend day (Borghese et al., 2017; Catellier et al., 2005; Konstabel et al., 2014; McLellan et al., 2020; Nader et al., 2008; Pfitzner et al., 2013; Toftager et al., 2013; Volmut et al., 2021).
The aim of our study was to investigate whether our sample of gymnasts achieves the daily recommendations of PA. We hypothesized that there would be differences in mean of MVPA between weekdays and weekends. We also hypothesized that our sample would be less more active and less sedentary than their peers, which has already been found in several studies.
Methods
Participants
The sample consisted of twenty-nine female gymnasts (Salto Club from the coastal region), from whom we obtained 25 useful data. The participants were aged between 8 and 16 years (12.26 ± 2.21 years; body height 152.08 ± 11.33; body weight 43.74 ± 8.69; BMI 18.70 ± 1.59). Prior to the experiment, we presented the study to the coaches and the parents or legal guardians of the participants. The parents or legal guardians of all participants gave written informed consent to participate in the study. The study was conducted in accordance with the DecDeclaration of Helsinki and the experiment was approved by the National Medical Ethics Committee for Research on Children and Adolescents, obtained 23th of January 2018, (approval no: 0120-631/2017/2).
Study design
Participants were instructed by the researchers to wear an accelerometer (GT3X+, ActiGraph, USA) concurrently around their waist for 10 consecutive days between 3.10.2020 and 12.10.2020 (from Saturday to Monday). We instructed parents and gymnasts to put the device on immediately after waking up and asked them to remove the device only for aquatic activities, showering/bathing and sleeping. After the devices were returned, the data were downloaded in 30-s epoch lengths using ActiLife (Version 6.13.4; 2009–2015 ActiGraph LLC) and saved in raw format as GT3X files. Inclusion criteria for data validation were based on equal wearing time of participants putting the device on soon after waking up and to take off before going to bed. A compliant recording requires at least 10 hours of awake wear time per day, including at least 5 valid weekdays and at least 2 valid weekend days.
Statistical analysis
Statistical analysis was conducted with IBM SPSS Statistic 26 (IBM, New York, USA). We calculated descriptive statistics (mean value ± standard deviation, minimum and maximum value) for all descriptive parameters of the participants. The normality of the data distribution was checked with Shapiro-Wilk test. Differences between groups were assessed with the dependent-samples t-test. Hedges g effect sizes (ES) were calculated and interpreted as suggested suggestions by Rhea where: < 0.25 = trivial; 0.25–0.50 = small; 0.51–1.0 = moderate and > 1.0 = large (Rhea, 2004). The threshold for statistical significance was set at p < 0.05.
Results
From twenty-nine participants, we obtained 25 useful data from our sample. Descriptive statistic regarding participants are presented in Table 1.
Table 1: Descriptive statistic of participant’s parameters.
| | Mean | SD | Min | Max |
|----------------|--------|--------|--------|--------|
| N (25) | | | | |
| Age/years | 12.26 | 2.21 | 8.11 | 16.40 |
| BH/cm | 152.08 | 11.33 | 127.00 | 171.00 |
| BW/kg | 43.74 | 8.69 | 24.40 | 57.00 |
| BMI/kg m⁻² | 18.70 | 1.59 | 14.90 | 22.30 |
SD—standard deviation; Min—minimum; Max—maximum; BH—body height; BW—body weight; BMI—body mass index
Table 2 presents descriptive statistic on participants’ physical activity phenotypes.
**Table 2: Descriptive statistic of PA phenotypes for 7 days.**
| | Mean | SD | Min | Max |
|----------------|---------|--------|-------|-------|
| N (25) | | | | |
| Sedentary/min | 608.14 | 75.93 | 480.95| 759.17|
| Light/min | 80.74 | 14.47 | 53.10 | 105.00|
| Moderate/min | 156.62 | 22.40 | 120.55| 207.90|
| Vigorous/min | 30.03 | 8.17 | 14.67 | 50.33 |
| Very V/min | 18.57 | 10.97 | 5.57 | 49.98 |
| MVPA/min | 205.22 | 32.79 | 144.64| 278.38|
| Overall PA/cpm | 1316.50 | 387.39 | 683.21| 2329.84|
*SD=standard deviation; Min=minimum; Max=maximum; V=vigorous; PA=physical activity; MVPA=moderate to vigorous PA*
Table 3 summarises the differences between the recommendations on PA and sedentary behaviour between weekdays and weekend days. The dependent t-test showed that participants spent statistically significantly more time in MVPA during the week than on weekends (p < 0.001; ES = 1.06), but the differences in sedentary time were not statistically significant (ES = 0.35).
**Table 3: Differences between week and weekends in MVPA and sedentary.**
| Outcomes | Week | Weekends | p | ES |
|----------|----------|----------|-------|-------|
| | Mean | SD | Mean | SD | | |
| N (25) | | | | | |
| MVPA/min | 217.49 | 27.59 | 172.11| 52.87 | 0.000**| 1.06 |
| SED/min | 613.95 | 82.57 | 584.51| 84.91 | 0.065 | 0.35 |
*SD=standard deviation; ES=effect size (Hedges); MVPA=moderate to vigorous physical activity; SED=sedentary; * p < 0.05; ** p < 0.001*
**Discussion**
The purpose of the present study was to find out whether young gymnasts achieve the daily physical activity (PA) recommendation and how long they spend in the individual PA phenotype. We hypothesized that there would be differences in mean of moderate to vigorous physical activity (MVPA) between weekdays and weekends. We also hypothesized that our sample would be less sedentary than their peers, which has been found in several studies.
In addition, there are a few studies conducted on children and adolescents that have found differences between weekdays and weekends in MVPA and sedentary. According to our analysis, our participants spent an average of 217.49 minutes in MVPA on weekdays and 172.11 minutes on weekends, which is a statistically significant difference (p < 0.001). Trost et al. (2000) found significant
differences between weekdays and weekend for girls. In the youngest age group, girls had significantly greater MVPA scores at weekend. In studies that looked at the different phenotypes of PA on weekdays and weekends, gender differences were found (McLellan et al., 2020; Pfitzner, Gorzelniak, Heinrich, von Berg, et al., 2013). Another survey by Pfitzner et al. (2013) did not detect statistically significant differences between weekdays and weekend days in boys and of borderline significance in girls. Another study have shown that MVPA decreases with age on both weekdays and weekend days (Nader et al., 2008). Unfortunately, due to the difference in downloaded and processed accelerometer data, we cannot compare our results with those of other studies that have found differences between weekdays and weekends. Different methods resulted from the different wearing period, ranging from 5 (Volmut et al., 2021) to 7 days (Borghese et al., 2017; Evenson et al., 2008; Konstabel et al., 2014; McLellan et al., 2020; Nader et al., 2008; Pfitzner et al., 2013; Toftager et al., 2013) and the varying compliant recording, ranging from at least 2 weekdays and 1 weekend day (Volmut et al., 2021), to 3 weekdays and at least 1 weekend day (Konstabel et al., 2014; McLellan et al., 2020), with some studies even recommending 5 weekdays and 2 weekend days (Nader et al., 2008; Toftager et al., 2013) of at least 10 hours of awake wearing time per day (Borghese et al., 2017; Konstabel et al., 2014; McLellan et al., 2020). In our study, we used 10 consecutive days of wearing with the required compliant recording as in the studies by Nader et al. (2008) and Toftager et al. (2013) and we used date of at least 10 hours. Second, in methodology, various studies refer to different data collection at a sampling rate of 30 Hz (Pfitzner, Gorzelniak, Heinrich, von Berg, et al., 2013) as we have used, or even of 80 Hz (Borghese et al., 2017; McLellan et al., 2020) and downloaded in different epoch lengths from 5-s (McLellan et al., 2020), to 30-s (Evenson et al., 2008; Toftager et al., 2013) or even 60-s (Borghese et al., 2017; Konstabel et al., 2014; Pfitzner et al., 2013; Volmut et al., 2021), which is the most commonly used epoch.
Our sample of gymnasts engage in training activities every day during the weekdays and also one day at the weekend (Saturday). Unfortunately, they still tend to spend more than 9 hours sedentary. The results regarding sedentary time showed no statistically significant differences between weekdays and weekend \((p = 0.065)\). To our knowledge, some studies have obtained similar results showing that children and adolescents spend about 8 hours sedentary (Borghese et al., 2017; McLellan et al., 2020) or even 10 hours (Pfitzner, Gorzelniak, Heinrich, von Berg, et al., 2013), which increases with age (Cooper et al., 2015; Nader et al., 2008; Toftager et al., 2013). A study conducted on children and adolescents from different countries around the word found that children spend 3 or more hours sedentary, excluding time spent sitting at school and doing homework (Guthold et al., 2010).
**Conclusions**
Our findings suggest that gymnasts who are training almost every day (except on Sunday) were more physically active and achieve WHO’ recommendation of PA and were less sedentary during weekdays in comparison with weekend days. Nevertheless, they spent more than 9 hours in sedentary, which is worrying. These observations highlight the importance of gymnastic training, which can help increase the recommended daily amount of PA while minimizing negative consequences of a sedentariness.
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Elementary school projects as a possibility of improving pupils’ eating habits
Bine Dobnikar, Tamara Poklar Vatovec
University of Primorska, Faculty of Health Sciences, Izola, Slovenia
firstname.lastname@example.org; email@example.com
Abstract
Introduction: At the Stane Žagar primary school in Kranj, there are two projects taking place we had focused on, defining their role on education about nutrition. Projekt 2° Zelene strehe and Tradicionalni slovenski zajtrk. The first provides an additional space for high quality learning environment. Pupils need to take care of the green roof and plants, which helps them to learn about responsibility. The latter provides them knowledge not only about importance of breakfast consumption, but also about locally produced food, beekeeping and local farming. It consists of bread, milk, butter, honey and an apple or other fresh or dried fruit without any added sugars.
Methods: In spring 2021 we conducted a survey. There were 59 pupils in the sample from three 7th grade classes. The purpose was to determine what their eating habits are like. Based on those we inferred what their knowledge is on nutrition. We conducted a quiz on Kahoot platform, there were 10 questions regarding the content we presented. We used an OPKP programme to calculate nutritional and energy values of traditional Slovenian breakfast.
Results: On average, this breakfast provides 1604 kJ (382 kcal), which is 16% of daily energy requirements for pupils in age group 13–14 years. 10% of the breakfast is composed of protein, 26% of fats and 64% of carbohydrates. Results of the questionnaire have shown that less than half of pupils eat breakfast daily. The frequency of wholegrains and legumes consumption is also low. Pupils mostly consume one or two sorts of fruit per day (68%), but 17% of them don’t include fruits in their diet every day. 47% of pupils eat vegetables every day, mostly one or two sorts per day. Females consume more wholegrain product (36%) than males (27%). Most pupils, 67 females and 74% males, drink water. 76% of pupils have between 3 and meals per day. We used quiz on Kahoot platform to evaluate their knowledge on guidelines for balanced nutrition. The most pupils expressed their opinion on the issue of ‘What is in the lowest
layer of the nutrition pyramid scheme?’ as we have presented the new nutrition pyramid scheme, which they have not met yet. Discussion and conclusions: Some edible plants are grown on the green roof, mostly berries. In plant-based foods there are bioactive compounds. They not only have antioxidant properties but also play a role in lowering risk for some noncommunicable diseases. Both projects carry a great potential in educating pupils and improving their eating habits. We suggest upgrading the projects with interactive contents, thus pupils would be more effectively presented the purpose of balanced nutrition. Questionnaire results show pupils’ eating habits are not suitable, hence we inferred their knowledge on nutrition is insufficient. Implementing such projects might be beneficial for their knowledge. By upgrading the projects, additional information would be provided and changes in eating habits would be encouraged.
Keywords: Eating habits, traditional Slovenian breakfast, green roof, plant foods, antioxidants
Introduction
Balanced diet is very important for pupils. Guidelines for balanced diet suggest having regular and evenly distributed meals throughout a day. Consequently consumption of meals is more frequent and quantity of foods consumed is smaller. This is thought to be beneficial for blood fatty acids and blood glucose levels, which reflects in improved abilities of pupils during lessons. Pupils should have breakfast at home and it should consist of whole-grain foods, such as whole grain bread, cereals or porridge. Blood glucose levels elevation is slower, which contributes to improved pupils’ abilities during lessons (Gabrijelčič, Pograjc, Gregorič, Adamič and Čampa, 2005).
Daily intake of protein for children and adolescents is 0.9 – 1g/kg or 10–15 % of daily energy intake (DEI). Sources of protein are lean meat, fish, eggs, milk and dairy products, legumes and nuts. Pupils’ energy intake from fats should cover 30–35 % of DEI. Fats are further divided into groups: monounsaturated fatty acids, polyunsaturated fatty acids and saturated fatty acids. Unsaturated fatty acids altogether are recommended to cover 20 % of DEI. Monounsaturated fatty acids are recommended to cover 10–13 % of DEI, polyunsaturated fatty acids 7–10 %. Omega-6 and omega-3 fatty acids are in the group of polyunsaturated fatty acids, former should cover 2.5 % of DEI and latter 0.5 %. Carbohydrates are recommended to cover over 50 % of DEI. However, pupils have to choose carefully. Sugars belong in the group of carbohydrates as well, and yet they should be limited up to 10 % of DEI. Complex carbohydrates are recommended, such as whole-grain foods which also contain dietary fibre (Gabrijelčič et al., 2005).
Since meals in school represent only one part of pupils’ diet, they need additional knowledge to be able to choose and prepare balanced meals at home as well. They could get some additional knowledge about nutrition from projects,
which take place in elementary school. In this article, we have highlighted two projects, which take place in Elementary school of Stane Žagar Kranj. First project is *Traditional slovenian breakfast* (Tradicionalni slovenski zajtrk) and the second is *Project 2° Green roof* (Projekt 2° Zelene strehe) (Ministrstvo za kmetijstvo, gozdarstvo in prehrano, 2018).
Traditional slovenian breakfast takes place every year in November and is composed of locally produced foods. It is the same every year, there are bread, milk, butter, honey and an apple. Bread must be made in Slovenia, whereas other foods must be produced and processed in Slovenia (Ministrstvo za kmetijstvo, gozdarstvo in prehrano, 2018). Project 2° Green roof has started in 2020, therefore it is new to school (Eko sklad, 2020). There are many edible plants planted there, including strawberries, raspberries, grapes, aronia and some herbs. The roof is surrounded by a fence and is safe to walk on. There are two separate spaces on the roof, purposely built as outdoor classrooms (Kandus and Skubic, 2020).
Berries planted on the green roof are rich in antioxidants, some vitamins and minerals. Their energy value is low, however their nutritional value is high (Mikulič-Petkovšek, Koron, Zorenc in Veberič, 2017). Berries also contain some dietary fibre. The most abundant antioxidants in berries are vitamin C, flavonoids and anthocyanins (Burton-Freeman, Sandhu in Edirisinghe, 2016).
**Methods**
In spring 2021 we conducted a survey. There were 59 pupils from three 7th grade classes in the sample. 36 (61%) were female and 23 (39%) were male. 35 (59%) of pupils were 12 years old at the time of conducting our survey, 22 (37%) were 13 years old and two (3%) were 15 years old. We handed out the surveys and consensus in a paper form to pupils. Parents had to sign the consensus. The survey had 30 questions, the majority referring to eating habits. Some questions also referred to habits during the COVID pandemic, exercise and their own opinion of their body mass. Most of them were closed or multiple choice questions. One was an open question. The purpose was to determine what their eating habits are like. Based on their answers we inferred what their knowledge is on nutrition. Pupils had about one week to complete the survey and return it. We collected them on the same day we gave short lectures about balanced nutrition.
We prepared a 45 minutes long lecture based on nutritional guidelines for educational institutions and general guidelines. We divided our lecture into two parts. 30 minutes of lecture and 15 minutes for discussion and the quiz. Lecture covered the topics of: number and frequency of meals in a day; guidelines for choosing carbohydrates, protein and fats; choosing drinks; how to prepare a meal based on macronutrient guidelines. We prepared the quiz on the Kahoot platform, there were 10 questions referring to balanced diet and exercise. All of them were multiple choice questions.
We used an OPKP programme to calculate nutritional and energy values of traditional Slovenian breakfast. We processed the results from the survey with an Excel Microsoft Office 365 programme.
Results
Traditional Slovenian breakfast
Traditional Slovenian breakfast is composed of bread, milk, honey, butter and an apple (Ministrstvo za kmetijstvo, gozdarstvo in prehrano, 2018). As dietitians we suggest consumption of whole grain bread from locally produced grains, such as wheat whole grain bread or whole grain bread with different seeds. An advantage of whole-grain bread is that it has more dietary fibre compared to white bread and thus more minerals, vitamins and micronutrients (Prehrana.si, n.d.e). Honey should be consumed carefully since it has high energy density. We suggest consuming no more than two teaspoons of honey per day, considering children don’t consume any sugars with other sweet foods (Prehrana.si, n.d.c). Milk has high nutrient and low energy density; it is a source of quality protein. We need to introduce pupils to low-fat dairy products because fatty acids in dairy products are mostly saturated. As children start elementary school, we suggest they consume only semi-skimmed milk. Substitution of milk for fermented dairy products, such as yoghurt, is also encouraged, since it contains more probiotic bacteria and is easier to digest (Prehrana.si, n.d.d). A fruit included in the breakfast should be fresh and locally produced. Another choice is dried fruit without added sugars (Pravilnik o izvajanju projekta Tradicionalni slovenski zajtrk, 2020).
Table 1: Foods in an average traditional Slovenian breakfast and their energy values.
| Food | Whole grain bread | Milk, semi-skimmed | Butter | Honey | Apple | Altogether |
|-----------------------|-------------------|--------------------|--------|-------|-------|------------|
| Quantity (g) | 50 | 200 | 15 | 20 | 111 | 397 |
| Energy value (kcal) | 100 | 75 | 74 | 67 | 67 | 382 |
| Energy value (kJ) | 420 | 315 | 310 | 281 | 281 | 1604 |
DEI for pupils in age group 13–14 years is 10080 kJ (2400 kcal) (Nacionalni inštitut za javno zdravje, 2020). An average traditional Slovenian breakfast has 1604 kJ (Table 1) and represents 16% of DEI in an above-mentioned age group. Figure 1 shows that 10% of energy value of traditional Slovenian breakfast is obtained from protein, 26% from fats and 64% from carbohydrates (OPKP, 2021).
Survey results
We conducted a survey in three 7th grade classes. 59 pupils completed it, 36 (61%) were female and 23 (39%) were male. 35 (59%) pupils were 12 years old, 22 (37%) were 13 years old and two (3%) were 15 years old. They had to complete 30 questions. 29 questions were closed or multiple choice questions, one question was an open one.
Sorts of fruits and vegetables consumed: the majority of male pupils, 11 (48%), consume 2 different sorts of fruit every day, five (22%) consume one sort of fruit, three (13%) three sorts of fruit or more every day and four (17%) do not consume fruit every day. The results were similar for female pupils, 14 (39%) of them have two different sorts of fruit every day, ten (28%) have one sort of fruit, six (17%) have three different sorts of fruit every day or more and six (17%) do not have fruit every day. 13 (22%) pupils consume one sort of vegetables, 19 (32%) consume two sorts, eight (14%) consume three sorts and 13 (22%) consume four sorts of vegetables or more every day. Six (10%) of pupils do not consume vegetables daily.
Frequency of fruits and vegetables consumed: 31 (53%) pupils consume fruit every day, 21 (36%) consume it three to five times per week, five (8%) once per week and two (3%) pupils never consume fruit. 28 (47%) of pupils consume vegetables every day, 23 (39%) consume it three to five times per week and six (10%) one per week. Two (3%) never consume vegetables.
Bread, pasta and flour: 58 (98%) pupils answered the question, what kind of bread, pasta and flour they use more often to prepare their meals; white or wholegrain. The results have showed that more pupils use white bread, pasta and flour, 16 (73%) male pupils and 23 (64%) female pupils. Only six (27%) male pupils and 13 (36%) female pupils use whole grain bread, pasta and flour.
The majority of pupils consume whole grain foods, such as porridge, cereals or semolina once per week, those are 19 (32%). Only three (5%) consume those foods daily, 14 (24%) three to five times per week, 18 (31%) one to three times per month and five (8%) never consume those foods.
Drinks they consume at least once or twice every week: 57 (97%) pupils drink water, 21 (91%) male and 36 (100%) female. 19 (83%) males and 19 (53%) females drink fruit juice. Ten (43%) males and 16 (44%) females drink unsweetened tea. Five (22%) males and five (14%) females drink energy drinks. 13 (57%) males and three (14%) females drink soda.
Drink consumed the most: Water is a drink pupils consume most often, 17 (74%) males and 24 (67%) females. Fruit juice follows on second place with five (22%) males and seven (19%) females.
Meals and breakfast: 58 (98%) pupils answered a question, what is the average number of meals, they have every day. The majority, 45 (76%) pupils, have three to five meals per day. Three (5%) have more than six meals and ten (17%) have less than three meals every day. 22 (37%) pupils have breakfast every day, 13 (22%) three to five times per week and 24 (41%) once per week or less.
Self opinion of body mass: we did not ask pupils to reveal us their body mass only to express their self opinion of their body mass. They were given three choices: body mass is normal / too high / too low. 17 (74%) males and 27 (75%) females stated their body mass is normal. Four (17%) males and six (17%) females stated it is too high and two (9%) males and three (8%) females stated it is too low.
Exercise and screentime during the pandemic in 2020 and first quarter of 2021 compared to exercise and screentime before the pandemic: 25 (42%) pupils exercised the same and 19 (32%) exercised more. The minority of them exercised less, those were 15 (25%). However, there were 42 (71%) pupils who answered they have had more screentime during the pandemic. 16 (27%) pupils have had the same screentime and one (2%) has had less.
Table 2: Answers to some other questions (n).
| Question | Daily | 3-5 times per week | Once per week | 1-3 times per month | Never |
|--------------------------------------------------------------------------|-------|--------------------|---------------|---------------------|-------|
| How often do you eat breakfast? | 22 | 13 | 8 | 3 | 13 |
| How often do you eat dairy products (milk, yoghurt, cottage cheese, kefir)? | 21 | 26 | 4 | 7 | 1 |
| How often do you help to prepare meals? | 12 | 20 | 17 | 5 | 4 |
| How often do you use fats, such as butter, whipping cream, sour cream or pork fat for preparing your meals? | 4 | 26 | 17 | 10 | 2 |
| Question | Daily | 3-5 times per week | Once per week | 1-3 times per month | Never |
|-------------------------------------------------------------------------|-------|--------------------|---------------|---------------------|-------|
| How often do you add salt in your meals (soup, sauce, potatoes)? | 11 | 12 | 17 | 6 | 13 |
| How often do you eat fried food? | 0 | 10 | 21 | 27 | 0 |
| How often do you eat eggs? | 4 | 18 | 27 | 8 | 2 |
| How often do you eat fast food? | 0 | 2 | 14 | 35 | 7 |
| How often do you eat snacks, such as flips, chips, crackers, pretzel sticks or salted peanuts? | 1 | 18 | 27 | 12 | 1 |
| How often do you eat sweets or desserts? | 3 | 19 | 27 | 7 | 3 |
| How often do you eat nuts (hazelnuts, almonds, peanuts, walnuts)? | 3 | 11 | 20 | 19 | 6 |
| How often do you eat processed meat foods, such as pate, hot-dogs or meat cheese? | 3 | 8 | 28 | 17 | 2 |
| How often do you eat legumes, such as peas, beans or chickpeas? | 0 | 9 | 17 | 19 | 14 |
| How often do you eat toast instead of bread? | 4 | 10 | 24 | 18 | 3 |
**Lecture**
We had given a short lecture in all three 7th grade classes. We included basic information on topics of: guidelines for balanced nutrition; macronutrients; the food pyramid; how to build a balanced and healthy plate; importance of having breakfast every day; healthy food preparation methods; limited usage of salt. A lecture lasted for 30–35 minutes. After the lecture we carried out a short quiz to evaluate their knowledge on guidelines for balanced nutrition, we prepared earlier on Kahoot platform. Since not all of the pupils had owned a smartphone, we had a group discussion about the questions on Kahoot. The majority of questions were referring to our lecture. They mostly answered the questions correctly, however they did not express their opinions often to build a discussion. The most pupils expressed their opinion on the issue of ‘What is in the lowest layer of the nutrition pyramid scheme?’ as we have presented the new nutrition pyramid scheme, which they have not met yet.
**Discussion**
The project Traditional slovenian breakfast is educating pupils about the advantages of locally produced food. Local food is more mature and ripe at time of harvesting, thus it is more rich in micronutrients and has a higher nutritional value. Flavour of fruits, vegetables and other foods is more rich, traditional (Ministrstvo za kmetijstvo, gozdarstvo in prehrano, 2018).
Anthocyanins are a subgroup of flavonoids and can be found in berries, aronia and grapes (Tsuda, 2011; Ramos, 2014). Some researches on animals imply they may have a role in obesity management (Tsuda, 2011); adipose cells function improvement; improved metabolism of triacilglicerides; and they might reduce the risk of developing metabolic syndrome and obesity (Ramos, 2014). Researches on humans have alighted the role of anthocyanins in management of type 2 diabetes and in prevention of cardiovascular diseases (Tsuda, 2011; Ramos, 2014).
It has been proven that vitamin C has antioxidative properties, however taking vitamin C in dietary supplements does not lower risk for diseases, such as stroke or cancer. However, it has shown beneficial effects in women who were pregnant and smoking, they had lower risk for an early birth (Higdon, Drake, Angelo and Delage, 2018). Less ripe fruits contain more acids, including vitamin C, their content decreases with ripening (Mikulič-Petkovšek, Koron, Zorenc and Veberič, 2017). Vitamin C is important in a process of restoring other antioxidants, such as vitamin E. It protects leukocytes from being damaged by oxidation. Recommended daily allowance differs among different age groups. For children it is lower, for adults higher (Higdon, Drake, Angelo, et al., 2018).
The most energy consumed with berries comes from sugars, both glucose and fructose (Burton-Freeman, Sandhu and Edirisinghe, 2016), thus consumption of fruits (150–250g per day) should be lower than of vegetables (250–400g per day) (Hlastan Ribič, 2009).
**Conclusions**
Traditional Slovenian breakfast is suitable for pupils in both macronutrient composition and energy intake. Eventhough it exceeds the guidelines for energy intake with snack (16% instead of 10–15%), we concluded pupils need energy for concentration during classes and physical education. For the same reasons we support breakfast being more abundant in carbohydrates and poor in fats as the guidelines instruct. Lower content of fats is beneficial from the view of type of fatty acids, since it contains mostly saturated fatty acids from butter and milk. We propose substitution of part of butter with walnuts, thus children would consume unsaturated fatty acids as well. We would like to emphasize it is also important that pupils receive detailed instructions how much of each food they can consume, e.g. one tea spoon of honey.
The two projects are very different, but we found a connection. The connection is local food production. Looking from this perspective, those projects complement each other. The project Traditional Slovenian breakfast is educating pupils why local food production is more environment friendly and why locally produced food has higher nutritional value, among other topics. Project 2°
Green roof allows the pupils to actually take care of plants grown on the green roof, thus in a way they are producing local food as well.
Thus we conducted, both projects carry a great potential in educating pupils and improving their eating habits, if there are certain additions made to them. Examples are our lecture we gave in three classes and a quiz. We suggest upgrading the projects with more interactive contents, such as different didactic games, lectures, quizzes and other different didactic methods, thus pupils would be more effectively presented the purpose of balanced nutrition. School and local producers or farmers could cooperate and organize workshops together. Workshops could be held on school’s green roof, where pupils could also meet the local producers or farmers and learn more about their work and food. Thus pupils could learn more about different crops and foods they might not have met with yet. Questionnaire results show pupils’ eating habits are not suitable, hence we inferred their knowledge on nutrition is insufficient. Interractive contents would help them recognize new healthier methods of food preparation, more knowledge on building a healthy balanced plate and understanding the importance of drinking water instead of juice or soda, importance of reducing salt in the diet and importance of eating fruit and vegetables. Implementing such projects might be beneficial for their knowledge. By upgrading the projects, additional information would be provided and changes in eating habits would be encouraged.
References
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GABRIJELČIČ, M., POGRAJC, L., GREGORIČ, M., ADAMIČ, M. and ČAMPA, A., 2005. Smernice zdravega prehranjevanja v vzgojno-izobraževalnih ustanovah (od prvega leta dalje) [online]. Ljubljana: Ministrstvo za zdravje, 8o. [viewed 6 May 2021]. Available from: http://solskilonec.si/wp-content/uploads/2014/10/Smernice_zdrave_prehrane_MZ-2005-1.pdf
HIGDON, J., DRAKE, V. J., ANGELO, G. and DELAGE, B., 2018. Vitamin C [online]. [viewed 6 May 2021]. Available from: https://lpi.oregonstate.edu/mic/vitamins/vitamin-C
HLASTAN RIBIČ, C., 2009. Zdrav krožnik: priporočila za zdravo prehranjevanje [online]. Ljubljana: Inštitut za varovanje zdravja. [viewed 10 June 2021]. Available from: http://cindi-slovenija.net/images/stories/trgovina/zlozenke/Cindi_ZdravKroznik_preview.pdf
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MIKULIČ-PETKOVŠEK, M., KORON, D., ZORENC, Z. and VEBERIČ, R., 2017. Do optimally ripe blackberries contain the highest levels of metabolites [online]? *Food chemistry*, vol. 215, pp. 41–49. [viewed 22 May 2021]. Available from: http://dx.doi.org/10.1016/j.foodchem.2016.07.144
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Growing up in a family with alcohol addiction and the importance of strengthening protective factors to maintain the health of a child
Karmen Henigsman
National Institute of Public Health, Ljubljana, Slovenia
firstname.lastname@example.org
Abstract
Despite its mass presence in Slovenian culture, alcohol addiction is still a gray area of research, as evidenced by how difficult it is to trace data on the prevalence of this disease. In addition to the already established measures to treat addiction in individuals, there is still a lack of awareness of the impact of special circumstances in which children of addicted parents grow up and in the treatment and support of relatives from such families. Alcohol addiction not only affects the occurrence of many harmful consequences for the individual who drinks, but also for all members of his family, especially children. The chaotic and unstable family environment, characterized by alcohol addiction, represents a wide range of risk factors for the child’s psychosocial and physical well-being. The presence of addiction in the family and thus the special circumstances of growing up poses many challenges to the child, which require him to develop various mechanisms of survival and often neglect to meet their own needs at the expense of meeting the needs of the parents. An additional challenge for a child is the stigmatizing environment outside the family, which further limits the child’s ability to experience a safe environment. These circumstances can affect many outcomes that pose a risk to a child’s mental and physical health, such as depressive and anxiety states, externalizing and internalizing problems, interpersonal problems, risky behaviours, poor physical health, and so on. The purpose of this paper is to present in more detail the risk factors and possibilities of action to strengthen protective factors in various areas of work, which could reduce the negative health outcomes of children and adolescents coming from families with alcohol addiction. Approaching this need is possible by early psychosocial treatment of the child, raising awareness of the community about the problem of alcohol and raising awareness of children and adolescents about diseases such as addiction. It is also important to strengthen and promote sources
of assistance, such as providing a safe space for the child, by enabling support from the environment outside the family (school environment, NGOs, local community).
**Keywords:** alcohol addiction, children from families affected by alcohol addiction, psychosocial consequences, protective factors
**Introduction**
Alcohol addiction is a disease that causes an irresistible craving for alcohol, despite the fact that it harms both the individual and his loved ones. It makes it hard for an individual to function on a daily basis and fulfill various roles, such as the role of a partner, parent, employee, etc. (Perko, 2011). Addiction requires the attention of all family members, which makes it a family disease (Goeke, 2017). The consequences affect partners and children, which means that dealing with an individual’s addiction makes it crucial to also deal with all close relatives involved. Children are the ones who are often overlooked in this regard. There is a lack of knowledge in fields where working with children from such families is required and, at the same time, accessible sources of help. In addition, the cloud of stigma that overshadows such families makes it harder for relatives to seek help or support in case of exposure to alcohol addiction (Black, 1992; Haverfield and Theiss, 2015). Children from such families are faced with the difficulties of dealing with special circumstances and everyday stress, which poses a serious threat to the children’s mental and physical health.
**Risk and protective factors**
*Circumstances of growing up in a family affected by alcohol addiction*
Alcoholism dictates special circumstances that require adaptive functioning in the family. Each member assumes a role that is necessary for the psychological survival of the family dynamic and, simultaneously, for their own survival. The atmosphere in such families is extremely chaotic, unpredictable, and inconsistent (Nodar, 2012). All the members are on the lookout for whether the parent will come home drunk, and whether an argument or a fight will follow. Children are constantly exposed to stressors and deprived of a sense of security, which is the basis of the normative development (Poljšak Škraban, 2007; Husesong et al., 2008). Violence is also often present, as both addiction and the influence of alcohol reduce the ability to control aggressive impulses (Hall, 1994; Zuckerman, 2005; Kordić, 2007). In a small study conducted in Slovenia, two out of three adult children from families affected by alcohol addiction reported the presence of violence at home (Henigsman, 2015).
Compared to an optimal family dynamic, communication within alcohol-affected families differs significantly. If the optimal environment is usually characterized by consistent, clear, specific, and constructively-oriented communication, families affected by alcohol addiction are usually characterized by the exact opposite, namely, unclear, inconsistent, and often deficient communication, which is often negative, offensive, and lacks the expression of warmth and sensibility (Sheridan and Green, 1993; Johnson and Stone, 2009).
A non-alcoholic parent is usually so occupied with their partner’s alcohol addiction that they are unable to consistently meet or respond to their child’s needs (Haverfield and Theiss, 2014). Therefore, these children are often left to fend for themselves, for which they develop various strategies, including defense mechanisms such as denial and repression (Black, 1992). In these families, a common phenomenon called the parentification of the child occurs, which means that a child takes care of the alcoholic parent, instead of the adult being the one meeting their child’s basic needs (Pasternak and Schier, 2012).
Black (1992) defines two basic rules that are usually formed in families affected by alcohol addiction: “don’t trust” and “don’t tell”. When the child in the family is not raised in a safe environment and lacks a secure attachment to their parents, they consequently also have difficulties trusting other adults. Alcohol addiction at home is kept as a family secret, which is often a result of the stigma present outside the family unit (Haverfield and Theiss, 2015).
**Stigma**
The presence of stigmatization of alcohol addiction plays an important role in experiencing and dealing with the circumstances of addiction in the family. Despite the fact that drinking alcohol is socially acceptable in Slovenia, it is also common that an individual who becomes addicted to alcohol is suddenly pushed to the edge of society. Some research has shown that most people believe that the person who becomes addicted has only themselves to blame for their problems, since addiction is often attributed to character traits. As a result, addicted individuals are more often socially distanced than those with other mental illnesses (Haverfield and Theiss, 2015).
The stigma influences not only the individual who is addicted, but also their family members (WHO, 2014 in: Haverfield and Theiss, 2015). The fact that members avoid talking about addiction within the family strengthens stigmatization. This makes the topic a taboo, which further encourages children to keep family alcoholism a secret. The more severe the form of alcoholism, the greater the need to hide everything that happens at home (Haverfield and Theiss, 2015). At the same time, children often experience feelings of shame, guilt, anger, and loneliness, which, due to the stigma, keeps them from sharing their situation with others (Black, 1992; Pasternak and Schier, 2012). This contributes to more negative outcomes of growing up in family affected by alcohol addiction.
**Psychosocial and health consequences of growing up in family affected by alcohol addiction**
Children from families affected by alcohol addiction form a very heterogeneous group. The outcomes of growing up in such families differ from one another, just like the families and personal characteristics are also different. What they do have in common is that these children grow up in circumstances that prematurely put them in survival mode, so they can cope with challenges of their parents’ addiction (Goeke, 2017). This can have a negative impact on various levels of performance. Research has shown that these children more often show signs of internalization and excessive inhibition or, on the other hand, problems of externalization and excessive rebellion (Omkarappa and Rentala, 2019; Redlin and Borchardt, 2019). As they grow older, the outcomes are shown to become more complex and more diverse. Children of alcoholics are more likely to experience periods of depression and anxiety, problems with alcohol and other drugs, and abusive relationships (Goeke, 2017; Omkarappa and Rentala, 2019). Because they are often victims of cumulative trauma, they can also develop post-traumatic stress syndrome or complex post-traumatic stress disorder (Harter and Vanecek, 2000; Rzeszutek et al., 2021).
Insecure attachment to a parent during childhood, usually more common in families affected by alcohol addiction, is reflected in a pronounced fear of rejection or abandonment (Henigsman, 2015). In a chaotic environment, in which anything can happen, they do not have optimal opportunities for the adequate development of a healthy self-image, which is later evident in their difficulties in establishing and maintaining interpersonal relationships (Firesstone and Firestone, 2005). Additional problems in relationships are reflected by marked mistrust and fear of relationships (Kerig, 2003; Henigsman, 2015). When violence is also present, there is a greater likelihood that children from these families will experience fear of relationships, along with more severe depressive and anxious feelings when actually in a relationship. (Kerig, 2003).
In addition to psychosocial consequences, medical ones can also occur. Children and adolescents who have experienced cumulative stress and trauma are more likely to suffer from autoimmune diseases, ischemic heart disease, and various inflammatory diseases (Dube et al., 2009). Some research has shown that growing up in a family affected by alcohol addiction affects a greater possibility of developing hypertension, diabetes, insomnia, gastrointestinal diseases, cancer, and other diseases (Goeke, 2017). Risky behaviors related to health (smoking, drinking alcohol, illegal drugs, higher body weight index, and little physical activity) are more common among children of alcoholics (Serec et al., 2012; Fuller-Thomson et al., 2013).
On the other hand, research also reports on the possibility that children come out of these circumstances resilient, which means that they develop more appropriate coping mechanisms for dealing with everyday stressors (Park and Schepp, 2015). In this case, even if they are growing up in a destructive environment, these children know how to draw positives from it. Walker and Lee (1998) claim that those who are more socially competent and mature have more chances to become resilient.
Protective factors and encouragement of resilience
Protective factors are an important counterbalance to the risk factors faced by children from families affected by alcohol addiction. The main goal of reducing the probability of negative outcomes is to strengthen intrapersonal and interpersonal (family, community) protective factors that affect children. These factors can reduce the power of risks that are sometimes unavoidable for these children (Goeke, 2017).
Working on protective factors also strengthens resilience, which is known as something that enables the regulation of the negative effects of stress. It also holds the ability to achieve positive outcomes despite living in a harmful environment, especially by reducing threats regarding mental and physical health (Park and Schepp, 2015; Redlin and Borchardt, 2019). A resilient individual will also handle potential discrimination, shame and condemnation better, and at the same time, will be able to take on the responsibility that the parent is unable to (Redlin and Borchardt, 2019).
There are many possible protective factors. Having a secure and stable home provided by the non-alcoholic parent, despite parental alcoholism, is one of them. Regardless of the chaotic circumstances, the non-alcoholic parent manages to consistently meet the child’s needs and maintain a balance within the family (Hussong et al., 2008; Goeke, 2017). Siblings also play a very important role, where a healthy relationship and support make it easier for a child to withstand the conditions at home (Edenber and Foroud, 2013; Goeke, 2017). Engagement in a quality relationship with an adult, such as a teacher, counselor, grandparent, uncle/aunt, neighbor, etc., outside the primary family also provides an effective contribution. (Larson and Thayne, 1998). The child seeking help and confiding in someone, thus realizing that they are not alone, is also an important protective indicator (Haverfield and Theiss, 2014; Goeke, 2017). An important role is also held by all the other positive relationships and experiences that the child acquires outside the family, which can be encouraged with extracurricular activities (sports, creativity, scouting) that offer children a retreat and an extra purpose in life (Larson and Thayne, 1998; Goeke, 2017).
A person’s individual development is often shaped by interactions they have in their environment (Bronfenbrenner, 1989 v: Rodgers, 2009). The local community also plays an important role in strengthening the protective factors by representing the child’s close environment outside the family unit; that includes the neighborhood, schools, primary health center, or more generally important people with whom the child comes into contact on a daily basis. This environment also has the power to both strengthen and weaken the effects of the stigma of parental alcohol addiction. The discussion and internalization of knowledge about alcohol addiction as a disease, which expands to the wider local community (school, primary health service, social service, non-governmental organizations), is therefore a very important step towards the stigma losing its power and towards a community in which children can feel more
accepted. An important factor are also the sources of help that let a child know that a safe environment is available when they need it.
Sources of help
In Slovenia, there are relatively few programs dedicated to the treatment of children from families affected by alcohol addiction. They are mostly based in the Central Slovenia region, which makes them less approachable for children who live in other parts of Slovenia. General support is available in different regions from Al-Anon, which is intended for close relatives of a person who has alcohol addiction, and Ala-Teen, which is intended for teenagers from families affected by alcohol addiction (Društvo Al-Anon, n.d.). Few NGOs also offer support to all family members who are recovering from their parents’ or partners’ addiction.
Knowledge about the disease is one of the key factors of understanding what is happening in a family affected by alcohol addiction and a step toward a more constructive way of coping with parental alcohol addiction. It is crucial for children from such families to get as much information as they can about alcohol addiction. Information is available at the Slovenian Association for Helping Children of Alcoholics, which is a part of the international NACOA network (NACOA Slovenija, n.d.). Information about addiction and its impact on children is also a welcome contribution for workers in different work fields, such as primary health, social service, and education, which often encounter children from affected families. Knowing the specifics about a child’s environment helps them take the so-called “person-in environment” approach (Goeke, 2017).
Due to the frequent experience of stigma, anonymity is often more important for children seeking support, which is why the various online or telephone counseling services that provide this also fare better (Haverfield and Theiss, 2014). In Slovenia, they have online counseling services, such as ‘To Sem jaz’, and a telephone for children and adolescents - the ‘TOM telephone’, which is intended for children in need of emotional or informational support.
Conclusions
Children from families affected by alcohol addiction are daily exposed to the insecure, inconsistent environment, stressors, and harmful factors that threaten their health. However, there is a fine line between their vulnerability and resilience. This line is largely determined by the power ratio between risk factors and protective factors. Although these children cannot avoid certain risk factors, strengthening protective factors can reduce the possibility of negative outcomes.
The environment outside the family also plays an important role in establishing a supportive environment for children who deal with unstable family circumstances. The ecological systems that come into daily contact with
these children (educational, primary health, social services) are the ones that must be equipped with knowledge about the problem of alcohol addiction, carry the recognition of it as a mental disease, and be aware of the specific circumstances in which children from such families grow up in. Additional awareness that children from families affected by alcohol addiction form a heterogeneous group and that there is a need of an individual approach is most welcome. In this case, the “person-in-environment” approach is encouraged, which puts the understanding of the person in a wider context of their environment and the influences that has on them. People working in the field of primary health, social services, and education should have enough information about the sources of help for children from families affected by alcohol addiction, to which these children can turn to when in need for specific support.
Support for these children can be provided by any individual, who is able to support one or more family members from these families, in various ways (emotional, informational, instrumental support). A good start would be helping reduce the stigma around alcohol addiction or even becoming a positive influence by providing consistent and reliable relationships for children from affected families.
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Movement and hardware content selection for exergame development
Andrej Kocjan
University of Primorska, Faculty of Education, Koper, Slovenia
University of Primorska, Faculty of Health Sciences, Izola, Slovenia
email@example.com
Abstract
Introduction: A trend of spending leisure time in front of various screens is widespread among children and adolescents. Prolonged sitting, low level of local muscular endurance, and playing video games are some of the risk factors for low back pain among children and adolescents. In order to motivate children to be regularly active, exercise video games (exergames) have appeared on the market. The aim of this paper is to review the literature on movement content to increase spine stability and hardware options for effective motion tracking. In order to determine the game content more accurately, the second aim was to evaluate the correlation between maximum trunk strength (in the lateral and frontal planes) and the performance of the lumbar stability test.
Methods: We focused on Pubmed database, where we searched for articles published since 2010. The correlation study included 9 subjects (age $20,4 \pm 6,1$, height $178,8 \pm 6,1$ cm, weight $70,8 \pm 13,5$ kg) who were physically active 3 times per week. We used Spearman coefficient for correlation analysis.
Results: 40 articles were included in the analysis. Maximal trunk strength in sagittal and frontal planes did not significantly correlate with total CoP area ($r < 0,10$, $p > 0,79$). In general, researchers agreed that a successful preventive-curative approach to manage low back pain consists of several phases. In reviewing the hardware, the researchers stressed the importance of motion tracking with marker-less sensors, as their validity in performing simple movements is comparable to the gold standard.
Key words: physical activity, exergames, sedentary behaviour, low back pain, children
Introduction
A sedentary lifestyle and physical inactivity are well-known trends in developed countries. In 2011, a study including nearly 300,000 participants from 76 different countries showed that 1 out of 5 people did not meet the minimum level of physical activity (Dumith et al., 2011). Just four years later, in 2015, the World Health Organisation revealed that about one third of the world’s population aged 15 years or less did not meet the minimum requirements of 1 hour of moderate to high intensity physical activity per day (WHO, 2020). The SARS-CoV-2 virus, responsible for COVID-19 disease, spread worldwide in 2020, causing a global pandemic. The population that has been particularly affected by the pandemic are children and adolescents. Reduction in physical activity during the pandemic could have adverse effects, as regular physical activity prevents the occurrence of several diseases such as obesity, cardiovascular disease and lower back pain (LBP) (Rubin, 2007).
LBP is a global health problem experienced by 50–80% of adults (Rubin, 2007). In approximately 20% of the population, pain develops into chronic LBP (Maher, etc., 2017). Unfortunately, LBP often starts in childhood and the prevalence in adolescents is similar to that in adults (Leboeuf-Yde and Kyvik, 1998). The trunk plays an important role in both elite sport and everyday life. The effectiveness of multi-joint movements depends on the efficiency of force transfer between the body segments. Kicking, throwing and lifting are examples of multi-joint movements in which an adequate level of stability of the spine is essential for the transfer of energy from the trunk to the arms or legs. Stability is the ability to control the joint position and depends on the effective interaction of the passive, active and nervous system (Panjabi, 1992). Exercise is an important factor in maintaining a healthy lifestyle and is important for treating several diseases, including LBP (Hurley et al., 2011). Several studies have shown improved muscle strength, local endurance and patterns of muscle activation after exercise intervention (Magnusson et al., 1996; Pedersen et al., 2004; Kocjan and Sarabon, 2020). For the treatment of LBP, exercise has been shown to be more effective than non-exercise-based interventions (Searle et al., 2015). Due to multifactorial nature of LBP the training content should include exercises that improve coordination, aerobic capacity, strength and local endurance (Owen et al., 2020; Gordon and Bloxham, 2016).
Video games with moving content (exergames) represent one way to improve movement activity among children and adolescents. Studies have shown the impact of playing such games on psychological abilities, physical activity in overweight people (Höchsmann et al., 2016; Andrade and Correia, 2019) and balance performance in older adults (Fang et al., 2020). Exergame systems such as Xbox and Kinect are becoming increasingly popular where a new type of entertainment could promote physical activity (Sween et al., 2014).
The aim of this paper is to review scientific literature on the field of motion tracking technology and exercise protocols to reduce the risk of LBP. The
second aim is to evaluate the relationship between maximum trunk strength and the performance of the stability test.
**Methods**
*Subjects:* The literature review included subjects between 10 and 65 years of age. The relationship study involved 9 subjects (20.4 ± 6.1 years, 178.8 ± 6.1 centimeters, 70.8 ± 13.5 kilograms). Subjects with LBP and/or musculoskeletal disorders were excluded from the study. Before the study all subjects signed the informed consent.
*Article selection process:* The review was carried out in the PubMed database. We focused on articles published since 2010. The search key relating to the hardware contained the following keywords: (“motion” OR “movement” OR “exercise”) AND (“capture” OR “video analysis” OR “tracking”) AND (“system” OR “technology”). The search key related to movement therapy contained the following keywords: (“low back pain”) AND (“exercise” OR “training” OR “kinesiotherapy”) AND (“program” OR “intervention”).
*Trunk strength and stability assessment:* Postural control was evaluated with unstable sitting test, where we measured the center of pressure (CoP) area. Participants sat on an unstable hemi-sphere (radius = 22 cm; height = 18 cm) with arms crossed over their chest and their feet rested on a surface that was a part of the hemi-sphere. The hemi-sphere was placed on the force plate (Kistler, 9286B, Switzerland). Subjects performed 3 repetitions of 30 seconds with an intermediate 30 second break.
Maximal trunk strength was measured with multi-functional dynamometer (S2P d.o.o., Ljubljana, Slovenia). Each subject performed 3 maximal isometric contractions in direction of trunk extension and lateral flexion to the right.
*Statistical analysis:* Maximal force was evaluated as the peak value within one second time interval. An average of three repetitions was included into the further statistical analysis. The normality of the data distribution was verified with Shapiro–Wilk tests. Spearman coefficient was used to analyse the correlation between the variables. The level of statistical significance was set to p < 0.05. Statistical analyses were done in SPSS (SPSS statistics 19, IBM, New York, USA).
**Results**
The final review included 15 (hardware) and 25 (movement therapy) articles (Figure 1). Overall, the researchers agree that a successful LBP program consists of several phases (Mcgill, 2007). It seems that local muscle endurance plays a key role in LBP prevention and is superior to maximal strength. Our study did not show a significant association between the maximal strength in sagittal plane, frontal plane (Figure 2) and the CoP area ($\rho = 0.100$; $\rho = 0.789$, $\rho = 0.033$; $p = 0.932$, respectively).
Regarding the motion tracking sensor, Microsoft Kinect V2 is an affordable, valid and reliable tool and it provides a solution which tracks gross body movements.
**Figure 1:** Diagram of selecting systematic reviews for the study
**Figure 2:** Relationship between trunk strength (sagittal plane (A), frontal plane (B)) and the center of pressure area during unstable sitting on a wobble board
**Discussion**
The literature review of managing LBP with movement therapy highlights the importance of a multi-stage approach, with education and the development of local muscle endurance at the forefront. Motion capture sensors without markers are an easy and affordable alternative to more expensive and complex systems.
The most important factor in the development of an exergame is the need to make the game attractive to players and at the same time effective as an exercise. The introductory part of the treatment program consists of a patient’s education, where she/he learns functional anatomy (Figure 3), harmful movements, protective techniques during handling loads and relieving positions. In the second part, patients learn to perform movements in lumbar spine and in hip joint. The aim of the third part is to learn the mechanism for increasing spine stability. In the fourth part, patients improve key motor abilities that increase spine stability. The fifth part represents the integration of the earlier parts, with great emphasis on improving neuromuscular coordination in conditions of instability.
*Figure 3: Animation of functional anatomy in the educational part of a novel exergame*
All parts of the exercise program aim to improve the stability of the spine which is influenced by three systems. The most important role of the passive system is to limit the extreme ranges of motion. The sitting position usually increases lumbar spine flexion and stretches the passive tissues at the back of the vertebrae. Prolonged sitting caused by the pandemic is a risk factor for the development of LBP (Gupta et al., 2015). In the education part of the exergame, we inform the patient of the correct sitting postures and load handling techniques.
Trunk movements cannot be performed without the presence of the active system. The stability is first provided by deep trunk muscles, while the superficial muscles are primarily engaged during large movements of the spine. Several studies have shown changes in muscle activation of trunk muscles in people with LBP compared to healthy subjects (Cholewicki et al., 2005; Carpes et al., 2008). There are little prospective studies regarding the effect of maximal trunk strength on the incidence of LBP and their findings are contradictory (Lee et al., 1999; Cho et al., 2014). Literature highlights that the maximum hip strength is superior to the maximum trunk strength for LBP prevention (Coyle et al., 2021; Alsufiany et al., 2020). Furthermore, decreased local endurance of trunk muscles and impaired trunk strength ratio in sagittal plane represents a risk factor for future LBP (Biering-Sorensen, 1984; Lee et al., 1999). The latter suggests that local muscle endurance has a significant impact on the spine health which is in line with recent studies (Pilz et al. 2020). In addition, the exergame content regarding the volume/intensity of trunk flexors and extensors should be well balanced. Isolated maximal trunk strength and endurance of trunk muscles (assessed by the Biering-Sorensen test) are not significantly correlated (Conway et al., 2016). The latter indicates the importance of pelvic muscles in controlling the pelvic position and consequently the lumbar region of the spine. In a novel exergame it will be important to include exercises to strengthen the entire kinetic chain and not just individual muscle groups. The third subsystem, the nervous system, controls muscle activity. In cases where perturbations affect the spine, the human body automatically ensures spine stability. Reflex postural adjustments are the reactions of trunk muscles, which are important to maintain the correct position of vertebrae during unexpected trunk loading (Santos et al., 2010; Cholewicki et al., 2005). Koch and Hansel (2019) found out significant difference between healthy participants and LBP patients in the CoP sway during upright standing in situations with higher postural demands. This indicates that exercises should be performed in conditions of instability.
In order to successfully carry out an exercise intervention by playing an exergame, it is essential that information received by the therapist/coach from the device is valid and reliable. The current gold standard for non-invasive motion capture is radiography, which measures bone movement via X-rays (Kessler et al., 2019). Systems that track human motion with markers placed on specific anatomical locations are the best approximation to the gold standard. Movement tracking based on markers is risky due to errors in the setting of markers, and their installation is time-consuming, which is an important obstacle in clinical or sporting environments (Gorton and Hebert 2009; Whittle, 1996). On the other hand, systems without markers such as Microsoft Kinect, Intel Realsense and StereoLabs Zed have been developed, which are supposed to accurately detect body segments during movement. Investigators performed
validation studies mainly in the field of walking and body posture, while fewer studies have assessed accuracy during more complex multi-joint movements (Ma et al., 2018). Although the time-spatial variables of motion capture systems without markers appear to be equivalent to systems with markers, the movement accuracy of some joints is not good enough (Wade et al., 2022). After we reviewed several possibilities, we decided to use Kinect V2 sensor to track movement in our exergame. The Kinect V2 proved to be a valid and reliable sensor for motion tracking in an exergame (Ma et al., 2018).
Our study has some limitations. Since the stability is influenced by several factors, the interpretation of results based on one test is questionable. In addition, the sample of subjects in the correlation study does not allow generalisation to the general population.
**Conclusion**
The COVID-19 pandemic and a sedentary lifestyle have caused a decrease in regular physical activity in children and adolescents, which increases the risk of LBP. Since children and adolescents spend several hours in front of various screens, a well-designed exergame represents a new motivational approach to regular physical activity. The content of a novel exergame should improve patients’ education and local muscle endurance, and gross body movements should be tracked by a reliable markerless system (Microsoft Kinect V2).
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Nutrition for healthy term infants and the role of gut microbiota
Katja Kramberger, Katja Bezek
University of Primorska, Faculty of Health Sciences, Izola, Slovenia
firstname.lastname@example.org; email@example.com
Abstract
Introduction: Nutrition in the first year of life plays an important role in the child’s development, directly through the intake of nutrients, as well as indirectly by influencing the composition of the gut microbiota. Improper diet already at the very beginning can significantly affect the onset of metabolic and other chronic diseases in children and adolescents. Moreover, this period is crucial also for the development of taste and eating habits.
Methods: A narrative review of the literature in the world databases and currently valid guidelines in the Republic of Slovenia was made. The analysis included studies examining the impact of diet and gut microbiota on health in the first years of life.
Results: The presence of microorganisms in the placenta and meconium indicates the first contact of the digestive tract with the microbiota already during pregnancy. Extensive colonization occurs during birth and in the first months of life, while the development and maturation of the microbiota is strongly influenced by the factors such as gestational age, mode of delivery, diet, environment, and antibiotic treatment. The composition of the gut microbiota in the first year of life is very uniform and individually specific and develops toward an adult-like structure between the age of three and five. Among the important factors influencing the composition of the gut microbiota is also the introduction of complementary foods (CFs). Current guidelines recommend that CFs should be introduced gradually after the age of six months. The introduction of CFs before the age of 17 weeks can lead to obesity, respiratory disorders and eczema in later childhood. With the later introduction of CFs (five to seven months), there is a risk that the energy value of nutrients in breast milk or infant formula is no longer sufficient for the baby’s rapid development.
Discussion and conclusion: Diet and its indirect influence on the composition and abundance of the gut microbiota are one of the most important factors influencing
metabolism, resistance to infections and development of the immune system. Thus, by choosing an appropriate diet in the early childhood, we can significantly contribute to health later in life.
Keywords: infants, nutrition, gut microbiota, health
Introduction
An increasing amount of scientific evidence shows the importance of diet during early infancy. Fetal development and infancy are life stages that are characterized by rapid growth, development and maturation of organs and systems. Variation in the quality or quantity of nutrients consumed by mothers during pregnancy, or infants during the first year of life, can exert permanent and powerful effects upon developing tissues. These effects are termed ‘metabolic programming’ and represent an important risk factor for non-communicable diseases of adulthood (Langley-Evans, 2015). Thus, diet in early infancy has a key role on growth pattern and development but is also important for the generation of lifelong flavour preferences and dietary habits that will influence mid- and long-term health (D’Auria et al., 2020). For instance, evolutionary driven preferences for sweet and salty tastes can be modified by repeated early exposure to the taste of some vegetables which enhances liking for those vegetables with effects persisting up to 6 years later (Fewtrell et al., 2017).
Nutrition of infants is divided in three periods: exclusive dairy diet (breast milk or infant formula), introduction of complementary foods (CFs) and transition to modified family diet. Exclusive breast-feeding (EBF) as defined by the World Health Organization (WHO) means that the infant receives only breast milk and no other liquids or solids except for drops or syrups consisting of vitamins, mineral supplements, or medicines (World Health Assembly, 2002). The term complementary feeding (CF) describes a period in which there is a gradual reduction of frequency and volume of breast milk or formula together with the introduction of CFs. This period is important in the transition of the infant from milk feeding to family foods and is necessary for both nutritional and developmental reasons (Dipasquale & Romano, 2020). Available literature data show increasing interest and concerns about the impact of CF timing and modality on the onset of later non-communicable disorders, such as overweight and obesity, allergic diseases, celiac disease, or diabetes (Dipasquale & Romano, 2020). Moreover, nutrition early in life was recognized as a strong determinant of the children gut microbiome assembly and maturation (Lim et al., 2016). This highly modifiable and adaptive system of bacteria, viruses, fungi, protists and other microorganisms reversely affects the host in multiple complex ways (Subramanian et al., 2015). Various epidemiological studies have shown a correlation between factors disrupting the gut microbiota during childhood on the one hand and immune and metabolic disorders in adulthood on the other.
The aim of our study was to present the currently valid guidelines on nutrition for healthy term infants and to review the recent articles regarding the influence of nutrition on gut microbiota and development of diseases later in life.
**Methods**
A narrative review of scientific and professional literature was performed using the world databases such as PubMed and websites of professional organizations. The keywords used in the search were: infants, nutrition, breast-feeding, complementary feeding, recommendations, gut microbiota, health, and their combinations. Inclusion criteria were English language articles published after 2000, with available full text and the appropriate content. Altogether 30 articles are presented in this narrative review.
**Results and discussion**
*Breastfeeding or formula feeding*
Human milk not only provides the perfectly adapted nutritional supply for the infant but also plays a crucial role in promoting healthy growth and development (Mosca & Gianni, 2017). The WHO recommends that infants are exclusively breastfed up to the completion of 6 months, with breastfeeding continuing to be an important part of the diet until the infant is at least 2 years old (World Health Assembly, 2002). EBF by a healthy mother can meet the nutrient requirements of healthy-term infants for most nutrients for approximately 6 months, although the lack of evidence from randomized clinical trials suggests that it is not certain whether this applies to all mothers and infants. Some infants may require additional energy or iron before 6 months (Fewtrell et al., 2017). Advances in research have clearly indicated several short and long-term health benefits associated with breastfeeding (Mosca & Gianni, 2017). A systematic review published in 2016 indicates a strong protective effect of EBF during the first 6 months against infectious diseases, with an 88% reduction of mortality in comparison to infants that have never been breastfeed (Victora et al., 2016). Compelling evidence indicates a major protective role of breastfeeding with regard to the risk of gastrointestinal (GI) and respiratory infections, including hospitalization due to these diseases (B. L. Horta et al., 2013). Among the long-term health outcomes, longer exposure to breastfeeding is associated with 35% reduction of the risk of developing diabetes type II (B. L. Horta et al., 2015a). Breastfeeding seems to exert a protective effect against obesity development in later life, while formula feeding seems to favour high weight gain (B. Horta et al., 2013). Furthermore, consistent evidence indicates that breastfeeding is associated with positive cognitive outcome. Specifically, the intelligence quotient in ever breastfed infants has been reported to be 3.4 points higher than that of never breastfed infants (B. L. Horta et al., 2015b).
Complementary feeding
According to the WHO definition, the introduction of CFs is needed to ensure optimal energy and nutrient intake when “breast milk alone is no longer sufficient to meet the nutritional requirements in terms of energy and nutrients of infants” (World Health Assembly, 2002). Based on the available evidence, current guidelines recommend that CFs (solids and liquids other than breast milk or infant formula) should not be introduced before 4 months (17 weeks) but should not be delayed beyond 6 months (26 weeks). GI and renal functions are sufficiently mature by approximately 4 months to enable term infants to process CFs, and by 4 to 6 months they will have attained the necessary motor skills to cope safely with CFs (Fewtrell et al., 2017). The introduction of CF is this time frame is also regarded as the most appropriate in terms of health outcomes. Conversely, the introduction before the age of 17 weeks is associated with greater risk of obesity and adoption of unhealthy eating habits (D’Auria et al., 2020). There may also be an increased risk of allergy if solids are introduced before 3 to 4 months. There is, however, no evidence that delaying the introduction of allergenic foods beyond 4 months reduces the risk of allergy, either for infants in the general population or for those with a family history of atopy (Fewtrell et al., 2017).
Infant’s gut microbiota
Until recently, it was widely believed that the microbial colonization of the GI tract begins during and immediately after birth. However, the detection of bacteria in placental tissue and meconium suggests the first contact of the GI tract with the microbiota already during pregnancy (Aagaard et al., 2014). More extensive colonization of the GI tract then occurs during and after birth, while development and maturation of the microbiota are strongly influenced by various factors such as gestational age, mode of delivery (vaginal birth vs. birth by caesarean section), nutrition (breast milk vs. milk formula), environment, and antibiotic treatment (Zhuang et al., 2019). Among these factors, vaginal delivery and breastfeeding were found to positively modulate the composition of the gut microbiota, while both contribute to an enrichment of beneficial bacterial strains such as *Bifidobacterium* (Martin et al., 2016). Moreover, higher abundance of potentially pathogenic and proinflammatory *Klebsiella* and *Enterococcus* in infants born with caesarean section may imply a higher risk of immunological disorders and risk of infections (Reyman et al., 2019). In addition, pregnancy outcome and child development may also be influenced by the microbial compounds and metabolites of the maternal microbiota (Romano-Keeler & Weitkamp, 2015). The gut microbiota of the newborn is therefore characterized by a high inter-individual diversity, which is generally low in the first year of life, changes very rapidly and is shaped toward an adult-like between the age of 3 and 5 (Koenig et al., 2011).
Effects of nutrition on infant’s microbiota
Breast milk is widely accepted as the nutritional gold standard for infants, with recommended EBF for the first 6 months (World Health Assembly, 2002). In addition to the essential nutrients, the breast milk contains complex microbial community, that is not aleatory assembled (Drago et al., 2017). As shown by Biagi et al. (2018), different types of microbial communities in milk are associated with features in the infant’s gut and mouth ecosystems, such as high relative abundance of the most important probiotic group of bifidobacteria. Additionally to the intrinsic health-promoting effects of milk itself, feeding directly from the breast can contribute to the preterm infant’s microbiome assembly (Biagi et al., 2018). However, the breastmilk composition is adjusted to the needs of the new-born and is changing over time e.g., colostrum is rich in human milk oligosaccharides (HMOs), while mature milk contains greater amounts of proteins (Bode, 2012). HMOs represent one of the most abundant bioactive molecules in human milk known to stimulate the growth and colonization of beneficial gut microbiota species and suppress the growth of opportunistic pathogenic species (Newburg et al., 2005). While the gut microbiota of breastfed infants is characterized by the higher counts of bifidobacteria and lactobacilli and lower levels of potential pathogens, the gut microbiota of formula-fed infants is associated with a more diverse gut microbiota that is dominated by *Staphylococcus*, *Enterococcus*, *Bacteroides*, *Clostridium*, enterobacteria, and the genus *Atopobium* (Martin et al., 2016). It was also shown that breast milk in the case of EBF infants may provide the gut microbiome with a greater plasticity that eases the transition into CF (Thompson et al., 2015). The last induces the development of a mature microbiota with genes responsible for complex carbohydrate, starch, and xenobiotic degradation as well as vitamin production (Koenig et al., 2011). Although the introduction of solid foods is a major event in the first year of life, it is little known to what extent the choice of specific foods or the diversity of introduced foods influence microbial community diversity, structure, and taxonomy in the gut (Homann et al., 2021). Mainly the introduction of solid foods has been associated with changes in phyla abundances, especially an increase in *Bacteroidetes* (Koenig et al., 2011). However, some study results suggest that the introduction of solid food does not appear to result in a profound shift in microbial community structure as long as breastfeeding is continued (Galazzo et al., 2020).
The role of gut microbiota in infant’s health
Gut microbiota was recognized as an important determinant of the GI, immune and central nervous system (CNS) development. Therefore, an early life as a critical period for microbial colonization can affect not only the infant’s health but is also profound for wellbeing further in life (Yao et al., 2021). While an early life is a period of fast brain development, the gut microbiota metabolites (e.g., short-chain fatty acids and lipopolysaccharides) are one of the most important components that pass directly through epithelial cells and can regulate the development of the brain and CNS. Therefore, the disturbances in the assembly and maturation of the gut microbiota may impact development of motor, social, and cognitive function (Diaz Heijtz, 2016). Furthermore, after birth infant microbiota shape innate and acquired immunity and may have a profound impact on the structure and function of the immune system e.g. (i) low diversity and bacterial density may cause an impaired stimulation of secretory IgA that can result in a reduced mucosal barrier function; (ii) bacterial diversity was inversely associated with allergic sensitization; fecal microbiota transplant from normal weight infant to germfree mice showed greater villus height and crypt depth, as well as higher proliferating cells in the ileum than recipients of low-weight infant microbiota (Ximenez & Torres, 2017). Based on the data supporting the correlation between microbiota colonization and disease onset, there is also a great overall impact on long-term health. However, the specific influencing factors and mechanisms need to be further explored.
Conclusions
Nutrition in the first years of life is one of the most important factors that can significantly affect the wellbeing, development and health of the child. The first years of children’s life are also recognized as an important factor in the development of a healthy gut microbiota. Based on this literature review the protective role of breastmilk against numerous diseases such as diabetes and obesity, was noted. Moreover, there are different microbial colonization patterns of the gut between breastfed and formula-fed infants, with the latter achieving an early divergence toward an adult-like microbiota composition. However, findings support the current WHO recommendation for exclusive breastfeeding during the first 6 months with continued breastfeeding until at least 12 months. To sum up, while the infants gut microbiota effects both infant health and long-term health, it is important to follow the nutritional guidelines in order to establish its favourable composition.
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Parent awareness about the onset of febrile seizures and fever
Rebeka Kuzelj\textsuperscript{1}, Katarina Merše Lovrinčević\textsuperscript{2}, Tjaša Hrovat Ferfolja\textsuperscript{3}
\textsuperscript{1}Health Clinic Koper, Outpatient Department for Children and Schoolchildren, Koper, Slovenia
\textsuperscript{2}University of Primorska, Faculty of Health Sciences, Izola, Slovenia
\textsuperscript{3}School Centre Nova Gorica, Grammar and Secondary School of Health Sciences, Nova Gorica, Slovenia
firstname.lastname@example.org; email@example.com; firstname.lastname@example.org
Abstract
Introduction: Many parents believe that a body temperature of 39.0°C is harmful, puts their child at risk, and must be reduced immediately. But fever is merely a symptom, not a disease. In fact, it is essential for a child to successfully recover from their disease. Febrile seizures, which are the most common type of convulsions among children, often raise concern among parents since they resemble epileptic seizures. It is important to raise awareness among parents about the different stages of fever, the positive and negative effects of fever, and the methods used to reduce fever. This knowledge is the key to the successful prevention and treatment of febrile seizures. Aim of the research was to determine the level of parents' awareness, knowledge, and reactions to febrile seizures. Methods: We conducted a quantitative empirical study based on data collection. The data was acquired by means of a questionnaire, which was drawn up following a literature review. The research sample included 50 randomly selected parents. Results: Upon analyzing the results, we found that parents are relatively well acquainted with the occurrence of fever. Most are familiar with the different methods of reducing fever, but more than half of them start reducing it too early, which ultimately prevents the body from fending off the disease on its own. Our study focused on parents' familiarity with febrile seizures. The results indicate that only 10% of parents participating in the study would turn their child on the side during a febrile seizure, and that only a small percentage would administer oral medications to their child during a febrile seizure. Based on the data acquired, we conclude that parents are well acquainted with the symptoms of febrile seizures and that they would immediately recognize its onset. Raising concern is the finding that 54% of parents participating in the study claim that the outpatient department for children and schoolchildren failed to provide any information on febrile seizures. Discussion and conclusion: Fever and
its effects can be a source of anxiety for parents their entire childhood. Much of the available information on fever is non-fact-checked and incomplete, which may stir confusion among parents. Such information should be provided to parents by healthcare professionals, who are also professionally trained in health care education. Parents mostly trust healthcare professionals and are quick to rely on their guidance. In-depth knowledge and awareness can facilitate encounters with febrile seizures for parents, since it makes it easier for them to recognize the onset of the condition and reassures them such convulsions are not life-threatening. Healthcare professionals should be the most reliable source of information for parents; however, it is vital that healthcare professionals are able to provide the key information and choose the most suitable method of passing it on.
Keywords: fever, febrile seizures, parents
Introduction
The average (normal) body temperatures for children vary, depending on many factors, including the child’s age, daily activity levels and given the time of the day. Infants tend to have higher temperatures than older children. In addition, fever is an important part of the body’s defense against infection and viral disease. Thus most mild fevers do have a beneficial effect, it might happen that a child with a fever may become more uncomfortable as the temperature rises and it can make children feel foggy and tired (American Academy of Pediatrics, 2015). Moreover, increased body temperature is a symptom, certainly not a disease. It actually stimulates the body’s immune and protective response, and at the same time it is an important part of the body’s defence against infection or disease (Herlihy, D’Acremont, Burgess in Hamer, 2016). Like other forms of inflammation or infection, a fever enhances the innate immune defence and is beneficial for the organism as it strengthens the inflammatory response and the functioning of the overall immune system. In addition, it also reduces the formation of toxic substances and it plays a significant role in certain infections by inhibiting the production of certain microorganisms. It also supports the immune system’s attempt to gain advantage over infectious agents, such as viruses and bacteria, it helps the immune cells to work better and makes the body less favourable as a host for replicating viruses and bacteria that are temperature sensitive. Also, it increases the rise of antibiotic resistance and improves the binding of iron into cells which inhibits the growth of bacteria (Strgar, 2019). It is not recommended to immediately or suddenly lower the elevated body temperature as a sudden and extreme change in temperature can have a negative effect on the course of the disease. Children with a healthy heart and a stable blood flow can easily tolerate even extreme temperatures as high as $40^\circ$C. Adults should start to bring a child’s fever down when their body temperature exceeds $38.5^\circ$C. When there is a child, who is subject to febrile seizures (febrile convulsions), we should start lowering his elevated body
temperature already between 375 °C and 38 °C (Nase, 2016). Immediate action is needed in the case of a child having an epileptic seizure, when a child is in the shock-like state, after a surgery and if a child has a weakened heart. If the core temperature continues to rise dramatically, it can harm and thus deteriorate our cells (Pediatrična klinika Ljubljana, b. d.).
Young children between the ages of about 6 months and 6 years old are the most likely to experience febrile seizures, caused by elevated body temperature. The latter are most commonly observed in children between 14 and 18 months of age. The phenomenon of febrile seizures continues building up in the first few hours (American Academy of Pediatrics, 2017). Febrile seizures or convulsions are the most common form of cramps that occur in young children, affecting 2–5 % of them. They take place when fever is not lowered properly. These incidents may frighten parents as they are very similar to epileptic seizures (Capovilla, 2009). The fact is that febrile seizures might be life threatening for a child. Febrile seizures are particularly dangerous for children who suffer from associated cardiovascular diseases, given that elevated body temperature makes the heart beat faster (National Institute of Neurological Disorders and Stroke, 2020). In many situations, parents are the ones who are the first to see their child suffer from febrile seizures and at a time like this, knowledge is essential to help identify the first signs when febrile seizures occur and appropriate care needs to be given as soon as possible (National collaborating centre for women’s and children’s health, 2019). It often happens that parents’ action is inadequate and useless as they are overwhelmed with emotions, worry and fear when they see, for the first time, their own child having a febrile convulsion. A lot of parents often state that it was the worst day ever to see their child completely unresponsive. The healthcare team is the one responsible for providing all relevant information to the parents of a child in a situation like this and at the same time offer them knowledge, practices and first aid measures regarding febrile convulsions. Immediate medical attention, further hospital treatment and medical observation are often necessary (Cantrell, 2011). When febrile seizures begin, there is nothing you can do to make the seizure stop. The most important thing, in a situation like this, is to stay calm and focused and to protect your child from possible bumps, falls and other injuries that might occur during a seizure (Victorio, 2020). The objective of the here-with research was to describe febrile seizures and the occurrence of fever and above all, to determine the level of parents’ awareness with respect to febrile seizures. In addition, we were interested in finding out how parents deal with the child’s fever and febrile seizures. Finally, we also wanted to know what information sources most contributed to their knowledge and about the quality of the information in their possession.
Methods
For the purpose of this research we decided to conduct a quantitative empirical study based on data collection. The data was acquired by means of a questionnaire, which was drawn up following a literature review and adopted accordingly to the needs of our research (Miklič, 2010). In order to carry out the survey, we contacted the head nurse of the pediatric clinic and she then invited us to an interview. Before conducting the interview, we had to obtain the consent from the Pediatric Division at the Community Medical Center Ilirska Bistrica. After being given all the necessary consents, we handed over the questionnaire, containing all the survey questions, to the medical team working at the children’s department of pediatric medicine. The questionnaires were then distributed to parents during the children’s preventive and curative examinations or treatment. For the purpose of theory elaboration, a descriptive method of work was adopted in order to perform a systematic domestic and foreign literature review. The data we were able to obtain from the questionnaire above mentioned were further processed with the help of the following computer tools: Microsoft Office Excell and Microsoft Office Word and the 1KA Application. The research sample included 50 randomly selected parents. Non-random sampling was the sampling technique used in order to make the sample selection based on factors other than just random chance. 16 % (8) of men and 84 % (42) of women took part in the survey as interviewees or survey respondents.
Results
Upon analyzing the results of the above mentioned questionnaire, we found that parents are relatively well acquainted with the occurrence of fever in a child. Moreover, it was discovered that there is only one parent (2 %) who lowers the fever incorrectly. Most are familiar with the different methods of reducing fever, but only 15 (30 %) of them use them in the most suitable or appropriate combination. For the treatment of fever in children, 26 (52 %) of parents participating in the study would administer rectal suppositories and syrup as fever reducers for children. Only 14 % of parents taking part in the survey in question would break their child’s elevated body temperature safely with a lukewarm bath or shower and cold compresses or tepid sponging.
Furthermore, it was also established that more than half of them (50 %) start reducing fever too early, which ultimately prevents the body from fending off the disease on its own. In order to break the fever, many parents (22 %) decide to lower the child’s elevated body temperature when it exceeds 38,0 °C. More than a quarter (28 %) of all surveyed parents know when it is best to start taking a fever down. Table 1 shows the parents’ responses as far as the right time to start taking a child’s fever down is concerned.
Table 1: The beginning of bringing a child’s fever down
| Body temperature (°C) | Number | Share/Percentage |
|----------------------|--------|-----------------|
| I do not bring body temperature down | o | o |
| 36,0–37,5 | o | o |
By raising a question of how parents should respond to a child having febrile seizures, we wanted to establish the level of their awareness when it comes to taking action when the above phenomenon occurs. Multiple replies were possible. The answers we got from the parents are shown in table 1. The fact is that 32 parents (64%) would call for a medical emergency in the event of febrile seizures. Only 5 parents (10%) would do the right thing and thus turn their child on the side during a febrile seizure and only 3 (6%) parents would let febrile seizures to stop themselves. Poorly informed parents (14%) would administer oral medications to their child as soon as a febrile seizure takes place. 14 parents (28%) would handle the situation in an improper way by trying to bring a child’s fever with tepid sponging.
**Discussion**
In the herewith research, a special focus was placed on knowledge and awareness regarding febrile seizures. Among parents, participating in the study, 10% are the ones who have experienced their child having febrile seizure on one occasion, which was more than expected considering such a small case sample. From the data we had collected, we found that the majority of parents (64%)
would in the event of febrile seizures – immediately call for emergency medical assistance, which is particularly necessary if febrile seizures occur for the first time (Neubauer, 2002). The results indicated that only 10% of parents participating in the study would turn their child on the side during a febrile seizure, and this piece of information was not expected at all. In addition, we were also surprised to learn that 14% of parents participating in the survey would administer oral medications to their child, in the child’s mouth, during a febrile seizure. Such a conclusion suggests that 14% of parents, taking part in the study in question, have no idea whatsoever what in fact a febrile seizure looks like and what happens during this phenomenon. Only 6% of parents are not afraid if they found themselves in front of febrile seizures as they firmly believe they would take the right measures to help their child.
We also need to mention certain limitations as far as the research is concerned – a small sample size of the parents participating in the study. Our findings demonstrate that a sample of parents taking part in such a research should be extended in order to be able to improve the quality of the research work and to be able to gather more detailed findings. Another limitation is that we were not personally present, by not being made available to them while the questionnaire was being completed, for the interpretation of possible ambiguities when addressing the questionnaire. The fact is that there was a number of questions having multiple possible answers. However, it might have been better for each question to have only one possible answer. Finally, this study could be improved by comparing the answers we obtained with the answers given by other parents in several other institutions, perhaps also by making a comparison among various Slovene places and municipalities.
**Conclusions**
Parents are faced with fever their child is struggling with throughout their entire childhood. They often wonder what to do and how to handle the situation when their children have fever. Because they are anxious and concerned, in most cases parents turn to the child’s doctor (pediatrician), whom they trust and rely on their guidance, so that they can raise questions to them regarding fever, since it is they who should already have the way of knowing and having all the answers to these questions. Parents should be aware of the fact that there is a lot of information that is easily available on the Internet about different medical conditions, as well as about fever and febrile seizures. However, much of the available information on fever is non-fact-checked and incomplete, which may stir confusion among parents. Such information should be provided to parents by healthcare professionals, who are professionally trained in health care education. Parents mostly trust healthcare professionals and are quick to rely on their guidance.
The fact is that healthcare professionals are professionally trained and thus qualified also in the field of health education. What is more, in addition to the theoretical knowledge that the healthcare professionals hand over to parents, it might be also useful to introduce practical examples and talk about life events to parents as well. We believe that during preventive examinations of children, programmes of parenthood preparation and community nursing services when a registered nurse comes to visit her patients at home, it would be more than reasonable to address fever, and in particular the occurrence of febrile seizures.
In-depth knowledge and awareness can facilitate encounters with febrile seizures for parents, since it makes it easier for them to recognize the onset of the condition and at the same time it reassures them such convulsions are not life-threatening. Moreover, knowledge and subsequent recognition of the pathological phenomena can help parents reduce the level of stress, anxiety and fear they might experience in such circumstances. Therefore, we firmly believe that healthcare professionals should be the most reliable source of quality information for parents. However, it is vital that even healthcare professionals are able to provide the key information to a child’s parents and at the same time choose the most suitable method of passing it on.
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National collaborating centre for women’s and children’s health. (2019). *Febrilish illness in children: assessment and initial management in children younger than 5 years*. Pridobljeno 10.10.2020 s https://www.ncbi.nlm.nih.gov/books/NBK247907/
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Strgar, M. (2019). *Antibiotiki, rezistenca na antibiotike, novi antibiotiki in nova odkritja*. Pridobljeno 17. 10. 2020 s https://www.zdravstvena.info/preventiva/antibiotiki-rezistenca-na-antibiotike-novi-antibiotiki-nova-odkritja.html
Victorio, M. C. (2020). *Febrile seizures*. Pridobljeno 11. 1. 2021 s https://www.msdmanuals.com/en-sg/home/children-s-health-issues/neurologic-disorders-in-children/febrile-seizures#
The impact of the environment on the distress and suicidal behaviour of children and adolescents
Meta Lavrič, Monika Brdnik, Vanja Gomboc, Nuša Zadravec Šedivy, Vita Poštuvan
University of Primorska, Andrej Marušič Institute, Slovene Centre for Suicide Research, Koper, Slovenia
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Abstract
Suicide is a serious public health problem, with adolescents being one of the vulnerable groups for suicidal behaviour. This paper provides an overview of environmental risk and protective factors for suicidal behaviour in adolescents, focusing on the importance of peers, the school environment, the wider community and the media. For each of the factors described, the potential for preventive interventions to reduce the risk of suicidal behaviour in adolescents is also presented. Due to the complexity of suicidal behaviour, preventive interventions need to be carefully planned and adapted to an understanding of the specifics of adolescence as a developmental stage. Through the factors described, each of us can contribute to the prevention of suicidal behaviour in adolescents by talking about these issues appropriately, reporting on them appropriately, and empowering young people to resolve distress and seek help by creating a safe and receptive environment.
Keywords: suicidal behaviour, adolescents, risk factors, protective factors, preventive activities
Introduction
Suicide is a serious public health problem; every year, around 800,000 people die by suicide (WHO, 2021a), i.e. one person every 40 seconds (NIJZ, 2020). In Slovenia, about 400 people die by suicide every year, but a significant decrease in the suicide rate has been observed for several years (SURS, 2022b). The suicide rate (number of deaths by suicide per 100,000 people), which is usually 20, was 17.08 in 2018. This was the lowest rate since 1965, i.e. since we have been systematically recording the suicide rate in Slovenia (NIJZ, 2020).
Vulnerability to suicidal behaviour among adolescents
Although suicide rates increase with age and are highest in older age groups, adolescents are considered a particularly vulnerable group for suicidal behaviour. Suicide is one of the leading three causes of death among adolescents (SURS, 2022a; WHO, 2021a). In Slovenia, approximately 20 children and adolescents between the ages of 10 and 19 died by suicide every year in the past. In recent years, i.e. since 2005, this number has slightly decreased, but we still record about 10 suicides per year in this youngest age group (SURS, 2022b). A similar decrease can be observed in other OECD countries (Organisation for Economic Co-operation and Development), but the decline in the rate is only for boys, while there is no similar decrease for girls; there is even an increase (Roh et al., 2018).
When we talk about suicidal behaviour, we are not only talking about deaths by suicide but also suicide attempts and suicidal thoughts, which are more common among adolescents than in other age groups (WHO, 2021b). Suicidal behaviour rarely occurs before the age of 12 and is most frequent between the ages of 14 and 19 (Tančič, 2009).
Adolescence is characterised by numerous changes at the social, emotional, physical and cognitive levels (Zupančič, 2009). The adolescence is full of various demands, both external and internal, which are related to the adolescents’ developmental tasks. During this time, the adolescent has to adapt to physical changes, become emotionally independent, form a social gender role, establish new social relationships with peers, develop socially responsible behaviour, prepare for job, partnership and family, and form value orientations. The unsuccessful accomplishment of developmental tasks can lead to self-disatisfaction, disapproval by others and poorer mental health. Furthermore, unsuccessful coping with developmental tasks in adolescence can also lead to unsuccessful managing of developmental tasks later in life (Roškar, 2009).
Due to the developmental characteristics, there are many obstacles when it comes to seeking help in times of need. These obstacles are (i) self-reliance or feeling that adolescents are responsible for solving their problems, (ii) fear of professional help or believing that professionals will not help them because they do not care or do not know how to help, (iii) suicidal ideation, which include social withdrawal and fear of the reactions of those around them, (iv) shame or fear of stigmatisation; (v) unavailability of support systems, where the barrier is both insufficient availability and unawareness of possible sources of help; (vi) fear that others will misunderstand the need; and (vii) feeling that those around them are indifferent or that no one cares (Rodham et al., 2004).
Risk factors and protective factors for suicidal behaviour in adolescents
There is never just one cause of death by suicide, as different factors interact - risk factors that increase a person’s vulnerability to suicidal behaviour and
protective factors that reduce that risk. Risk factors and protective factors can be further divided into individual factors, interpersonal factors and environmental factors (WHO, 2014). Individual factors include genetic and biological factors, personality traits, problem-solving characteristics, alcohol and other psychoactive substances use, mental health problems (especially anxiety and depression), social skills, self-esteem, etc. At the level of interpersonal relationships, the family is particularly important for children and adolescents, i.e. strategies for solving problems in the family environment, the presence of conflicts, violence or abuse, the socio-economic status of the family and deaths in the family, especially deaths by suicide. At the environmental level, the influences of peers, school and the media are especially important for children and adolescents. Factors in the wider environment are also important, such as access to professional help, information about mental health, stigmatisation of mental health problems and attitudes towards suicide (Gili et al., 2019; Kim, 2021; Werbart Törnblom et al., 2020; WHO, 2014).
The more risk factors present in an adolescent’s life and the fewer protective factors present, the greater the adolescent’s vulnerability to suicidal behaviour. However, suicidal behaviour is a complex process, so we cannot completely predict which factors increase the risk of suicide the most. Each person is unique, with their life history and experiences. Individual factors may be stronger in one adolescent and have a greater influence on suicidal behaviour than in other adolescents. Therefore, it is not only the number of risk factors or protective factors that is important, but also how important each factor is for young person and what role it plays in their life. Nevertheless, knowledge of the risk factors and protective factors is important for understanding the suicidal process, as it is a necessary prerequisite for effective prevention of suicidal behaviour.
The following chapters discuss environmental factors that are an important source of opportunities for preventing suicidality in children and adolescents (WHO, 2014). The factors addressed are peers, school, the wider community and the media.
**The importance of peers regarding distress and suicidality of children and adolescents**
The influence of peers and social groups is very important during adolescence. They provide a group and support to which the young person can turn in times of need and talk about problems they do not confide in their parents. They provide an environment where a young person can develop, connect with others and prove themselves. As part of a peer society, young people are usually well connected and spend a lot of free time together (Zupančič & Svetina, 2009). Close circles of friends are one of the strongest protective factors against suicidal behaviour (Barzilay et al., 2017). In close groups, distress can be recognised earlier and appropriate action can be taken (Barzilay et al., 2017; Fiegelman & Gorman, 2008; Werbart Törnblom et al., 2020).
Peer groups, however, can be a double-edged sword. An important risk factor for suicidal behaviour in peer groups is the group’s approving attitude towards self-harming and suicidal behaviour and the display of maladaptive coping strategies in dealing with adverse life events (Fiegelman & Gorman, 2008). Conformity, belonging to a group and pressure from group members can influence the formation of specific attitudes that may contradict community attitudes and represent adolescents’ resistance to norms, regardless of whether they benefit or harm adolescents (Zupančič & Svetina, 2009). Drug and alcohol abuse in the peer group can further increase the risk of suicidal behaviour (Werbart Törnblom et al., 2020).
Young people often imitate the behaviour and problem-solving strategies of their friends (Zupančič & Svetina, 2009). This can be particularly problematic when it comes to self-harming and suicidal behaviour (Fiegelman & Gorman, 2008; Gili et al., 2019; Werbart Törnblom et al., 2020). Therefore, when a young person dies by suicide, interventions need to address their close friends and the whole school. It is important to highlight the sources of help available to young people, to show and encourage constructive ways of resolving difficulties, and to provide space for conversations (Poštuvan et al., 2020).
Protective factors are mainly good peer (and teacher) relationships, the feeling of belonging to a group and the adolescent’s feeling that peers like their presence in the group (Barzilay et al., 2017). Good peer relationships are a key factor in preventing suicidality in young people. Therefore, suicide prevention strategies must focus on connecting and building quality interpersonal relationships. Given the diverse profile of young people at risk of suicide, this is a protective factor that simultaneously improves their mental health and provides them with an additional support (Campisi et al., 2020).
The importance of the school environment regarding distress and suicidality of children and adolescents
Risk factors for suicidal behaviour in the school environment include peer violence, social exclusion and school failure. School professionals familiar with adolescents’ home environments may also be attentive to chaotic or dysfunctional conditions in which adolescents live, such as poor living conditions, chronic illness and outbreaks of violence among adolescents (Greydanus & Calles, 2007).
Risk factor related to the school environment is also academic success or failure. Studies have shown that the main stressor for most adolescents between the ages of 12 and 18 is academic performance. Stress, related to school, school success and further education increase with age. It is reported by 45.6% of twelve-year-olds and 68.9% of eighteen-year-olds. Adolescents, exposed to long-term stress, also have a higher risk of experiencing anxiety, depression and suicidal behaviour (Kim, 2020).
Particular risk factors in the school environment are different forms of peer violence: physical, verbal or social (e.g., rumours), resulting from different dynamics of peer groups. More aggressive groups may use peer violence as an activity, causing “non-members” of the group to experience or deepen feelings of anxiety through rejection, ridicule or humiliation, which can lead to a lack of feelings of acceptance and loneliness in the person who is a victim of peer violence (Fiegelman & Gorman, 2008). Victims of peer violence are at higher risk of developing self-harming behaviour, anxiety, depression, suicidal ideation, suicide attempts and death by suicide. There are gender differences in victims of peer violence and the types of violence adolescents report. Boys are more likely to report physical and verbal violence, while girls are more likely to report relationship violence. Each form of violence can increase the likelihood of suicidal ideation among victims by 28% to 39% (depending on gender and form of violence) (Barzilay et al., 2017). Peer violence is the most important predictor of suicidal ideation in girls, while severe injuries, lack of friends and participation in fights significantly predict suicidality in boys (Campisi et al., 2020).
When it comes to peer violence, both sides need to be considered - the victim and the bully, because increased suicidal thoughts do not only occur in the victims. Peer violence does not directly affect death by suicide, but it does have a significant impact on suicidal ideation. Some studies also suggest that physical violence may contribute to an increased risk of suicide attempts (King & Merchant, 2008).
Participation in various forms of physical activity at school and in extracurricular activities has a positive impact on young people’s mental health and is an additional protective factor. A good relationship with parents is also an important protective factor in adolescence. From a school perspective, this includes parents’ involvement in the child’s activities and tasks (interest in their child, participation in parents’ meetings, etc.) and from an interpersonal perspective, it includes understanding and helping to solve problems, encouraging independence, accepting the child’s opinion, being willing to talk about life and difficult issues, and caring and loving the child. The absence of traits contributes to the risk of suicidal behaviour in adolescents (Campisi et al., 2020; Barzilay et al., 2017).
The school environment can be an important protective factor for adolescents. Teachers, counsellors and other school staff can quickly recognize warning signs and changes in adolescent behaviour. When distress is identified, they can also talk to the adolescent, make them feel safe and accepted, and refer them to the appropriate sources of help (Poštuvan et al., 2020).
The suicide of young people has an impact on the whole environment in which they lived, especially the school they attended and the community in which they lived. Therefore, it is most effective when suicide prevention in the school environment address different levels and target young people as well as school counsellors and teachers. It is important to act preventively, but it is also necessary to be prepared for postvention that follows death by suicide, as this is
an effective way to prevent further deaths by suicide. The most successful prevention programmes focus on raising awareness, reducing risk factors and promoting protective factors. Programmes implemented in adolescence are particularly important because they promote developmentally appropriate skills and a support system that is maintained into adulthood. They show the greatest effectiveness when introduced in the school setting (Singer et al., 2020). The results of interventions are visible at multiple levels. Teachers and professionals recognise young people in distress earlier, know how to talk to them and can offer appropriate help more quickly, which helps to reduce suicidal behaviour in schools (Poštuvan et al., 2020; Singer et al., 2020). Young people who participate in interventions are more socially integrated, seek help earlier and express fewer self-harming behaviours and suicide attempts. These young people are also more open-minded, perceive the distress of their peers earlier and act more properly. The interventions also influence attitudes toward suicidal behaviour and help-seeking in the school environment (Singer et al., 2020).
In our country, under the UP IAM Slovene Centre for Suicide Research, the project Do You Understand (Yourself)?!, financed by the Ministry of Health, is being implemented. The project ensures a holistic approach by involving all relevant groups through cooperation with the school system. It includes training for teachers and school professionals, training for parents, prevention workshops for young people and postvention activities for schools if a young person dies by suicide (Poštuvan et al., 2020).
The importance of the wider environment regarding distress and suicidality of children and adolescents
The wider community can play an important role in increasing and decreasing the risk of suicide. This is particularly important when dealing with young people who are more integrated into the community due to the specific characteristics of the life period (e.g. mandatory schooling).
At the community level, the risk of suicidal behaviour may be increased by limited access to professional help, as most adolescents at increased risk of suicide do not receive professional support. The latter may be due to several factors, including the lack of staff to provide quality treatment to children and adolescents in need and geographical limitations (Campo, 2009), as qualified professionals may be geographically distant (Fenichel et al., 2002). The stigmatisation of help-seeking and mental health problems can also make it difficult to access appropriate professionals and services (WHO, 2014). As a result, adolescents often find it difficult to admit that they need professional help (Moskos et al., 2007). Stigmatising attitudes towards family and friends (e.g., seeking help is a sign of weakness), lack of knowledge about the characteristics of mental health problems and available sources of help can further hinder recognition of distress or help (Moskos et al., 2007; WHO, 2014).
Nevertheless, the wider community can play an important role in preventing suicidal behaviour in children and adolescents. Protective factors at the broader community level include good relationships with friends and community, cultural and community beliefs that discourage youth from suicidal behaviour, and access to proper mental health services (CDC, 2021a). Geographical limitations in accessing suitable mental health services for children and adolescents are being overcome with new technologies and internet-based services. Online counselling can be equally effective in enabling the receipt of important information, helping to protect the life of a person in need, and choosing a specialist with the appropriate skills (Fenichel et al., 2002). In addition, access to appropriate services may be related to combating stigma. A recent study (Poštuvan et al., 2019) on young people belonging to sexual minorities showed that a community that accepts and supports these young people can help mitigate the adverse effects of bullying and victimisation and consequently reduce the risk of suicidality.
Connecting children and adolescents with the wider community is an important protective factor. Good relationships and connections with people from the wider community can strengthen the adolescent’s sense of belonging to the community, which can reduce the risk of suicidal behaviour. Young people may be more motivated to find constructive solutions due to a sense of belonging, and community members may be more motivated to observe and refer a young person in distress to appropriate professional sources of help (CDC, 2021b). Therefore, for effective prevention of suicidal behaviour in children and adolescents, prevention work aimed at reducing stigma and providing information about the problem at the community level, not just at the level of those at risk, is important. Knowing sources of help and having the attitude that it is not a sign of weakness to seek (professional) support in an emergency can be extremely important (Gilchrist & Sullivan, 2006).
The importance of the media regarding distress and suicidality of children and adolescents
The media and the way suicidal behaviour is portrayed in the media may increase or decrease the risk of suicide. The risk may increase if the way suicide is portrayed in the media is inappropriate (WHO, 2017) or if a person in distress identifies with a person reported in the media who has died by suicide. A person may identify with another person because of similar personality traits, life circumstances, or because of the person’s status (e.g. the deceased was famous) (Pirkis et al., 2006). Since a famous person often enjoys the respect of the public and is perceived by people as a role model, the risk of imitating that person’s behaviour is even greater if that person dies by suicide (Samaritans, 2020). The way suicide is portrayed in the media can also increase the risk of suicide. If the type of coverage reinforces suicidal behaviour (e.g. romantic or glamorous portrayal of a person and their (attempted) suicide) or if an adolescent is exposed to more extensive reporting of suicide, the risk is higher (PirkThe latter also increases with sensationalist reporting (e.g., simplified explanation of risk factors, graphic representation of the method used) (Samaritans, 2020).
One of the vulnerable groups particularly prone to imitate the behaviour displayed in the media or suicidal behaviour are adolescents (Gould, 2001), among whom the internet and (new) media are particularly popular (Maloney et al., 2014). In particular, the content published online can have an (even) greater influence on the users of these media (Pirkis & Nordentoft, 2011). In addition to (some) inappropriate media articles about suicide, other inappropriate content is also available on the internet (e.g. chat rooms that allow discussions about suicide, websites with factual information about suicide, and websites that encourage suicidal behaviour) (Biddle et al., 2008), which can provide very explicit descriptions of methods and information on how to obtain the desired method (Pirkis & Nordentoft, 2011). The internet also enables interaction with others who are thinking about or have accepting attitudes towards suicide, and young people are among the groups most frequently exposed to such and similar content (Dunlop et al., 2011).
Although the risk of imitating a suicide is higher if the person who died by suicide was real (i.e. it was not a fictional character from a series or movie) (Pirkis & Nordentoft, 2011), adolescents tend to imitate the suicidal behaviour of a fictional person (Pirkis & Blood, 2010). A recent study (Bridge et al. 2020) confirmed the link between the release of the television series *13 Reasons Why*, which focuses on a 17-year-old girl death by suicide, and the rise in suicides among American adolescents. Because of their similar age and similar problems, some adolescents who watched the series found it easier to identify with the main character of the series and, in certain cases, to imitate her suicide (Notredame et al., 2017), while other adolescents who had previously contemplated suicide reported feeling worse after watching the series (Rosa et al., 2019).
These findings highlight the need for the responsible and safe portrayal of suicidal behaviour in media content since responsible reporting on suicide can be a protective factor. Such content should, therefore, not contain information that could lead to identification with the deceased but should inform about the topic, highlight sources of help, and tell stories of people who have coped with distress in a constructive way (Maloney et al., 2014). Thoughtful reporting on suicide that does not sensationalise the topic but focuses on the real consequences of an (attempted) suicide can reduce the risk of imitation (Pirkis & Blood, 2010).
For people in need, various (more or less) interactive websites raise awareness, provide verified information and sources of help, and encourage a constructive solution to the distress (Barak & Grohol, 2011). One such website in the Slovenian setting is the psychoeducational website zivziv.si, which aims to raise awareness and provide information about suicidal behaviour. Preventive measures can be important as they help young people to deal with the problem
more constructively. This is even more important during adolescence, as most young people do not yet have as much experience with similar situations and therefore do not have a wide range of possible coping strategies.
**Conclusions**
Suicide is often just the end of a complex process that may have begun long before the actual act, and in the course of which the decision to die by suicide has changed, sometimes more, sometimes less. In this paper, we have examined the environmental factors that significantly influence the process in children and adolescents either as protective factors or as risk factors.
There are differences in which risk and protective factors are most important or have the greatest influence on the well-being of children and adolescents. For this reason, we have presented those that can be influenced with appropriate interventions.
Due to the complexity of suicidal behaviour, prevention measures need to be carefully planned and adapted to the understanding of the specific risk group (van der Feltz-Cornelis et al., 2011). Suicide in children and adolescents can be prevented. In this regard, peers, the school environment, the media and the wider community make an important contribution to prevention by discussing and reporting on these issues appropriately and empowering young people to resolve difficulties and find help. This can help create a safe environment for honest conversations and show that even major problems and hardships can be solved.
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The influence of Roma women’s education regarding their reproductive health on the health of their children
Marjeta Logar Čuček
Ljubljana University Medical Centre, Department of Oral and Maxillofacial Surgery, Ljubljana, Slovenia
firstname.lastname@example.org
Abstract
Introduction: The influence of education regarding their reproductive health on Roma women - women with a unique way of life in special community conditions - on the health of their children has been little researched in Slovenia. The objective of the research was to analyse the perceived consequences of health education intervention on the awareness of Roma women regarding their reproductive health and consequently on the health of Roma children. Methods: Qualitative research approach was used. In July and August 2015 three focus groups were created; 11 health professionals, who deal with the reproductive health of Roma women and the health of children, participated. Results: 10 categories were identified, in which 147 codes with a total frequency of 187 were identified. They were grouped under 4 topics. These are: (1) General education of Roma women and their knowledge in the field of reproductive health. (2) The benefits of a health education leaflet and this research. (3) Care for reproductive health and children’s health. (4) Medical problems and doctor’s appointments. Discussion and conclusion: Opportunities for progress in Roma women’s reproductive health care lie in raising their awareness of the possibilities of access to reproductive services, the treatment offered by health services, and their inclusion in health education programs. Roma women’s lack of general education is closely linked to their rejection of reproductive health education. Education must be adapted to their understanding, using pictorial material and straightforward messages. Furthermore, using a great deal of empathy and time considerations, they can be encouraged by visits or organization of lectures in their home environment. Roma women do not possess enough knowledge about pregnancy and childbirth, which is also due to the fact that reproductive health care knowledge is no longer passed down from generation to generation as it used to be. However, there has been some progress in the care of infants, especially
regarding the hygiene and improved living standards. A major problem is unhealthy lifestyle, especially smoking of pregnant women, smoking indoors near children, and poor nutrition of both mothers and children. Some major issues are also their reluctance to follow the advice received when visiting a gynaecological dispensary and occasional negative experiences with communication styles and feelings of discrimination.
**Key words:** Roma women, reproductive health, awareness, intervention study, education
**Introduction**
Roma women live mostly in communities defined by ethnicity. Their health culture is specific, but it is changing under the influence of the culture of the majority population and modern media. They need special attention when maintaining their reproductive health, whereby their own health awareness of extreme importance (Logar, 2016). This is not self-evident, it is influenced by self-initiative, education, community attitudes within the Roma population and the majority population (Zelko, 2015). It is precisely in these environments that Roma face discrimination both in this country and in Europe: in the family on the basis of gender, in the wider environment on the basis of ethnicity (Kymlicka, 2017). In the results of her research, Čvorović (2019) states that traditional Roma marriage can have a protective effect on the reproductive and general health of Roma women. However, other factors such as poor literacy, socio-economic conditions, violence and exclusion have a negative impact (Logar, 2016; Kymlicka, 2017; LeMasters et al., 2019).
In the last decade, many initiatives have been implemented in Slovenia to take care of the reproductive health of Roma women. Increasing health literacy, empowerment in the use of health services (Rodrigues Derecho, 2013), knowledge regarding reproductive health, the importance of gynaecological examinations, adequate motivation with approaches appropriate for Roma culture, health promotion programs - all of the above has led to greater awareness of reproductive health (Second national conference on the health of the Roma population, 2009; Rodrigues Derecho, 2013). The consultation “Roma women” (2015) also indicated a distinct need to include Roma women in the discourse on their situation and the need for greater care for sexual and reproductive health.
Health education can have a significant impact on the improvement of health of individuals and communities. It is a combination of learning experiences through which people acquire knowledge, which in turn affects the improvement of the health of an individual or a community. It is important to take into account the profession and cultural messages from the environment where educational work takes place (Zaletel Kragelj et al., 2007).
With the help of health and educational measures and interventions, certain habits and behaviours can be changed in favour of the individual’s care for
health. This can be done in the form of individual counselling, preventive examinations, educational workshops, with education for responsible parenting, changing the lifestyle and reaction to illness. In dispensaries for women, various aids are used, including educational leaflets. By presenting targeted content, they try to influence the improvement of life and problem solving as an aid in self-education and personal interest in achieving goals in the field of reproductive health (Logar, 2016).
**Purpose and objectives**
The purpose of the research was to study the opinions and attitudes of health workers after the implemented health-educational intervention and to determine the potential changes in the behaviour of Roma women in caring for their reproductive health.
The objectives of the research were to identify the message value and usefulness of the health-educational leaflet *I care about my health*, to determine the links between education and awareness of health as a value, to analyse the gradual adoption of positive changes in the care for reproductive health. The following research questions were posed:
- How does the education of Roma women affect reproductive health care?
- How do the participants of the focus groups evaluate the health-educational intervention and the educational leaflet?
- What factors influence the development of modern-day diseases in Roma women and their children?
**Methods**
A prospective interventional study was conducted; qualitative methodology was used. Three focus groups were formed to determine the impact of the health-educational intervention on Roma women’s greater awareness and concern for their reproductive health and the health of their children.
**Instrument description**
Open-ended research questions enabled the participants to discuss the issues, exchange experiences and views on the problems (Poplas Susić, 2014). In this way, we wanted to obtain an assessment of the success of Roma women’s education based on the content presented in the educational leaflet. Eighteen initial questions were formed. In addition to the socio-demographic questions, we included questions about the message value of the leaflet, general evaluation of the health-educational intervention, expressed encouragement to visit the dispensary for women more often, awareness of the preservation of reproductive health, the usefulness of this type of education, methods of further education
and about general health-educational approaches in the medical treatment of Roma women and Roma children.
**Sample description**
The participants of the focus groups were health workers who had contact with Roma women in their work. They were able to, directly or indirectly, perceive the results of the health-educational intervention. The first focus group consisted of women’s dispensary employees and a general practitioner, the second was focused on employees of the preschool dispensary (paediatrician), and the third was made up of community nurses and a student from the Faculty of Health Sciences. Ten participants had more than fifteen years of experience in the medical treatment of Roma women or children.
**Description of research and data processing**
Focus groups were made with eleven female health workers in the selected health centre. Based on the presence of employees, three focus groups were formed. After presenting the purpose and process of work in a focus group, they were familiarised with the basic principles of the discussion, the principle of confidentiality and anonymity, and the key contents of the research were generated (Poplas Susič, 2014). They were again shown the health and educational materials that were distributed to the Roma in the settlement or in the dispensary. Before answers were recorded, they filled out a form with demographic data, level of education, occupation, work experience expressed in years, work experience with Roma women. With these questions, we tried to establish Roma women’s acceptance of the leaflet by, their response to invitations from women’s dispensary, acceptance of the learned rules in the health centre regarding timing, ordering, prevention, etc. The primary texts of the focus groups were analysed according to the principles of qualitative text analysis. The preparation phase was followed by open coding, category formation and abstraction (Schreier, 2012). The obtained drafts were qualified according to their properties and dimensions (Vogrinec, 2008; Friese, 2012).
**Results**
Based on the independent coding of the transcripts of all three discussions, 10 categories were formed, in which 147 codes were found with a total frequency of 187. The number of codes and the corresponding topics are shown in Table 1.
The purpose of the focus groups was to analyse the impact and results of the health-educational intervention, but the participants also talked about other areas related to Roma health care. They will also be presented, as they are connected to the findings of the members of the focus groups on the impact of education on care for reproductive health and children’s health (Petek, 2014).
**General education of Roma people and their education in the field of reproductive health**
The general education of Roma men and women who visit their health centre is rather low. Children avoid attending school. According to some in the groups, the most effective way to stop financial assistance to parents is if the child plays truant.
“Why is there no Roma woman in this school district who has finished primary school during the compulsory education period? How can this be allowed?” (F1, S3)
“I think they have to go to school for nine years and that’s it. They always repeat classes and then finish.” (F1, S2)
“11 children didn’t go to school because they had health problems.” (F1, S1)
“A gypsy woman said that a girl left when she was 13 years old and that she went to social services and was told her that the girl was an adult and there was no sense going after her. (F1, S4)
Lack of basic education is associated with rejection of reproductive health education.
"Why don’t they come to the maternity school? They get an invitation. Not one has shown up in the 15 years I’ve been here." (F1, S4)
"I came to the village at 11:00 am. They wanted come at 12:00. Then an employee from the centre went from door to door so that some of them came." (F1, S2)
"They should make a plan for two or three of them to visit them at the settlement." (F3, S5)
The respondents believe that education should be brought closer to the Roma women, should be adapted to their habits and understanding, organised in their settlements, and small gifts should be provided.
"They don’t understand what you want from them, they don’t understand the words. They take everything literally." (F3, S1)
"I don’t mind if we hold a lecture there, but I won’t go there in my free time." (F1, S2)
"It is very important to give them something. I went to the pharmacy, where they gave me towels and soap. You know how many showed up then, before there were only three." (F3, S2)
"You have to scare them a little and they go." (F3, S1)
The usefulness of the health-education leaflet and the present research
The participants of all focus groups evaluated the educational leaflet positively from the point of view of its impact on greater awareness of reproductive health, encouragement to make appointments, and the appearance, importance of the present research in general.
"It is the first step, progress; however, it will take a long time for all of this to be seen: it is necessary to start with this in school, in kindergarten." (F1, S1)
"The leaflet is good, visually very nicely organised and equipped with pictures and numbers for making appointments and working hours." (F3, S2)
"We really like that it says we can also teach them about baby care; and with that, in this way we are also included in this leaflet. Yes, this
is how we see our role, in cooperation with other services and so on.” (F3, S2)
“If nobody did any research and we just let everything as it was, you know how it would be. Just like it used to be; one path, everything dirty. They were all in shirts and barefoot. I think it’s necessary to do research.” (F3, S3)
The comments mainly concerned the font size, the translation into Roma language. They pointed out that the intervention was not long enough.
“I wouldn’t translate everything. The first page, yes, so that they feel addressed. They are part of our society and must learn Slovenian language.” (F3, S2)
“This is probably one of the forms of raising their awareness. You were able to establish more order in the women’s dispensary, but there is no way for this to be achieved in general clinics.” (F1, S1)
Caring for reproductive health and the health of children
The participants of the focus groups believe that Roma women still know too little about pregnancy and childbirth, perhaps even less than in the past.
“It’s true, they don’t know anything. They no longer pass down knowledge. They are terrified when they come for the first doctor’s appointment.” (F1, S3)
Nowadays Roma women give birth in maternity hospitals, whereas in the past they had babies at home or in the forest. Progress can also be detected in childcare. Mothers also come for check-ups, but these visits become fewer with time.
“Now they go to the hospital because they are afraid for themselves and the child, but it is true that they leave already in the evening. If there are problems, they stay.” (F3, S2)
“Now community nurses bathe the babies during home visits. They have water waiting for us when we arrive. They have basins and also prams.” (F3, S2)
“We are trying our best, the most important thing is to gain trust.” (F3, S1)
According to the community nurses who participated in the focus groups, the health of both mothers and children is affected by smoking and heat in their houses, as well as poor nutrition. Roma women refuse to breastfeed.
“It’s very hot in their homes. They smoke inside. And nutrition is a problem. Poor, bland, unhealthy. Sweet soda drinks.” (F3, S2)
“Very few women breastfeed. Maybe the first month, but not after that. They buy processed food, it’s the new fashion for them.” (F2, S1, S2, S3)
In the children’s dispensary, they encounter problems regarding the mandatory vaccination of children.
“Vaccination of children depends on the mother. There are problems with prevention, there is no problem with curative treatment. We then “catch” them and vaccinate them.” (F2, S1)
**Health problems and doctor’s appointments**
Experts point out unhealthy eating habits, obesity, diabetes and cardiovascular diseases.
“There are many people who suffer from diabetes and obesity. Cardiovascular problems and heart attacks are present among Roma people.” (F1, S1)
“There is one child who is only sent to kindergarten for lunch, but he can’t even hold a pencil. He is so fat. I ask them if they ever cook spinach, and they just look at me strangely. Burek, pizzas, iced tea, carbonated drinks, this is what Roma children love. And adults too.” (F2, S1)
“We should put more effort into ensuring proper nutrition, so it would be a good idea to organize courses and education.” (F2, S2)
Research participants note progress in hygiene and dental care.
“As far as cleanliness and hygiene are concerned, it’s different now. They are nicely dressed. They used to be toothless. It’s a little better now, they do brush their teeth.” (F2, S2)
They point out that general awareness of health care is still weak. Roma women often do not come for examinations, even if they have an appointment, they take advantage of the on-call service.
“If we order them at 7:00 a.m., they won’t be there. Then we say at 12:00. We say that something will be wrong with the child and they come.” (F1, S2)
“The main thing is not to wait.” (F1, S4)
Discussion
Regardless of their perception of health, people and the public expect high-quality treatment - on time and equally accessible to everyone (Prevolnik Rupel, Simčič and Turk, 2014). In Slovenia, there is no equality regarding health between the majority population and the Roma. They face basic problems, such as lack of access to drinking water and electricity, poorer living conditions, exclusion, which in turn affects their integration into the education system, attitudes to health, especially in preventive activities and causes unhealthy eating habits (World Roma Day, 2021).
Roma women in Slovenia have equal access to public health as the rest of the population, but in practice they make insufficient use of these opportunities (Logar Čuček, 2020). Taking care of their health is of secondary importance for Roma women, due to their position in the family, poorer social status, and lower level education. Health workers included in this research confirm this. They find that in the researched area, few Roma women complete primary school education due to the delayed start of schooling, repetition of classes. They can acquire certain skills in the last triad of primary school education, but they usually do not get that far. Lack of basic education also discourages them from participating in various educational workshops on reproductive health, infant care and maternity schools. For greater responsiveness, Roma women must be motivated in a culturally acceptable way by taking into account language barriers, the influence of tradition, and by adapting to Roma customs and understanding. They also drew attention to the problems in communication between them and Roma women and, as a result, poorer cooperation and lack of information, which is in line with the findings of similar research (Watson and Downe, 2017; LeMasters, 2019; Komidar, 2019).
The research, which was carried out in the selected Roma settlement in three phases (2016), has an applicative character, as the results were used to create health and educational material, which included guidelines for more effective access of Roma women to the women’s dispensary where they could get help and advice. The usefulness of the “I take care of my health” leaflet was also verified with focus groups consisting of health workers responsible for women’s reproductive health. The participants confirmed the usefulness of the leaflet from the point of view of both its design and content: the location of the medical centre, following the day of the week and working hours, the purpose of the medical card, methods of making appointments. This would reduce visits to emergency care. Areas where health workers can help them in taking care of their health and the health of their children were presented. They emphasized the usefulness of information regarding the importance of gynaecological examination, pregnancy, childbirth, protection, breastfeeding. They found
that such material has an impact only if certain conditions are met, such as at least minimal literacy of the target group and the fact that the user (in this research, these were women of reproductive age) can identify with the content. Older Roma women would need educational materials for preventive examinations, combined with information how to recognize possible symptoms of diseases. Illiterate women should be offered pictorial illustrations.
In the conversation with the health workers, we noticed some progress in taking care of reproductive health and children’s health. They give birth in a hospital, take care of their own and their children’s hygiene; they react very quickly to health problems in children, because for Roma, children represent joy. Most of them gave up breastfeeding. That being a mother is a mission for Romani women is also confirmed by other research (LeMasters et al., 2019). There are many obese children, which they attributed to low-quality nutrition. They often catch colds due to inadequate living conditions. Smoking is present. The possibility of discrimination was denied by the health workers, but Romani women sometimes they are also “provoked” because they are Roma or by different approaches to medical treatment, non-observance of instructions, treatment procedures, etc. This is also confirmed by research conducted by other authors (Colombini et al., 2012; Watson and Downe, 2017).
Our research cannot be representative of all areas of Slovenia, but it brings valuable insights of health workers, as they were able to express and exchange their opinions for the first time about their experience with Roma people, their health and the health of their children.
**Conclusion**
The findings of this research show that Roma people should be encouraged to take care of their health. Various methods of education, talks, workshops are available to achieve this goal. Their traditions must be considered, messages must be unambiguous and supported by images. They should be educated continuously, using similar intervention materials, modern media, planned research, and the findings should be implemented into practice. The effects of the intervention should be compared in different settlements in Slovenia. Only in this way can a conceptual framework for a more unified approach and solving weak points in caring for the reproductive health of Roma women and the health of Roma children be obtained.
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Factors related to oral health-related quality of life among children and adolescents in Slovenia
Anja Magajna\textsuperscript{1}, Barbara Artnik\textsuperscript{2}, Martin Ranfl\textsuperscript{3}
\textsuperscript{1} National Institute of Public Health, Regional Unit Maribor, Maribor, Slovenia
\textsuperscript{2} University of Ljubljana, Faculty of Medicine, Chair of Public Health, Ljubljana, Slovenia
\textsuperscript{3} National Institute of Public Health, Regional Unit Murska Sobota, Murska Sobota, Slovenia
email@example.com; firstname.lastname@example.org; email@example.com
Abstract
Introduction: Oral health is a part of general health. Problems with the oral cavity and/or teeth cause pain, discomfort and limitations in performing the function of the orofacial system and other daily tasks and reduce quality of life. Oral health-related quality of life (OHRQoL) can be used to assess the impact of oral health on an individual’s life, self-image, social interactions and work/school performance. Understanding the demographic and socio-economic characteristics of groups of individuals with poorer OHRQoL is crucial for the preparation of successful and effective public health approaches to improve and strengthen oral health.
Methods: In the »National Survey on Oral Health of Children and Adolescents in Slovenia in 2019« we used a questionnaire with which we also monitored 6 indicators of OHRQoL. Questions related to difficulties with eating food, tense feelings, difficulties in carrying out school work, the presence of toothache, the presence of sores/ulcers and awkwardness due to the appearance of teeth. Children aged 6–17 were included in the study. In the group of children with poorer OHRQoL we included individuals that answered at least one question with occasionally or more often.
Results: At least one OHRQoL limitation occurred occasionally or more often in 22.5% of participants. Painful gums/sores in the mouth were the most common (10.6%), 6.6% of children and adolescents were embarrassed because of the appearance of their teeth, 6.0% felt tense because of oral cavity/teeth problems, 5.5% had toothache, 4.8% experienced difficulties with eating food due to oral cavity/teeth problems and 4.1% had difficulties carrying out school work due to problems with their oral cavity/teeth. One or more limitations were more frequent in girls (girls 24.9%, boys 20.4%). At least one of the limitations was more common in children aged 6–7 (24.5%), the proportion decreased in the age group 8–10 (19.5%) and increased to 25.2% at age 15–17 years. The proportion of children and adolescents
with one or more limitations decreased with higher levels of parental education (35.7% with primary education, 18.7% with a university degree).
**Discussion and conclusions:** More than three quarters of children and adolescents did not experience limitations in their daily lives due to problems with the oral cavity and/or teeth. In the youngest age group, the problems were probably related to changing teeth and still present deciduous teeth. In the oldest age group problems with teeth and the oral cavity accumulate, and at the same time, they were probably linked to psychological changes related to growing up. Children and adolescents of parents with a high level of education had a better OHRQoL than children and adolescents of parents with a lower level of education. Oral health care was higher among the more educated individuals, which was reflected in the oral health of children and also had an impact on OHRQoL. Dental public health programs and interventions should be upgraded to incorporate activities of oral health promotion for those groups of children and adolescents.
**Keywords:** children and adolescents, oral health-related quality of life (OHRQoL), parental education
**Introduction**
Modern, evidence-based references consider oral health to be an integral part of overall health. Teeth, with their chewing, phonation and aesthetic functions, contribute significantly to a better quality of life and to social interactions, and their functional impairment affects general health (WHO, 2003; Ranfl et al., 2017; Baiju et al., 2017; Sischo et al., 2011). As such, oral health is not only the absence of disease in the oral cavity, but also enables individuals to engage in everyday activities and thus participate in interpersonal relationships (Baiju et al., 2017).
Various oral health conditions represent a major public health problem due to the burden of their frequency and the social, economic and psychological consequences at both individual and societal levels (Baiju et al., 2017; Johansson and Osterberg, 2015). These conditions cause pain and limitations in everyday tasks such as chewing, speaking, laughing, and thus reduce the individual’s quality of life (Paredes-Rodriguez et al., 2016).
In 1988, Locker introduced the oral health-related quality of life (OHRQoL) model, which led to the inclusion of the patient’s perspective in treatment (Locker, 1988). This is important because the biomedical view of health has been upgraded to a biopsychosocial model also in the field of oral health. OHRQoL is a concept that can be used to assess the impact of oral health on an individual’s daily life, i.e. self-image, social interactions, school and work performance, and more (Sischo et al., 2011; Gherunpong et al., 2006). Assessment of OHRQoL varies over the course of an individual’s life and is associated with different factors: functioning (chewing, speech), pain and discomfort (acute pain, chronic pain), psychological factors (contentment with
appearance, self-image) and social factors (interpersonal relationships, communication) (Bennadi et al., 2013). Individuals usually understand their health in a broader sense - as the presence or absence of disease.
In particular, during childhood and adolescence, in addition to its effects on eating and speech, oral health has an important impact on social participation and interpersonal relationships. During this period, children and adolescents’ relationships with peers become important, where self-image, physical self-image, including facial appearance and psychological well-being play an important role (Rando et al., 2018). Oral and/or dental problems can also affect a child’s/adolescent’s daily functioning, such as school performance. Oral and/or dental problems can have a negative impact on school performance, as pain interferes with a child’s sleep, resulting in poorer academic performance (Krisdapong et al., 2013).
Subjective assessment of OHRQoL is also important because it has an impact on an individual’s actions to take care of his or her own health, and are in turn reflected in their health status. Finally, the assessment of OHRQoL is important in the light of inequalities in access to dental care (Sischo et al., 2011). Research on OHRQoL is important to identify groups at increased risk of poor oral health, as poor oral health in childhood may continue into adulthood (Kragt et al., 2016).
**Methods**
The data were collected as a part of the cross-sectional »National Survey on Oral Health of Children and Adolescents in Slovenia in 2019«. A representative sample of 3,200 children and adolescents under the age of 18 was included. The survey was carried out using the EGOHID questionnaire. Questions related to OHRQoL were addressed to children and adolescents aged 6 years or older. The children and adolescents included in the study received an invitation to participate in the survey at a home address, with a password to access the online questionnaire. The survey took place in spring 2019, and participants received another postal reminder during the survey period. The questionnaire was completed by parents, but young people aged 11–17 were offered the opportunity to complete the survey by themselves.
The data collected from the survey were reviewed in »Microsoft Excel 2016«. The data were weighted by age and gender, taking into account one-year age groups. The analysis of the weighted data per sample and population was carried out in the computer software IBM SPSS Statistics for Windows’, version 21.0 (IBM, 2020).
The OHRQoL questionnaire contained six questions on the frequency of dental problems when eating, the frequency of feeling tense, the frequency of difficulties in carrying out schoolwork, the frequency of toothache, the frequency of painful gums/sores in the oral cavity and the frequency of embarrassment with the appearance of the teeth. Respondents could choose from five
possible answers on a 5-point Likert scale (never, hardly ever, occasionally, often, very often). We defined occasional, frequent and very frequent as the most common occurrence of limitations. For further analysis, we included only the answers given by parents and only individuals who answered all 6 questions related to quality of life.
The interpretation of the results is based on the number and percentages of persons in the selected categories, according to demographic variables such as gender, age, parental/guardian education and living environment.
Results
According to the exclusionary factors taken into account in further data analysis, the final sample size was 725 persons. There were slightly more boys/men and slightly fewer adolescents aged 15 years or older. Most of the parents had at least a secondary education. The detailed data are shown in Table 1.
Table 1: Demographic data of the individuals included in the analysis \((N=725)\).
| Gender | Total | 725 (N) | 100 (%) |
|-----------------|-------|---------|---------|
| Boys | 387 | | 53.4 |
| Girls | 338 | | 46.6 |
| Age | | | |
| 6–7 years | 159 | | 21.9 |
| 8–10 years | 241 | | 33.2 |
| 11–14 years | 218 | | 30.1 |
| 15–17 years | 107 | | 14.8 |
| Parental education | | | |
| Primary school | 14 | | 1.9 |
| High school | 245 | | 33.8 |
| College education (vocational) | 209 | | 28.8 |
| University degree | 257 | | 35.4 |
| Living environment | | | |
| Urban | 229 | | 31.6 |
| Suburban | 184 | | 25.4 |
| Rural | 309 | | 42.6 |
At least one OHRQoL limitation occurred occasionally or more often in 22.5% of the participants. One or more limitations were more frequent in girls (girls 24.9%, boys 20.4%). In the age group 6–7 years, the prevalence of at least one limitation was 24.5% and dropped to 19.5% in age group 8–10 years. In the next age group, it rose again and was the highest in the group of youngsters 15–17 years old. Prevalence of limitations was also dropping with higher parental education; it was the highest in a group of children whose parents had only primary education and was the lowest in a group where parents had a university
degree. Prevalence of at least one limitation was also higher in more rural local environments/settlements. For detailed results see Table 2.
Table 2: Demographic data by frequency of occurrence of particular problems or limitations (N=725).
| | No limitations (N) | One or more limitations (N) | Participants with limitations (%) |
|------------------------|--------------------|------------------------------|-----------------------------------|
| Total | 562 | 163 | 22.5 |
| Gender | | | |
| Boys | 308 | 79 | 20.4 |
| Girls | 254 | 84 | 24.9 |
| Age | | | |
| 6–7 years | 120 | 39 | 24.5 |
| 8–10 years | 194 | 47 | 19.5 |
| 11–14 years | 168 | 50 | 22.9 |
| 15–17 years | 80 | 27 | 25.2 |
| Parental education | | | |
| Primary school | 9 | 5 | 35.7 |
| High school | 180 | 65 | 26.5 |
| College education | 164 | 45 | 21.5 |
| (vocational) | | | |
| University degree | 209 | 48 | 18.7 |
| Living environment | | | |
| Urban | 185 | 44 | 19.2 |
| Suburban | 152 | 32 | 17.4 |
| Rural | 222 | 87 | 28.2 |
Table 3: Prevalence of specific limitations (N=725).
| | Occasionally or more often (N) | Participants with limitations (%) |
|--------------------------------------|--------------------------------|-----------------------------------|
| Having difficulty eating food | 35 | 4.8 |
| Felt tense | 44 | 6.0 |
| Difficulties with school work | 29 | 4.1 |
| Toothache | 40 | 5.5 |
| Sore gums/sores in the mouth | 77 | 10.6 |
| Embarrassed by the appearance of his/her teeth | 48 | 6.6 |
Most of the participants had no limitations. From those who had some, most had only one limitation which was present in 13.9% of the total sample, two limitations were present in 4.9% of the total sample, three or more limitations were present in 3.7% of the total sample. There were also differences in the prevalence of specific limitations, of which the most common limitations were painful gums and mouth sores (10.6%), the second most prevalent feeling was embarrassment because of the appearance of their teeth (6.6%) and only 4.1%
had difficulties in carrying out schoolwork due to problems with their oral cavity/teeth. Detailed data are presented in Table 3.
**Discussion**
The results of the analysis show that almost a quarter of children and adolescents experienced at least one symptom or feeling that affected their OHRQoL occasionally (or more often). Similar results on the prevalence of limitations have also been found in cross-sectional studies on the impact of oral health problems on children’s experience of limitations in everyday life (Rozier, 2008; Nuttall et al., 2003).
More serious limitations, such as difficulties in carrying out daily tasks, were not as common. Sore gums and sores in the oral cavity were more likely to occur. The proportion of participants with limitations was higher in the youngest age group, which can be linked to changes and circumstances in school entry and tooth eruption and was also high in the 15–17 age group, where aspects of growing up and socialization also play a role. Dental dissatisfaction varies by age according to the developmental characteristics of the children and is different in childhood than in adolescence. Feelings of attractiveness in relation to oral health become more important in late childhood and adolescence (Nuttall et al., 2003). In adolescence, individuals become more sensitive to social norms and ideals, and how they are perceived by their peers becomes more important (Barbosa et al., 2008).
In a survey in the United Kingdom, pain was reported as the most common limitation across all age groups (15–25% of children reported having pain). This was consistent with our findings when combining the responses to the questions on the frequency of toothache and the frequency of sore gums. Some differences in the frequency of certain limitations in daily life due to oral and/or dental problems were also observed by gender, as parents of girls/adolescents were more likely to report the presence of at least one limitation. Results from the study on the impact of oral health problems in children in the UK did not confirm significant gender differences in the frequency of limitations due to oral health problems (Nuttall et al., 2003).
We also observed some differences in the prevalence of limitations in daily life for children/young people regarding the education of their parents/guardians. Education is an important determinant of health-related behavior. While tooth-brushing with regular check-ups at the dentist is an important part of a healthy lifestyle, taking care of one’s own oral health is one of the most important factors of oral health and, consequently, also an important factor in promoting health. With lower levels of education, we can expect poorer oral health care, as we know that children of parents with lower education are less likely to brush their teeth, as shown also by the results of our study (Artnik et al., 2020).
Results of our study were consistent with the research on inequalities in OHRQoL in children, which had shown that children from families with lower socioeconomic status (which includes parental education) had lower OHRQoL than children from families with higher socioeconomic status (Kragt et al., 2016; Kumar et al., 2014; Locker, 2007). The systematic review on the impact of parental/caregiver socioeconomic status on children’s OHRQoL showed a direct association between parental/caregiver education level and children’s quality of life. Children of parents/caregivers with high levels of education were more likely to have better OHRQoL than children of parents/caregivers with lower levels of education, and a particularly significant association was found between maternal education and child OHRQoL (Kumar et al., 2014). Family socioeconomic status, which may be related to parental educational status, has a significant impact on children’s oral health through the ability of parents or caregivers to respond to children’s oral health needs and habits (Chaffe et al., 2017).
Similarly, differences in OHRQoL also emerged according to the living environment. The proportion of children/adolescents who often or occasionally experienced limitations in their daily life due to oral and/or dental problems was higher among children/adolescents from a rural living environment than among children/adolescents from an urban or suburban living environment. Differences by living environment for individual limitations were also confirmed in the detailed analysis, and these were particularly evident for the occurrence of painful wounds or ulcers in the oral cavity and toothache (Artnik et al., 2020).
We decided to limit the analysis to parental responses only, because the younger age group was not expected to complete the survey themselves, and because there was some ambiguity in the responses of the adolescents who completed the survey themselves regarding their or their parents’ educational qualifications. This brings some limitations for the interpretation of the data. Subjective assessment of OHRQoL, especially when reported by parents/caregivers for their children, should be seen as a complement to, and not a substitute for, dental needs assessment or clinical oral health assessment (Allen, 2003).
In order to get a precise overview of the prevalence of each limitation and to determine the proportion of the population with more than one limitation, we decided to limit the analysis to individuals who answered all six questions. For individuals who answered only one or a few questions, we could not assess whether they have other limitations.
**Conclusions**
Oral health is an integral part of general health and has great influence on quality of life. Children and adolescents in Slovenia occasionally feel some limitations and symptoms regarding oral health. OHRQoL is lower in children of parents with lower education and in children in more rural settlements. Dental public health programs and interventions should be upgraded to incorporate activities of oral health promotion for those groups of children and adolescents.
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The effect of inspiratory muscle training on the maintenance of swimming abilities
Matija Maršič¹, Matej Plevnik²
¹Health center Izola, Health promotion center, Izola, Slovenia
²University of Primorska, Faculty of Health Sciences, Izola, Slovenia
Abstract
Introduction: Swimming, especially competitive, is one of the biggest challenges for the respiratory muscles. Muscles are weaker in the horizontal position, the hydrostatic pressure requires greater muscle force during inhalation, in addition, the respiratory muscles are also involved in stabilizing the torso during swimming. Limited breathing time is an additional challenge. The purpose of our study was to examine whether inspiratory muscle exercise also affects the maintenance of swimming abilities during a swimming break. According to the literature, increasing the strength of the inspiratory muscles has a major impact on improving respiratory and swimming efficiency and performance.
Methods: The study involved first-year students of the Applied kinesiology program (n = 19, age: 19.7 ± 0.9 years), who were divided into an intervention group (n = 11) and a control group (n = 8). They were included in the program of an eleven-day swimming course, after which we performed the first measurements. The second measurements were performed ten days after the end of the course. In the intervening period, none of the subjects performed any swimming training. The intervention group conducted an inspiratory muscle training program twice a day with the Powerbreathe Plus device.
Results: The results showed a trend of improvement in maximal inspiratory strength, maximal inspiratory flow, test of CO₂ tolerance, breath holding after a relaxed exhalation (Buteyko test) and in under water breathe holding test. Statistically significant effect of time was shown in the 50-100 m and 0-100 m swimming test. In both tests the result deteriorated in the intervention and control group, but a significant trend was shown. Namely, in both tests the swimming time in the control group was longer than in the intervention group.
Discussion and conclusions: In the literature reviewed, we found that simultaneous exercises of specific sports and inspiratory muscles for at least four weeks, in most cases,
affect the improvement of respiratory functions and results in various sports. Based on the results of our research and the literature reviewed, we can conclude that the inspiratory muscle training in the period without swimming-specific training, shows a trend of positive effect on maintaining swimming results.
Keywords: inspiratory muscles, breathing, maintenance of abilities, Powerbreathe, swimming
Introduction
The aquatic environment is one of the most demanding for respiratory muscles (hereafter RM), and competitive swimming represents one of the biggest challenges for them (McConnell, 2011). Lomax and McConnell (2003) showed that swimming causes a 29% drop in inspiratory muscle (hereafter IM) strength after exercise, compared to “land” sports, where the drop is between 10% and 20%. Breathing with the chest submerged requires greater IM force due to hydrostatic pressure (Wylegala, Pendergast, Gosselin, Warkander, and Lundgren, 2007) and IM are 16% weaker in the horizontal position (McConnell, 2011). The breathing pattern requires a high degree of body mobility in order to minimize the negative impact on stroke mechanics (Lomax and Castle, 2011, Leahy et al., 2019). Due to better hydrodynamics, swimmers strive to reduce the number of breaths and time when the head is out of the water (McConnell, 2011), so they must breathe quickly and as deep as possible (Leahy et al., 2019). In addition, during swimming, RM participate in trunk stabilization during propulsive moments (Vašičkova et al., 2017), and muscles with several roles simultaneously, are more susceptible to fatigue, reduced capacity and sport performance (McConnell, 2011).
Inspiratory muscle training (hereafter IMT) is mentioned in the literature as an effective method for improving efficiency and performance in various sports. RM are highly adaptive to repeated exercise and show changes in structure, strength improvement, contraction speed and endurance (Ramirez-Sermiento, 2002; McConnell and Romer, 2003, McConnell, 2011). In a study by Downey et al. (2007), after four to eight weeks of IMT against resistance, biopsy has shown an increase in diaphragm thickness by 12%. In addition they noticed an improvement in inspiratory strength by 24% after four and 41% after eight weeks of exercise.
Some effects of IMT on performance in sports are already known. An improvement in the endurance of underwater (33% - 50%) and surface (38% - 88%) fin swimming was shown, the respiratory volume increased (12%), respiratory frequency decreased by 19% and energy expenditure by 7.8% (McConnell, 2011). In underwater swimmers, the improvement was shown in maximal inspiratory pressure (hereafter MIP), inspiratory volume (hereafter IV) and underwater swam distance (USD) (Pupišova, Pupiš, Jančokova and Pivovarniček, 2014). Kilding, Brown and McConnell (2010) found an increase in MIP and swimming time for 100m and 200m after six-week IMT, the similar results Nahtigal (2015) found in 14- to 16-year olds after eight weeks of training.
The purpose of our study was to examine whether IMT also affects the maintenance of swimming abilities during a swimming break. The purpose of the research is particularly meaningful at the time, when restrictions and recommendations due to the declared epidemic of the covid-19 disease occasionally limited the implementation of swimming activities in swimming pool facilities.
**Methods**
19 students (5 male and 14 female) of the first year of the undergraduate study program Applied Kinesiology participated in the research. They were divided into an intervention \((n = 11; 6\) women, \(5\) men) and a control group \((n = 8; 8\) women, \(0\) men).
As a part of the study course, the participants were included in the eleven-day swimming course program, after which we took the first measurements. The second measurements were taken ten days after the course. In the meantime, no swimming activities were performed. The intervention group performed an IMT with the Powerbreathe Plus device (A division of Gaiam Ltd., Northfield Road, Southam, Warwickshire, CV47 ORD, UK). Exercise consisted of 30 rapid maximum forced inhalations and relaxed exhalations, twice a day. The intensity (resistance on the device) was set to 60% of the maximal inspiratory power (S-index) (McConnell, 2011; Finta, Boda, Nagy and Bender, 2020), which was measured in the first measurements. A specific intensity of 60% MIP has been justified as effective IMT based on optimal response in context of blood flow and generated pressure (Sheel et al., 2001, McConnell and Griffiths, 2010). The subjects were taught the independent and correct use of the training device before the intervention.
Statistical package IBM SPSS Statistics 25.0 (Armonk, NY:IBM Corp.) was used for statistical data processing. Shapiro-Wilk test was used to check the normal distribution of variables. Analysis of the differences between the individual variables between the groups in the initial state was performed using the independent samples t-test or its non-parametric version, i.e. the Man-Whitney U-test. The analysis of progress for normally distributed variables was checked with the analysis of variance for repeated measurements (Two-way/Factorial RM ANOVA) with the time and group factors (Field, 2009). We also calculated the interaction of time and group to determine the effect of the intervention. For non-normally distributed variables, we used non-parametric version, the Wilcoxon signed rank test. In accordance with selected test, we calculated the effect size (eta squared \((\eta^2)\)), defining the effect size as small for values > 0.01, medium for values > 0.06 and large for values > 0.14 (Cohen, 1988; Fritz, Morris and Richler, 2012). After the analysis of variance, we performed a paired-samples t-test, to check statistically significant differences for individual variables.
within the group with respect to time. Wilcoxon signed rank test was used for non-normal distributions. R-value was used to determine the effect size. Values > 0.3 represented a medium effect size and values > 0.5 a large effect size (Field, 2009). The level of statistical risk was determined at a value of p < 0.05.
Results
The results of Wilcoxon signed rank test show that the intervention had a statistically significant effect, with a large effect size (Z = -2.934, p = 0.003; r = -0.626), on the result (11.5%) in maximal inspiratory power in the intervention group (Figure 1). Statistically significant differences (14%) were also found in control group (Z = -2.023, p = 0.043; r = 0.640). Results of the same test show a statistically significant influence of the intervention with a large effect size (Z = -3.413, p = 0.001, r = 0.588) on the result (9.0%) of the intervention group in the maximum inspiratory flow parameter (Figure 2). After ten days the results (10.9 %) also improved in control group (Z = -2.023; p = 0, 043, r = -0.649). Time and group factors could not be calculated in non-parametric tests.
Figure 1: Graphic representation of the box with whiskers for the values of the variable maximal inspiratory power (cmH2O)
Figure 2: Graphic representation of the box with whiskers for the values of the variable maximal inspiratory flow (l/s)
For the variable FEV1/FEVC (F (1,14) = 4.600; p = 0.019; η² = 0.335), a statistically significant effect of time with a large effect size was shown (Figure 3). The score decreased in the intervention (−1.8%, p = 0.255) and control group (−11.9%, p = 0.174). The intervention group showed less deterioration than the control group.
The results of Buteyko control pause test shows statistically significant differences in the effect of time (F (1,13) = 4.667; p = 0.000; η² = 0.661) and time and group (F (1,13) = 4.667; p = 0.044; η² = 0.278) with a large effect size (Figure 4). The result increased significantly in the intervention group (52.3%, p = 0.001) and insignificantly in the control group (111.3%, p = 0.052). Based on the results, we can conclude that the control group was better and the intervention had a negative effect on this variable.
The results of the test of CO₂ tolerance (hereafter TTCO₂) parameter show statistically significant differences in the effect of time (F (1,14) = 4.600; p = 0.005; η² = 0.441) with a large effect size (Figure 5). The TTCO₂ score sigsignificantly increased in the intervention (44.2%, \( p = 0.037 \)) and control group (37.8%, \( p = 0.001 \)). We observe a trend towards slightly greater improvement in the intervention group.
For the other variables measured (FVC, FEV\(_1\), PEF, IV, counting time after maximum inspiration) there is no statistically significant effect of time or time and group.
The result of the 50-100m swimming time test show statistically significant differences in the effect of time (\( F(1,14) = 4.600; p = 0.000; \eta^2 = 0.895 \)) with a large effect size (Figure 6). The result of the test increased significantly in the intervention group by 30.7% (\( p = 0.000 \)) and in the control group by 40.1% (\( p = 0.001 \)). The trend of a smaller decrease in swimming time in the intervention group is shown.
The results of the 0-100m swimming time test also show statistically significant differences in the effect of time (\( F(1,14) = 4.600; p = 0.000; \eta^2 = 0.830 \)) with a large effect size (Figure 7). The result increased statistically significantly in the intervention group by 15.5% (p = 0.000) and in the control group by 23.6% (p = 0.007). Trend of a smaller decrease in swimming time in intervention group is shown, and thus the impact of the intervention on swimming skills.
Despite statistically insignificant differences, we can mention the result improvement in intervention group (15.5%, p = 0.124) and control group (2.3%, p = 0.949) in the breath holding under water test. A trend towards a greater improvement in the result in the intervention group is shown.
For other variables (swimming time 0–25 m, 25–50 m, 50–75 m, 75–100 m, 0–50 m, glide length, USD) there is no statistically significant effect of time or time and group.
**Discussion**
The analysis of the results showed some changes in variables after the ten-day intervention. Changes in maximal inspiratory strength were statistically significant and the results increased in intervention and control group. Based on the results, we cannot say with certainty that the increase in inspiratory muscle strength is due to the intervention, although the statistical power is greater in the intervention group. Task learning has also an effect, which is reflected in gradual improvement of inspiratory pressures with repeated measurements (McConnell, 2011), but this theory can be refuted, since the subjects had the opportunity to try a few breaths before the first measures. In addition, we considered only the best result achieved. We assume that the intervention time was too short to get larger differences between the group results. The results of our research are consistent with the findings of the reviewed studies (Volianitis et al., 2001, Romer et al., 2002a, Romer et al., 2002b, Griffiths and McConnell, 2007, Kilding et al., 2010, Janssensl et al., 2014, Okrzymovska et al., 2019), from which it is possible to determine the trend of greater progress in relation of time.
Like the previous variable, result change in maximal inspiratory flow was statistically significant and increased in intervention and control group. Based on the obtained results, we cannot claim that the improvement is due to intervention. We can conclude that maximal flow of inhaled air per second increased because of better IM strength, which enable faster and stronger inhalation. Romer and McConnell (2003) claim the exact thing, therefore the peak inspiratory velocity is proportional to inspiratory strength and increases with training and reduction in fatigue response.
The results of the TT$CO_2$ showed statistically significant effect of time but not time and group. The improvement of the result was shown in the intervention and control group. Although the improvement of carrying the $CO_2$ in the system was greater in intervention group, we cannot certainly say that this is the result of the intervention. Improving $CO_2$ tolerance means less generalized anxiety perception, lower cortisol levels and thus better physical and mental performance (Crux fitness, 2020).
In Buteyko control pause test the effect of both time, and time and group was statistically significant and the results improved in both groups. Although the improvement in control group was not significant, was greater, therefore we assume that the intervention had a negative effect on this variable. The intervention included just IM, and it seems that expiratory muscle inactivity affected the worse exhalation control. The “assymetry” in strength and stiffness could somewhat affect the performance. Even with Buteyko’s test there is a possibility of experience influencing the second measurements. Subconsciously, a person may exhale less air knowing, that he will have to hold his breathe as long as possible.
As already mentioned, in some articles we found a connection between inspiratory function improvement and certain swimming skills. We were mainly interested in maintaining or as little decrease of swimming abilities as possible.
The analysis showed statistically significant effect of time in the swim time 50-100m and 0-100m test. We observe an increase of time in both groups in both tests. As the time decreased less in intervention group in both tests, we observe a trend of smaller decline in swimming skills after intervention, and conclude that IMT had an impact on maintaining swimming skills.
Considering that S-index and PIF increased in both groups and the swimming result decreased while the effect of time and group was not statistically significant, we cannot confirm the connection between S-index and swimming time. We assume that the intervention influenced on easier overcoming of hydrostatic pressure during swimming, since there is no difference between the groups outside the water. The difference was noticeable only in the water. We did not find any research studying the effect of IMT without simultaneous
sport-specific training, but Nahtigal (2015) and Kilding et al. (2010) found improvement in swimming after additional IMT in the training process.
Additional IMT to swimming, improves the ability to maintain a deeper and slower breathing pattern, which improves the efficiency of breath-motor coordination (McConnell, 2011). Ability to inhale faster and maintain a high lung volume is improved. This results better body position and stroke mechanics, it is also possible to reduce number of breaths per stroke, all of which is reflected in faster swimming.
In the underwater breath holding test we can also notice a trend of improvement due to higher result increase in intervention group, but no changes or differences were confirmed in USD test as McConnel (2011) and Pupisova et.al. (2014) detected.
**Conclusions**
We cannot claim that the improvement of IM strength and PIF is a result of the intervention, however a positive trend of improvement is shown. We can confirm that there is a relation between MIP and PIF. A significant improvement was also shown in the TT$CO_2$ and Buteyko test, where the contribution of the intervention also cannot be confirmed, because of the increase of result in both groups. However, a positive trend towards improvement can be seen. A significant effect of time was shown in 50-100m and 0-100m swimming tests. Although the result deteriorated in both groups and tests, an important trend can be observed, namely, in both tests swimming time in the control group increased more than in the intervention group. The result suggests that the intervention may have an impact on the maintenance of swimming ability during the non-training period.
Based on the reviewed literature and our research, we can conclude that IMT in the period without swimming-specific training shows a trend of positive effect on maintaining the swimming result.
We encountered some limitations that should be improved in next similar research. We suggest a longer intervention period, as we assume the effect would be greater. There should be only one gender included or at least evenly distributed as some studies confirm no differences between gender. There was a dropout of control group subjects, so we could use only measurements of five subjects. Larger number of participants should be provided. A third test is suggested after at least twenty days to control the effect of time. In addition, better monitoring to insure a completely correct implementation would be necessary.
RM exercises offer an additional opportunity to develop the swimmer himself and swimming result. According to the literature, there is a certain protocol (intensity, duration, number of repetitions and number of sets) to achieve the success of such training. This is the way we can make the most progress in the shortest time possible.
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ZDRAVJE OTROK IN MLADOSTNIKOV | HEALTH OF CHILDREN AND ADOLESCENTS
134
The role of muscle and fat mass in the expression of explosive power in preschool children
Miran Muhič¹, Klavdija Rančnik²
¹ University of Maribor, Faculty of Education and Institute of sports medicine, Slovenia
² Kindergarten Velenje, Velenje, Slovenia
firstname.lastname@example.org; email@example.com
Abstract
Introduction: Motor development, motor abilities, and physical fitness level in children are potent biomarkers of health from an early age. In order to assess motor abilities and physical fitness in young children practical and easy-to-perform tests are necessary. Explosive power is defined as the ability to perform the maximum effort in a minimum amount of time. Body composition has a significant impact on motor skills and consequently on motor development and health status. With this research we want to find out what the role is a muscle and fat mass in the expression of explosive power in preschool children according to their body weight status.
Methods: A causal non-experimental method was used to obtain the data. The sample consists of 5-6-year-old children of both genders (N=75), divided into three groups based on body mass index (WHO BMI for age 5-19 years) – Normalweight (N=54), Overweight (N=5) and Obesity (N=16). The explosive power of the legs was measured with the motor test long jump from the site and the motor test counter movement jump tests on the ARS balance plate. Muscle and fat mass were measured with a Tanita DC 430-MA body composition analyzer. ANOVA (Eta squared / Effect Size) was used to compare results between groups and Pearson correlation for differences between groups.
Results: Children in the Normalweight group achieved the best results on explosive power tests, and children in the Obesity group achieved the worst results. However, the differences between the groups are not statistically significant (p >0.05).
Discussion and conclusions: Reducing the proportion of fat mass in the body and increasing the proportion of muscle mass in the preschool period is important for well-developed explosive power. Children need to be offered enough exercise and sports activities, including jumping and running.
Keywords: muscle mass, fat mass, explosive power, preschool children
Introduction
Physical fitness is an indicator of health in youth and is related to later body composition in preschool age (Henriksson et al., 2019). The obesity epidemic, at one time confined to adults, has now penetrated the pediatric age range and shows every sign of a rapid escalation (McCarthy et al., 2006). Studies examining the association of health-related physical fitness and total and central body fat in a population of preschool children as young as 3 to 5 years old are scarce and mainly measured by one fitness test. Research data Martinez-Tellez et al. (2016) shows that excess body fat in preschool children results in poorer performance on all tests that require bodyweight movement. Explosive power is the ability to activate the maximum number of movement units in the shortest possible time, it appears as the maximum initial acceleration when moving the body in space (Pistotnik, 2011). It is characterized by the rapid production of a large amount of muscle power in a very short time. It manifests itself mainly in acyclic movement types of jumping, throws and kicks, and in short sprints (Pistotnik et al., 2002). Direct online control of movement is not possible without fast, explosive and instantaneous movements. This is done on the basis of sensory information at different levels: spinal cord, brain stem, subcortical centers and sensory-motor centers in the cerebral cortex. For preschool children engaged in an additional form of organized physical activity, the influence of morphological characteristics on the expression of strength is less obvious compared to children who do not have organized additional physical activity, primarily due to the reduction of subcutaneous fat and body mass as disruptive factors (Sadri et al., 2014). Appropriately designed and controlled strength training is safe for children, contributes to increasing muscle strength, better performance of other sports movements and reduces susceptibility to injuries. Such a method also improves the general health status of the child and has a positive effect on the psychosocial component of the child (Škof, 2016).
Methods
A causal non-experimental method was used to obtain the data. The sample consisted of 5-6-year-old children of both genders (N=75), divided into three groups based on body mass index (WHO BMI for age 5-19 years) – Normal-weight (N=54), Overweight (N=5) and Obese (N=16). The number of children in each BMI group was not balanced. The explosive power of the legs was measured with two motor tests – a long jump from the site and counter movement jump tests on the ARS force plate. Muscle and fat mass were measured with a Tanita DC 430-MA body composition analyzer. 1-way analysis of variance (ANOVA) with eta squared values for effect size, was used to compare the results between groups and Pearson correlation was used for assessing relationship between outcome variables.
The values of fat and muscle mass represent the independent variables. Explosive power, expressed as the average Z-value of the two motor tests, represents the dependent variable.
Results
The results of the research show descriptive data of variables, differences between BMI groups and the correlation of Explosive Power with fat and muscle mass.
Table 1: Descriptive statistic and ANOVA (according to the BMI rang) of motor tests results and body composites data
| BMI rang | Normalweight N=54 | Overweight N=5 | Obesity N=16 | p | $\eta^2$ |
|----------|-------------------|----------------|--------------|-------|----------|
| CMJ/Hft [m] | 0,110 | 0,068 | 0,100 | 0,331 | 0,030 |
| LJS [m] | 1,073 | 1,120 | 1,062 | 0,847 | 0,005 |
| FATp [%] | 16,87 | 20,26 | 27,66 | 0,000 | 0,590 |
| FATm [kg] | 3,59 | 4,66 | 8,22 | 0,000 | 0,590 |
| MUSCp [%] | 77,81 | 63,10 | 68,36 | 0,000 | 0,249 |
| MUSCm [kg]| 16,39 | 17,42 | 19,69 | 0,000 | 0,266 |
| ExPower [Z-Value] | 0,038 | -0,181 | -0,073 | 0,787 | 0,007 |
CMJ/Hft – counter movement jump/jump height; LJS – long jump from the site; FATp - Fat percent; FATm - Fat mass; MUSCp – Muscle percent; MUSCm - Muscle mass; ExPower – average Z-Value of CMJ and LJS test results; p - Sig.; $\eta^2$ - Eta-squared (ANOVA Effect Size)
The best results on the CMJ height test and in overall explosive power scores were achieved by children in the Normalweight group, and the best result on the long jump test was achieved by children of the Overweight group. Children in the Obesity group achieved the worst result on the long jump test and in overall explosive power (Table 1). Differences between BMI groups are not statistically significant ($p > 0.05$). Eta Squared indicates a medium effect for the CMJ height ($\eta^2 < 0.01$) and small effect for long jump test and overall explosive power ($\eta^2 < 0.01$).
Table 2: Correlation of Explosive Power with fat and muscle mass
| | FATm | FATp | MUSCm | MUSCp |
|------------------|------|------|-------|-------|
| Normal weight (N=54) | | | | |
| r | 0,030| -0,032| 0,065 | -0,091|
| p | 0,832| 0,819 | 0,640 | 0,515 |
| Overweight (N=5) | | | | |
| r | 0,609| -0,102| 0,794 | 0,185 |
| p | 0,275| 0,870 | 0,109 | 0,766 |
| Obesity (N=16) | | | | |
| r | -0,133| -0,093| -0,052| 0,079 |
| p | 0,624| 0,731 | 0,849 | 0,770 |
$r$ – Pearson correlation coefficient; $p$ – Sig. (2-tailed)
In the Normal_weight group (Table 2) was detected a low degree of correlation between explosive power and muscle and fat mass ($r < 0.29$). In the Overweight group was detected a high degree of correlation between explosive strength and muscle and fat mass ($r > 0.50$), except for fat mass percentage, there is a low negative correlation ($r = -0.102$). In the Obesity group was detected a low degree of correlation between explosive power and muscle and fat mass ($r < 0.29$). In all BMI groups, the correlation of explosive strength with muscle and fat mass is not statistically significant ($p > 0.05$).
**Discussion**
The findings of our research are consistent with the findings of the research conducted by Matarma et al. (2018). Healthy-weight children had higher scores in strength and agility compared to overweight or obese children. Moreover, in a study by Reeves et al. (1999) higher body fat as measured by skinfolds in preschool children was associated with worse half-mile running time. Also, Henriksson et al. (2016) in their research found that in four-year-old children, body fat percentage was associated with a worse performance in the 20 m shuttle run, standing long jump and $4 \times 10$ m shuttle run tests.
Carnevale Pellino et al. (2020) investigated the difference between the sexes and reported that boys did not significantly increase their performance while growing up, while girls did improve their performance. Sadri et al. (2014) also found the same. In our study, possibly due to the small sample size, we did not detect gender differences.
**Conclusions**
Reducing the proportion of fat mass in the body and increasing the proportion of muscle mass in the preschool period is important for well-developed explosive power. Improvements in lower body muscle strength over the 12-month follow-up period are associated with decreases in body fat mass index and body fat percentage (Henriksson et al., 2019).
For the development of explosive power and consequently for good physical health it is necessary to offer children enough physical and sports activities, which include jumping and running, already in the pre-school period.
**References**
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HENRIKSSON, P., LEPPÄNEN, M. H., HENRIKSSON, H., NYSTRÖM, C. D., CADENAS-SANCHEZ, C., EK, A., ... & LÖF, M. (2019). Physical fitness in relation to later body composition in pre-school children. *Journal of Science and Medicine in Sport*, 22(5), 574–579.
MARTINEZ-TELLEZ, B., SANCHEZ-DELGADO, G., CADENAS-SANCHEZ, C., MORA-GONZALEZ, J., MARTÍN-MATILLAS, M., LÖF, M., ... & RUIZ, J. R. (2016). Health-related physical fitness is associated with total and central body fat in preschool children aged 3 to 5 years. *Pediatric obesity*, 11(6), 468–474.
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Health education work in kindergartens
Kristina Rakuša Krašovec
University of Novo mesto Faculty of Health Sciences, Novo mesto, Slovenia
firstname.lastname@example.org
Abstract
Introduction: Health education and health promotion are reflections of the general culture in each society. Health education work is a basic activity of care providers, which helps individuals to become active in improving and maintaining their health and preventing diseases. Health education should start at a young age, because children learn how to live as healthy as possible, which is a good investment for the future. The purpose of the research was to examine the importance of health educational activities in kindergartens and to determine the position of educators in this regard. The aim of the research was to determine how educators are active in health education with preschool children and how children are acceptable to these contents.
Methods: The research was based on a qualitative working method, and the primary data were obtained through interview techniques. The sample in the research was engaged, six respondents from three different kindergartens participated in the interview.
Results: The results show that kindergartens collaborate with health facilities, but the number of visits by health personnel varies from kindergarten to kindergarten. The children are receptive to the information provided by the health personnel and are happy to participate in the activities. In-service training is provided for kindergarten teachers as part of the “Health in Kindergarten” program, while another in-service training on health education is not planned. One of the interviewees said that she participated in first aid training, which should be a constant practice for all those who work with children, as they are unpredictable and appropriate action in case of accidents can save lives.
Discussion and conclusion: Much more importance is given to health education today than in the past. However, health education activities should be more frequent in educational institutions. Especially during the epidemic, these activities continued. Children indeed learn to take care of their health at an early age, but to do so, they must
first be given relevant information in a way that they can understand. Unfortunately, many children are not introduced to health information until they are in kindergarten or school because parents do not have the relevant knowledge at home or do not consider such topics important. Interviewees agree that the content of health education is important, but it depends on each institution how much emphasis they place on it. There would be a need for a unified curriculum that includes health and education content in kindergartens and includes content for children, educators and also parents since parents are first and foremost role models for their children.
**Keywords:** health education, education, work in kindergartens, health content and kindergarten
**Introduction**
Health education is part of general education and reflects the culture of individuals and society. In the past, health education was not taken care of, but today it is extremely important in a developed society. We are aware that with an appropriate educational approach and lifestyle, we can at least partially influence our health. Health education is the responsibility of medical personnel, and in the case of children, it also involves educators and parents who need to be educated about certain health issues. If we want a person to have healthy habits, it is necessary to educate him/her in this direction already as a child, and for this purpose, it is also necessary to educate parents, because, after all, children are often a reflection of their parents, because they observe and imitate them. Kindergarten does not only mean an institution where the child is protected, but it also means that the upbringing and education of the child are taken care of in kindergartens. Therefore, it is extremely important to start health education at a young age, because in this way we inculcate healthy habits in the child, which he will maintain in adulthood. Slovenian kindergartens are involved in various healthy kindergarten projects, there are visits by medical personnel who work with children in various health education workshops, and children learn healthy habits through play.
In the past, kindergartens were primarily for child care, not education (Krek and Metljak, 2011; Devjak and Berčnik, 2018), but today Slovenian kindergartens are uniformly organized for care and education in the educational system (Rutar, 2022). The National Institute of Public Health manages and implements the Health in Kindergarten program, which aims to create opportunities to strengthen kindergartens to create environments where well-being and health are an important priority and to strengthen individuals' ability to maintain and improve their health throughout life (Health in Kindergarten, 2021). In Slovenian kindergartens, children learn about various health topics, such as proper oral hygiene, healthy eating, physical activity, body hygiene, healthy sleeping habits, traffic safety... However, it would be useful to introduce
a uniform scope and content of the topics discussed in all Slovenian kindergartens, which is not the case so far.
**Methods**
The research aimed to investigate the importance of health education activities in kindergartens and to find out what the educators’ point of view is in this regard.
We set the following research questions:
- How often are kindergarten teachers trained on the topic of children’s health education?
- What is the nature of the collaboration between kindergartens and health care providers?
- In what ways do kindergarten teachers involve children in health education activities?
The research was qualitative in nature; descriptive and comparative research methods were used. Primary data was obtained using the semi-structured interview technique. The interview was designed based on a review of domestic and foreign literature. The interview template consisted of two parts. In the first part we obtained the demographic data of the interviewees and in the second part, we obtained the answers to the research questions. The obtained data were analyzed, arranged in tables, written in codes and interpreted. Kindergarten teachers from three different kindergartens participated in the survey. The ethical principles of research were considered in the study.
**Results**
The sample was purposive. Respondents working in kindergartens participated in the study. The working age of the respondents ranged from 7 to 23 years.
We asked the respondents whether advanced training in children’s health education are offered. According to the answers, this content is not constant and varies from kindergarten to kindergarten. One of the respondents said, “We do not have any training on children’s health education. Every few years we have first aid training.” Another is answering, “In our kindergarten, we have training on children’s health education, both for staff and parents.”
We asked respondents if they thought they had enough hours for health education. Half of them answered that these hours are sufficient, while the rest answered that it depends on the individual educator how many hours they dedicate to health education and that the curriculum itself does not sufficiently address these topics.
Regarding the areas included in preschoolers’ health education, respondents answered fairly uniformly that the following activities are included: Hand washing, brushing teeth, exercise, and healthy eating.
When asked in what way the kindergarten cooperates with medical institutions, all respondents confirmed that they cooperate with medical institutions. These collaborations differ slightly depending on the frequency of training. In most of them, medical staff visits the kindergarten and conducts various workshops for children and staff, sometimes also for parents, and in some kindergartens children are also taken to a medical facility. The response of one of the interviewees was, “We are linked to the local health center. Once a month, throughout the year, different health workers come and prepare work with the children through short lectures and workshops. We then continue these topics on the following days with the educators, depending on the interest of the children.” According to this respondent’s answer, another’s answering differs significantly in terms of the frequency of visits by medical personnel: “In collaboration with the health center, we prepare workshops for children and parents every year. A nurse also visits us regularly.”
We have noticed that the children very much enjoy attending the lectures and workshops given by the medical staff. The children are attracted to various props, cartoons, and stories, and in such a way that they try something themselves, i.e. they are actively involved in the workshops. However, all interviewees agreed that children have very different hygiene habits that they have adopted in their families. There are also big differences in eating habits. Some are very hungry for everything, while others refuse almost everything: “Eating habits are very different. Some eat everything, while others are very picky.”
When asked about the number of daily meals in the kindergarten, all of them answered that there are four meals a day, prepared according to the guidelines for a healthy diet. One of the questions was related to their opinion about the impact of the acquired knowledge about healthy nutrition on the further development of the child. They all answered that this knowledge will naturally affect the further development of the child, as it is a good way for the rest of his life and these healthy habits will stay with him.
We also wanted to know if they think that today’s children are overfed and what they think is the cause of this. The vast majority of respondents agreed that today’s children are indeed overfed, attributing it to inadequate diet and lack of exercise. From their responses, it is clear that they make an effort in the kindergartens to ensure that the children are physically active as much as possible. They ensure this by going for walks, using the playground where they enrich the activities with different props and accessories, and adapting these activities to indoor exercise when the weather is bad. One of the interviewees responded, “Kids like to move. Every day we take a walk around the place, combined with a game in the playground, where we offer them free movement, polygons, different sports equipment, and games in playgrounds. In bad weather, we move to music, play elementary movement games, or do dance activities.”
When asked if the children take into account the acquired knowledge, all respondents answered “yes”. The following answer was particularly interesting:
“A child is a malleable material, so every option offered is a new challenge for him, which after repeated repetitions becomes a routine for him.
So that when he acquires a specific knowledge, he uses it regularly.” They believe that health and education lessons have a positive effect on the later development of the child and that it is necessary to start with health and education topics as early as possible, of course thematically adapted to the age of the child and presented understandably. Kindergartens participate in various health-related projects, such as Traditional Slovenian Breakfast, Healthy Kindergarten, Eco-School, and Safe in the Sun.
We asked them about the parent’s awareness of their children’s health education, and here the answers were quite different. Interviewee 1’s response, “They think they are informed because Uncle Google tells them what they want to know.” I do not think parents talk about health education at home, maybe when the kids start talking about what we did in kindergarten.”
When asked what should be changed to improve the quality of children’s health education, there were opinions that health content should be deepened and implemented more frequently, including parents. They said that it would be necessary to dedicate more training on this topic to the professionals in kindergartens.
Discussion
In our research, we found that professionals are inadequately trained on health, although this varies by kindergarten. Respondents expressed a desire for more such content, and it would be useful to include parents as well, since they are first and foremost role models for their children. Children’s lifestyles are initially influenced by family factors, while later in life this can change due to the influence of school and peers (Mollborn and Lawrence, 2018). Respondents answered that they organize two trainings per year as part of the Health in Kindergarten program. Participation in these trainings is only available to educators whose kindergartens are enrolled in this program. However, regular training within health and education institutions is not available. Summerbell et al. (2012) and Weihrauch-Blueher et al. (2018) claim in their study that we can take care of children’s health and prevent obesity with appropriate preventive measures such as healthy diet, physical activity, and proper sleep hygiene, and these measures must be implemented by parents and educators in kindergartens. According to Scaglioni et al. (2018), children’s eating habits are largely influenced by parents, as they are the ones who provide the child’s first experiences with food. Children adopt their parents’ eating habits and often practice this pattern later in life. Efforts are made to accustom children to healthy meals and a varied diet. Blomkvist, Wills, Helland, Hillesund and Øverby (2021) claim that neophobia is one of the main barriers to vegetable consumption in children because children are often unwilling to try unfamiliar
iar foods. This is most pronounced between the ages of 2 and 6 years and gradually decreases (Dovey, Staples, Gibson and Halford, 2008).
Zajec et al. (2012) determined how educators rated the quality and quantity of physical education equipment available to them compared to their assistants. They concluded that teachers’ ratings of the tools were lower than their assistants’ ratings. The authors relate this to the level of education, age, and training on the subject, which they found should be supported by other authors.
The kindergartens that participated in the study are associated with local medical institutions, especially medical centers. The medical staff of the health centers give lectures and workshops on health education, during visits to the kindergarten or the children come to the health center, where a systematic examination of the children is usually carried out. The frequency of these visits depends on the particular kindergarten and the topics covered may also vary. Topics on healthy eating and proper hygiene are discussed; during the epidemic, much emphasis was placed on hand hygiene and healthy exercise and motor skill development. Children, especially children under the age of five, are highly susceptible to infectious diseases, which are often transmitted through inadequate hand hygiene (Biezen, Grando, Mazza and Brijnath, 2019; Sacri, GSerres, Quach, Boulianne, Valiquette and Skowronski, 2014). During the epidemic, dental hygiene was neglected because, due to epidemic measures, children in kindergartens were not allowed or still are not allowed to brush their teeth. This is very worrying, because unfortunately many children do not brush their teeth before going to kindergarten. Dental caries occurs most frequently in children, which is a serious health problem (Pitts et al., 2017; Kumari and Rani, 2016).
Videmšek and Pišot (2007) say that a child needs to acquire as many motor skills as possible during the preschool years that will benefit him or her in the future. Slovenian kindergartens have organized various physical activities with which kindergartens want to achieve that children, who do not have enough incentive for physical activities in their home environment, somehow satisfy themselves during their stay in kindergarten. In this way, they promote motor skills and physical fitness in children and adolescents (Zupančič Tisovec, Knific and Latnar Žbogar, 2019). O’Brien, Agostino, Ciszek, and Douglas (2020) warn that it is necessary to start regular physical activity in young children, as it has a positive effect on digestion and prevents cardiovascular diseases, improves the child’s self-esteem, and reduces the likelihood of mental illness. According to their research, obese children are more at risk of emotional problems. If he does not master certain motor skills, it will be difficult for him to catch up later, but most importantly, it remains an important activity for him throughout his life. Unfortunately, Kobel et al. (2020) find that kindergarteners are not sufficiently physically active compared to previous generations. This impacts the likelihood of becoming overweight. Children begin to develop behaviors and attitudes about health around age 5 (Williams et al., 2018).
Lahe (2011) explains that the pedagogical work in kindergartens is based on the kindergarten curriculum, which is a national document. This curriculum is used in all state kindergartens in Slovenia. The content and scope of health education is to some extent at the discretion of the educator and the kindergarten, which is not necessarily positive. These decisions can be influenced by the educator’s lifestyle. To the extent that the educator advocates a healthy lifestyle, active participation in sports activities, healthy eating, etc., he or she will try to pass this on to a greater extent to the children in the kindergarten. Wirth et al. (2016) claim that the health behaviors of kindergarten teachers are of concern because they do not eat enough, do not exercise enough, and smoke. It would be useful to create a uniform program at the national level to ensure that all children receive the same amount and content of health and educational treatment. We have found that you have to make the content understandable and interesting to children so that they remember it. You have to know how to motivate children. The study participants said that children can be attracted to the content being taught through cartoons, the use of various props, stories about the topic being covered, the active participation of children in the presentation of the content, etc. The content is useful for the children even before the lectures or to briefly introduce the workshops and prepare them for the training. In this way, they pay more attention later in the lectures, can follow more easily and remember the presented topic better. Children are an investment in the future and it is our responsibility to guide them to a healthy lifestyle that will pay off later in various areas.
**Conclusion**
In Slovenian kindergartens, sufficient attention is paid to the health education of children, but the extent and content of the teaching depend on the particular kindergarten or educator. It would be useful to standardize this at the national level and, as in many other countries, to appoint so-called “school nurses” to take care of this content. During the period of primary socialization, the child adopts behaviors and events from their immediate environment, and this is where kindergarten plays a very important role in shaping the child’s personality. Therefore, it is crucial to introduce healthy habits already in childhood. Children are an investment in the future and it is our responsibility to guide them to a healthy lifestyle that will pay off later in various areas. Of course, the state, with the appropriate institutions, must provide adequate living conditions that enable us to live, or try to live, as healthy as possible.
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Relationship of body mass index with some motor abilities of preschool children
Klavdija Rančnik\textsuperscript{1}, Miran Muhič\textsuperscript{2}
\textsuperscript{1}Kindergarten Velenje, Velenje, Slovenia
\textsuperscript{2}University of Maribor, Faculty of Education, Maribor, Slovenia
Abstract
Introduction and purpose: The body mass index (BMI) is a rough, but the most commonly used indicator for determining children's nutrition. It is an indicator of body composition, which can also affect motor abilities, which are to some extent innate but are also highly dependent on the environment in which the child lives. The study aimed to determine the relationship between body mass index and explosive leg power, balance, and coordination of children in the preschool period.
Methods: The sample included seventy-five 5-6-year-old preschool children, for whom we measured some motor skills (long jump from the city, one-legged jumps on the left leg, one-legged jumps on the right leg, walking through hoops back, walking backwards on the shaft, rotating around its axis, standing on one leg with open eyes) with the help of motor tests and calculated BMI (body mass index). This represents the ratio between the value of body height and body weight. By the doctrine of the World Health Organization (BMI-for-age 5–19 years), BMI was classified into three categories: normal body weight (N = 54), overweight (N = 5), and obesity (N = 16). To analyze the relationship between BMI and the results of motor tests of explosive power, and between the motor balance tests and the results of motor coordination tests, we calculated the Pearson correlation coefficient.
Results: In the category of normal body weight, in the calculations of motor tests, a negative insignificant correlation was detected between the variables BMI and the results of motor tests of explosive leg power ($r = -0.059$). Thus, as the value of one variable (BMI value) increases, the value of the other (the result of motor tests of the explosive leg power) decreases. A negative insignificant correlation ($r = -0.013$) is also observed in this category between BMI variables and the result of motor balance tests. A weak correlation ($r = 0.264$) can be observed between BMI variables and the result of motor coordination tests in the overweight category. There is also a slight correlation in this
category between the variables BMI and the result of motor tests of explosive leg power \((r = 0.012)\) and between BMI and the result of motor tests of balance \((r = 0.045)\). In the obesity category, there is a negative weak correlation between BMI variables and the result of motor balance tests \((r = -0.21)\). Thus, as the value of one variable (BMI) increases, the value of the other variable (the result of motor balance tests) decreases. A negative negligible correlation was detected between the BMI variables and the result of motor coordination tests in this category \((r = -0.129)\).
**Discussion and conclusions:** We found that the higher the BMI, the greater the standard deviation in the results of motor tests of both explosive leg power, balance, and coordination. Children with lower BMIs thus achieved better results in motor tests. Among the mentioned variables, the results are not statistically significant \((p > 0.05)\). From the obtained correlations indicated that there could be some influence of BMI and motor abilities.
**Keywords:** BMI, motor abilities, preschool children
**Introduction**
Obesity has become a common and worrisome problem that can hinder the development of children’s motor abilities. The body mass index (BMI) represents the ratio between the value of body height and body weight. Otherwise, it is rough, but the most common indicator for determine body composition. Among other things, it can also affect motor abilities, which are to a certain extent innate, but are also very dependent on the environment in which the child lives.
Previous studies (Marshall et al., 2004; Must and Tybor, 2005; McMurray et al., 2008; Volmut et al., 2010) indicate that children and adolescents who are overweight or obese compared to children with normal body weight are less active and spend less time in moderate and high-intensity physical activity, as a result, they do not have enough motor experience and have poorly developed motor abilities. Matarma et al. (2018) states that children in the category of overweight have significantly lower results in all measured motor abilities compared to children in the category of normal body weight. Logan et al. (2021) found that preschool children classified as overweight and obese have poorer motor abilities than their peers with normal body weight and underweight. Gentier et al. (2013) found that children in the categories of overweight and obesity have less developed hand skills, gross and fine motor skills than children in the category of normal body weight. Award (2022) found that the motor skills of 6-8-year-old children are negatively related to BMI, and that children with a normal body weight have better motor abilities than overweight children. Webster et al. (2021) state that BMI does not take into account the essential characteristics of an individual’s body composition, so in their research they studied the relationship between the development of motor abilities, body
composition and BMI. They found that in 6-8-year-old children, different components of body composition have different effects on the development of motor abilities. Thus, excess body fat may be a major morphological limitation in skillfully moving the body through space. In contrast, body composition did not significantly predict an individual’s object manipulation performance. The researchers conclude that BMI has limited capabilities in assessing motor abilities.
The purpose of our research was to determine the relationship between BMI and explosive power (leg), balance and coordination in preschool children. Rapid movement units are responsible for the expression of *explosive power*, but it is related to transverse dimensions of the body and muscle mass. Concentric muscle contractions occur in the manifestation of explosive power. Rarely, explosive power manifests itself in eccentric forms of muscle tension. Pistotnik (2011) states that explosive power appears as the maximum initial acceleration, which is achieved when moving the body in space or when acting on objects in the environment. So it is the ability to activate the maximum number of motor units in the shortest possible time. Innate explosive power is relatively high ($h^2 = 0.80$), so it can only be trained to a lesser extent. Videmšek & Pišot (2007) add that explosive power is the ability for a maximum initial acceleration of the body in space, such as starting, jumping and throwing. Pistotnik, Pinter & Dolenc (2002) believe that it is characterized by the rapid mobilization of a large amount of muscle power in a very short time. It manifests itself mainly in acyclic movement types of jumping, in throws and kicks, and in short sprints.
The development of *coordination* begins already in the fetal period, as the fetus gains its first movement experience in the mother’s body. Pistotnik (2011) defines coordination as the ability to perform complex movement tasks and their effective design. Cemič (1997) describes coordination as the deliberate coordination of body movements in relation to space and time. The coefficient of innateness in coordination is relatively high ($h^2 = 0.80$), and its expressiveness depends on the good functioning of the central nervous system (Videmšek et al., 2003). Also Pistotnik et al. (2003) state the important role of sensory in the formation of movement programs and in their execution. Without adequate acceptance and discrimination of the spatial and temporal parameters of movements and without a good kinesthetic feeling, it is not possible to perform the coordination of the required movements. Videmšek & Pišot (2007) state that movement coordination is the ability responsible for the effective design and execution of complex movement tasks, and that this ability is the most characteristic of humans in the motor skills of all living beings.
*Balance* is the ability to quickly form compensatory or replacement movements, which are necessary to return the body to a balanced position when it is disturbed (Pistotnik, 2003), and at the same time, balance is the ability to maintain a stable position (Videmšek et al., 2003). In order to maintain balance, it is necessary to constantly and quickly create an appropriate movement
program that contains corrective movements. However, in order to design appropriate programs, it is necessary to combine information from the environment, the senses of sight and hearing, and the balance organ in the middle ear (Videmšek et al., 2003). The ability to balance is also important in everyday life. As a person ages, the ability to balance decreases, but with suitable exercises, it can be maintained even into old age (Videmšek & Pišot, 2007). Škof et al. (2016) call the ability to perceive the position of posture and movement of individual body parts in space and time proprioception - a continuous flow of information from peripheral receptors to the central nervous system. Skin, muscle, tendon and joint receptors, the organ of vision and the organ of balance are also involved. Based on these, movement responses are formed to maintain or establish balance. Pistotnik (2011) defines two emergent forms of balance: The ability to establish a balance position (as quickly as possible to position in a balanced position after previous disorders of the receptors of the vestibular apparatus) and the ability to maintain a balance position (quick formation of compensatory movements that are proportional to deviations of the body from a stable position in balance position). Pistotnik et al. (2002) believe that the ability to maintain balance comes to the fore when we move on a reduced surface (skating, alpine skiing, walking in the mountains, etc.). Then, during the movement, there are rapid and large changes in the position of the body (change in the direction of movement or stopping or after the completion of rotational movements).
**Methods**
The sample consists of five to six-year-old children (N = 75). We calculated BMI based on their height and weight, and with the help of motor tests (Rančnik, 2021) we evaluated their motor abilities: **explosive power**, **balance** and **coordination**.
For the **explosive power**, we used the results of motor tests that supposedly explain the explosive power of the legs (Long jump from a standing position, One-legged jumps on the left leg and One-leg jumps on the right leg). For the **balance**, we used the results of motor tests that supposedly explain balance (Walking backward on a beam, Spinning around one’s axis, Standing on one leg with eyes open, One-legged hops on the left leg and One-legged hops on the right leg). For the **coordination**, we used the results of motor tests that supposedly explain coordination (Walking on all fours through rings backward One-legged hops on the left leg and One-legged hops on the right leg).
In accordance with the doctrine of the World Health Organization (WHO: BMI for age 5–19 years), the BMI value was classified into three categories (BMI rank): normal body weight (N = 54), overweight (N = 5) and obesity (N = 16). To analyze the association between BMI and motor test results, we calculated the Pearson correlation coefficient.
Results
The results of the association between variables BMI and motor test results are shown in Table 1.
Table 1: Correlation of BMI with the results for motor tests
| BMI rang | Statistic | Explosive Power | Balance | Coordination |
|----------------|-----------|-----------------|---------|--------------|
| Normalweight (N=54) | r | 0,06 | -0,01 | 0,01 |
| | p | 0,67 | 0,92 | 0,92 |
| Overweight (N=5) | r | 0,01 | 0,05 | 0,26 |
| | p | 0,99 | 0,94 | 0,67 |
| Obesity (N=16) | r | 0,19 | -0,21 | -0,13 |
| | p | 0,48 | 0,43 | 0,63 |
r - Pearson Correlation; p - Significance (0.05)
In the category of normal body weight, an insignificant negative correlation (r = -.06) was detected between variables BMI and the result of motor tests of explosive power. So, as the BMI value increases, the value of the explosive power test result decreases. In this BMI category, an insignificant negative correlation (r = -.01) was detected also between variables BMI and the result of motor tests of balance. In the BMI category overweight, a weak positive correlation (r = .26) was detected between variables BMI and the result of motor tests of coordination. In the BMI category overweight, an insignificant positive correlation was detected between variables BMI and the result of motor tests of explosive power (r = .01) and between variables BMI and the result of motor tests of balance (r = .04). In the obesity category, a weak negative correlation was detected between variables BMI and the result of motor tests of balance (r = -.21). So, as the value of one variable (BMI value) increases, the value of another variable (the result of motor tests of balance) decreases. In the obesity category, a slight negative correlation was detected between variables BMI and the result of motor tests of coordination (r = -.13). The association between the mentioned variables is not statistically significant (p > .05) in any BMI category.
We found that the higher the BMI, the greater the dispersion of motor test results as shown in Figure 1.
In the BMI category of normal body weight, the dispersion of motor test results is the smallest (Figure 1). Most of the results are located around the arithmetic mean of this category.
There is a greater dispersion of motor test results in the BMI category *overweight*, as shown in Figure 2. Most of the results are below the arithmetic mean of this category. Children with a lower BMI achieved worse results in
motor tests of coordination. This finding is relative, as there were only 5 children in these category.
As shown in Figure 3 the greatest dispersion of motor test results is in the BMI category obesity. Most of the results are located around the arithmetic mean of this category. Children with a lower BMI achieved worse results in motor tests of explosive power and better results in motor tests of balance and motor tests of coordination.
Discussion
When studying BMI values, we were positively surprised by the number of children in the BMI category normal weight - as much as 72.0% of the entire sample. However, we were concerned by the fact that as many as 21.3% of children are in the BMI category obesity. We did not look for the reasons for these two data, but it is a clue for future research. Brettschneider & Bnemann (2005; based on Simunič, Volmut & Pišot, 2010) state that we must find out the causes of obesity, look for ways to reduce the phenomenon in the part of the population where the phenomenon is already present, and prevent the possibility of new cases.
We found that the higher the BMI, the greater the standard deviation in the results of all motor tests: explosive power, balance and coordination. Children with a lower BMI thus achieved better results in motor tests than children with a higher BMI.
Matarma et al. (2018) came to the conclusion in his research that attending an educational institution (kindergarten) has positive effects on the development of coordination, strength and flexibility. A smaller part of the fat mass could be detected by girls, which is associated with greater strength and agility. The associations between moderate to high physical activity and time spent in sedentary activities showed no influence on the development of motor abilities. The researchers conclude that attending kindergarten is very beneficial for the early prevention of obesity and overweight in children. The positive links between attending kindergarten, motor skills and physical activity show the importance of early learning, as a place to raise awareness and encourage physical activity and motor development of children.
Conclusions
According to the findings of our research, as BMI increases, motor abilities deteriorate. We conclude that for the development of motor abilities in the preschool period, in addition to varied and sufficient physical activity, regardless of the child’s environment, it is also important to prevent overweight and obesity.
References
AWAD, A. S., & ANEIS, Y. M. (2022). *Correlation between body mass index and motor proficiency in Egyptian children: a cross-sectional study*. Bulletin of Faculty of Physical Therapy, 27(1), 1–9.
CEMIČ, A. (1997). Motorika predšolskega otroka. Ljubljana: Dr. Mapet.
GENTIER, I., D’HONDT, E., SHULTZ, S., DEFORCHE, B., AUGUSTIJN, M., HOORNE, S., ... & LENOIR, M. (2013). Fine and gross motor skills differ between healthy-weight and obese children. *Research in developmental disabilities*, 34(11), 4043–4051.
LOGAN, S. W., SCRABIS-FLETCHER, K., MODLESKY, C., & GETCHELL, N. (2011). The relationship between motor skill proficiency and body mass index in preschool children. *Research quarterly for exercise and sport*, 82(3), 442–448.
MATARMA, T., LAGSTRÖM, H., HURME, S., TAMMELIN, T. H., KULMALA, J., BARNETT, L. M., & KOSKI, P. (2018). Motor skills in association with physical activity, sedentary time, body fat, and day care attendance in 5-6-year-old children—The STEPS Study. *Scandinavian journal of medicine & science in sports*, 28(12), 2668–2676.
PISTOTNIK, B. (2003). *Osnove gibanja: gibalne sposobnosti in osnovna sredstva za njihov razvoj v športni praksi: osnove gibalne izobrazbe*. Ljubljana: Fakulteta za šport, Inštitut z šport.
PISTOTNIK, B. (2011). *Osnove gibanja v športu: osnove gibalne izobrazbe*. Ljubljana: Fakulteta za šport.
PISTOTNIK, B., PINTER, S. IN DOLENC, M. (2002). *Gibalna abeceda*. Ljubljana: Fakulteta za šport.
RANČNIK, K. (2021). *Vloga nekaterih motoričnih sposobnosti pri skoku v višino v predšolskem obdobju*. Diplomsko delo. Maribor: Pedagoška fakulteta Univerze v Mariboru.
ŠIMUNIČ, B., VOLMUT, T. IN PIŠOT, R. (2010). *Otroci potrebujejo gibanje. Otrok med vplivi sodobnega življenjskega sloga – gibalne sposobnosti, telesne značilnosti in zdravstveni status slovenskih otrok*. Univerza na Primorskem, Znanstveno-raziskovalno središče Koper – Inštitut za kineziološke raziskave, Univerzitetna založba Annales.
ŠKOF, B. (2016). *Šport po meri otrok in mladostnikov: pedagoški, didaktični, psihosocialni, biološki in zdravstveni vidiki športne vadbe mladih*. 2. dopolnjena izdaja. Ljubljana: Fakulteta za šport, Inštitut za kineziologijo.
VIDEMŠEK, M. BERDAJS, P. IN KARPLJUK, D. (2003). *Mali športnik: gibalne dejavnosti otrok do tretjega leta starosti v okviru družine*. Ljubljana: Fakulteta za šport; Inštitut za šport.
VIDEMŠEK, M. IN PIŠOT, R. (2007). *Šport za najmlajše*. Ljubljana: Fakulteta za šport; Inštitut za šport.
VOLMUT, T., ČEKLIČ, U., PIŠOT, R. IN ŠIMUNIČ, B. (2010). Razlike v gibanostportni aktivnosti otrok glede na maščobno maso. V R. Pišot idr. (Ur.), *Sodobni pogledi na gibalni razvoj otrok* (str. 405–407).
WEBSTER, E. K., SUR, I., STEVENS, A., & ROBINSON, L. E. (2021). Associations between body composition and fundamental motor skill competency in children. *BMC pediatrics*, 21(1), 1–8.
WHO: BMI for age 5–19 years. Pridobljeno 1.8.2022 na https://www.who.int/toolkits/growth-reference-data-for-5to19-years/indicators/bmi-for-age
Zdravje otrok in mladostnikov
Health of Children and Adolescents
Proceedings
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ISBN 978-961-293-182-7
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DOI: https://doi.org/10.26493/978-961-293-182-7
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UNIVERSITÀ DELLE SCIENZE UMANE
UNIVERZA NA DELIHUMANKEM
FACOLTÀ DI SCIENZE SANITARIE
FAKULTETA ZDRAVJE OBOZROVANJA
HEALTH OF CHILDREN AND ADOLESCENTS
ZDRAVJE OTROK IN KLJUBOLEDOV
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AMENDMENTS TO SENATE BILL NO. 457
Amendment 1
In the title, strike out lines 1 and 2 and insert:
An act to amend Section 2507 of, to add Section 2746.54 to, to add Article 17 (commencing with Section 880) to Chapter 1 of Division 2 of, and to repeal Sections 2508, 2510, 2516 of, the Business and Professions Code, and to amend Section 1204.3 of the Health and Safety Code, relating to out-of-hospital childbirths.
Amendment 2
On page 1, before line 1, insert:
SECTION 1. Article 17 (commencing with Section 880) is added to Chapter 1 of Division 2 of the Business and Professions Code, to read:
Article 17. Out-of-Hospital Childbirths
880. (a) Notwithstanding any other law and except as provided in subdivisions (c) and (d), a licensed physician and surgeon, a licensed midwife, and a certified nurse-midwife shall only attend cases of pregnancy and out-of-hospital childbirth when all of the following conditions are met:
(1) There is no increased risk to the patient or client because of a disease or condition that could adversely affect the pregnancy and childbirth.
(2) The patient or client has not had prior uterine or abdominal surgery, including, but not limited to, myomectomy, hysterotomy, or prior caesarian section.
(3) There is a singleton fetus.
(4) There is a cephalic presentation by 36 \( \frac{1}{2} \) completed weeks of pregnancy.
(5) The gestational age of the fetus is greater than 37 \( \frac{1}{2} \) weeks and less than 42 \( \frac{1}{2} \) completed weeks of pregnancy.
(6) Labor is spontaneous or manually induced after 39 weeks gestation.
(7) Transfer to a hospital setting can occur within 20 minutes from the initiation of the transfer.
(b) The licensed physician and surgeon, licensed certified nurse midwife, or licensed midwife, acting within their scope of practice, shall use a self-screening form to identify patient or client risk factors for out-of-hospital childbirth.
(c) If the patient or client meets the conditions specified in paragraphs (3) to (7), inclusive, of subdivision (a), but fails to meet the conditions specified in paragraph (1) or (2) of subdivision (a) based on the risk factors identified by the self-screening form, the patient or client shall obtain a medical examination by a licensed physician and surgeon with privileges to practice obstetrics or gynecology. Under these circumstances, the licensed physician and surgeon, licensed midwife, or certified nurse midwife may only attend cases of out-of-hospital childbirth if a licensed physician and surgeon with privileges to practice obstetrics or gynecology determines, at the time of the
examination, that the patient or client is not at an increased risk due to a disease or condition, that could adversely affect the pregnancy and childbirth.
(d) The licensed physician and surgeon, licensed midwife, or licensed certified nurse-midwife attending cases of pregnancy and out-of-hospital childbirth under this article shall continuously assess the patient or client for any evidence of a disease or condition that could adversely affect the pregnancy and childbirth. If any evidence of a disease or condition that could adversely affect the pregnancy and childbirth arise, the patient or client shall obtain a medical examination by a licensed physician and surgeon with privileges to practice obstetrics or gynecology or the licensed physician and surgeon, licensed midwife, or licensed certified nurse-midwife, shall initiate appropriate interventions, including transfer, first-responder emergency care or emergency transport.
(e) For the purposes of this article, "out-of-hospital childbirth" means childbirth in the home setting, an alternative birth center pursuant to pursuant to paragraph (4) of subdivision (b) of Section 1204 of the Health and Safety Code, or any other setting other than a facility as described in Chapter 2 (commencing with Section 1250) of Division 2 of the Health and Safety Code, or a facility as described in Chapter 2.5 (commencing with Section 1440) of Division 2 of the Health and Safety Code.
(f) It shall constitute unprofessional conduct for a licensed physician and surgeon, licensed midwife, or licensed certified nurse-midwife to attend to a case of out-of-hospital childbirth after a licensed physician and surgeon with privileges in obstetrics or gynecology, pursuant to a medical examination under subdivision (c) or (d), determines that the patient or client is at an increased risk due to a disease or condition, that could adversely affect the pregnancy and childbirth. Notwithstanding any other law, a violation of this section shall not be a crime.
880.2. (a) A licensed physician and surgeon, licensed midwife, or a licensed certified nurse-midwife authorized to attend to cases of out-of-hospital childbirths pursuant to this article shall disclose in oral and written form to a prospective patient or client seeking care for a planned out-of-hospital childbirth, and obtain consent for, all of the following:
(1) All of the provisions of Section 880.
(2) The type of license held by the licensee and licensee number.
(3) A licensed midwife or certified nurse-midwife who attends cases of out-of-hospital childbirth without physician and surgeon supervision shall provide notice that the care being provided is not being supervised by a physician and surgeon.
(4) The practice settings in which the licensee practices.
(5) If the licensee does not have professional liability coverage for the care being provided in an out-of-hospital birth setting, he or she shall disclose that fact.
(6) The acknowledgment that if the patient or client is required to obtain an examination with a licensed physician and surgeon pursuant to subdivision (c) or (d) of Section 880, failure to do so may affect the patient or client's legal rights in any professional negligence actions against a physician and surgeon, a healing arts licensee, or hospital.
(7) There are conditions that will result in an examination from, or transfer of care to, a licensed physician and surgeon and if these conditions exist, the licensee will no longer be able to care for the patient or client in an out-of-hospital setting, beyond continuing care during the transition period to the physician and surgeon.
(8) The specific arrangements for examination by a physician and surgeon with privileges in obstetrics or gynecology for examination. The licensee shall not be required to identify a specific physician and surgeon.
(9) The specific arrangements for the transfer of care during the prenatal period, hospital transfer during the intrapartum and postpartum periods, and access to appropriate emergency medical services for patient or client and newborn, if necessary, and recommendations for preregistration at a hospital that has obstetric emergency services and is most likely to receive the transfer.
(10) If, during the course of care, the patient or client has or may have a condition indicating the need for a transfer to a hospital, that the licensee shall initiate the transfer.
(11) The availability of the text of laws regulating out-of-hospital childbirth and the procedure for reporting complaints to the appropriate licensing entity.
(12) Consultation by a licensee with a consulting physician and surgeon does not alone create a physician-patient relationship or any other relationship with the consulting physician and surgeon. The licensee shall inform the patient or client that he or she is an independent healing arts licensee and is solely responsible for the services he or she provides.
(b) The disclosure and consent form shall be signed by both the licensee and patient or client and a copy of the signed disclosure and consent form shall be placed in the patient or client’s medical record.
(c) (1) The licensee shall provide the patient or client with the most recent versions of the following documents:
(A) The American College of Nurse-Midwives Clinical Bulletin entitled “Midwifery Provision of Home Birth Services.”
(B) The American College of Obstetricians and Gynecologists on Obstetric Practice Committee Opinion #669: Planned Home Birth.
(C) Society of Maternal Fetal Medicine and the American College of Obstetricians and Gynecologists document entitled “Obstetrics Care Consensus: Levels of Maternal Care.”
(2) The Medical Board of California and the Board of Registered Nursing shall make the most recent version of the documents specified in paragraph (1) publicly available on their Internet Web sites.
880.4. (a) If a patient or client is transferred to a hospital, the licensee shall provide records, including prenatal records, and speak with the receiving physician and surgeon about the labor up to the point of the transfer. The failure to comply with this section shall constitute unprofessional conduct. Notwithstanding any other law, a violation of this section shall not be a crime.
(b) The hospital shall report, in writing on a form developed by the Office of Statewide Health Planning and Development, within 30 days, each transfer of a patient who attempted a planned out-of-hospital childbirth to the Office of Statewide Health Planning and Development. The standardized form shall include:
(1) Name and license number of the licensed physician and surgeon, certified nurse-midwife, or licensed midwife who attended the patient’s planned out-of-hospital childbirth or out-of-hospital childbirth attempt.
(2) Name and license number of the accepting or admitting physician and surgeon or certified nurse midwife who assumed care of the patient.
(3) Name of the patient and patient identifying information.
(4) Name of the hospital or emergency center where the patient was transferred.
(5) Date of report.
(6) Whether the person or persons admitted was pregnant, the delivered mother, or newborn newborns.
(7) Whether there was a verbal handoff or if any prenatal records were obtained from the out-of-hospital childbirth attendant.
(8) Gestational age of the fetus or newborn in weeks and method of determination.
(9) Events triggering transfer including, but not limited to, pain management, excessive bleeding, fetal intolerance of labor, prolonged or nonprogressive labor with time in labor, maternal request for transfer, or the clinical judgment of the out-of-birth childbirth attendant.
(10) Presence of significant history and risk factors including, but not limited to, preterm less than 37 %, postterm greater than 42 %, prior uterine or abdominal surgery including prior cesarean section, Group B strep, multiple births, IUGR, IUFD, chorioamnionitis, bleeding, noncephalic presentation, gestational diabetes, morbid obesity (BMI >40), or preeclampsia.
(11) Method of delivery.
(12) Whether a caesarian section was performed.
(13) Place of delivery.
(14) FHR tracing on admission.
(15) Fetal presentation on admission.
(16) APGAR score of the newborn.
(17) Cord gases.
(18) Whether the newborn suffered any complications and was placed in the NICU.
(19) Whether the mother suffered any complications and was placed in the ICU.
(20) Duration of hospital stay for the mother and the newborn and newborns as of the date of the report and final disposition or status, if not released from the hospital, of the mother and newborn or newborns.
(c) The form described in subdivision (b) shall be constructed in a format to enable the hospital to transmit the information in paragraphs (4) to (20), inclusive, to the Office of Statewide Health Planning and Development in a manner that the licensees and the patient are anonymous and their identifying information is not transmitted to the office. The entire form containing information described in paragraphs (1) to (20), inclusive, of subdivision (b) shall be placed in the patient’s medical record.
(d) The Office of Statewide Health Planning and Development may revise the reporting requirements for consistency with national and standards, as applicable.
880.6. (a) Each licensee caring for a patient or client planning an out-of-hospital birth shall submit, within 30 days of initial acceptance of a patient or client, a form indicating the initiation of care to the Office of Statewide Health Planning and Development. The office shall develop a standardized form.
(b) Each licensee who attends an out-of-hospital childbirth, including supervising a student midwife, shall annually report to the Office of Statewide Health Planning and Development. The report shall be submitted no later than March 30, for the prior calendar year, in a form specified by the office and shall contain all of the following:
(1) The licensee’s name and license number.
(2) The calendar year being reported.
(3) The following information with regard to cases in California in which the licensee, or the student midwife supervised by a licensee, attended or assisted during the previous year when the intended place of birth at the onset of care was an out-of-hospital setting:
(A) The total number of patients or clients served as primary caregiver at the onset of prenatal care.
(B) The number by county of live births attended as primary caregiver.
(C) The number, by county, of cases of fetal demise, infant deaths, and maternal deaths attended as primary caregiver at the discovery of the demise or death.
(D) The number of patients or clients whose primary care was transferred to another health care practitioner during the antepartum period, and the reason for each transfer.
(E) The number, reason, and outcome for each elective hospital transfer during the intrapartum or postpartum period.
(F) The number, reason, and outcome for each urgent or emergency transport of an expectant mother in the antepartum period.
(G) The number, reason, and outcome for each urgent or emergency transport of an infant or mother during the intrapartum or immediate postpartum period.
(H) The number of planned out-of-hospital births at the onset of labor and the number of births completed in an out-of-hospital setting.
(I) The number of planned out-of-hospital births completed in an out-of-hospital setting that were any of the following:
(i) Twin births.
(ii) Multiple births other than twin births.
(iii) Presentations other than cephalic.
(iv) Vaginal births after cesarean section (VBAC).
(J) A brief description of any complications resulting in the morbidity or mortality of a mother or a neonate.
(K) Any other information prescribed by the Office of Statewide Health Planning and Development in regulations.
(c) The Office of Statewide Health Planning and Development shall maintain the confidentiality of the information submitted pursuant to this section, and shall not permit any law enforcement or regulatory agency to inspect or have copies made of the contents of any reports submitted pursuant to subdivisions (a) and (b) for any purpose, including, but not limited to, investigations for licensing, certification, or any other regulatory purposes.
(d) The Office of Statewide Health Planning and Development shall report to the appropriate board, by April 30, those licensees who have met the requirements of this section for that year.
(e) The Office of Statewide Health Planning and Development shall report the aggregate information collected pursuant to this section to the appropriate board by July 30 of each year. The Medical Board of California and the Board of Registered Nursing shall include this information in its annual report to the Legislature.
(f) The Office of Statewide Health Planning and Development, with input from the appropriate licensing boards, may adjust the data elements required to be reported to better coordinate with other reporting systems, including the reporting system of
the Midwives Alliance of North America (MANA), while maintaining the data elements unique to California. To better capture data needed for the report required by this section, the concurrent use of systems, including MANA's, by licensed midwives is encouraged.
(g) A failure to report under this section shall constitute unprofessional conduct. Notwithstanding any other law, a violation of this section shall not be a crime.
SEC. 2. Section 2507 of the Business and Professions Code is amended to read:
2507. (a) The Notwithstanding any other law, the license to practice midwifery authorizes the holder to attend cases of normal pregnancy and childbirth, as defined in paragraph (1) of subdivision (b), out-of-hospital childbirth pursuant to Article 17 (commencing with Section 880), and to provide prenatal, intrapartum, and postpartum care, including family-planning care, for the mother, care related to the out-of-hospital childbirth for the client and immediate care for the newborn.
(b) As used in this article, the practice of midwifery constitutes the furthering or undertaking by any licensed midwife to assist a woman in childbirth as long as progress meets criteria accepted as normal, client in an out-of-hospital childbirth pursuant to pursuant to Article 17 (commencing with Section 880).
(1) Except as provided in paragraph (2), a licensed midwife shall only assist a woman in normal pregnancy and childbirth, which is defined as meeting all of the following conditions:
(A) There is an absence of both of the following:
(i) Any preexisting maternal disease or condition likely to affect the pregnancy;
(ii) Significant disease arising from the pregnancy;
(B) There is a singleton fetus;
(C) There is a cephalic presentation;
(D) The gestational age of the fetus is greater than 37-½ weeks and less than 42-½ completed weeks of pregnancy;
(E) Labor is spontaneous or induced in an outpatient setting;
(2) If a potential midwife client meets the conditions specified in subparagraphs (B) to (E), inclusive, of paragraph (1), but fails to meet the conditions specified in subparagraph (A) of paragraph (1), and the woman still desires to be a client of the licensed midwife, the licensed midwife shall provide the woman with a referral for an examination by a physician and surgeon trained in obstetrics and gynecology. A licensed midwife may assist the woman in pregnancy and childbirth only if an examination by a physician and surgeon trained in obstetrics and gynecology is obtained and the physician and surgeon who examined the woman determines that the risk factors presented by her disease or condition are not likely to significantly affect the course of pregnancy and childbirth.
(3) The board shall adopt regulations pursuant to the Administrative Procedure Act (Chapter 3.5 (commencing with Section 11340) of Part of 1 of Division 3 of Title 2 of the Government Code) specifying the conditions described in subparagraph (A) of paragraph (1).
(c) (1) If at any point during pregnancy, childbirth, or postpartum care a client’s condition deviates from normal, the licensed midwife shall immediately refer or transfer the client to a physician and surgeon; care, there is any evidence of a disease or condition that could adversely affect the pregnancy and childbirth arise, the client shall obtain a
medical examination by a licensed physician and surgeon with privileges to practice obstetrics or gynecology pursuant to paragraph (b) of Section 880, or the licensed midwife shall initiate appropriate interventions, including immediate transfer, first-responder emergency care, or emergency transport. The licensed midwife may consult and remain in consultation with the physician and surgeon after the referral or transfer.
(2) If a physician and surgeon determines that the client’s condition or concern has been resolved such that the risk factors presented by a woman’s disease or condition are not likely to significantly affect the course of pregnancy or childbirth, client is not at an increased risk due to a disease or condition, that could adversely affect the pregnancy and childbirth, the licensed midwife may resume primary care of the client and resume assisting the client during her the pregnancy, childbirth, or postpartum care.
(3) If a physician and surgeon determines the client’s condition or concern has not been resolved as specified in paragraph (2), (2) and is at an increased risk due to a disease or condition, that could adversely affect the pregnancy and childbirth, the licensed midwife may provide concurrent care with a physician and surgeon and, if authorized by the client, be present during the labor and childbirth, and resume postpartum care, if appropriate. A licensed midwife shall not resume primary care of the client, attend an out-of-hospital childbirth of the client.
(d) A licensed midwife shall not provide or continue to provide midwifery care to a woman with a risk factor that will significantly affect the course of client if a licensed physician and surgeon with privileges to practice obstetrics or gynecology determines, at the time of the examination, that the client is at an increased risk due to a disease or condition, that could adversely affect the pregnancy and childbirth as described in Article 17 (commencing with Section 880) pregnancy and childbirth, regardless of whether the woman client has consented to this care or refused care by a physician or surgeon, except as provided in paragraph (3) of subdivision (c).
(e) The practice of midwifery does not include the assisting of childbirth by any artificial, forcible, or mechanical means, nor the performance of any version of these means.
(f) A midwife is authorized to directly obtain supplies and devices, obtain and administer drugs and diagnostic tests, order testing, and receive reports that are necessary to his or her practice of midwifery and consistent with his or her scope of practice:
(1) A licensed midwife may administer, order, or use any of the following:
(1) Postpartum antihemorrhagic drugs.
(2) Prophylactic ophthalmic antibiotics.
(3) Vitamin K.
(4) RhoGAM.
(5) Local anesthetic medications.
(6) Intravenous fluids limited to lactated ringers, 5 percent dextrose with lactated ringers, and heparin and 0.9 percent sodium chloride for use in intravenous locks.
(7) Epinephrine for use in maternal anaphylaxis pending emergency transport.
(8) HBIG and GBV for neonates born to hepatitis B mothers, per current Centers for Disease Control guidelines.
(9) Antibiotics for intrapartum prophylaxis of Group B Betahemolytic Streptococcus (GBBS), per current Centers For Disease Control guidelines.
(10) Equipment incidental to the practice of out-of-hospital childbirth, specifically, dopplers, syringes, needles, phlebotomy equipment, suture, urinary catheters, intravenous equipment, amnihooks, airway suction devices, neonatal and adult resuscitation equipment, glucometer, and centrifuge.
(11) Equipment incidental to maternal care, specifically, compression stockings, maternity belts, breast pumps, diaphragms, and cervical caps.
(g) This article does not authorize a midwife to practice medicine or to perform surgery.
SEC. 3. Section 2508 of the Business and Professions Code is repealed.
2508.—(a) A licensed midwife shall disclose in oral and written form to a prospective client as part of a client care plan, and obtain informed consent for, all of the following:
(1) All of the provisions of Section 2507.
(2) The client is retaining a licensed midwife, not a certified nurse-midwife, and the licensed midwife is not supervised by a physician and surgeon.
(3) The licensed midwife’s current licensure status and license number.
(4) The practice settings in which the licensed midwife practices.
(5) If the licensed midwife does not have liability coverage for the practice of midwifery, he or she shall disclose that fact. The licensed midwife shall disclose to the client that many physicians and surgeons do not have liability insurance coverage for services provided to someone having a planned out-of-hospital birth.
(6) The acknowledgment that if the client is advised to consult with a physician and surgeon, failure to do so may affect the client’s legal rights in any professional negligence actions against a physician and surgeon, licensed health care professional, or hospital.
(7) There are conditions that are outside of the scope of practice of a licensed midwife that will result in a referral for a consultation from, or transfer of care to, a physician and surgeon.
(8) The specific arrangements for the referral of complications to a physician and surgeon for consultation. The licensed midwife shall not be required to identify a specific physician and surgeon.
(9) The specific arrangements for the transfer of care during the prenatal period; hospital transfer during the intrapartum and postpartum periods, and access to appropriate emergency medical services for mother and baby if necessary; and recommendations for preregistration at a hospital that has obstetric emergency services and is most likely to receive the transfer.
(10) If, during the course of care, the client is informed that she has or may have a condition indicating the need for a mandatory transfer, the licensed midwife shall initiate the transfer.
(11) The availability of the text of laws regulating licensed midwifery practices and the procedure for reporting complaints to the Medical Board of California, which may be found on the Medical Board of California’s Internet Web site.
(12) Consultation with a physician and surgeon does not alone create a physician-patient relationship or any other relationship with the physician and surgeon. The informed consent shall specifically state that the licensed midwife and the
consulting physician and surgeon are not employees, partners, associates, agents, or principals of one another. The licensed midwife shall inform the patient that he or she is independently licensed and practicing midwifery and in that regard is solely responsible for the services he or she provides.
(b) The disclosure and consent shall be signed by both the licensed midwife and the client and a copy of the disclosure and consent shall be placed in the client’s medical record.
(c) The Medical Board of California may prescribe the form for the written disclosure and informed consent statement required to be used by a licensed midwife under this section.
SEC. 4. Section 2510 of the Business and Professions Code is repealed.
2510. If a client is transferred to a hospital, the licensed midwife shall provide records, including prenatal records, and speak with the receiving physician and surgeon about labor up to the point of the transfer. The hospital shall report each transfer of a planned out-of-hospital birth to the Medical Board of California and the California Maternal Quality Care Collaborative using a standardized form developed by the board.
SEC. 5. Section 2516 of the Business and Professions Code is repealed.
2516. (a) Each licensed midwife who assists, or supervises a student midwife in assisting, in childbirth that occurs in an out-of-hospital setting shall annually report to the Office of Statewide Health Planning and Development. The report shall be submitted no later than March 30, for the prior calendar year, in a form specified by the board and shall contain all of the following:
(1) The midwife’s name and license number.
(2) The calendar year being reported.
(3) The following information with regard to cases in California in which the midwife, or the student midwife supervised by the midwife, assisted during the previous year when the intended place of birth at the onset of care was an out-of-hospital setting:
(A) The total number of clients served as primary caregiver at the onset of care.
(B) The number by county of live births attended as primary caregiver.
(C) The number, by county, of cases of fetal demise, infant deaths, and maternal deaths attended as primary caregiver at the discovery of the demise or death.
(D) The number of women whose primary care was transferred to another health care practitioner during the antepartum period, and the reason for each transfer.
(E) The number, reason, and outcome for each elective hospital transfer during the intrapartum or postpartum period.
(F) The number, reason, and outcome for each urgent or emergency transport of an expectant mother in the antepartum period.
(G) The number, reason, and outcome for each urgent or emergency transport of an infant or mother during the intrapartum or immediate postpartum period.
(H) The number of planned out-of-hospital births at the onset of labor and the number of births completed in an out-of-hospital setting.
(I) The number of planned out-of-hospital births completed in an out-of-hospital setting that were any of the following:
(i) Twin births.
(ii) Multiple births other than twin births.
(iii) Breech births.
(iv) Vaginal births after the performance of a cesarean section.
(j) A brief description of any complications resulting in the morbidity or mortality of a mother or a neonate.
(k) Any other information prescribed by the board in regulations.
(b) The Office of Statewide Health Planning and Development shall maintain the confidentiality of the information submitted pursuant to this section, and shall not permit any law enforcement or regulatory agency to inspect or have copies made of the contents of any reports submitted pursuant to subdivision (a) for any purpose, including, but not limited to, investigations for licensing, certification, or regulatory purposes.
(c) The office shall report to the board, by April 30, those licensees who have met the requirements of subdivision (a) for that year.
(d) The board shall send a written notice of noncompliance to each licensee who fails to meet the reporting requirement of subdivision (a). Failure to comply with subdivision (a) will result in the midwife being unable to renew his or her license without first submitting the requisite data to the Office of Statewide Health Planning and Development for the year for which that data was missing or incomplete. The board shall not take any other action against the licensee for failure to comply with subdivision (a).
(e) The board, in consultation with the office and the Midwifery Advisory Council, shall devise a coding system related to data elements that require coding in order to assist in both effective reporting and the aggregation of data pursuant to subdivision (f). The office shall utilize this coding system in its processing of information collected for purposes of subdivision (f).
(f) The office shall report the aggregate information collected pursuant to this section to the board by July 30 of each year. The board shall include this information in its annual report to the Legislature.
(g) The board, with input from the Midwifery Advisory Council, may adjust the data elements required to be reported to better coordinate with other reporting systems, including the reporting system of the Midwives Alliance of North America (MANA), while maintaining the data elements unique to California. To better capture data needed for the report required by this section, the concurrent use of systems, including MANA's, by licensed midwives is encouraged.
(h) Notwithstanding any other law, a violation of this section shall not be a crime.
SEC. 6. Section 2746.54 is added to the Business and Professions Code, to read:
2746.54. (a) Notwithstanding Section 2746.5 or any other law, a certified nurse-midwife may attend cases of out-of-hospital childbirth pursuant to Article 17 (commencing with Section 880), and to provide prenatal, intrapartum, and postpartum care, related to the out-of-hospital childbirth, for the client and immediate care for the newborn without physician and surgeon supervision.
(b) (1) If at any point during pregnancy, childbirth, or postpartum care there is any evidence of a disease or condition that could adversely affect the pregnancy and childbirth arise, the client shall obtain a medical examination by a licensed physician and surgeon with privileges to practice obstetrics or gynecology as described in Article 17 (commencing with Section 880), or the certified nurse midwife shall initiate appropriate interventions, including immediate transfer, first-responder emergency
care, or emergency transport. The certified nurse-midwife may consult and remain in consultation with the physician and surgeon after the referral or transfer.
(2) If a physician and surgeon determines that the client's condition or concern has been resolved such that the risk factors presented by a client's disease or condition does not adversely affect the pregnancy or childbirth, the certified nurse midwife may resume care of the client and resume assisting the client during the pregnancy, out-of-hospital childbirth, or postpartum care.
(3) If a physician and surgeon determines the client's condition or concern has not been resolved as specified in paragraph (2), and is at an increased risk due to a disease or condition, that could adversely affect the pregnancy and childbirth, the certified nurse-midwife may provide concurrent care with a physician and surgeon and, if authorized by the client, be present during the labor and childbirth, and resume postpartum care, if appropriate. Notwithstanding any other law, under the circumstances described in this paragraph, a certified nurse-midwife shall not attend an out-of-hospital birth of the client unless under the supervision of a physician and surgeon pursuant to Section 2746.5.
(c) A certified nurse-midwife shall not provide or continue to provide care to a client if a licensed physician and surgeon with privileges to practice obstetrics or gynecology determines, at the time of the examination, that there is an increased risk to the client because of a disease or condition that could adversely affect the pregnancy and childbirth, as described in Article 17 (commencing with Section 880), regardless of whether the client has consented to this care or refused care by a physician or surgeon, except as provided in paragraph (3) of subdivision (b).
(d) This section does not include the assisting of childbirth by any artificial, forcible, or mechanical means, nor the performance of any version of these means.
(e) For purposes of attending an out-of-hospital childbirth pursuant to this section, and notwithstanding Section 2746.51, a certified nurse-midwife may administer, order, or use any of the following:
(1) Postpartum antihemorrhagic drugs.
(2) Prophylactic ophthalmic antibiotics.
(3) Vitamin K.
(4) RhoGAM.
(5) Local anesthetic medications.
(6) Intravenous fluids limited to lactated ringers, 5 percent dextrose with lactated ringers, and heparin and 0.9 percent sodium chloride for use in intravenous locks.
(7) Epinephrine for use in maternal anaphylaxis pending emergency transport.
(8) HBIG and GBV for neonates born to hepatitis B mothers, per current Centers for Disease Control guidelines.
(9) Antibiotics for intrapartum prophylaxis of Group B Betahemolytic Streptococcus (GBBS), per current Centers For Disease Control guidelines.
(10) Equipment incidental to the practice of out-of-hospital childbirth, specifically, dopplers, syringes, needles, phlebotomy equipment, suture, urinary catheters, intravenous equipment, amnihooks, airway suction devices, neonatal and adult resuscitation equipment, glucometer, and centrifuge.
(11) Equipment incidental to maternal care, specifically, compression stockings, maternity belts, breast pumps, diaphragms, and cervical caps.
(f) This section does not authorize a nurse midwife to practice medicine or to perform surgery.
SEC. 7. Section 1204.3 of the Health and Safety Code is amended to read:
1204.3. (a) An alternative birth center that is licensed as an alternative birth center specialty clinic pursuant to paragraph (4) of subdivision (b) of Section 1204 shall, as a condition of licensure, and a primary care clinic licensed pursuant to subdivision (a) of Section 1204 that provides services as an alternative birth center shall, meet all of the following requirements:
(1) Be a provider of comprehensive perinatal services as defined in Section 14134.5 of the Welfare and Institutions Code.
(2) Maintain a quality assurance program.
(3) Meet the standards for certification established by the American Association of Birth Centers, or at least equivalent standards as determined by the state department.
(4) In addition to standards of the American Association of Birth Centers regarding proximity to hospitals and presence of attendants at births, meet both of the following conditions:
(A) Be located in proximity, in time and distance, to a facility with the capacity for management of obstetrical and neonatal emergencies, including the ability to provide cesarean section delivery, within 30 minutes from time of diagnosis of the emergency.
(B) Require the presence of at least two attendants at all times during birth, one of whom shall be a physician and surgeon, a licensed midwife, or a certified nurse-midwife. If no licensed physician and surgeon is present, the client shall be informed orally and in writing that no licensed physician and surgeon is present.
(5) Have a written policy relating to the dissemination of the following information to patients:
(A) A summary of current state laws requiring child passenger restraint systems to be used when transporting children in motor vehicles.
(B) A listing of child passenger restraint system programs located within the county, as required by Section 27362 of the Vehicle Code.
(C) Information describing the risks of death or serious injury associated with the failure to utilize a child passenger restraint system.
(b) The state department shall issue a permit to a primary care clinic licensed pursuant to subdivision (a) of Section 1204 certifying that the primary care clinic has met the requirements of this section and may provide services as an alternative birth center. Nothing in this section shall be construed to require that a licensed primary care clinic obtain an additional license in order to provide services as an alternative birth center.
(c) (1) Notwithstanding subdivision (a) of Section 1206, no place or establishment owned or leased and operated as a clinic or office by one or more licensed health care practitioners and used as an office for the practice of their profession, within the scope of their license, shall be represented or otherwise held out to be an alternative birth center licensed by the state unless it meets the requirements of this section.
(2) Nothing in this subdivision shall be construed to prohibit licensed health care practitioners from providing birth related services, within the scope of their license, in a place or establishment described in paragraph (1).
SEC. 8. The Legislature finds and declares that Section 1 of this act, which adds Section 880.6 to the Business and Professions Code, imposes a limitation on the
public's right of access to the meetings of public bodies or the writings of public officials and agencies within the meaning of Section 3 of Article I of the California Constitution. Pursuant to that constitutional provision, the Legislature makes the following findings to demonstrate the interest protected by this limitation and the need for protecting that interest:
In order to allow the Office of Statewide Health Planning and Development to fully accomplish its goals, it is imperative to protect the interests of those persons submitting information to the office to ensure that any personal or sensitive information that this act requires those persons to submit is protected as confidential information.
SEC. 9. No reimbursement is required by this act pursuant to Section 6 of Article XIII B of the California Constitution because the only costs that may be incurred by a local agency or school district will be incurred because this act creates a new crime or infraction, eliminates a crime or infraction, or changes the penalty for a crime or infraction, within the meaning of Section 17556 of the Government Code, or changes the definition of a crime within the meaning of Section 6 of Article XIII B of the California Constitution.
Amendment 3
On page 1, strike out lines 1 to 4, inclusive, and strike out page 2 |
MICROFILM DIVIDER
OMB/RECORDS MANAGEMENT DIVISION
SFN 2053 (2/85) 5M
ROLL NUMBER
DESCRIPTION
2399
2001 SENATE HUMAN SERVICES
SB 2399
The hearing was opened on SB 2399.
SENATOR FISCHER introduced the bill. The bill is recommendations that were agreed to on the interim committee on health care. We will ask Murray Sagsveen to come and speak and get the minutes of the committee meeting.
JACK DALRYMPLE, Lieutenant Governor of ND, testified in support of the bill. The Hoeven administration is feeling 2399 provides excellent framework for discussion on what to do. We are bringing in a proposal for state wide tobacco amendment. The work is in progress.
SENATOR POLOVITZ: Senator Holmberg’s bill looks at youth. Are you going to be more comprehensive? LIEUTENANT GOVERNOR: Yes. We need to combine all in one comprehensive program. We do not have a preference. 2399 is probably more in sync with what we see as a true state wide program. We have no conflict with what was done in interim; we
would envision something a bit more focused and more detailed as far as money is spent. I don't know if it will all end up in statute or not. We think it needs to be structured more than what you see in this bill.
KEITH JOHNSON, RS, Administrator, Custer Health, supports bill with written testimony.
SENATOR KILZER: Mr. Sagsveen talked about a $3000 grant per county. Do you have a stance on that? MR. JOHNSON: That would be the distribution of that money on page 2.
DARLENE BARTZ, Chief, Preventive Health Section, Dept of Health, offers written comments.
LINDA L. JOHNSON, Director of School Health Programs, provided written information regarding school preventative health programs in ND.
DR. JON RICE, citizen and President of the Red River Health Promotion Coalition, commented to reemphasize points. No 1 public health problem in this state is tobacco abuse and tobacco disease. It has been shown that with significant resources and comprehensive programs you can change that. Take this opportunity to develop statewide comprehensive programs; that we not shortchange the funding and that we not send out all the money in specified categories that will not allow the comprehensive program to work.
Hearing closed on SB 2399.
The hearing was reopened.
MURRAY SAGSVEEN, State Health Officer, explained what was done. (Written testimony)
Discussion was held.
The public hearing was closed.
February 12, 2001, Tape 1, Side B, Meter 6.0.
SENATOR MATHERN moved a DO NOT PASS. SENATOR FISCHER seconded the motion.
Discussion was held. Roll call carried 6-0. SENATOR MATHERN will carry the bill.
2001 SENATE STANDING COMMITTEE ROLL CALL VOTES
BILL/RESOLUTION NO. 2399
Senate HUMAN SERVICES Committee
☐ Subcommittee on ____________________________
or
☐ Conference Committee
Legislative Council Amendment Number ____________________________
Action Taken Do Not Pass
Motion Made By Sen Mathern Seconded By Sen Fischer
| Senators | Yes | No |
|---------------------------|-----|----|
| Senator Lee, Chairperson | ✓ | |
| Senator Kilzer, Vice-Chairperson | ✓ | |
| Senator Erbele | ✓ | |
| Senator Fischer | ✓ | |
| Senator Polovitz | ✓ | |
| Senator Mathern | ✓ | |
Total (Yes) 6 No 0
Absent 0
Floor Assignment Sen Mathern
If the vote is on an amendment, briefly indicate intent:
REPORT OF STANDING COMMITTEE
SB 2399: Human Services Committee (Sen. Lee, Chairman) recommends DO NOT PASS (6 YEAS, 0 NAYS, 0 ABSENT AND NOT VOTING). SB 2399 was placed on the Eleventh order on the calendar.
2001 TESTIMONY
SB 2399
Madam Chairman and members of the committee:
My name is Linda Johnson and I am the Director of School Health Programs for the Department of Public Instruction. I am here to provide information regarding school preventative health programs in North Dakota.
Only since 1998 have schools receiving Safe and Drug Free Schools funds been learning about and applying effective prevention programs at the school district level. The Department of Public Instruction (DPI) proposes adding the two million dollars for healthy schools grants (page 2.c.) for these same efforts and increasing the dollars available to schools through this structure that already exists. It is also necessary to retain some technical assistance dollars at the state level for training school staff. The Department of Public Instruction feels it is imperative to continue with these efforts with the additional use of these tobacco settlement dollars. A fiscal note will be submitted upon request. DPI has an existing process both for planning and accountability that could be used for these tobacco settlement school dollars.
DPI provides technical assistance to districts in effective program planning, use of a community advisory committee, research-based curriculum, and promising practices programs. This fall at regional meetings around the state for Safe and Drug Free school contacts, 22 districts with exemplary programs presented their programs to their peers. It was clearly evident by their enthusiasm and uniqueness of each program that ND is heading down the right track in implementing prevention programming.
Currently, districts get a basic grant of $9.50 per student but may apply for additional competitive Greatest Need Grant dollars. It is these extra dollars that has enabled 19 communities to move to a higher level in their prevention programming. An example of a Greatest Need Grant application is attached. Just last week one of our sites called and
enthusiastically shared anecdotal successes of a newly formed after-school program, wanting assurance there would be funding to continue. One program even featured a video of their efforts, which is available for your viewing on request. Several unique peer programs have started around the state with these dollars. Many districts are beginning to use more research-based curriculum. Others are investigating *Project Northland*, a joint community, school, and law enforcement program for prevention that evidences great effectiveness.
Realizing prevention programs do not yield evidence of behavior change, the true outcome based measure, for a minimum of five years, it makes good sense to continue programs already begun rather than create a new system. It takes time to start a new program. Presently schools are moving toward true prevention programming. Schools are in varying stages of accomplishing the following tasks that lead to effect prevention programming. These steps are also features of the Centers for Disease Control Guidelines for School Tobacco Prevention.
- Community advisory teams are formed to plan and coordinate appropriate local prevention efforts.
- Needs assessments from a variety of sources are analyzed by local advisory teams.
- Research-based curriculums and programs that show promising practices are investigated.
- Plans are formulated to best meet the needs.
- Materials are ordered.
- Staff is hired and trained or existing staff retrained.
- An evaluation plan is established.
Let's band together to form a system of prevention at the school and communities level to make a difference with our youth. Let our united goal be to see our youth smoking and alcohol use rates toward the bottom of the list of states and not the top. Feel free to come to me for any information about schools and prevention programs. Are there any questions?
Extent of Need
Hazen School District has surveyed its Grades 7-12 students in 1997 and 1999 with the Search Survey. The results did show some improvement but the results are still showing a high rate of usage among our youth. It appears that usage is occurring at an earlier age. Students are scheduled to retake this survey in Spring of 2001.
There is a need in Hazen to provide resource assistance to at-risk students through after-school programs, study centers, and resource day rooms. Staff, parents and students are requesting extra tutorial help for many students in the school system. Research has shown that academic mentoring and tutoring strategies are effective in reducing and preventing AOD use (Crum, Helzer, and Anthony, 1993; Thomas and Hsiu, 1993; Wiebusch, 1994). In addition, as the self esteem of the student improves a student would most likely be academically eligible for extra-curricular activities at the upper grade levels. Students would also be more inclined toward appropriate behavior inside and outside of school, and in turn, students would make better choices toward lifelong (career) decisions.
There is a constant need to train staff, parents, and community members in drug and violence prevention efforts. Research indicates that youth having parents/adults involved in their lives is the most effective drug deterrent and that kids view parents as their most influential role models (Search Institute). There is a need for the Hazen School District to develop a comprehensive approach in dealing with safety and violence.
DISTRICT PRIORITY
First Priority need is to expand the After-School Tutorial Program, Study Center, and implement a Resource Room within the school district.
Second Priority need is to provide up-to-date materials and training for schoolwide and community drug/alcohol programs to include training/education for staff, parents, and community members in drug and violence prevention efforts. A major focus will be to develop a systemic approach by implementation of the Respect & Protect program to address violence so that there will be district-wide discipline consistency.
DATA USED IN DETERMINING PROGRAM NEEDS:
Area I: High rates of alcohol and drug use among youth
Data Source: Search Survey Results, 1999, 1997 in parenthesis
44% (52%) used alcohol once or more in the last 30 days.
28% (32%) got drunk once or more in the last two weeks.
28% (31%) smoked cigarettes once or more in the last 30 days
29% (30%) used smokeless tobacco once or more in the last 12 months
09% (15%) sniffed or inhaled substances to get high once or more in the last 12 months
19% (20%) used marijuana once or more in the last 12 months
11% (12%) used other illicit drugs once or more in the last 12 months
29% (30%) drove after drinking once or more in the last 12 months
52% (57%) rode (once or more in the last 12 months) with a driver who had been drinking
Area III: High rates of arrest and conviction of youth for violent/drug or alcohol-related crimes
Data Source: Mercer County Sheriff's Department
Arrests and Convictions:
Minor in Possession/Minor in Consumption
1998 27 1999 16 2000 23 (1/1/00 - 9/30/00)
Data Source: Bureau of Criminal Investigation for Mercer County
Arrests and Convictions:
Number of juvenile arrests for Mercer County
1996 38 1997 79 1998 79
Number of juvenile arrests for DUI/MIP/MI
1996 02 1997 00 1998 02
Number of juvenile arrests for Liquor Law Violations
1996 11 1997 27 1998 20
Number of juvenile arrests for Curfew/Loitering
1996 00 1997 10 1998 00
Area VII: High rates of referral of youth to juvenile court
Data Source: South Central Judicial District Juvenile Court, Mercer County
Total Offenses
1997 195 1998 222 1999 144
Number of cases brought to Juvenile Court for Possession of Alcohol
1997 45 1998 15 1999 48
Number of cases with court sanction in Juvenile Court: driving restrictions
1999 11
Number of cases with court sanction in Juvenile Court: D/A Coun/Eval
1999 11
Number of cases with court sanction in Juvenile Court: Psych/Counseling Eval
1999 15
Number of cases brought to Juvenile Court for MIP/MIC
1997 28 1998 59 1999 48
Number of cases brought to Juvenile Court for Ungovernable Behavior
1997 13 1998 10 1999 101
Rates of reported incidents of students with police
Data Source: Search Survey Results, 1999, 1997 in parenthesis
26% (22%) got into trouble with police once or more in the last 12 months
16% (17%) committed vandalism once or more in the last 12 months
Area VIII: High rates of expulsions and suspensions of students from school
Data Source: Hazen Public School Records
1997-98 25 ATOD suspensions 1999-00 15 ATOD suspensions
1998-99 43 ATOD suspensions 2000-01 05 ATOD suspensions (as of 10-02-00)
Rates of in-school suspensions of students for violence related incidents
1997-98 02 1999-00 05
1998-99 09 2000-01 04 (as of 10-02-00)
Rates of observed violence incidents of students requiring detention
1997-98 31 1999-00 30
1998-99 07 2000-01 01 (as of 10-02-00)
Rates of reported violence incidents of students (self-reported)
Data Source: Search Survey Results, 1999, 1997 in parenthesis
36% (35%) hit someone once or more in the last 12 months
15% (10%) physically hurt someone once or more in the last 12 months
4% (1%) used a weapon to get something from a person once or more in the last 12 months
23% (20%) been in a group fight once or more in the last 12 months
8% (4%) carried a weapon for protection once or more in the last 12 months
34% (36%) threatened physical harm to someone once or more in the last 12 months
ANALYSIS OF DATA:
The above data indicates that there are high rates of alcohol and drug use, arrest and conviction, referral, and suspension among youth in our area. The data indicates that there is a need to be concerned about incidents of violence and drug use by youth in our area. According to the data, there is a need to coordinate prevention efforts into a comprehensive program which would include expanding the after-school program, purchasing study center materials, implementing a middle school resource room, updating drug/alcohol materials, and training staff, parents, and community members. A major focus will be to train staff utilizing the Respect and Protect program along with making the community/parents aware of this program. All students will benefit from these programs because all students are at-risk at some point in their lives.
## 2. PLAN OF OPERATION 2000-2001
| Goals | Objectives | Activity | Responsible | Time |
|----------------------------------------------------------------------|----------------------------------------------------------------------------|--------------------------------------------------------------------------|------------------------------------|-----------------------|
| **Goal 1:** To improve K-12 student knowledge and skill toward safety, as well as prevent or decrease the incidence of violent behavior. | 1. By June, 2001, 35% of K-12th grade students will participate in at least one after-school program, resource room, and/or study center.
2. By May 23, 2001, 100% of K-12th grade students will attend classroom guidance sessions on violence prevention issues.
3. By June, 2001, Peer Youth Workers will mentor 35 at-risk students.
4. By May 23, 2001, the number of violence-related incidents requiring detention will be reduced from 30 to 25 and the number requiring expulsions/suspensions will be reduced from 5 to 4. | Implement resource room in Grades 6-8, expand K-12 After-School Tutorial Program, purchase curriculum materials for study center.
K-12 classroom guidance instructional lessons on conflict resolution, anger management, teasing, harassment, etc.
Peer mentoring for at-risk students.
Documentation of violence-related incidents. | Cathy Brier, Counselor
Mr. Langowski, Principal
Mr. Opp, Principal
Max Beckwith, Counselor
Mr. Zimmerman, Principal
Max Beckwith, Counselor
Cathy Brier, Counselor
Max Beckwith, Counselor
Mr. Langowski, Principal
Mr. Opp, Principal
Mr. Zimmerman, Principal | 11/10/00-5/23/01
9/5/00-5/23/01
11/10/00-6/30/01
8/28/00-5/23/01 |
| **Goal 2:** To improve PK-12 student knowledge and skills toward alcohol, tobacco, and other drug prevention, as well as prevent, delay, or decrease alcohol, tobacco, and other drug use. | 1. By May 23, 2001, 95% of 6th, 7th, and 8th graders (Life Skills) and 95% of 7th and 10th graders (Life Skills Health) will have achieved a grade of C or better on assignments.
2. By May 23, 2001, 100% K-5th students will receive Know Your Body program. | Life Skills instruction, Grade 6, 7, and 8
Life Skills Health instruction Grades 7 and 10
Know Your Body instruction | Kathy Berglund, Teacher
Dennis Samuels, Teacher
Ron Stanley, Instructor
Randy Johnson, Health Teacher
Classroom Teachers | 9/1/00-5/23/01
8/28/00-5/23/01 |
Evaluation Plan
GOAL 1:
Objective 1.1 By June, 2001, 35% of K-12th grade students will participate in at least one after-school program, resource room, and/or study center.
As evidenced by: Attendance records for programs will be kept.
Objective 1.2 By May 23, 2001, 100% of K-12th grade students will attend classroom guidance sessions dealing with violence prevention issues.
As evidenced by: Documentation by school counselors will be kept.
Objective 1.3 By June, 2001, Peer Youth Workers will mentor 35 at-risk students.
As evidenced by: Documentation by Peer Youth Worker coordinator will be kept.
Objective 1.4 By May 23, 2001, the number of violence-related incidents requiring detention will be reduced from 30 to 25 and the number of violence-related incidents requiring suspensions/expulsions will be reduced from 5 to 4.
As evidenced by: Documentation records from principal's office.
GOAL 2:
Objective 2.1 By May 23, 2001, 95% of 6th, 7th, and 8th graders will have achieved a grade of C or better on assignments in the Life Skills Training curriculum and 95% of 7th and 10th graders will have achieved a grade of C or better on assignments in the Life Skills Health curriculum.
As evidenced by: All Life Skills assignments will be graded and recorded.
Objective 2.2 By May 23, 2001, 100% of K-5th grade students will receive Know Your Body instruction.
As evidenced by: Documentation by classroom teachers will be kept.
Objective 2.3 By May 23, 2001, students in ATOD prevention programs will show an increase from the pre-attitude test to the post-attitude test showing a more positive attitude towards non-use by 13% and improve their knowledge by 15% from the pre-test to the post-test and decrease the number of ATOD suspensions by 30%.
As evidenced by: Pre-tests and Post-tests will be given to students in grades 6-12 and documentation of ATOD suspensions by principals.
GOAL 3:
Objective 3.1 By June 30, 2001, 90% of staff will attend training for researched based programs, ATOD/violence prevention workshops.
As evidenced by: Documentation of attendance for training will be kept.
Objective 3.2 By June 30, 2001, 90% of staff will participate in student prevention activities.
As evidenced by: Documentation of staff involvement in prevention activities.
GOAL 4:
Objective 4.1 By June, 2001, six meetings of the SDFS Advisory Council will be held in unison with the Hazen Community Health Task Force to advise, develop, and disseminate information for the Hazen School District SDFS program.
As evidenced by: Minutes and attendance records at meetings will be maintained by SDFS coordinator.
Objective 4.2 By May, 2001, two Parenting for Prevention six-session courses and two community wide presentations will be offered on violence and ATOD prevention.
As evidenced by: Documentation of attendance will be kept and parent/participant evaluation.
Objective 4.3 By December, 2000, 4 community/student members will attend the National Healthy Communities/Healthy Youth conference.
As evidenced by: Documentation and reports back to HCHTF/SDFS Advisory Council.
Objective 4.4 By November 15, 2000, a grant coordinator will be designated.
As evidenced by: Document of contracted time.
The various projects through this grant will be communicated to students, parents, staff, and community members through direct contact, newsletters, flyers, local newspaper, and staff meetings. Progress will be reported in the same manner.
SB 2399
Testimony in favor
Keith Johnson, R.S
Administrator, Custer Health
Mandan, ND 58554
Ph 667-3370
For: ND Public Health Administrators
Custer District Board of Health
As you know, this bill is the product of the Interim Committee that was charged with development of a recommendation to the Legislature for distribution of the money from the Community Health Trust Fund. We stand in support of that effort. We think they did some thoughtful work in implementation of Governor Schafer's recommendations.
We believe that this bill can accommodate the changes needed to implement the position of the Local Health Administrators, and of the local Boards of Health that have adopted position statements. I am aware of statements that have been adopted by the First District Board of Health, the Custer Board of Health, and the Fargo Cass Board of Health. These statements support the position of the ND Public Health Administrators. Those positions include:
1. A statewide tobacco prevention program model should be facilitated by the State Health Department with local implementation.
2. A central resource center for "best practices" tobacco prevention programs should be established.
3. Funding should be made available to local Public Health Units based on a community needs assessment and the establishment of prioritized health issues.
4. Money should be allocated specifically for tobacco control.
We also agree with the Committee's recommendation on line 3, Page 2, that the local public health state aid should be included in the final bill. This would continue the initiative from the last legislature that resulted in every county in the state having a local public health presence. Support, especially for these new units, should be continued.
Testimony to the Budget Committee on Health Care
Murray G. Sagsveen, State Health Officer
February 24, 2000
Introduction
This is a proposed concept for a Community Health Grant Program to be funded with the 10% of the tobacco settlement money allocated to the Community Health Trust Fund.
Summary of Testimony
Governor Schafer's concepts for the tobacco settlement money were outlined in the January 5, 1999, State of the State message: "I am proposing we devote 10 percent of any tobacco settlement dollars to public health programs, including important initiatives on diabetes, drug and alcohol abuse, and tobacco prevention and cessation. This will fund programs primarily driven at the local level..."
House Bill 1475 (1999), now codified at N.D.C.C. § 54-27-25, provides further statutory guidance: "The state department of health may use funds as appropriated for community-based public health programs and other public health programs, including programs with emphasis on preventing or reducing tobacco usage in this state."
Assuming that the 10% allocation could consistently yield $5,000,000 per biennium, a Community Health Grant Program could include three components:
- Healthy Schools ($2,000,000)
- Healthy Families ($2,000,000)
- Healthy Communities ($1,000,000)
The Healthy Schools component would be a simple grant program consisting of the following:
- Grants would be about $9 per student per year ($1,000,000 / 110,000 students = $9.09).
- The grant would be released when the local board of health and the local school board sign a memorandum of agreement (MOA) concerning the preventive health programs that would be funded. The boards may include other parties in the MOA.
- The MOA must include a plan to reduce tobacco use by students, but may include other issues that the boards consider a priority.
- The MOA must also address how the boards will evaluate the effectiveness of their program.
- A 2:1 or 4:1 "hard match" by participating schools.
The Healthy Families component would also be a simple grant program consisting of the following:
- Grants would be about $1.50 per capita per year ($1,000,000 / 640,000 residents = $1.56).
- The grant would be released when the local boards of health and all interested parties in a community health region (which could include a hospital, employers, local governments, etc.) develop a plan that identifies the priority needs of the region, the programs that will be funded, and the method of evaluating the programs. Although the planning and evaluation would be region-wide, the implementation would be through each public health unit in the region.
- The community health planning regions would be similar to the existing Department of Human Services and Children's Services Coordinating Committee (CSCC) regions.
- The existing local tobacco coordinator program, now funded by the CDC, would be augmented so that each region would have additional staff to support all communities and schools in the region.
- The plan must address tobacco-related issues (such as cessation programs for current smokers), but may include other issues that are a priority for that region.
- A 4:1 match could be required, which would leverage the $1,000,000 allocation into $1,250,000 per year.
The Healthy Communities component, $500,000 per year, could be dedicated to several essential community-based objectives:
- Increase state aid from $3,000 per county per year (plus about $0.53 per capita) to $7,000 per county per year (plus the same per capita amount) (53 x $4000 = $212,000).
- A $25,000 grant to each region to augment the CDC funding for local tobacco program specialists and to plan, implement, and evaluate regional programs (8 x $25,000 = $200,000).
- $88,000 for statewide training, improvement of data management programs, and evaluation of the Community Health Grant Program.
**The Emphasis on Communities**
Governor Schaefer and the Legislative Assembly emphasized that the Community Health Grant Program should be a community-based program. The recent USDHHS report titled "Healthy People 2010 ~ Understanding and Improving Health" also emphasized this point:
Over the years, it has become clear that individual health is closely linked to community health — the health of the community and environment in which individuals live, work, and play. Likewise, community health is profoundly affected by the collective
behaviors, attitudes, and beliefs of everyone who lives in the community.
Indeed, the underlying premise of Health People 2010 is that the health of the individual is almost inseparable from the health of the larger community and that the health of every community in every State and territory determines the overall health status of the Nation. That is why the vision for Healthy People 2010 is "Healthy People in Health Communities."
The Emphasis on Tobacco
The proposed Community Health Grant Program would be an effort to decrease tobacco use throughout North Dakota.
A landmark study titled "Actual Causes of Death in the United States" was published in the November 10, 1993, *Journal of the American Medical Association* (JAMA) at 2207-2212. The authors concluded that tobacco use is the largest "actual cause" of death in the United States (graphs illustrating the findings of the authors are attached at pages 12 - 13):
Tobacco accounts for approximately 400 000 deaths each year among Americans. It contributes substantially to deaths from cancer (especially cancers of the lung, esophagus, oral cavity, pancreas, kidney, and bladder, and perhaps of other organs), cardiovascular disease (coronary artery disease, stroke, and high blood pressure), lung disease (chronic obstructive pulmonary disease and pneumonia), low birth weight and other problems of infancy, and burns. In a major effort that drew on analyses that had been commissioned to assess the mortality, morbidity, and financial burden imposed by each of 15 priority health problems, the Carter Center's *Closing the Gap* project attributed 17% (338 000) of all deaths in 1980 and 13% of all potential years of life lost from death before 65 years of age to tobacco. Other estimates have placed tobacco's contribution in the range of 11% to 30% of cancer deaths, 17% to 30% of cardiovascular deaths, 30% of lung disease deaths, 24% of pneumonia and influenza deaths, 10% of infant deaths, and 20% to 30% of low-birth-weight infants. Approximately 3000 lung cancer deaths annually among nonsmokers have been attributed to environmental tobacco smoke. The sum of the lower and upper boundaries, respectively, for these estimates would yield an approximate range of 257 000 to 468 000 tobacco-attributable deaths in 1990. Using a specially developed software package, the Centers for Disease Control and Prevention (CDC) estimated that 418 690 deaths were caused by tobacco in 1990, including approximately 30% of all cancer deaths and 21% of cardiovascular disease deaths. The CDC estimates have been widely accepted and provide the basis for the 400 000 figure... [Footnotes omitted]
Many recent scientific studies have focused on the relationship between tobacco use and decreased quality of life, increased healthcare costs, and premature death. For example, a November 5, 1999, article titled "Tobacco Use – United States, 1900-1999" in the CDC's Morbidity and Mortality Weekly Report (MMWR) stated:
Smoking – once a socially accepted behavior – is the leading preventable cause of death and disability in the United States. During the first decades of the 20th century, lung cancer was rare; however, as cigarette smoking became increasingly popular, first among men and later among women, the incidence of lung cancer became epidemic. In 1930, the lung cancer death rate for men was 4.9 per 100,000; in 1990, the rate had increased to 75.6 per 100,000. Other diseases and conditions now known to be caused by tobacco use include heart disease, atherosclerotic peripheral vascular disease, laryngeal cancer, oral cancer, esophageal cancer, chronic obstructive pulmonary disease, intrauterine growth retardation, and low birthweight. During the latter part of the 20th century, the adverse health effects from exposure to environmental tobacco smoke also were documented. These include lung cancer, asthma, respiratory infections, and decreased pulmonary function.
An article titled "Medical costs of smoking in the United States: estimates, their validity, and their implications," in the most recent edition of Tobacco Control (8:290-300) concludes:
The peer-reviewed literature on the medical costs of smoking in the United States indicates that at least 6-8% of annual personal health expenditures in the United States, and quite possibly considerably more, is devoted to treating diseases caused by smoking. The 6-8% figure represents a solid estimate of expenditures directly related to smoking's three most important disease causes of death, lung cancer, heart disease, and chronic obstructive pulmonary disease. * * *
In closing this review of the findings and costs of smoking, we wish to emphasise that whatever measure is used, the financial healthcare costs of smoking constitute only one indication of the burden of smoking on a society, in some ways a rather minor one. The most important outcome of tobacco use remains the one that underlies the estimates of monetary cost: the devastation it wreaks on human health.
When the Centers for Disease Control and Prevention (CDC) recently published its *Best Practices for Comprehensive Tobacco Control Programs, August 1999*), the introductory comments explained:
Tobacco use is the single most preventable cause of death and disease in our society. Most people begin using tobacco in early adolescence, typically by age 16; almost all first use occurs before high school graduation. Annually, tobacco use causes more than 430,000 deaths and costs the Nation approximately $50-$73 billion in medical expenses alone.
Accordingly, it is my recommendation that the primary focus of the *Community Health Grant Program* should be a statewide effort to decrease the use of tobacco by youth and adults.
However, it is also my recommendation that communities within a region should have the flexibility to address other public health issues, such as obesity. The graph at page 13 clearly indicates that diet and activity patterns are the second leading cause of death in the United States. The 1993 *JAMA* article, "Actual Causes of Death in the United States," also addressed this significant public health issue:
Dietary factors and activity patterns that are too sedentary are together accountable for at least 300,000 deaths each year. Dietary factors have been associated with cardiovascular diseases (coronary artery disease, stroke, and high blood pressure), cancers (colon, breast, and prostate), and diabetes mellitus. Physical inactivity has been associated with an increased risk of death for heart disease and colon cancer. The interdependence of dietary factors and activity patterns as risk factors for certain diseases is illustrated by the case of obesity, which is associated with increased risk for cardiovascular disease, certain cancers, and diabetes, and is clearly related to the balance between calories consumed and calories expended through metabolic and physical activity. Similarly, high blood pressure, a major risk for stroke, can be affected by dietary sodium, obesity, and sedentary lifestyle.
[Footnotes omitted]
The chart at page 14, prepared from 1994-1998 data in the department's Division of Vital Records, confirms that heart disease and cancer is the leading killer of North Dakotans after age 30.
Communities may decide other public health issues also deserve attention. For example, the chart at page 14 also reveals that accidents and suicide cause three out of four deaths in the 20-24 age range.
CDC's Best Practices for Comprehensive Tobacco Control Programs (August 1999)
The CDC has developed a comprehensive tobacco control recommendation for all states. A summary of the nine-point program is at page 16.
The comprehensive program recommended by the CDC would cost $8,161,000 - $16,547,000 annually to implement. Since the 10% allocation to public health programs may yield about $2,500,000 annually, a comprehensive program, as defined by the CDC, is not possible.
It was my decision that the 10% allocation would partially fund two components of a comprehensive tobacco control program: (1) community programs to reduce tobacco use and (2) school programs.
Because of limited funds, local authorities must finance enforcement programs, we must rely on national counter-marketing programs (such as the American Legacy Foundation, which is funded by tobacco settlement dollars), smokers (or their insurance programs) must finance cessation programs, and we must continue existing surveillance and evaluation programs.
Healthy Schools
The Association of State and Territorial Health Officials (ASTHO) and the Council of Chief State School Officials (CCSSO), with the support of the Centers for Disease Control and Prevention (CDC) have developed a "coordinated approach to school health." This effort was prompted by alarming nationwide statistics concerning school-age children:
- **Alcohol Abuse** ~ In 1997, almost 1 in 3 12th graders, 1 in 4 10th graders and 1 in 10 8th graders reported heavy drinking (at least 5 drinks in a row).
- **Tobacco Use** ~ From 1991-1997, cigarette smoking increased 80% among black high school students, 34% among Hispanic high school students, and 28% among white high school students.
- **Poor Nutrition** ~ At least 11% and possibly as many as 25% of US children and adolescents are overweight.
- **Mental Well-Being** ~ Nationwide, 1 in 5 students grades 9-12 has seriously considered attempting suicide.
- **Substance Abuse** ~ 26% of all 12th graders, 23% of 10th graders, and 13% of 8th graders report using illicit drugs.
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1 The statistics are quoted from a joint ASTHO-CCSSO publication titled "Why Support a Coordinated Approach to School Health?"
• Violent Crimes ~ Youth aged 12-17 are nearly 3 times more likely than adults to be victims of serious violent crimes.
• Suicide ~ Suicide is the #3 cause of death among 15-24 year olds.
• Sexually Transmitted Diseases ~ Every year, 3 million adolescents become infected with an STD.
• Accidental Deaths ~ Motor vehicle accidents are the number one cause of death among teens. Almost 50% of these are alcohol-related.
The two organizations have developed an eight-point program for a coordinated public-school health program. The executive summary of the program is quoted below because it concisely explains a coordinated program:
Most people agree that for kids to succeed in school, they cannot be tired, hungry, using illegal drugs, or concerned that violence may occur at any time around them. Perhaps less apparent, however, is the fact that problems such as poor nutrition, domestic violence, alcoholism, substance abuse, depression and more – can adversely affect not only a child’s health, but also his or her ability to learn!
And that is precisely why a coordinated approach to school health can make a difference!
A coordinated approach to school health improves kids’ health and their capacity to learn through the support of families, schools, and communities working together. At its very core, Coordinated School Health (CSH) is about keeping students healthy over time, reinforcing positive healthy behaviors throughout the school day, and making it clear that good health and learning go hand in hand. CSH offers students the information and skills they will need to make good choices in life.
More specifically, a coordinated approach to school health can address up to eight different aspects of health and education. These include:
1. **School Environment**…
To learn effectively, children must be in a school environment where they feel comfortable and supported. It is also important that parents and other adults working with kids have high expectations about learning and provide students with the support they need.
2. **Health Education**…
School staff – teachers, nurses, administrators, or counselors – can work together to develop an ongoing approach to help students build health-related knowledge and skills from kindergarten through 12th grade.
3. **School Meals and Nutrition**…
Many students eat one or two meals a day at school. Thus, schools have a unique opportunity to offer more nutritious food, as
well as develop coordinated educational activities to encourage students to make healthful eating and good nutrition a priority for life.
4. Physical Education...
Schools can and should encourage students to lead a physically active lifestyle both in and out of school. One way to start is to emphasize the importance of regular exercise as a lifelong activity.
5. Health Services...
Growing kids require a regularly scheduled health "maintenance" program — including immunizations, dental checkups, physicals, eye exams, other types of screenings, and in certain instances, daily medication. With the help of health professionals, schools can encourage preventive services to enable students to take proactive measures to stay healthy and get more out of school.
6. Counseling, Psychological, and Mental Health Services...
Today, many students have the added stress of coping with emotional challenges stemming from problems such as parental divorce, alcoholism, abuse, and drug addiction. By offering counseling and instruction to students, as well as referrals to mental health professionals, schools can help parents take a big step toward making an even greater difference in a student's total performance.
7. Staff Wellness...
Students aren't the only ones who need to stay in good health. Educators and school staff are important role models for students. Successful schools have healthy, highly motivated staff with low rates of employee absenteeism.
8. Parent/Community Partnerships...
One of the biggest benefits of CSH can be a closer working relationship between parents and schools. Working with parents, businesses, local health officials, and other community groups, schools can form powerful coalitions to address the health needs of students.
Beyond these eight elements, for CSH to truly succeed, one critical component is essential: *The public must believe that educators, policy makers, and opinion leaders are committed to addressing their concerns about children's health and education.*
The 1997 Youth Risk Behavior Survey (which will be distributed with this testimony) shows that the state statistics about youth generally mirror the national statistics.
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2 *Id.*
3 The 1999 data should be available in several months.
My Healthy Schools proposal includes several issues that merit further comment.
I am recommending that public health units should be the fiscal agents for the program and that the funds should be available when the local board of health, the local school board, and appropriate others sign a memorandum of agreement concerning the elements of their coordinated school health program. Other than requiring that the coordinated school health program must address efforts to reduce tobacco use by students and must include a mechanism for evaluating the overall effectiveness of the program, the parties to the agreement may develop their own priorities.
I am also recommending a 2:1 or 4:1 "hard match" by the participating schools for several reasons:
- Healthy Schools is not just a "public health" issue (i.e., the responsibility of the local board of health). School boards should be an active participant, and an active financial contributor, in a Healthy Schools program.
- The allocation of tobacco settlement payments included 45% to schools and 10% to public health. A small fraction of the 45% should be dedicated to a Healthy Schools program.
- A 2:1 hard match would increase the funds for Health Schools each biennium from $2,000,000 to $3,000,000 and a 4:1 hard match would increase the funds from $2,000,000 to $2,500,000.
Healthy Families
The Community Health Grant Program should not only focus on school-age youth. There are many tobacco-related and other public health issues that involve pre-school children and adults of all ages.
If $2,000,000 per biennium is allocated to a Healthy Families component, about $1.50 per capita would be available each year for tobacco and other public health programs.
The charts at pages 12 - 13 illustrate the national public health challenges. The state data available to me, such as at page 14, suggests that the national and state public health challenges are quite similar.
It is my recommendation that a Healthy Families component should be developed on a regional basis (see the map at page 15) for several reasons:
- Each region would include at least one regional medical center.
- Each region would generally mirror the Children's Services Coordinating Council (CSCC) regions.
- Each region would generally mirror the existing Department of Human Services regions.
• Each region would have the professional support from the local tobacco control and prevention program (now located in eight cities and one reservation).
• Three of the eight regions are existing multi-county public health units (Upper Missouri District Health Unit, First District Health Unit, and Southwestern District Health Unit).
• Planning and evaluation of a *Health Families* component should be on a regional basis (to avoid duplication, gaps, and unnecessary expenses).
It is also my recommendation that the appropriate public health unit would be the fiscal agent for the region and that the funds should be available when the local boards of health, the participating cities, and other appropriate parties develop a plan that identifies the priority needs of the region. The plan must address efforts to reduce the prevalence of smoking in the region and other tobacco-related issues, but may include other priorities for that region.
It is also my recommendation that at least a 1:4 "hard match" be required, for at least the following reasons:
• A community that is sincerely interested in the *Healthy Families* program will have the necessary funds for a 1:4 match.
• *Healthy Families* is not just a "public health" issue (i.e., an challenge only for the local board of health).
• A 1:4 match would increase the available funds each biennium from $2,000,000 to $2,500,000.
**Healthy Communities**
The *Healthy Communities* component of the grant program addresses the essential public health infrastructure for North Dakota.
The *Healthy Schools* and *Healthy Families* components of the grant program primarily benefit the high population areas. Accordingly, the less populated areas may not have the necessary funding to deliver the essential public health programs.
It is my recommendation that the existing per county state aid be increased from $3,000 to $7,000 annually (53 x $4,000 = $212,000). This amount would supplement, not supplant, the local effort. My meetings with county commissions and local boards of health across the state have usually focused on one issue: the limited resources available to accomplish essential public health programs.
It is also my recommendation that $25,000 should be available to each region to augment the CDC funding for local tobacco program specialists and to fund a region-wide planning, implementation, and evaluation program with all appropriate partners (8 x $25,000 = $200,000).
It is also my recommendation that the remaining amount ($88,000) be available for statewide training, the necessary improvement of the state's public health data management programs, and the statewide evaluation of the Community Health Grant Program (i.e., accountability to the governor, the legislature, and the public).
**Conclusion**
This is a concept, with some details, for a Community Health Grant Program with three major components: Healthy Schools, Healthy Families, and Healthy Communities.
The concept in this testimony has evolved for more than one year, beginning with the governor’s State of the State Message in January 1999 and the legislature’s additional statutory guidance in House Bill 1475. I’ve also solicited input from the general public, from interest groups, the Health Council, and from Department of Health Staff in the intervening months. However, more work is required on many details, such as addressing the public health needs of higher education students, ensuring that these funds supplement rather than supplant local funding, and transitioning to a regional (rather than county- or city-wide) planning.
My testimony today may generate additional comments, which I will carefully consider as I prepare my budget recommendations to OMB and Governor Schafer in the months ahead.
For additional information, please contact:
Murray G. Sagsveen
State Health Officer
State Capitol (Dept. 301)
Bismarck, ND 58505-0200
Telephone: 701-328-2372
Fax: 701-327-4727
E-mail: email@example.com
**Attachments**
Chart illustrating leading causes of death...........................................12
Chart illustrating actual causes of death............................................13
Chart illustrating deaths in ND during 1994-1998.............................14
Map illustrating Community Health Regions.......................................15
Extract from CDC Guidelines.........................................................16
Testimony
to the
Budget Committee on Health Care
Murray G. Sagsveen, State Health Officer
June 27, 2000
Introduction
This is my recommendation for the 10% of the tobacco settlement money allocated to the Community Health Trust Fund during the current biennium.
Governor Schafer's concepts for the tobacco settlement money were outlined in the January 5, 1999, State of the State message: "I am proposing we devote 10 percent of any tobacco settlement dollars to public health programs, including important initiatives on diabetes, drug and alcohol abuse, and tobacco prevention and cessation. This will fund programs primarily driven at the local level..."
House Bill 1475 (1999), now codified at N.D.C.C. § 54-27-25, provides further statutory guidance: "The state department of health may use funds as appropriated for community-based public health programs and other public health programs, including programs with emphasis on preventing or reducing tobacco usage in this state."
The Office of Management and Budget (OMB) now estimates that $5,667,020 will be allocated to the Community Health Trust Fund during this biennium.
Recommendation
It is my recommendation that the interest from the trust fund be appropriated next biennium to the Department of Health for community-based public health programs and other public health programs, including programs with emphasis on preventing or reducing tobacco usage in this state.
It is also my recommendation that the legislature reserve the accumulated principal in the Community Health Trust Fund for only two purposes:
1. to provide an appropriate cash flow to the department to fund a Community Health Grant Program (the primary payments will be made each year in April); and
2. to provide an appropriation (e.g., $1,000,000) to the department for public health contingencies if the governor declares an emergency in accordance with North Dakota Century Code Chapter 37-17.1.
Testimony on SB 2399
Regarding the Community Health Trust Fund
Before the
Senate Human Services Committee
Darleen Bartz, Chief
Preventive Health Section
North Dakota Department of Health Promotion
February 5, 2001
Madame chairman, and members of the Committee. I am Darleen Bartz, Chief of the Preventive Health Section, North Dakota Department of Health. The Department does not support or oppose Senate Bill 2399, but offers the following comments.
The Department's goal is to work towards establishing a comprehensive, statewide tobacco control program as summarized on the attached fact sheet. The Department will receive approximately $2.4 million in federal funds for tobacco control this next biennium. We propose using $5 million from the community health trust fund to supplement this existing program, combining resources to equal approximately $7.4 million per biennium. These combined resources will move North Dakota forward in implementation of a statewide tobacco control program based on the U.S. Centers for Disease Control and Prevention's (CDC) *Best Practices for Comprehensive Tobacco Control Programs* (August 1999). Funding from the community health trust fund specifically for reducing tobacco use will help the state move toward a comprehensive, statewide tobacco control program.
We are pleased with portions of Senate Bill 2399 such as countermarketing and community resources for tobacco control, which are part of the CDC *Best Practices* standards. However, we do have some concerns with SB 2399 as currently written.
SB 2399, as currently written, may not move the state closer to a more comprehensive, statewide tobacco control program. In 1999, the N.D. Legislature created a community health trust fund to receive tobacco settlement dollars. This trust fund was to be used for programs including programs with an emphasis on tobacco control. The Department of Health believes the $5 million from the community health trust fund can establish a sustainable statewide tobacco control program. A $7 million program may not be sustainable, based on current settlement payments.
Therefore, we recommend the committee consider amending Senate Bill 2399 to provide for a comprehensive, statewide tobacco control program based on CDC *Best Practices*, with $5 million from the community health trust fund per biennium.
I and others from the Department would be happy to respond to any questions you may have. Thank you.
Comprehensive Programs Fact Sheet
RATIONALE FOR COMPREHENSIVE INTERVENTIONS
- Statewide programs have emerged as the new laboratory for developing and evaluating comprehensive plans to reduce tobacco use.
- Initial results from statewide tobacco control programs are encouraging, particularly in per capita declines of tobacco consumption.
- State findings also suggest that youth behaviors regarding tobacco use are more difficult to change than adult ones.
- People do not make behavior choices in isolation, but rather in a larger, complex context that includes the family, community, and culture; the economy and physical environment; formal and informal government policy; and the prevailing legal atmosphere. Programs to reduce tobacco use will be most effective if they address all the components that may influence the individual's behavior choices.
- There are several advantages to shifting from an approach that targets the individual to a population approach that uses social, policy, and environmental strategies.
- First, by recognizing that many environmental determinants of health behavior are not under the direct control of the individual, the population approach avoids blaming persons who fail to change their behavior.
- Second, many individual efforts may fail to reach those in greatest need. Because many of these strategies are most effective with better-educated, wealthier persons, the disparities in health between population groups may widen.
- Third, making regulatory and policy changes can be more cost-effective than conducting numerous interventions to modify individual behavior.
CDC'S NATIONAL TOBACCO CONTROL PROGRAM
- In May 1999 CDC launched the National Tobacco Control Program (NTCP), bringing the various federal initiative activities into one national program. In fiscal year 2000, the NTCP distributed $59 million for comprehensive tobacco control efforts in all states, the District of Columbia, seven U.S. territories, and Native American tribal organizations.
- CDC recommends four program goals in its comprehensive framework for statewide programs:
1. Prevent initiation of tobacco use among young people.
2. Promote quitting among adults and young people.
3. Eliminate exposure to environmental tobacco smoke (ETS).
4. Identify and eliminate health disparities among population groups.
- Each program goal would be fully addressed by implementing four program components:
1. community interventions, which include diverse entities such as schools, health agencies, city and county governments, and civic, social, and recreational organizations;
2. countermarketing, which includes using media advocacy, paid media, pro-health promotions, and other media strategies to change social norms related to tobacco use;
3. program policy and regulation, which addresses such issues as minors' access, tobacco pricing, advertising and promotion, clean indoor air, product regulation, and tobacco use treatment; and
4. surveillance and evaluation, which includes monitoring the tobacco industry's promotional campaigns, evaluating the economic impact of ETS laws and policies, conducting surveys of public opinion on program interventions, and making ongoing refinements that lead to more effective prevention strategies.
- The elimination of health disparities among population groups remains a challenge due to the lack of culturally appropriate programs of proven efficacy. However, in recent years, a number of people and organizations with more diverse backgrounds have assumed a greater role in efforts to reduce tobacco use. Particularly in view of the tobacco industry's targeted marketing to women, young people, and racial/ethnic populations, such heightened activity is critically important for ensuring that nonsmoking becomes the norm within diverse communities.
- To be effective, comprehensive programs should include campaigns that:
1. target young people and adults with complementary messages,
2. highlight nonsmoking as the majority behavior,
3. communicate the dangers of tobacco while providing constructive alternatives;
4. use multiple non-preachy voices in a complementary, reinforcing mix of media and outdoor advertising;
5. include grassroots promotions, local media advocacy, event sponsorships, and other community tie-ins, and
6. encourage youth empowerment and involvement. |
CHISEL PLOW CONSTRUCTION
To date there have been 1,320 Landoll Chisel Plows built. Don Landoll, Marysville, started his business Dec. 16, 1963, in a partnership with Mike Marrott which dissolved in June of 1968. Financing was arranged and Landoll became sole owner of Quick Service Welder Company in 1968. Now, as of June 16, 1972 Landoll has a business that grossed $450,000 last year and 11 full time men working. Two are getting on-the-job training through a cooperative effort by Landoll and the Marysville High School. Four job trainees have stayed with Landoll after graduation.
PUNCHING HOLES
Don, with the help of his younger brother, Richard, punch holes in the lid of a supplement feeder. Over 3,500 supplement feeders have been built in a variety of sizes. Landoll's goal to enlarge has led to another building which is in the process of being set up.
BALER PROBLEMS
Area farmers bring their equipment to Landoll for machine shop repairs. A little welding put this baler back in shape for Bill, Jr., and Bill, Sr., Landoll, Hanover.
FIXING A LEAK
Instead of calling the plumber, the Blue Rapids Co-op brought their spray rig to Landoll hoping it could be repaired. It took most of the morning but the job was finished by dinner. Making repairs and contract fabrication keep several of Landoll's men busy.
PRIDE AND JOY
Doug, the youngest brother, and Don look over their latest creation. This Hauloll trailer has built quite a reputation for Landoll. A Hauloll was used in a national tractor pulling contest in St. Louis. The rear wheels slide back and forth distributing the weight that is needed in a pulling contest. Eighteen Haulolls have been built in the last year and most of them were sold to equipment dealers.
No Hard Hats For Amish Sect
Amish construction workers in northern Indiana began losing their jobs this month because they would not wear hard hats.
They said the traditional broad-brimmed hat worn by men of the Old Order Amish sect is an integral part of their religion.
About 100 men were furloughed due to a regulation under the 1970 federal Occupational Safety and Health Act, which became effective in January.
The law requires workers in all types of construction to wear protective hard hats. Many of the Amish in this area are employed in construction, usually carpentry.
In May, spokesmen for the Amish community asked John Martin Smith to secure an exception for them.
Smith reported Thursday the U.S. Department of Labor has issued the exemption, allowing Amish men to work in construction jobs without wearing hard hats.
Smith said most Old Order Amish live in Ohio, Pennsylvania and Indiana.
"The exemption is for the Old Order only and was issued to allow them religious freedom," he said.
GRASS & GRAIN
The Mid-Kansas news weekly published each Tuesday at 1521 Yurka, (Box 1009) Lawrence, Kansas 66008 by Grass & Grain Press Inc. Second class postage paid at Lawrence, Kansas. Subscription: $4 year. Circulation: 14,200
Environmental Housecleaning
Twenty years ago, most Kansans took our State's clean air and water pretty much for granted. Yet, KPL already was concerned over the effects of ever increasing energy requirements on our natural resources.
So we started a program of environmental action by installing cooling towers around all of our generating stations to make sure the heat we put into the nearby streams wouldn't harm fish and other aquatic life. Next came mechanical dust collectors to trap air pollutants from our stacks. Now, 20 years later, KPL has installed the most advanced air quality control system of its kind in the world on the new Lawrence Energy Center.
These past accomplishments, however, may not cure future growing pains of progress in Kansas. That's why KPL will continue researching new ways to use electricity for environmental housecleaning ... planning ahead for the next 20 years, and beyond.
We've been at it for 20 years
KPL
THE KANSAS POWER AND LIGHT COMPANY
FREE SIMULATED DIAMONDS SIMPLY FOR SAVING
Or buy the one of your choice with each qualifying deposit.
All the lively brilliance of natural diamonds ... captured in stones so close in hardness to the real thing - and so securely mounted in sterling silver - they are guaranteed for a lifetime. Stones are up to 2-carat size and may represent any of three groups: one or buy one at big savings... With a $500 deposit you may have a choice of two rings from group one; or from group three, for $10. With a $1000 deposit you may have a ring from group three for only $5. TAX INCLUDED
Ladies' rings are available in sizes 5 thru 8 - Men's sizes 9 thru 12 - or your jeweler can size to fit.
Federal regulations prohibit more than one free gift per account holder per year. However, you may have as many made as you like. We will mail your jewelry postage-paid.
CAPITOL FEDERAL SAVINGS
"THE MOST TRUSTED NAME IN SAVINGS"
Mrs. Everett Kniesteadt, Marysville, Is Winner
Winner, Mrs. Everett "Knieusstad, R. D., Marysville: "These hot June days have sent me to my files for a favorite recipe for a frozen dessert. I might say that this is a very old recipe and I would like to share it with the Grass & Grain readers."
ERMA'S FROZEN DESSERT
1 quart buttermilk
2 cups sugar
1 cup crushed pineapple (drained)
½ bottle maraschino cherries (chopped)
⅓ of the maraschino cherry juice
1 teaspoon vanilla
Beat buttermilk and sugar together until creamy. Then add the remainder of ingredients except vanilla into a 1½-qt. container that can be placed in the freezer compartment of the refrigerator. Freeze until the mixture is firm (about three hours). Stir mixture once or twice during the freezing period for a smoother texture. Yields 1½ quarts.
+++++
Mrs. Don Banahan, Steele, Nebraska: "Recently I received this recipe so would like to pass it on to your readers. It's good on bread and also as an ice cream topping."
RHUBARB JAM
4 cups rhubarb cut in small pieces
5 cups water
Let this set overnight; this forms juice. Then cook until done and beat until smooth. Add 1½ cups sugar and 1 cup water. Boil until thick. Cool and store in jars.
+++++
Mrs. John Hiesterman, R. 1, Washington: "I think this is a perfect recipe for hungry farmers at lunchtime. I find the men really get hungry but do not want something too extra sweet. I know the men around here will enjoy the raisin bars so I sent it to share it with the G&G readers."
RAISIN BARS
1 cup raisins
1 cup sugar
½ cup shortening
1 cup granulated sugar
1 slightly beaten egg
¼ cups sifted flour
¼ teaspoon salt
½ teaspoon baking soda
1 teaspoon cinnamon
½ teaspoon nutmeg
½ teaspoon cloves
½ cup chopped walnuts
Combine sugar, water and water in saucepan; bring to boiling; remove from heat. Stir in shortening. Cool. Beat in sugar, egg and nuts. Sift dry ingredients; beat into raisin mixture. Stir in nuts. Pour into greased 15x10x1-inch pan. Bake for 12 minutes in 375-degree oven. When cool cut into bars.
+++++
Mrs. Doris Hett, R. 1, Marion: "I would like to share one of my favorite salad recipes. This is exceptionally good on a hot summer day."
7 UP SALAD
1 can or 2 cups hot applesauce
2 packages lime gelatin (dissolve according to directions)
1 small package cream cheese
½ cup nuts
1 can or 2 cups crushed pineapple
2 small bottles 7up
Mix all ingredients and chill in refrigerator until set.
+++++
Permanent Press Travels Well
When packing for vacation this year, you'll save time, space and headaches by planning a wardrobe that's mostly permanent press. Then with a side trip to a washer-dryer, you won't have to worry. You will have less luggage to carry, yet your family can wear clothes that look fresh and new.
The short stop at the laundry won't take long and can probably be coordinated with Dad's stop for bait and tackle or one of the kid's souvenir hunts.
Anchor Candles With Toothpicks
To put birthday candles into a cake, first stick a toothpick into the bottom of each. This keeps them in place and leaves no gaping holes in the frosting.
Remove Rust Stains
To remove rust stains caused by leaking faucets from porcelain, scrub well with either lemon juice or vinegar. A paper towel saturated with household bleach and laid on the stain for an hour or more is also effective.
UP TO 7 1/4% TAX EXEMPT INTEREST
KANSAS MUNICIPAL BONDS
HANSTON, KANSAS
INDUSTRIAL REVENUE BONDS
$1000 and $5000 Denominations
Equivalent to more than 10% Yield on taxable investment returns sold from Prospectus only call or write:
A. H. Speer Co.
Investment Bankers
2000 Douglas
WICHITA, KANSAS 67202
phone 316/267-8722
Marvin Sharp, Representative
Box 666 Junction City, Ks. 66441
Phone 913-238-2791 or 913-762-2341
THE BEST IS YET TO COME IF YOU HAVEN'T TRIED CHARTER 10
OLD CHARTER
Ten (10) Years Old
Old Charter Straight Bourbon Whiskey, double-furnace distilled from grains grown in the same farm for over ten years old.
Charles Dabbling Co.
Lemont, Kentucky
OLD CHARTER 10
The Superlative Kentucky Bourbon
STRAIGHT BOURBON WHISKEY - 86 PROOF © OLD CHARTER DIST. CO., LOUISVILLE, KY.
Use Canned Salmon To Help Lower Food Bills
In this day of rising food costs it's not easy for a homemaker to feed her family wisely but well and remain within a specific dollar allotment. But it's not impossible. The bulk of the food budget is spent on main course dishes, so by concentrating on economical protein staples such as cheese, eggs, milk, enriched cereals, beans, lentils, dried peas and beans, in preference to meat, the dollar can be stretched to go surprisingly far.
Canned salmon is one of the great food products of the world and has, many times, kept nations from starvation. It is rich in vitamin A, vitamin D and salmon is another of the world's most nutritious foods. Its protein is complete, the same as found in eggs, meats and poultry and it contains loads of calcium and the all important vitamins A and D. By combining these two products in a delicious dish we provide our family with adequate protein, vitamins and minerals in a dish which everyone will agree "tastes like more." You'll want to include it at least once a week in your menus.
SALMON SPOON BREAD
1 1/2 cups milk
1/2 cup cornmeal
1 teaspoon salt
1 teaspoon baking powder
2 tablespoons butter
1/4 cup sugar, sifted
1 1/2 pints can salmon
Grease a 2-quart baking dish. In saucepan bring milk to a simmer. Gradually add cornmeal and cook over moderate heat, stirring constantly, for two minutes, or until thick. Remove from heat, beat and stir in salt, baking powder and butter. Beat in egg yolks, one at a time. Beat egg whites until stiff but not dry. Fold into cornmeal mixture along with the salmon and salmon liquid. Pour into prepared pan and bake in a preheated 375-degree oven for 25 minutes or until well puffed and brown on top. Serves six.
Reheated Rolls Taste Fresh
To reheat leftover rolls and buns, place a pint of water in the bottom of the oven and heat. When the steam begins to rise from the water, place rolls in the oven and bake for five to ten minutes. When reheated this way, rolls taste almost as fresh as they did when they were first baked.
Holds Bowl Firm
To prevent a mixing bowl or cutting board from slipping while you use them, try putting a dampened pot holder or dishtowel under them. This stops them from revolving and at the same time helps to deaden the clatter which often goes with vigorous beating in a glass or metal bowl.
Save now with New Holland Purchase Plan
Buy a New Holland garden tractor during June or July, and you'll pay no finance charges until March 1, 1973.
That's right. New Holland's free-finance plan is now in effect. If you buy during June or July, New Holland will waive finance charges until March 1, 1973.
And you'll have the satisfaction of owning the garden tractor with all these convenience features:
- Solid structural steel frame
- Clean, unobstructed operator's deck for easy mounting
- Console controls
- Adjustable bucket seat
- Hydrostatic drive
- Quick-mount attachments
Variety of attachments available: Mower, snowblower, dump trailer, rotary tiller, front blade and more.
Stop in soon for all the details of this free-finance offer.
NEW HOLLAND
ABILENE Wright Implement Co. 913/263-2061
CONCORDIA Gould Implement Co., Inc. 913/243-2609
WAMEGO Meinhardt Farm Equip. 913/458-2310
MANHATTAN Burns-Burke, Inc. 913/778-5731
TOPEKA Henry Sales & Service 913/354-7641
LYONS Truck & Tractor Co. 316/382-2188
BELTON Norris Implement Co. 913/738-3541
MORTON BUILDINGS, INC.
BACKED BY THE STRONGEST WRITTEN WARRANTY EVER OFFERED ON A FARM BUILDING
- CATTLE BARNs
- HORSE BARNs
- HAY STORAGE
- MACHINE STORAGE
- GARAGES
- KARBONKIMI WAREHS
OFFICES
Holton, Ks. 66436
MORTON BUILDINGS, INC.
Rural Route 1
Phone 913-344-2603
Salina, Ks. 67401
MORTON BUILDINGS, INC.
Box 1103
Phone 913-823-3767
For information, call or write today
FARMER RANCHER STUDENT OTHER
NAME ____________________________________________
ADDRESS _________________________________________
TOWN ___________________ STATE ______ ZIP _______
PHONE ____________________________________________
Can Be Well-Dressed And Stay Within Budget
Time, thought and effort can help you to be well dressed. It doesn't take a great deal of money or a great deal of clothes.
First, think about the different types of clothes you need and take time to choose the right things. Buy the best you can afford. Be sure that your clothes fit well. Keep hems even and the right length for your particular build. Different types are becoming to different figure types. Large spinachy prints are good for a tall, slender woman but they make a stout woman look heavier. Bright lime and dark colors make the wearer look slimmer. Choose colors that flatter you and that go nicely with the clothes you already have in the closet.
When buying clothes, look for good material and craftsmanship. Look for a fabric that says the material won't stain easily, will release wrinkles. It saves money to buy mostly washables so you can launder them easily and cheaply with soapuds or detergent suds.
Success is sweet... It's Supersweet
Make Absorbent Cover For Playpen Pad
A terry cover that is absorbent and comfortable for baby can be made for the plastic mat in the bottom of the baby's playpen. Just cut the good portions from worn-out Turkish towels. Join them, one above the other with a neat double seam that lies flat. Add ties at each corner to keep it in place. This type of cover is easy to launder.
No Waste
There will be no waste and you can get the last drop of shortening out of a greasy pan by rinsing it with boiling water. Set aside and allow to cool. When cool, lift the hardened cake of fat from the top and pour out the water.
Tinted Coconut
Coconut may be tinted with either orange or lime rind. Grate the rind and use 1½ teaspoons rind to 1 cup coconut. Combine in a glass jar and shake until coconut is tinted.
Silk Corn Quickly
You can corn quickly by using a small silk brush. All the corn silk can be removed from each ear of corn in a jiffy.
Argentine Farmers Get Government Wheat Price Hike
Wheat farmers in Argentina will get a price hike in June from their government to an average of about $2.28 per bushel, up 20 percent.
The Agriculture Department, which supports wheat grown by Argentine farmers, set the rate at $2.25 per bushel, said the increase allowed by the Argentine government "is designed to cover higher production costs and encourage wheat growing" in the 1973 season.
The most popular popular-priced Scotch in Kansas. Find out why.
J.W.
BLENDED SCOTCH WHISKY 86 PROOF O.W. SMIT DISTILLERS CO., N.Y., N.Y.
Sedlacek's
OF HANOVER, KANS.
FURNITURE - APPLIANCES - CARPET
Pre-Inventory Sale!
HURRY IN! BIG SAVINGS IN ALL DEPARTMENTS!
IMPORTANT NOTICE
Our year ends on June 30th. We take inventory — We pay taxes on merchandise we have on hand. This sale is for you. We cut the prices, you profit by great savings & our taxes are lower.
ATTENTION NEWLYWEDS
Furnish your home at prices never before possible!
See us before you buy — every dollar buys more!
Yes, every dollar buys more!
HURRY FOR GOOD SELECTIONS --- SHOP NIGHTS WEDN. and SAT.
Sale ends 6 p.m. June 30
Corn Belt Weather Cuts Nitrogen Sales
Rod Turnbull
Kansas City Board of Trade
Some major fertilizer distributors in the Corn Belt are revealing they have not sold as much nitrogen for corn this spring as they had anticipated.
The reason is the wet weather which delayed corn planting. Farmers generally like to apply nitrogen just ahead of seeding unless the spring is unusually dry and cool. This spring, many of them were frustrated by week after week of muddy fields. When a day did come when the soil was workable, dealers explain, many farmers rushed in with their drills to get the seed in the ground rather than use that day to apply nitrogen.
Throughout the Corn Belt, each locale has its own day on which supposed is the optimum date for having corn planted. Farmers have a feeling of assurance, if they get the seed in the ground before that date at least around that date. Last year, in nearly every part of the main corn country, farmers succeeded in getting the corn planted ahead of normal optimum days. As all now realize, results were the nation's biggest corn crop in history and the highest average yield per acre yields.
The ideal time of weather which permitted early planting last year also allowed farmers to get their fertilizers applied on time. This is a match of Central United States May 5 is looked upon as the "magic" day for corn planting. This is because, as a rule, generally speaking, the later corn is planted the less chance there is for optimum yields. Some go as far as saying that on any given day, except the best planting date, a bushel is cut off the acre yield. Obviously though, weather after the corn has been planted also has major effect on total yield. But last year's results are proof that early planting can be dangerous.
Last year, farmers were determined to plant early in an attempt to get corn matured before the onslaught of threatened late blight. As it turned out, the weather cooperated in many centers and ideal for corn was the corn seeded early, and favorable weather in late summer inhibited development of the blight.
This spring, fertilizer dealers who have not sold their implied quotas of nitrogen are finding the farmers will sidestep the growing crop and the assumption is that many will, although they may face certain difficulties. Because of the possibility of side-dressing, no one will know how much nitrogen will be being applied until the crop is so tall feet high and all chances for getting into the fields are passed.
No government figures on recent nitrogen use will be available until fall and by that time a fairly accurate estimate also can be made of the size of the corn crop.
One element to side-dressing is the practice of applying herbicides to corn fields. Herbicides, which inhibit the growth of weeds, are contained in the surface of the soil. Farmers hesitate to break the crust created by the herbicide.
Another difficulty with side-dressing is with machinery. Farmers and dealers are well equipped to handle the equipment for pre-plant nitrogen application. The same machinery is not used to side-dress corn in growing. When they are available, neither farmers nor dealers have as many machines for side-dressing as for pre-plant.
Because of the increased acreage set-aside in the government's farm program this year, fewer acres destined were reported as overheads about business this year. It would seem logical to assume that if fewer acres are needed, less nitrogen should be used. On the other hand, the fertilizer industry is aware of the fact that fertilizer use in the United States has been increasing year after year, despite government acreage control programs.
Fertilizer use (nitrogen, phosphates and potash) has increased from 18,343,000 tons in 1950 to 26,900,000 tons in 1971. The largest increase by far has been the use of nitrogen and a major part of the total use is for corn.
Tradesmen in grain such as those at the Board of Trade in Kansas City, have become accustomed to assuming that farmers will apply more fertilizer each year — past experience so indicates. Thus the reported difficulties in getting nitrogen this spring suggests a surprise element to be considered.
According to some major distributors, farmers have been able to get phosphates and potash applied as this was done at the same time the corn was drilled.
Fertilizer has been a part of the technological revolution along with better seed, better hybrids and modern machinery which has resulted in the tremendous boost in production in grains in this country since the end of World War II.
Percentage-wise, world consumption of plant and animal fertilizers has increased a little more in the whole world than in the United States alone, but the U.S. still uses about 25 percent of the world total, and more than any other single nation.
A Pig Reigned Over National Feeder Pig Show
June 20, 1972
Missouri's prettiest pig was crowned to reign over the National Feeder Pig Show at West Plains, Mo.
The pig was selected from female feeder pigs entered in the show. "Piggy '72" also met "Arndt," the pig of TV's "Green Acres."
Cow Pokes
By Ace Reid
"Yeah, I've been lookin' fer a job—well til eight o'clock this mornin' they ain't one!"
She's President of the Mutual Admiration Society
They all love those Key Dairy Feeds!
KEY MILK REPLACER IS GUARANTEED EFFECTIVE Or Your Money Refunded
Only KEY Offers All 3 Milk Producing Foods . . . Fresh Daily
KEY 16 PERCENT DAIRY CRUMBLES
The economical feed used with your own grains and supplement for pasture feeding.
KEY 31 PERCENT DAIRY CONCENTRATE
An economical grain mix so well balanced that you should not have to feed more than 5 pounds per head per day.
KEY 50 PERCENT DAIRY CONCENTRATE
Mix Key 50 Percent Dairy Concentrate with farm grains (oats, corn, barley, milo and/or wheat) to make a finished grain mix of 16 percent protein. This means mixing one part of Key 50 Percent Dairy Concentrate with approximately six parts of farm grains.
KEY CALF STARTER
Amply fortified with Vitamin B-12, A and D feeding oil, KEY CALF STARTER is the important first step to get your calves on the way to healthy growth. All KEY dairy feeds contain the important minerals and medication ingredients.
SEE YOUR KEY DEALER OR CALL THE MILL. 913 622-3141
KEY MILLING CO.
CLAY CENTER, KANSAS
Cattle Feeding Trends
The cattle feeding industry has undergone tremendous change during the past ten years and this change continues. Cattle feeders in the six leading states reported on May 1 that they had 11 percent more cattle on feed than in the previous year. These six states (Iowa, Nebraska, Texas, Colorado, Arizona, and California) account for more than half of the marketed fed cattle. Reports from these states are available on a monthly basis, rather than a quarterly one, as are for the twenty-three major feeding states.
As part of the recent concerns about high meat prices, the suggestion has occasionally been made that cattle feeding has not been expanding rapidly. This is not the case. The marketings of fed cattle have increased from 2.4 million in 1961 (major feeding states) to 2.5 million in 1971. This increase reflects several trends within the industry's pattern of change. They are: (1) a growth in volume; (2) a westward shift in location; and (3) an increase in the size of feed lots.
Growth in Total Volume
As shown in Table 1, marketings of fed cattle have increased by more than a million per year for the past ten years. Total slaughter (cattle and calves) has not increased nearly that much. The figures are 3.0 million in 1961 and 39.2 million in 1971. But the total production of beef and veal went from 15 billion pounds in 1961 to 24 billion pounds in 1971. Much of this increased production was the result of the heavy increases in cattle slaughtered. Calf and nursery or grain slaughter has been sharply reduced.
Westward Shift in Location of Feeding
The westward shift is shown by the location of the states with the greatest increases in fed cattle marketings between 1961 and 1971 and the amount of these increases: Texas, 1.8 million; Nebraska, 2 million; Colorado, 1.4 million; California, 1.4 million; and Kansas, 1.3 million. Illinois' marketings were down again in 1971 after having gained in 1970. The westward shift of this western increase in feeding came as a result of greater feed supplies, realized through irrigation and increased grain sorghum acreage.
In 1962, when the USDA first collected such information, an estimated 37 percent of the fed cattle marketings came from lots with capacities of a thousand head or more. In 1971, 14.7 million cattle, or a little more than one percent, came from such lots. There were 34 feedlots with a capacity of 32,000 or more, from which 3 million cattle were marketed. Two of these lots were located in Texas, one in California, and five in Arizona.
Shrink competition is likely to continue in the cattle feeding industry. Success in large-scale enterprises and the cost advantages accruing to them will continue to provide an incentive for high levels of operation. The demand for feeder cattle will continue to grow, and this of this westward increase in feeding came as a result of greater feed supplies, realized through irrigation and increased grain sorghum acreage.
M. M. Kirkley
University of Illinois
Cattle Feeders Conference Set For July 13-14
The Kansas Livestock Association Cattle Feeders Conference is scheduled for July 13 and 14 at the Holiday Inn Plaza, Wichita, will focus on issues of immediate importance to the cattle feeding industry of Kansas. "Antibiotics, waste management, consumerism, meat merchandising and labor will draw the most attention during the two-day meeting," says Lee Stampe, chairman of this year's Feeders Conference.
Keynote speaker for the opening session will be Dr. H. P. Pope of Texas A&M University. His message will include a discussion of the reasons for the nearly 200 percent increase in Kansas feedlot capacity since 1960 and the 10 percent increase in cattle on feed as compared to one year ago, as well as his views on the future.
The recently passed Kansas Agricultural Labor Relations Law will be discussed in detail by Mr. Robert L. Smith, Assistant Attorney General, State of Kansas. The Kansas Livestock Association is instrumental in the passage of this law, the first of its kind in any state.
The feedlot issues to be discussed include the effects of the occurrence of low level feeding of antibiotics. Dr. LeVerne Harrell of the Food and Drug Administration and Dr. John D. Burcham of the FDA's Toxicology Research Institute will discuss the implications of the law. A panel discussion entitled "Meat industry merchandising - Tuesday" and "Meat industry merchandising - Wednesday" will feature Dr. Blair Bretherton, Stop and Shop, Marsh, Martin, Massachusetts; Ken Coughlin, Mead, Nebraska; Mike DePietro, Nebraska; Pete Fleming, Fleming Foods, Topeka; E. H. Prinzen, Kansas Beef Industry, Wichita; and Jack Arnold, Arnold Grocery, Topeka.
The question of how much feedlots will contribute to the preservation of topsoil will be answered by Dr. Harry Mangus of Kansas State University. He is expected to be at the Feeders' Forum. Brett, Kansas, provides him with the most comprehensive data available on this subject.
Banquet speakers will be Stephen Strom, Vice President, President, Stauffer Publications, and General Manager of WIBW radio-TV-FM, Topeka, and Dr. James R. Johnson, the consumerism issue in a speech entitled "Who's Who?"
All cattle feeders and other interested parties are invited for the two-day meeting that opens at 9:00 a.m. Tuesday, July 13, at the Holiday Inn Plaza, Wichita and finishes with Golf Tournament at the Wichita State University Golf Course Friday afternoon.
Water Seepage From Marion Dam Not Serious Yet
Water is seeping underneath the Marion Dam on the Cottonwood River near Kansas. But Army Engineers don't think there is any immediate problem.
The seepage is estimated to be 100 feet a day, but the dam is 1,000 feet long and there is no danger of failure, according to the spokesman said there has been no increase in the flow rate. The flow rate that there is a seepage of the limestone formation could be somewhere near the bed of the 6,000 acre lake the dam created, and the water is through cracks and crevices in the limestone.
A crops spokesman today said the seepage is not a threat to the lake or the dam or to the town of Marion, Kan., with a population of 2,000.
The $14 million Marion dam is 10 miles northeast of Wichita, Kan. It is 8,500 feet long and rises 67 feet above the streambed.
BERN MAN LEADS SHORTHORN REGISTRATION
Oliver Mosteller & Son, Prairie Farm, Bern, led the Kansas Shorthorn breeders in the number of registrations during May according to the American Shorthorn Association, Omaha, Nebraska. The Mostellers recorded 44 head.
Insecticide Test Reveals No Significant Pollution
Check one up for the farmer because insecticides used properly aren't polluting the rivers, lakes or wells in Kansas. What's more most new varieties of insecticides leave little or no residue on soil.
That's the general conclusion of 5 Kansas State university scientists who recently completed a 9-year study of insecticide use at the 29-acre Cedar Bluff Irrigation District west of Hays.
It is one of the longest and most intensive studies of farm insecticides and their effect on the environment yet undertaken, being used by the Federal Environmental Protection Agency in developing guidelines for pesticide use.
The study was directed by Herbert Knutson, head of the Department of Entomology at Kansas State University.
The scientists surveyed 50 percent of the district's farms and found 165 types of insecticides were applied in farming operations between 1963 and 1971.
Surprisingly, the study found that most insecticides used were non-persistent or organophosphates and carbamates. Insecticides which persist longer in the environment, such as Aldrin and Dieldrin, generally were used before 1965. Then with more stress under irrigation and more concern with pollution problems, farmers turned to insecticides which disappear quickly.
Knutson said the irrigation district provided an ideal test study area because during the study dry-land farming gave way to irrigation, a trend continuing in many parts of Kansas.
Said the report, "Knowing the distribution, magnitude and persistence characteristics of insecticides residues resulting from normal agricultural practices during the study period could help to evaluate the long-range residue potential of these chemicals and to anticipate and possibly prevent negative environmental effects."
The scientists set aside a 29-acre control plot for the study. Each year during the study insecticides were applied to control corn rootworms, fall armyworms and other insects.
Except in 1965, the insecticides were applied at the recommended rates. That year they applied the insecticides at four times the recommended rates. Soil samples were taken five times a year from the various control plots.
In addition, several wells were drilled in the study area. They ranged from 13 feet to 71 feet. Other water samples were taken from the Smoky Hill River, from the Cedar Bluff Reservoir near the dam and from where water entered the main irrigation canal.
The study concluded that organochlorine soil insecticides such as Dieldrin and Parathion generally disappeared from the soil in two months after application.
But Aldrin and Dieldrin survived around longer. After the extra-heavy application of Aldrin was applied in 1965, the scientists found the chemical persisted in the soil for at least four years, until the study's conclusion, in small quantities.
Knutson said that persistence alone doesn't tell the whole story. Chemicals such as Aldrin, while they are long-lasting, aren't as dangerous as application in some of the newer, non-persistent insecticides.
"You can't have it both ways. If you put on something that will disappear quickly it's going to be better to handle," he said.
The study's regular testing of drinking water from the wells showed some traces of insecticides, as much as 30 parts per trillion of Aldrin. But the study's authors concluded that traces of insecticides detected in wells resulted from contaminated hoses used for sampling.
"In addition, residues were not detected in ground water 12 inches from the surface, therefore, ground water at deeper levels would not be expected to contain residues."
"In summary," the report said, "infrequent trace levels of insecticides were detected without significant contamination in any of the surface waters."
Other participants in the study were A. M. Kadunin, T. L. Hopkins and G. F. Swoyer of K-State and T. L. Harvey of the Fort Hays Experiment Station.
From microscope to milking parlor... PURINA is built for Milk Production
When it comes to building a Purina milking ration, microscopes and milking parlors have a lot in common.
The microscope represents just one of the many painstaking research tests made in checking ingredients, developing and mixing a ration, then re-checking the finished ration.
Each Purina dairy ration is proved in feeding trials at the Purina Dairy Research Center, as well as in exhaustive laboratory tests.
As for the milking parlor, each Purina milking ration is built for the production it will help you get from your herd. Today's successful dairymen are proving that good nutrition is far more than just filling the rumen. The level of nutrition you put into the cow's digestive system is what helps her produce up to her breed-in capacity.
Drop in soon and let us recommend a Purina research-proved milking ration for your herd. Thousands of good dairymen across the country are taking advantage of the research that's built into Purina milking rations. How about you?
WE SALUTE THE DAIRY FARMER...
MOR-KAN ELEVATOR . . . . 349-2214 Whites City
MID-CONTINENT ELEVATOR . . . CE 8-4177 Junction City
GORDEN MARK ELEVATOR . . . ME 2-3381 Clay Center
FLINT HILLS FEED & GRAIN . . . PR 8-5322 Manhattan
PURINA CHOWS®
Inheritance Tax Cuts Metropolitan Area Farms
Farmers inheriting land near urban areas are being pinched between a rock and a hard place when it comes to inheritance taxes.
They are forced to sell their inherited farms to real estate speculators who have them taxed, assessed on what the land could be sold for rather than what it is worth as farmland. The value of the land is submitted to say line with the Internal Revenue Service's assessment of inheritance taxes.
Over the years, the value of agricultural lands in wide sections of the nation within easy access to metropolitan areas has risen so rapidly that speculators have bought up every available piece of property. The value of this land for agricultural purposes has largely remained constant or has declined.
The Internal Revenue service insists on assessing the value of land and the amount at which property would change hands between a willing buyer and a willing seller.
The result is that farmers holding property whose value for development is 5 to 10 times its agricultural worth, have been forced to sell their farms to the waiting speculators simply to pay their inheritance taxes, which run as high as 25 percent.
Most of this pressure has been focused on the spreading areas on the fringes of the suburbs where metropolitan America is pushing out to meet rural America — areas such as the farther reaches of Suffolk county, N.Y.; suburban Phoenix, Ariz., the extreme northwest corner of Cook county in Illinois, and the Sierra foothills region of California.
In Burlington, Ill., Xavier Schreiber, 72, a retired farmer, is worried about the problem that will arise when he dies, cited the case of a 90-year-old neighbor who died and left a 300-acre farm to his son.
"They haven't sold the farm yet," Schreiber said, "as the wife is still living, but when she dies, and then the taxes will be levied all over again and the sons will have to sell the farm for sure to pay taxes."
The fact that the situation became most acute very recently is largely attributable to the newly developing pattern of change in suburban America.
The 1970 census revealed that the fastest growing segment of the United States was the suburbs, and the fastest shrinking was the rural areas. But of even greater significance is the evidence that the fastest growing segment of the suburban population was in the so-called "countryside" — the so-called "far fringe" of the suburbs, between suburbs and countryside.
It is here that the real estate speculators are most busily at work and where the pressures on the remaining farmers are the greatest.
There are no statistics to show how many farms are going to speculators. Many are quietly sold and continue to be farmed for several years, even decades, under "leaseback" arrangements, until the land becomes so valuable that the speculator finally moves in and puts a halt to farming.
A spokesman for the Internal Revenue Service has been aware of the problem for really several years and, of course, what it has done to try to solve it is that we've had no legislative but to set the tax on the value of the land sells for rather than on the value the property would be used for.
It would take legislation to change the practice.
The extent of the problem and the manner in which it has aroused in agricultural America is indicated by the search for the methods to move toward some remedies.
On the shade county area surrounding Miami, almost all farms by law have been incorporated. The farmer's corporation is able each year to transfer a small amount of stock — up to $3000 apiece — to his children as gifts, reducing the final impact of inheritance taxes when he dies.
The California Farm Bureau federation has begun to advise members to make their proper arrangements well in advance of death — giving land or corporate shares in land to their children over the years to take advantage of the tax exemption.
"All this is fine," said a New York farmer, "but I can't do this. I need cash now to keep my tractor and order to operate. If I go to a bank and say I've given shares to my children, that I don't have clear title, they'll throw me out."
Phenomenal Production By Kansas Agriculture
The phenomenal story of Kansas agriculture in 1971 together with facts and figures for a century of production on the farms of the state, are detailed with annual reports by the Kansas State Board of Agriculture.
The report, covers more than 300 pages detailing Kansas agriculture.
The Kansas State Board of Agriculture was created by the Legislature in 1872. The current report primarily covers the period from July 1, 1970 to July 1, 1971, but it also is a record of Kansas agriculture as shown through reports issued by the board continuously since 1872.
That Kansas is outstanding in the nation for its efficiency and productivity of its farms is shown by this ranking among the 50 states at mid-year 1971:
First in wheat production, flour milling and sorghum silage produced.
Second in commercial grain storage, the area of cropland (29 million acres) maintained on farms, grain drills on farms and sorghum grain production.
Third in dairy and calves farms, in dehydrated alfalfa processing and land in farms (50 million acres).
Fourth in eggs, sweet clover and lespedeza production.
Sixth in grain-fed cattle marketing and cattle feed production.
Seventh in cash receipts from farm marketings, $1.9 billion, red meat slaughter and field forage harvest.
Ninth in number of hogs produced.
Tenth in alfalfa hay, corn silage and other forage crop production.
All of this caused Roy Freeland, Kansas secretary of agriculture, to refer to 1971 as a "phenomenon in production."
However, he reported in highlighting agriculture for the year, there were some factors which prevented the year from being a total success. The parity ratio of prices received by farmers for all commodities in comparison with prices they pay dropped to the lowest since the depth of the depression days of 1935.
"When growers, for example," he said, "harvested a record crop from a relatively small acreage. At $1.31 bushel, however, they received a price which was pitifully poor when compared with $1.87 in 1968, $2.09 in 1965, $1.70 in 1960 and the U.S. parity figure of $2.95 which reflects cost in relation to price."
"Agriculture contributes more to our economy and the American way of life than does any other segment of our population, and at times deserves less recognition than any other segment."
But in terms of production, Freeland said the year was indeed a golden one. He pointed to the all-time record wheat crop of 312.6 million bushels, achieved on only 4.7 million acres, called the four milling industry a $230 million business. The stated sorghum production was 1.444 million bushel level for the first time in history.
Wheat production last year at 200 million bushels was the greatest since 1932 and the average yield of 82 bushels per acre was the highest ever recorded.
Kansas cattlemen, Freeland reported, are finishing more and more profitable for the slaughter market. Packages of red meat is a $71 million Kansas industry annually.
"It is estimated that each dollar of value here represents $6.95 in business activity, which indicates that the Kansas meat industry stimulates economic benefits totaling more than 85% billion each year," the secretary's report stated.
The report apparently has missed nothing in covering the wide ranging activities of the state's farmers during the past year. It lists such diverse subjects as cheese-making, which reached an all-time high last year, to a school near Girard which is turning out badly-needed horsemen.
June 20, 1972
Soviet Wheat Crop Reportedly Better
A recent USDA report said that prospects for Soviet wheat production this year, in one of the world's most important grain areas is "better than reported earlier" and that winter damage was "minimal."
However, the report didn't refer to conditions in the Ukraine, where winter wheat crops have been reported almost entirely destroyed.
Apparently the Russians want to keep an ace in their hand, and not reveal the full extent of devastation. The previous report that indicated the Soviet wheat crop was severely damaged was made late in April by the Foreign Agricultural Service, which could have changed its at least one area.
Hopes for selling US grain to the Soviet Union seem to be dimmed by this report.
Pay attention, Not interest!
Buy now. Pay no interest until March 1, 1973.
Other facilities to choose from:
(1) all new IH farm wheel tractors; (2) any used farm wheel tractor; (3) Cub Cadet® lawn tractors and riding mowers; and (4) any implement sold with tractor — when financed thru IHCC.
HERINGTON
Pioneer Service & Sales
HANOVER
Hanover Impl. Co.
MARYSVILLE
Bruna Brothers
WASHINGTON
Schumacher's, Inc.
WAKEFIELD
Auld Chevrolet Co.
COUNCIL GROVE
Macha-Revier
MINNEAPOLIS
Chapman Impl. Co.
LEONARDVILLE
Kendall Garage
ABILENE
Engel Motors
BELLEVILLE
C & E Mfg. on US 81
JUNCTION CITY
Mohn Impl. Co.
FALUN
Dauer Impl. Co.
YOU'VE HEARD IT SAID:
SAVE REGULARLY - IT PAYS
NOW LET'S LOOK AT THE FACTS:
"AT HOME SAVINGS
YOUR EARNINGS ARE COMPOUNDED
DAILY & PAID OR CREDITED QUARTERLY"
| How Regular Savings Grow | $10 Monthly | $25 Monthly | $50 Monthly | $100 Monthly |
|--------------------------|-------------|-------------|-------------|--------------|
| 2 YEARS | | | | |
| You Save | 240.00 | 600.00 | 1,200.00 | 2,400.00 |
| We Add* | 12.94 | 32.34 | 64.68 | 129.35 |
| Total | 252.94 | 632.34 | 1,264.68 | 2,529.35 |
| 5 YEARS | | | | |
| You Save | 600.00 | 1,500.00 | 3,000.00 | 6,000.00 |
| We Add* | 83.08 | 207.68 | 415.35 | 830.76 |
| Total | 683.08 | 1,707.68 | 3,415.35 | 6,830.76 |
| 10 YEARS | | | | |
| You Save | 1,200.00 | 3,000.00 | 6,000.00 | 12,000.00 |
| We Add* | 363.16 | 907.90 | 1,815.80 | 3,631.55 |
| Total | 1,563.16 | 3,907.90 | 7,815.80 | 15,631.52 |
| 20 YEARS | | | | |
| You Save | 2,400.00 | 6,000.00 | 12,000.00 | 24,000.00 |
| We Add* | 1,732.79 | 4,330.78 | 8,661.58 | 17,323.38 |
| Total | 4,132.79 | 10,330.78 | 20,661.58 | 41,223.38 |
* Compounded daily at our current 5% per annum rate.
SAVE REGULARLY - IT DOES MAKE A DIFFERENCE
HOME SAVINGS AND LOAN ASSOCIATION
630 HUMBOLDT MANHATTAN DIAL 776-6733
HOURS: MON.-THURS. 9 A.M. TO 4 P.M., FRI. 9 A.M. TO 6 P.M.
Horse Vaccine Proven Effective
The Agriculture Department says laboratory tests have proved horses can be protected fully from Venezuelan equine encephalomyelitis (VEE) by using full-strength vaccine.
Sale every WEDNESDAY
ESKRIDGE, KANSAS
Night Sales
Through Summer
START AT 7 PM
HOGS CATTLE
Our spring sale last Wednesday was featured by the biggest run of sows ever received at this auction.
FAT HOGS: 210-225 @ 26.00-28.40, 230-240 @ 25.90-26.35,
240-260 @ 26.70-28.00, 260-280 @ 29.25-29.75, 280-320 @ 24.50-25.00
SOWS, a big run, sold @ 20.00-22.50.
HEAVY BOARS sold @ 19.50-22.00
LIGHT BOARS @ 17.50-22.75
WEANING PIGS 4-6 week old @ 20.00-30.00 head.
BABY PIGS @ 12.50-20.00 the head.
FEEDER SOWTS 100-150 lbs. @ 26.00-28.50 cwt.
CATTLE: A light market prevailed most of the time of year, but the market was good. Baby calves sold at higher prices, some only a few days old bringing $55.00-100.00 the head. HEIFERS in the 450 lb. class sold @ 15.00-17.50 and steers @ 15.00-17.50.
SPECIAL CONSIGNMENT WEDN., JUNE 21
12 cows, utility and high dressing. Also 2 calves and 4 heavy springer Angus cows.
If you have livestock to sell, call one of us and we'll come out, or just bring them to our barn. We had an exceptionally good, top dollar week on our hog market.
HORSE SALE FRIDAY, JUNE 23
All Kinds of Horses.
Office Phone ........ 913/449-2606
Sonny Doerhing .... 913/862-2590
Bonded • Certified
Field man: DUSTY YOUNG, After 6 p.m. & Sun., Eskridge 913/449-2963.
FLINT HILLS
Livestock Auction
Listen to Consignment Report WIBW 6:30 a.m. Wed.
Complete Selection
OF Saddles and Tack
— FEATURING —
• Wyeth & Big Horn Saddles
• Hyer Boots
• Johnson & Valhoma Halters
• Farnam Horse Care Products
'Complete Line Of Products For The Working Horse'
Farmers Union Co-op
FEED MILL
PHONE 913-437-2434
K-HILL MART
Furniture & Appliances
East Over the Viaduct on Highways 177 and 18 776-9207 MANHATTAN
THE HOME OF CERTIFIED SERVICE
25-Cent Fee Added To Kansas Hunting Licenses
The Kansas Legislature last session passed a bill requiring that a 25-cent fee be charged for each fishing, hunting and trapping license issued in the state. The new law is to become effective July 1.
In notifying Kansas sportsmen of the new legislation, Kansas Fish and Game Department officials emphasized that the 25-cent fee is a handling charge which is to be deposited into county game funds in the county where the license is purchased. It is not a license fee increase, but rather is an additional charge over and above the basic license price.
In addition, officers and vendors, members of the county clerks, may charge another 25-cent fee for their handling and processing costs.
Quick Frozen Chickens Tastier, More Appealing
Quick frozen broilers not only are tastier, tenderer and more appealing than those frozen more slowly, but when deep-fat fried they also compare very favorably in flavor with freshly prepared broilers.
This is reported by two Kansas State University poultry researchers, F. E. Cunningham and Peggy Lohmeyer, on the basis of recent studies in K-State's department of dairy and poultry science.
Panelists rated the quick frozen birds as having better eye appeal and as being more tender than fried chickens that were slowly prepared. And a taste panel had only a slight preference for flavor of freshly prepared birds. Cooking losses were lower for the quick frozen birds than for those freshly prepared.
Cunningham and Miss Lohmeyer compared the color and texture of both white and dark meat which had been frozen at 8 degrees above zero, at 20 degrees below zero, and at 197 degrees below zero (quick frozen in a liquid nitrogen freezer).
Bone darkening, which was severe at -20 degrees, was better and nearly absent in frier parts which had been quick frozen.
Meat from birds frozen at 8 degrees below zero was significantly tougher than meat frozen at colder temperatures.
PINKEYE, GERMS and "BLAH" HAY
Say goodbye to all three when you pick up on these great new ideas in the Animal Health department at your local CO-OP.
CO-OP Pinkeye Medication. Proven remedy for pinkeye in animals. Now in an easy plastic container that provides better protection for the contents. Comes with handy adjustable trigger applicator. One pint.
CO-OP Kleen. A powerful new all-purpose disinfectant-detergent-degerant for cleaning and sanitizing hay surfaces. Ideal for use anywhere around the farm to help where germs thrive. One gallon jug goes a long way.
CO-OP Hay Start. A new medicated, vitamin-fortified top dressing for hay that adds palatability to get calves eating hay earlier. Can also be used on grain and concentrate rations. In 25-pound plastic tub with measuring spoon.
CO-OP ANIMAL HEALTH PRODUCTS
St. Marys
Farmers Union Co-op
Business Asn.
St. Marys
Phone 913/437-2434
Carlton
Farm Co-op Asn.
Carlton
Phone 913/949-2221
913/336-7728
Clay Center
Farmers Union Co-op
Clay Center-Sale
Miltonvale-Leonardville
Phone 913/623-3800
Greenleaf
Farmers Co-op Elevator Asn.
Greenleaf-Linn
Washington
Phone 913/747-2160
Manhattan
Farmers Cooperative Assn.
Manhattan-Villa
Westmoreland-Omega
Phone 913/776-9467
Lindsborg
Farmers Union Elevator Co.
Lindsborg-Fulton
Brinkburn
Phone 913/727-3342
EXTRA!
Poultry producers are milking the profits from their eggs. And they're doing it the easy way. With the help of-of-the-art equipment and products from CO-OP.
OPEN Monday thru Thursday Till 7:00
TERMS TO SUIT YOU
Kansas Indians Get Federal Grant
The U.S. Department of Labor has approved a $375,767 grant to provide training and employment opportunities for Indians in northeast Kansas.
Indian Enterprises, Inc., an Indian-owned business corporation, will administer the grant in cooperation with the employment security division of the Kansas State Department of Labor.
The grant will pay for administrative costs of the program, as well as provide allowances for participants during training.
100 persons will take part in the program, receiving training in building trades, food services and graphic arts.
Haskell American Indian Junior College at Lawrence will provide the training, most of which will last for two semesters and a summer session.
Jr. Livestock Assn. Field Day Scheduled July 8
The Kansas Junior Livestock Association has scheduled its 9th annual field day for July 8, at the Claude Messner & Sons Durne Farm, 14 miles north of Caney on Highway 75.
Registration will begin at 8 a.m., followed by a show type and open show judging classes. The afternoon program will feature William Olson, sensory technician for K-State, who will demonstrate the use of the scangram and on the farm livestock testing. In addition to the showman, swine specialist at K-State, will speak on the swine industry in Kansas. These two men will also serve as contest judges.
GRINDING MILO
Charles Shippy, Woodbinn, is mixing up some feed for the 28 feeder cattle he's fattening out. Shippy farms 480 acres and has a partnership with his son Gerald in a stock cow operation. Shippy said the wheat in his area was looking good and believes harvest is just around the corner.
Carson Country
People drive from miles around to buy their homes from Bill Carson. And it's worth the drive! Bill's out-of-city-limits location and volume sales keep prices low. With over 30 homes to choose from, all top quality, you'll find what you want in a home.
EXAMPLE: 14' WIDE CHAMPION/furnished & delivered - $90.18 per month
$624.85 down
60 months
Price
96 Mo. A.P.R. 11.99 Pct. 8657.28 Total
PLUS for a limited time...you will receive a 5' x 7' UTILITY BUILDING...built of high quality hot dipped galvanized steel.
ABSOLUTELY FREE with your new home!
Low prices...top quality...large selection and immediate delivery make CARSON WORTH THE DRIVE when you live in CARSON COUNTRY!
OPEN SUNDAYS
Carson Mobile Home Sales
On Highway K-18-Between Manhattan & Junction City
GHERE'S OFFERS
COMPLETE
*ANTENNA
AND
*T.V. SERVICE
WE SERVICE ALL MAJOR BRANDS
GHERE'S
MACNAVOX HOME ENTERTAINMENT CENTERS
316 Poynitz
Manhattan, Kansas 66502
(913) 776-9259
WARD M. KELLER
MANHATTAN'S STORE FOR WOMEN
REDUCED
OVER 600 SPRING AND EARLY SUMMER DRESSES
REGULAR '12" TO '75"
NOW $8.00 TO $50.00
Your favorite styles in your favorite fabrics, gathered together into one group and priced especially low! Juniors and Junior Petticoats 3 to 15. Half sizes 12½ to 22½. Regular sizes 8 to 20.
One large group of Spring and Early Summer SPORTSWEAR
1/3 to 1/2 OFF REGULAR PRICE
100's of Yards of Assorted YARD GOODS Reg. '150 To '2" Yard 98¢ YARD MANY SUMMER FABRICS REDUCED
HANDBAGS—Summer Straws 1/3 OFF Regular Price
WARD M. KELLER
MANHATTAN'S STORE FOR WOMEN
Open Thursday Nights Till 8:30
328 Poynitz - Downtown Manhattan
K-State Scientists To Study Photos From Ag Satellite
MANHATTAN — Can photos taken from satellites far above the earth help-bound scientists study water use and diseases of winter wheat in Kansas?
A Kansas State University research team will soon test this possibility with a satellite called 14 mona, a NASA (National Aeronautics and Space Administration) contract and data to be provided by sensing devices carried by ERTS-A (Earth Resources Technology Satellite) which is going up soon.
Many observers are skeptical that this can be done, said Dr. James Kanaemaru, KSU scientist who is associated with the Evapotranspiration laboratory and is in charge of the research project. But that "if it should prove feasible to predict severity of diseases 30 days in advance, Kansas farmers might make a positive effort to make intelligent decisions which could produce millions of dollars more in farm income."
ERTS-A, scheduled now to go up in July, will carry three television cameras, two of which is to be filtered for the near-infrared part of the spectrum and theoretically will provide pictures from the vantage of plant life to be determined. In addition, the satellite will receive and record messages from ground stations at transmitters located in fields of cooperating Riley County farmers. These messages will contain meteorological data which will be used to predict disease severity.
Kanaemaru said the photos cover an area of approximately 100 square miles, but scientists hope to be able to pinpoint areas as small as an acre.
The satellite will circle the globe at the height of 500 miles and its orbit will enable it to send back photographs of the exact spot on earth every 18 days.
In the meantime, Kansas State University scientists will make intensive studies of crop conditions at test sites at Riley, Harvey, Finney, and Russell Counties. Later they will study the satellite before, in several instances, to determine whether it might have been possible to predict the extent and severity of the three major diseases of wheat diseases: soil-borne mosaic, stem rust, and leaf rust.
ERTS-A originally was to have gone aloft in April and would have permitted the K-State team of scientists in the departments of agronomy, plant pathology, entomology, agricultural engineering, and electrical engineering to have studied the 1972 crop. Unfortunately the launch was delayed. In an effort to assist the KSU team with its research NASA has provided three U.S. satellites for the Kansas test sites this autumn and will provide two additional in the near future.
The cooperation with NASA contract to study wheat diseases was made through the University of Kansas Center of Research, Inc., and K-State scientists will use sophisticated equipment at the KU Center to help analyze and interpret their data.
Near Total Ban Placed On DDT
Environmental Protection Administrator William D. Ruckelshaus ordered today an almost complete ban on use of the pesticide DDT in the United States.
Ruckelshaus made the ban effective June 31, 1972, to allow a transition to substitute pesticides.
Under his order, the use of DDT will be banned in all countries except for public health purposes and in three minor uses to protect crops against insects. Alternatives available are that is, on cotton, peanuts, onions and sweet potatoes in storage.
Remaining crop uses of DDT, mainly on cotton, peanuts, and soybeans, will be banned.
Ruckelshaus decision was based on a 17-month study by EPA on the effects of the widely used chemical.
The heated debate over its safety began last year when it spread from the laboratory to the courtroom and pitting environment groups against farmers and public health groups.
Environment groups have condemned DDT as damaging to wildlife and a potential cancer threat to man. They assert safer methods are available to control pests. Agriculture interests have insisted the chemical is safe and essential for successful crops.
The Agriculture Department first began canceling some uses of DDT in November 1970. It banned DDT on house and garden plantings, shade trees and tobacco crops.
In March and August 1970, DDT was outlawed around water, marshes and wetlands except for essential public health reasons.
Using the chemical on livestock, lumber, buildings, forest trees and more than 100 crops and vegetable crops also was banned.
The controversy prompted environmental groups headed by the Environmental Defense Fund to file suit to force a ban on all remaining uses of DDT. Cotton is the major remaining crop on which the pesticide is used.
The suit prompted a federal appeals court to order EPA to control a scientific study and hold public hearings.
WE BUY FAT HOGS
Mondays thru Fridays 9 a.m.-3 p.m.
AT UNION PACIFIC STOCKYARDS
MARYSVILLE, KANSAS
Clougherty Packing Co.
NO COMMISSION NO SHRINKAGE
We may not have the best hog market every day, but we may have the best market the day you want to sell your hogs.
BONDED FOR YOUR PROTECTION
MARK WILKIE
Resident Buyer Phone 565-2000
cows warm up
to ice-free water
...and LP - Gas Stock Tank Water Heaters Warm Up Dairy Profits, Too!
The cost is low, the returns are great when you use LP-Gas Stock Tank Water Heaters. Water stays ice-free, even in cold weather. Cows are encouraged to drink more water, and that helps them produce more milk ... on less feed. More profits are bound to yours. In the dairy barn, LP-Gas heats all the water you need for cleaning and sterilizing equipment.
Let us provide Economical, Efficient LP - Gas Service for the Dairy Farm...for the Farm Home Dairyman, we salute you!
TRI-COUNTY Skelgas
608 South 5th
MANHATTAN, KANSAS
913/776-4726
WAMEGO SKELGAS SERVICE
5th & Elm.
WAMEGO, KANSAS
913/456-7565
FARM & RANCH LOANS
INTEREST RATES are down, and NEEDS are UP.
Now is a good time to see your FLBA manager.
OPEN MONDAY THROUGH FRIDAY 8-4 (Closed 12-1)
604 Humboldt – 913/776-6931 Home 913/776-8439
Clay Center – 1:00-3:00 p.m. Tuesday – KM Security Bldg.
Federal Land Bank Association
OF MANHATTAN, KANSAS
SERVING
CLAY GEARY POTTAWATOMIE RILEY COUNTIES
R. Stanley Parsons Manager
Pentagon Cancels Timber Wolf Lined Parka Hood Order
The Pentagon has cancelled an order for more than a quarter million parka hoods with wolf fur in an effort to save North America's vanishing timber wolves.
The timber wolf is on the government's endangered species list. The National Wildlife Federation had estimated that 25,000 wolves would have to be slaughtered to fill the Defense Department's hoods. The Federation said this was nearly one-half of the estimated wolf population in North America, and there was fear the loss would doom the species.
Republican Representative William Whitehurst of Missouri had protested the initial order, announced it had been cancelled yesterday, he said. The Army Materiel Command plans to develop and test a synthetic substitute for the fur that would have similar frictional properties.
Whitehurst said use of synthetic fur is expected to reduce the cost of each hood by nearly four dollars, resulting in annual savings of $1 million.
The Congressman had previously introduced legislation to require the Department of Interior to conduct a study of the timber wolf and develop conservation measures.
Whitehurst said the Defense Department is continuing with its procurement plans for 91,280 flying jacket hoods lined with coyote fur, which already is available on the market. The fur is not listed as an endangered species.
NIGHT SALES AT ONAGA
Every Wednesday
STARTS 8:00 P.M.
FARM FRESH CATTLE AND HOGS
Onaga Community Sale
Marvin Cottrell, Phone 889-4461 or 889-4665, ONAGA, KS.
Ol' Ev the Rainmaker...
You'd better believe it, and are there any complaints? Here's what Ev has to say about rain. Sometimes he can't get it from above, but he sure can bring it in from below. Irrigation, that is, and we're installing a lot of it around here. Talk about a pro... Ol' Ev.
TRACTORS
Used JD 112 Lawn & Garden
10 HP w/ mower, tiller & blade, real good, pedel very low at ........ $1000
1969 JD 560 gas ........ $375
1970 JD 620 gas ........ $475
1968 JD 4020, wfe, synchro needs new pulleyed a year ago, real nice
1961 JD 3010D
1962 JD 3010
2 JD A's
1964 IH 88 LP w/ cab
1960 JD 3010 gas
W3 Allis, w/pt front
1958 IH 140 T w/ GB loader, a good outfit
One 1958 IH 140
Set of duals to fit IHC 550, axle mtd. 15.5x38 tires
Stensman 1800
Slightly used Plough grinder-mixer
IHG 766, fit 560, front mt, 4 row cultivator
2 JD 4 row mounted, 3 pt. hitch
JD 2 row monitor, 3 pt.
1967 IH 3010, pt chisel, almost new
Homemade 3 pt. plow blade
Almost new 3 pt. plow, chisel & loader with V-8 Chrysler engine
4 section Windhoven rotary hoe, 3 pt.
125 2 row front mt. cultivators
HIC 461 front mount cultivator
JD 50 side mount mower
1967 IH 140 w/ cab to fit D7 AC or 1100 MF
IHG loader with hyd. bucket
Several other loaders to fit older tractors
COMBINES
1971 IH 400, cab & header
1967 IH 470 combine, cab & air cond., 14', real good
1965 IH 300, good shape
1966 IH 300, cab rebuilt with cab, 16' header
1967 IH 400, 14' head
1967 IHG 300 with cab & sharp blades
1967 Lo ID 45 with cab, will completely overhaul
2 1958 JD 45's
1959 Gleaner with cab
1959 Gleaner without cab
2 1960 IHG 137's one w/ 2 CH 141's, one real sharp
Massey Harris 82
Massey Harris 82
3 Massey Harris 26's
Old IHG 127, runs like a jewel
COMBINES & TRACTORS
WELL JUNK
1959 JD 95 — 2 1958 JD 45's — 2 older JD 35's — 2 older 45's — 2 older 35's — Also 2 1959 JD A's and B's — IHG W9 — IHG M — 2 MH 80's. Call us, if we don't have it, we may junk one.
BALERS
MH no. 100, real good, used very little
1967 Case 330, wire, real good
JD 24T like new, still got the original cover
1968 JD 24WS
1970 JD 224 tie w/ bale thrower
JD 147 baler w/ bale thrower
DESKS
IH 80 24" wheel disc
Fahr JD 4W disc
FORAGE HARVESTERS
Big yellow Gehl, 2 row
Older Paganelli
BALLUT CUTTERS
New at bargain prices
Sidewinder 12", 2 row pull, 6 pull or 3 pt. 9 pull or 3 pt.
Four row Summater 144 4 row rebuilt
Buy Ready 4 row
PLANTER
JD 4 row rotary moldboard planter
NEW MACHINES
25A JD 3 pt. 8-row sprayers at special prices. Get yours while they last.
IRRIGATION
Lots of wells are going down. If you're thinking of irrigating, think of Ol' Ev.
We Have These Brands Too:
Farmall
County Blades
Walson Blades
Big Ox
Deutz
John Deere
Gator
Elsidewinder
Lillington
Crust Blaster
Miller Disc
Miller Products
Grain Augers
GB Loaders
Pacee
Excel Cabs
Landoll Chivets
Hesston
Barrac
Hendler Cabs
Irrigation (Valley, S.F.)
Windhoven Land
Roller Furman, Berkley Pump, McDowell Tow Lines, Gatek Pipe)
Complete Line of Hardware—One of the best in the State
Farmers Union Hdw & Implement
EVERETT HOUBLER, manager
Phone 437-2913
ST. MARYS, KANSAS
Lady Bugs Ordered For Marysville Sorghum Fields
Over three million ladybugs have been ordered by Marysville farmers to combat the green bug infestation in sorghum fields in the area.
According to the Marysville newspaper Mrs. Walter Dean Iles, reported she received 15 bags of ladybugs and ordered another 20 from a California firm. The total number of lady bugs in six bags are approximately 300,000.
Clarence Toedter, rural Marysville, ordered seven gallons, approximately 400,000 bugs.
Mrs. Iles said she ordered her lady bugs to combat the dense infestation of green bugs on her milo.
"We thought we could be better off with the lady bugs than with a poisonous spray," she said. "The poison would also kill the sorghum and there would be none left to combat the green bugs next year, she said. "If we don't protect them now, a worse plague could result next year."
Jack Dwerkotke ordered them (the ladybugs) last year. He said he had not used any sprays since then.
Although nobody knows exactly how many lady bugs are needed per acre, most farmers are using one bag for every 15-20 acres.
State's entomology division said it appears the situation could be more serious this year because the green bug is increasing its numbers earlier in the year.
The broad-sized aphid is more likely to kill young milo than mature plants, he said.
The green bug sucks juices from the underside of leaves, while injecting a lethal poison into young plants.
Bell said the infestation is mainly in the western and north central areas of the state. It is early enough in the year that it may be in the northwest by mid-June. He said the southern Kansas has not germinated because of dry conditions, he said.
Texas cattle feeding showed a 22 per cent boost from June 1 last year while feedlot numbers were up only 3 per cent.
Others in the six state inventory included: Nebraska, 1,863,000 head fed; Florida on June 1, up 19 per cent from a year earlier; Colorado, 1,020,000 up 12 per cent; Arizona 540,000 up 17 per cent; and California 1,132,000 up 16 per cent.
Kansas, which did not show up in Texas' data, had feedlots of 1,116,000 head on June 1, making a seven-state total of 6,075,000 cattle on the state.
Looking ahead to June 1 figures show Texas may continue in the lead for a while. Placements of cattle in feedlots during May and June will affect the July inventory — totaled more than 1.6 million head, up 17 per cent from the month last year.
Texas feedlot placements headed down during May, an increase of 42 per cent from a year earlier, while Iowa's added 156,000 head, a 16 per cent increase, the report showed.
New Feedlot In Decatur Co.
Oberlin — The Decatur county feedyard will begin operations June 21, according to Fred Willard, vice-president and manager of the commercial feeding company established 5 miles south of Oberlin. Cattle will arrive later this month from Texas, New Mexico and Louisiana. Capacity is 15,000 head.
Construction is running 2 weeks ahead of schedule, Willard said, with the buildings more than 90 percent complete.
The hay barn is completed, the feed mill needs only an electrical hookup, and 35 percent of the banks have been installed. Feed will be purchased from area farmers.
Gates said a tiny parasitic wasp may turn the tide against the green bug in the next two weeks. The wasp looks like a fly to the naked eye but it packs a wallop for the green bugs, he said.
Gates said the wasp lays a single egg in the body of a green bug aphid it contacts. The larva from the egg will destroy the green bug within three to five days, he said.
1971 Green Bug Figures
In 1971, according to State Department of Agriculture figures, one-fourth or 1 million of 4.3 million acres of milo planted in the state were treated with pesticide to kill green bugs.
K.O. Bell, an entomologist with the state department, estimated an additional 200,000 acres that needed treating for green bugs received no treatment. He placed the cost of crop control plus the cost of crop losses due to green bugs at $3.8 million in 1971.
Milo is the state's leading feed grain.
Dean Garwood, director of the state's entomology division, said it appears the situation could be more serious this year because the green bug is increasing its numbers earlier in the year.
The broad-sized aphid is more likely to kill young milo than mature plants, he said.
The green bug sucks juices from the underside of leaves, while injecting a lethal poison into young plants.
Bell said the infestation is mainly in the western and north central areas of the state. It is early enough in the year that it may be in the northwest by mid-June. He said the southern Kansas has not germinated because of dry conditions, he said.
Texas cattle feeding showed a 22 per cent boost from June 1 last year while feedlot numbers were up only 3 per cent.
Others in the six state inventory included: Nebraska, 1,863,000 head fed; Florida on June 1, up 19 per cent from a year earlier; Colorado, 1,020,000 up 12 per cent; Arizona 540,000 up 17 per cent; and California 1,132,000 up 16 per cent.
Kansas, which did not show up in Texas' data, had feedlots of 1,116,000 head on June 1, making a seven-state total of 6,075,000 cattle on the state.
Looking ahead to June 1 figures show Texas may continue in the lead for a while. Placements of cattle in feedlots during May and June will affect the July inventory — totaled more than 1.6 million head, up 17 per cent from the month last year.
Texas feedlot placements headed down during May, an increase of 42 per cent from a year earlier, while Iowa's added 156,000 head, a 16 per cent increase, the report showed.
Farming Summer Fallow
Vernon Miller, Junction City, just finished discing one of the fields he is working on. Miller has 200 acres with his father, Charles Miller. Miller said that a tractor cab in this area would be torn off trying to work around the trees on the edge of his fields. "I just keep an eye on the clouds and put a cotterer on in the winter," he said as it started sprinkling. Miller estimated he would have around 200 acres of wheat to cut if it didn't get hailed out.
Additional Storage Space for Your Wheat
Local Warehouse Receipts & Grain Banking
Also Cash Buyers of All Grains
Promptest Service
Manhattan Milling Co.
107 Pierre Manhattan 913-778-3217
Sunday, June 25
Starts 10:30 a.m. Lunch Served
All items sold at farm. I will sell 6 miles west of Shawnee on the road to Pleasant Ridge Rd. No. 17, 1/4 mile northeast of the intersection of Hwy 192, 2 west to Co. Rd. No. 17, 1/2 east and 1/2 north. Watch for sale signs.
dresser with mirror
3 sets and wood folding chairs; 3 wheel chairs; steel lawn chairs; 2 sets of bar stools; rugs; lots of tools; sewing machine
ANTIQUES
Pie cupboard Antique piano
Secretaire 3 drawer chest
3 pc. cherry set
F. L. Luxon 2 light straight light and pole (pressed glass)
Walnut 3 drawer chest
Solid wood folding table
3 rockers
Fireplace mantel
Claw foot library table
3 mirror frames; wood good
Oak drop leaf table
3 wash stands
3 heavy cast planters
Lots of bottles: 70 glass stopper bottles; 10 old whisky bottles; old wall telephone with radio
Lots of chairs, some solid oak; wood stove; 2 kettles; kettle copper base oil lamp; antique aluminum tea kettle; side board; coffee pot; etc.
Sausage stuffer; sausage grinder; devil's food cake pans and books.
Two pair silver game plates with quail and pheasant; antique dishes; wine glasses; lots of iron and metal items; items not listed.
Lot of Iron and junk
Terms Cash Or Approved Check
Mr. & Mrs. Clifford Carney
Auctioneers: Eldon Farris, 774-2326 and Bud Showalter, 774-2569
Clerks: Thelma Farris and Laura Farris
DWEY'S
For Rent
Large room like new, 2 tables, cupboards, Frig, 2 beds, bedspread, linen, china 9x12 inch round table and chairs, Kerosene heater, rug, lamps, etc. Per week or longer, auction in Rundell, KS.
HELPING GRANDPA
Mark Swanson, Des Moines, is helping his grandpa, Milton Ruhnke, Junction City, spread some screenings from a local rock pit on driveways around the farm. Ruhnke says the screenings are better than rock because of the smaller size. He farms 450 acres and handles 100 head of Angus.
Sharp Food Price Increases Could Cause Rationing
Major retail food chains and their trade organizations are quietly contacting consumer organizations to warn that a sharp rise in food prices is coming soon and to ask that retailers not be blamed.
The retailers are saying that the new run of food price increases will be generated by a rise in the carcass price of meat even steeper than those that caused consternation in February.
As a result, they warn, meat prices will go to record levels at retail outlets and other food prices will rise too.
The chairman of the Price Commission, C. Jackson Grayson Jr., declared in an interview Thursday that the commission was concerned about the increase in food prices and is considering options for dealing with the problem. It is not, however, ready to take action at this time.
"The actions we could take are so unpredictable that they will only be taken as a last resort," he said.
Grayson reported that the commission had decided at its last meeting on June 6 not to move against food prices until more evidence came in that prices were actually going up. The commission will take up food prices as a top priority issue when it convenes again next Wednesday.
The commission is considering "all the options our staff can dream of" to deal with food prices, including direct control of food prices and price indexing, Grayson said.
"But we hope we don't have to do that route," he added. "We are still watching the price situation, and we haven't reached a trigger point yet."
The retailers are reporting that wholesale beef prices are substantially higher than they were in February when rising retail prices were blamed largely by consumers and warring officials in charge of the administration's economic stabilization program. The retailers also point out the pork prices are very high.
Beef and pork, and other agricultural products are exempt from price controls at the farm level.
Timothy D. McEnroe, director of public relations for the National Association of Food Chains, one of the groups that has been meeting with consumer organizations, said that wholesale prices would have to be passed along to consumers and that "we are afraid that the consumers are not going to like it."
"We know the retailers will be blamed for it; it happens every time," McEnroe told a questioner.
However, he insisted that retailers were not increasing their margins and that the fact they had to absorb some of the meat increases.
Grayson at the Price Commission currently is not taking action, saying his staff's investigations had shown no profit margin increases by the food chains.
Meat Shaping Machine Loaned To Kansas State
Several unusual machines used on loan to Kansas State University's meat research and teaching program, according to Dr. Harold Tuma, professor of science and industry.
One of the machines can shape a muscle into a cylindrical mass one to two feet long while another machine cleans and cuts the muscles. Several sets of dies can be used to shape various retail cuts of meat.
There are very few of these muscle-cleaning machines in the Midwest, Tuma explained, and they are more numerous on the east and west coasts where they have been used to prepare meat for hotels and restaurants.
"Consumers and processors are placing more emphasis on shape and uniformity, and people demand that the consumer wants in the marketplace. With these machines it is feasible to use unit pricing," Tuma added.
Two other machines will be used in the packaging and freezing process. This process utilizes liquid nitrogen to carbon dioxide.
"These machines, on loan from companies, are a part of the total meat research system at K-State," Tuma said.
DOUGLAS CO MARIJUANA HARVESTING SEASON EARLY
The marijuana harvesting season in Douglas County arrived about six weeks early this year, the sheriff's deputy said recently today.
Three persons were picked up on marijuana harvesting charges. Two of them were "harvesters" and the other person is charged with possession with intent to sell it.
McPherson Saddle Club Rodeo July 14-15
The 29th annual McPherson Saddle Club Rodeo will be held at the 4-H Arena on July 14 and 15. The rodeo will also mark the 29th anniversary of the club which now has a membership of 85 families.
Heritong Livestock Auction Co., Inc.
STRICTLY FRESH COUNTRY CONSIGNED CATTLE
SALE EVERY TUESDAY & WEDNESDAY AT HERITONG
Thursday, June 22
1617 Redwood, Salina, Kansas
6:00 p.m. - Evening Sale
DWELLING - 4 bedroom, living room, kitchen and pantry, storage shed in rear. Large refrigerator, refrigerator-like new; 30" gas range; end tables, recliner chair, lamps; cedar chest, armoire set.
Frigidaire automatic washer, like new; Frigidaire complete bedroom set; electric fans; 2 or 3 sets of dishes; china and glassware; bedding; 9x12 rug, toys and many dolls; 2 large round tables and 7 round oak tables.
Homer, 2 boxes of ceramic and china shoes and slippers; kerosene lamp; small iron collection; oak pie cupboard; 1964 Dodge station wagon and many other items.
For prior inspection of dwelling contact Roy or Alline Putsch auctioneers, Salina, Ks.; or Ralph Rundquist, executor, Assaria, Ks.
ROY AND ALLINE
Putsch Estate
Harz & Perry, Auctioneers
Here's a few of the sales made Tues., June 13, 1972:
Lester Ruhne, 7 hogs @ 27.65
Raymond Scholff, 1 cow @ 17.75
Nelson, Inc., 24 pigs @ 15.00 hd.
Abel, 1 cow @ 17.50
Vernon Kolhoff, 14 pigs @ 18.25
Eugene Christensen, 4 pigs @ 19.00 hd.
Merrill, 1 cow @ 17.50 hd.
Floyd Siebert, 30 pigs @ 21.00 hd.
John Ruhne, 1 cow @ 17.25
Frank Bachura, 22 pigs @ 16.50 hd.
Ted Ruhne, 1 cow @ 17.50
Darryl Rudolph, 22 hogs @ 21.65
Monty Carl, 16 hogs @ 26.55
Gerald Ruhne, 1 cow @ 19.00 hd.
Irvin Strand, 11 hogs @ 25.90
Ernest Ruhne, 1 cow @ 17.50
John Polok, 31 hogs @ 26.70
Bob Ruhne, 1 cow @ 17.50
Tom Herzel, 1 sow @ 29.8 @ 22.10
Tom Herzel, 5 hogs @ 21.65
Abel, 1 cow @ 17.50
Don Cunningham, 5 hogs @ 23.65
Paul Ruhne, 1 cow @ 17.50
Gary Daigleurt, 22 hogs @ 26.80
Joe Mills, 7 hogs @ 26.55
Joe Mills, 7 hogs @ 21.65 @ 26.00
Rudy Ruhne, 19 hogs @ 24.65
David Cook, 10 hogs @ 26.55
Vern Magathan, 1 boar @ 5.22.80
Walt Smith, 1 cow @ 38.0 @ 22.10
H. Irvin Christensen
Phone 316/732-3185
Fieldman C. C. Wendt
Phone 913/258-2529
Edward B. Tolle
Phone 1613 Roxbury
Lee W. Remy
Phone 913/983-4473
Joe Chemnitz
Phone 913/479-5922
Fieldman Ted Harfner
Phone 316/924-5446
Barn Phone: 913/256-2205
Market Reports: Radio Station KJCK, Junction City, Monday thru Saturday, 8:30 a.m.
Nebraska Gasohol Tests Burn Wheat
The slogan "Gasoline and alcohol don't mix" may be out of place in Nebraska.
The Nebraska Legislature took a first step to put alcohol on the road in its last session, and now plans are underway to set up six gasohol pumping stations.
Gasohol is a mixture of 10 per cent alcohol and 90 per cent non-lead gasoline.
Ken Snowden of Lincoln, retired from the marketing side of the oil business, is working to set up gasohol pumps in six towns to prove that gasohol is feasible economically and technically.
Proposed sites are Lincoln, Holdrege, McCook, Alliance, Norfolk and Omaha. Snowden said there are plans to have six cars using the gasohol at each location.
Most of the vehicles will be public, he said, but part will be private. Drivers will have keys to the pumps, and the machines will record how much fuel each driver uses.
If gasohol replaced gasoline in Nebraska, motorists would consume alcohol from 90,000 bushels of wheat a day and 250,000 gallons of water.
That would amount to 253,000 gallons of 190 proof alcohol, or 5,400,000 gallons of brewer's day.
It would eliminate the grain surplus problem in Nebraska, Snowden said. Other crops such as potatoes and corn could be used.
He said the use of gasohol would help maintain the price of grain and urged farmers to support it.
Previous tests were being conducted in Nebraska with alcohol purchased from Atchison for about 65 cents a gallon.
The present project is supported by the Nebraska State Legislature. The Legislature has also approved a three cent a gallon refund effective January 1, 1973 for motorists using alcohol in their motor vehicles, Snowden said.
Snowden is one of two men hired to promote gasohol, and put the test effort into effect.
The Agricultural products Industrial Committee Utilization Committee is in charge of the program.
Dairy Improvement Awards Announced For Solomon Valley
Wilson Brothers, Lincoln, maintained the top producing dairy herd in the Solomon Valley Dairy Herd Improvement (DHI) Association for the second straight January 30-March 30 period. Wilson herd produced 46.8 pounds of milk per cow daily and 1.9 pounds of butterfat per cow daily.
Second highest producing herd was owned by Leo Waring, Barnard, with an average of 40 pounds of milk and 1.7 pounds of butterfat.
The highest producing cow in the DHI milking production belongs to Lloyd and Jane Pruitt, Barnard, with an average daily production of 100 pounds.
The DHI program, sponsored by the Kansas State University, Manhattan, supervises production records and matches feed requirements particularly new cheese quota rules announced recently.
Further details of the cheese quota revision were released by the Agriculture Department. Although less than 40 percent of milk/milkfat members of Congress had voted, the new plan is aimed at moving more currently exempted cheese under quotas.
To back it up, according to one source, the administration is clearing the way for a follow-up this year of U.S. Customs inspections to see that foreign suppliers observe the new milk closely.
At least $20 million in additional funds have been earmarked for the Customs job, according to the same source. The money will be used partly to hire new agents at ports of entry to keep tabs on cheese imports.
For some time, it was reported, foreign cheese shippers have used a variety of loopholes and have taken advantage of misinterpretations of port authorities to bypass quota regulations. Phony invoices, complicated papers showing misleading buying and selling, and mislabeling have been used, the source said.
The new quota revision involves a raise to 62 cents a pound of the "pricebreak" formula used to apply restrictions to imports. Cheese costing 62 cents or less will be regulated while the more expensive types, considered gourmet varieties, will be allowed into the United States without quotas.
A modified 62-cent pricebreak will be in effect the remainder of 1972 and will be extended fully in 1973. Further, the level will be allowed to float with government cheese price support rates, meaning that it can be adjusted upward to keep pace with the market.
Until now, since late 1968, a 47-cent quota pricebreak has been used. But cheese becomes more expensive as the week moves on, more of it came into the United States outside quota restrictions.
Three From One, Pretty Good Odds
Grace Dodd, who farms north of Green, is tickled with her three-month old milk cow. The cow calved a brown and white bull calf, then two weeks later calved two black and white heifers.
Clay County veterinarian Dr. C. E. Noffsinger says it's very unusual for calves to be born late as happened here. He also says the three aren't triplets.
Call it what you will, but with the calf market so high as it is, it's sure a lot of bull.
GYPSUM MAN CUTS
FIRST SALINA CO. WHEAT
The first 1973 Salina county wheat is in the barns of Gypsum county.
The lead came from the Gottlie Ade farm in the Gypsum community which cut a load of Super Triumph Pride last afternoon. It tested 13.5 percent moisture.
First in the county is no new experience for Ade. His wheat has reached an elevator first the past 4 years.
Saturday, June 24
Beginning at 1:00 p.m.
We will have an auction following listed items: furniture, some antiques and miscellaneous items located at 1011 Southwest Second St., in Abilene, Kansas.
- Antique oak frame coat rack & hat stand;
- Antique stove cookie jar; antique ironing board;
- Antique ice cream chair, farm antique; antique Redwing crock stovetop; pc. bedroom suite, complete; 9x12 rug;
- Occasional chair, lots of plate glass; Niagara vibrator & Gold Olympus;
- 2 folding lawn chairs; 3 sets of 4 trays; cleaning utensils, dishes, pots, cooking utensils etc.;
- Springfield 4 hp roto tiller 2 sp. wheels; 2 hp tractor; 10 hp lawn mower; good large shop table; 4 chairs & 4 bar stools; 3 step ladder; old sewing machine; stove; 2 sets of silverware; lawn saw / grinder; garden tools & water hose;
- 2 old riding horses, 4 glazed flower urns, plastic tube with flowers, 2 old crocks, 2 old crocks, jug, fruit jars, 100 lb. flour sack, Excelsior file 45 sq. ft. per box;
- 2 boxes Peruvian beige polished marble, 2 paistal mixed colors on San Remo white; Diana White & Gold.
Terms — Cash
Mrs. NORA HORNER, owner
Carl & Wm. Schnell, Auctioneers
Farmers National Bank, Cashier
Karl Harshman, Clerk
When You Join The Air Force You're Already Starting A Better Life
You get: $288 a month to start, plus room and board, guaranteed promotion, opportunity to travel to such places as Europe, Africa, Asia, and all over the U.S., your choice of job... guaranteed training in skills that you can use anywhere in military or civilian jobs.
For more information on all you can get from the Air Force, call 913 - 778-5138
MANHATTAN MILLING CO.
107 Pierre
MANHATTAN, KANSAS
913 778-3217
Kansas Feeder Cattle Numbers Up 70,000
On June 1 there were 1,150,000 cattle and calves on grain feed for slaughter in Kansas up 70,800 head from a month earlier and the highest total on record, according to the Kansas Crop and Livestock Reporting Service.
Kansas cattle feeders marketed 190,000 feeder cattle during the month of May, compared with 180,000 in April 1972.
There were 260,000 cattle and calves placed on feed in Kansas last month, down by 30,000 from May, compared with 210,000 in April.
Spring-State Total
The number of cattle and calves on grain feed for the slaughter market on June 1 in the seven monthly cattle on feed states was 9,075,000, slightly above that on May 1. In the six states with comparable data last year (excluding Nebraska) the number of cattle on feed on June 1 was 12 percent above a year earlier, compared with 11 percent on May 1.
The number of grain-fed cattle marketed during May in the six states was 11 percent above a year earlier.
The number of cattle and calves placed on feed in the six states during May was 17 percent above the May 1971 placements.
| Stage | No. 1 | 1972 | 1971 | 1972 | 1971 |
|-------|------|------|------|------|------|
| Iowa | 1,983 | 2,003 | 105 | 1,760 | 1,419 | 105 |
| Nebraska | 1,313 | 1,350 | 113 | 1,759 | 1,363 | 110 |
| Kansas | 2,100 | 2,143 | 105 | 1,759 | 1,363 | 110 |
| Missouri | 886 | 756 | 102 | 1,112 | 1,020 | 112 |
| Oklahoma | 800 | 748 | 102 | 1,112 | 1,020 | 112 |
| California | 7,000 | 6,985 | 113 | 1,120 | 1,120 | 110 |
| Total | 19,700 | 19,883 | 105 | 1,759 | 1,363 | 110 |
Bullfroggin' Season Starts July 1
Bullfroggin', a sport for the common man which offers a diet fit for royalty, will open July 1, the Fish and Game Department announced.
The season will continue to Sept. 30, with a daily bag limit of eight.
Musk Thistle Problem Spreading
McPherson — The musk thistle is spreading over parts of western McPherson county this year and the county weed department recently found this type of thistle in bloom in wheat fields.
This thistle has been declared noxious weed in Kansas and when the county weed supervisor, Curtis Walline, discovers it in a field he gives the owner 3 days notice to get rid of it or the weed department will move in and spray the field and charge the farmer with the cost.
Farmers may get the 2-4D LD-4 solution at half price from the department if they want to spray their own fields.
"The musk thistle plant must be sprayed from the bud stage before the combine start harvest," Walline said. "The combine can spread the thistle seed as fast as the wind."
Walline said the musk thistle should be sprayed when it is in the rosette stage, which is soon after May 1. It is now in the bloom stage and must be pulled out of standing wheat alfalfa and other growing crops where it cannot be sprayed.
The weed supervisor said he has plastic bags farmers can use to cut off the blooms off the plants in wheat fields and then dispose of them from the field. The plants must also be pulled up by the roots. Blooms on dead plants do not produce seed which is similar to dandelion seed. The seed normally spreads in the wind.
Musk thistle first appeared in McPherson County in 1963 and it has been spreading southward since. Walline said an area from Highway K-4 between Lindskog and Marquette south to US 86 now has extensive spot infestation.
JEWELRY
Spindle watch bands, men's & women's, 100 pieces; Approx. 300 Spindell ID bracelets, women's & men's; A large quantity, silver & gold charm bracelets; Goodell's collection of charms, several hundred ear rings; Approx. Sterling silver & gold necklaces; Left hand men's tie clips & cuff links; Cigarette lighters; Baby rings; Baby spoons & baby forks; Silver platters & trays; Reproduction carnival glass; Approx. 40 pieces reproduction milk glass goblets; Short silver necklaces; Copenhagen crystal plates; Assorted pieces of pressed water glasses; pressed glass; Several old pieces of silver plate; Beadwork of all kinds; Earring & ear ring sets; Friendship rings; Approx. 100 men's & women's wristwatches; Sample piece setting of china; Approx. 30 patterns. Sample piece settings of Sterling & Gold.
TERMS: CASH
No Items Removed Until Settled For
JAMES G. WINN, trustee in bankruptcy for GOODELL JEWELRY STORE
Carl & Wm. Schnell, Auctioneers
Karl Harshman, Clerk
Farmers National Bank, Abilene, Cashier
BANKRUPT JEWELRY STORE
Thursday, June 22
Starting at 1:00 P.M.
Under order of the Court, the bankrupt U.S. General Creditors will sell all of the stock of goods, merchandise & fixtures of Goodell's Jewelry Store, located at 318 North Broadway, Abilene, Ks.
JEWELRY
Silverware, Approx. 50 patterns; 3 silverware sheets; odds & ends; 1 silverware setting; 8 sterling silver; lots of old jewelry; several new wall clocks;
FURNISHINGS
National cash register model 867-E; National adding machine, Antique desk & desk; Sashween bow maker, serial no. 5; 3 wall type show cases size 2' x 8' with adjustable shelves; 2 sliding doors and lower portion with drawers, good; Old-fashioned 3 smaller show cases with lights (floor model); 2 larger floor show cases; 4 larger floor show cases with lights; Spindle watch band showcase; open showcase; 2 door, carry side cabinet, 36" x 18" x 48"; N.Y. size 37" x 25" Depth x 6" height; Large 4 drawer metal filing cabinet; Ceiling & blade circulating fan; Many other items not listed.
TERMS: CASH
No Items Removed Until Settled For
JAMES G. WINN, trustee in bankruptcy for GOODELL JEWELRY STORE
Carl & Wm. Schnell, Auctioneers
Karl Harshman, Clerk
Farmers National Bank, Abilene, Cashier
CONSIGNMENT HORSE SALE
Friday, June 23
HORSES OF ALL KINDS . . . REGISTERED & GRADE
Consign Now So We Can Advertise Your Horses
Tack Sells At 7:30 p.m. — Horses After Tack
To Consign Or For Information, Call
Office Phone 913-449-2606
Dean Moore 913-449-2349
FLINT HILLS
Livestock Auction
ESKRIDGE, KANSAS
5 PERCENT COMMISSION ON SALES . . . 3.50 ON NO SALES
Controversial DES Ban Planned
The Food and Drug Administration disclosed it will conduct a public hearing on the controversial livestock drug DES which has been illegally invading the nation's meat supply. In an increasing rate despite tighter curbs, the agency said it will propose a formal ban on diethylstilbestrol this week, the only way it can legally invite a hearing.
"It is apparent that additional action must be taken," FDA Commissioner Charles Edwards said. But the government is not advancing a total ban on the drug.
The hormone, fed to about 25 million steers annually to speed weight gain with less feed, has been shown to cause cancer in laboratory animals. It also has been linked to vaginal cancers in a small group of young women whose mothers took the drug during pregnancy to prevent miscarriages.
Agricultural economists have estimated that a total ban would boost consumer meat prices about $1.85 per person annually.
KLA Opposes
Virgil Huseman, vice president of cattle feeder services for the KLA, said he was in Washington in May at FDA hearings to be the third former spokesman that DES safe, and trying to avoid a public scare.
Huseman said, "Apparently they had pressed applied to get the proposal out for discussion." The FDA announcement was coupled with an Agriculture Department disclosure that it has found 15 new cases of diethylstilbestrol in cattle. DES residues in meat are illegal because the hormone is a carcinogen because it has been shown to it cause cancer.
Jim Petz, director of the Meat Processing Inspection Division of the State Agriculture Dept., explained that federal law requires feeders to remove DES from cattle fed seven days prior to slaughter. The meat has ample time to pass from the animal's system.
In federally inspected plants, feeders are required to sign a withholding certificate saying that DES has been removed.
More than meat inspections are done continuously, Petz said. He said no illegal levels of diethylstilbestrol have been found in Kansas beef.
Petz and Huseman said that nationally only residues in liver tissue have been found and that tissues that make up most meat from hamburger to steaks have been free of DES.
Petz said most of the residue discoveries in liver have been on levels such as five parts per billion parts of tissue.
Huseman said at these levels, for a person eating three pounds of meat, five milligrams of DES sometimes given by doctors therapeutically, he would have to eat 5,000 pounds of liver. "So far as the consumer is concerned, there is nothing to worry about," he said.
Huseman said it is contradictory for a consumer to buy both DES and high meat prices. He explained that loss of DES to the 90 percent of Kansas meat inspectors that use it would increase meat prices an average 20 cents a pound.
DES has been banned since the early 1970s when its added efficiency has kept farm prices down while everything else went up, he said.
Huseman said estimates show that during the 18 years of DES use, 40 billion pounds of cattle feed have been saved, a money savings of $1 billion. He said DES increases the efficiency of cattle gains by 15 percent over the animal used 100 percent less feed for the same gain.
Huseman contended that most persons consume much higher quantities of estrogen in dairy milk than they could get from DES in liver. Diethylstilbestrol is an estrogenic form of a female substance that is present in food items like meat, eggs, apples and alfalfa. It is manufactured in every person. Huseman said milk has 3 to 5 parts per billion estrogen and eggs have 1,000 to 2,000 parts per billion.
Huseman noted that at one time regulations only required taking cattle off DES 48 hours prior to slaughter. When the time was extended to seven days Kansas cattlemen were agreeable to continuing to work with the FDA, he said.
"Many cattlemen have gone the extra mile to be sure they have no DES residues. They are conscientious and have gone to considerable expense. These feeders, when they sell, send their milk with drawings to labs to make sure there is no DES in them," he said. The cost of testing milk in store had been as low as 10 cents.
Milk War Prices Down To Ten Cents Per Gallon
Goodland — Milk was selling at 27 cents a gallon in most supermarkets as a two-week price war continued.
At Colby, Kan., about 40 miles to the east, the store manager at Carry IGA supermarket said his milk prices were back to their normal level — $1.11 per gallon.
At the height of the price war, he said, the cost of a gallon in his store had been as low as 10 cents.
The manager at the IGA market in Colby said distributors were splitting the cost of the price war with the stores.
GRASS & GRAIN
CLASSIFIED ADVERTISING
RATES: 7¢ a word, minimum for one week. DISCOUNTS: (with cash orders only)
10¢ off a 40 word ad; 25¢ off a 80 word ad. REFUNDS: you may collect a refund at the end of the run for any unused amount paid if ad is cancelled.
CLASSIFIED DISPLAY: (based add.) $2.00 a column inch. CASH: ads not accompanied by cash have a 25-cent billing charge added.
Mail To: Ag Press - P.O. Box 1009 - 1933 Yuma - Manhattan, Kansas 66502 - JE 8-7658
DAIRY SUPPLIES
Zero CONCORD MILKERS
BULK TANKS
Sales & Service
Your Authorized Dealer
HAVERKAMP REFRIGERATION
Centralia, Ks. 811 857-3946
WAMEGO DAIRY SUPPLY
Your authorized dealer for:
- DeLAVAL milkers
- CLAY push-pull engine
- MUELLER Bulk Tanks
Stores and Service from Wamego & Seneca, Kansas
NEW
WALNUT GROVE
MOBILE HOME PARK & SALES
Seneca, Kansas
6 miles east of Manhattan
Phone: Office 913/494-2610 St. George
Res. 913/494-2610 Cat.
Miles D. Brown
716-6874
Delbert W. Woodward-494-2420
Joe McClure-229-0334
Phine Collett
913/226-7353
FARM MACHINERY REPAIR
I now have full time experienced mechanics. We will give you our prompt attention.
PHIL'S REPAIR SHOP
Route 2, East Highway 18
MANHATTAN, KANSAS
Phone 913/877-6430
LAND IMPROVEMENT
MEMBER KKCA AND LICA
Ponds & Terraces & Grading
Waterways & Clearing
Land Leveling
ROGGENDORFF CONST., INC.
Phone 913-539-3894
1630 OSAGE - MANHATTAN
MEMORIALS
MONUMENTS
Stones designed and cut by experienced craftsmen in our own plant.
Rundle Monument Co.
Harlan Rundle, Owner
Office & Display
4th & Grant
CLAY CENTER
BARRE GUILD
COL. JACK H. LITTLEJOHN, Auct.
FARM/RANCHES/LIVESTOCK/
MACHINERY/HOUSEHOLD GOODS
Lot 200
GREAT PLAINS REAL ESTATE CO.
2818 Vine, Suite C
Auburn, Kansas 67120
Phone: 913/825-1500
Home 913/825-7297
Mobile 913/225-7908
ROBERT "BOB" SHANK
Farm, Livestock, Household
Phone or Wire for Sale Dates
PHONE: 913/822-8994
Box 275 - SALINA, KANSAS
TESTED SPF
York & Hamp Boars
HARVEY HERDS
913-348-2225
LINCOLN, KANSAS 66953
7 YEAR OLD Quarter horse filly, 1970 lbs. 6 year old sorrel quarter horse gelding, 1150 lbs. Not registered. Phone 913-776-3266.
HORSE SHOEING
Colts Broke - Horses Trained at all ages. Suitable for Bar
Mike Vernese
Phone 913 456-9629
WAMEGO, KANSAS
TEST BULLS
It pays to use registered Angus bulls with quality that test high on production.
At the recent Kansas State bull test at Beloit, we had the top entry in the state. Among the over the state A.I. in the rib eye measure we won 2 - 3-4-5 positions.
We have big type bulls for sale up to 24 months. They are on grass and fat, ready for service. Guaranteed.
Parallell Farms
Phone 913 873-0215
WHITING, KANSAS
DeLAVAL MILKING EQUIPMENT
SEP-KO CLEANERS
CLAY
BARN EQUIPMENT
Service & Repairs
for most farm equipment
JOE MCCLURE
1¾ miles South of Alta Vista on Hwy 177
Ph. 229-5284 Alta Vista, Kansas
AUCTIONEERING
LAWRENCE E. WELTER
AUCTIONEER
REAL ESTATE SALESMAN
Your Sale Solicited
Lawrence
EAST HIGHWAY US 24
MANHATTAN PH 8-3485
Real Estate
And General Sales
BOB WILSON
Auctioneer
Real Estate
All types sales
Phone: 454-5552
Box 128-St. George, Ks.
Omdorf Cattle Co.
Heritage Omdorf: Nowata,
Oklahoma 74047-2906
Jim Omdorf, Tulsa, Oklahoma
918-622-9043
FINANCING AVAILABLE
On Spring Cows & Heifers
100% herd breeding, Holstein Cows & Heifers. Also Guernsey & Jersey Cows.
HOLSTEIN HEIFERS
50 bred heifers: 50 heifer calves 150 bred beef heifers: 150 bred beef calves & Holstein heifers calve at our farm every week.
W. G. WIEBE
Summerfield, Kansas 66541
Ph. 913-244-7625
Nationally Accredited SPF
CHESTER WHITE BOARS
Also Yorkshire Open Gilts
Floyd Meyer
Phone 913 Palmer 1905
PALMER, KANSAS
FOR SALE — 12 extra good purebred Yorkshire boars ready to breed. Also good selection of crossbreed age boars. Leo Schaefer, Belleville, Ks. 913-776-3266 x17
CHESTER WHITE herd boar, first born July 19, 1971, solid and good breeder. Ken Koenig, 70791 by Kem O Sahe, from Lawrence Station. Cole Farm, Auburn, Kansas. 913-825-1500 x17
CHEROKEE BULLS for sale percentage and purebred, breeding age and young, disbudded. Also younger bulls, reasonably priced. McPadden Bros., Riley, Ks. 913-468-3576 x17
FOR SALE — Good selection of Purebred Polled Hereford bulls. Ruth and Jim Smith, 1000 N. Main, WI 42237 or WI 42238. SB16
APPALOGA P.O.A. mare, colt by Side, Shetland stallion, 4 years old. Ready to breed, trained and trained for showing. WE 4-2777. Miss Barbara Rock, RR 1, box 50, Enterprise, Ks. x16
FOR SALE — 24 White Hampshire sows and 12 Hampshire gilts. 2 yrs. old. Lorraine Leonard Anderson, Waterville, Ks. 913 765-2110. x16
FOR SALE — Free Gilts farrow in August. Gary W. Anderson, White City, Phone 913-765-2110. x19
FOR SALE — Yorkshire gilt gilts, 7 to 8 months old. Yorkshire herd boar. Steve Reeve, Concordia, 913 243-4604. SB16
FOR SALE — 8 Purebred Yorkshire boars, trained 240 lbs. A test on test. York gilts to farrow in April. Ready to fatten past September sired by above named boar. Breed to tested boar. Test on test. 2 east of Frazer & Beets, 913-825-2652. WM. Bramlage & Son.
WANTED — I am looking for an excellent purebred miller gins. Contact Lee Ball, Belville, Ks.
TOP QUALITY Holstein and crossbred calves, age 2 wks. to 600 lbs. Jerry Davis, Herington, Ks., 913 813-8133 or 913 843-2410 x20
LARGE, FINEST, Herdeworth bulls for sale. Giedrich Farm, Culver, Ks. 913 283-4227 or 283-4222. SB18
FOR SALE — 10 yr. Hereford bull. 2000 lb. strong, age 2 yrs. new & used. Towlines; centrifugal pumps. Warren St. Pierre, 913 825-3391 or 913 446-3631. SB16
SPF SWINE
We are out of a spring stock of SPF gilts. Would like to thank each and every buyer again. We still have boars and breeders ready for the first of September.
STONEY POINT FOG HARM
Clinton & Butch Harris
Soldier, Ks.
913-924-2943
CALL US
for choice healthy "KFE" steers that can be bought for a lot less money. Our weights and condition will save you money.
Omdorf Cattle Co.
Heritage Omdorf: Nowata,
Oklahoma 74047-2906
Jim Omdorf, Tulsa, Oklahoma
918-622-9043
FOR SALE — Registered Suffolk rams, Dean Bailey, 913 865-6920, Scurry, Ks. 66597. SB17
FOR SALE: 100 head breeding flock of purebred Polled Herefords. W. W. Biggs, Barnard, Ks. 67418. x16
FOR SALE — Young saddle horses. Phone 913 539-3573. Manhasset.
FOR SALE — Registered Angus heifers, 3½ yrs. up. Phone 913 539-9701, or 913 485-2661 evenings, Manhattan. SB16
FOR SALE — Five registered Polled Hereford bulls, serviceable age. Earl Chareman, Manhattan, Ks. 913-392-3214. SB16
FOR SALE — Good quality, well bred, registered calves. These calves consist of Hereford, black WF & Charolais steers & heifers. Also Holstein heifers & calves. Calves weigh in a range from 350 to 450 lbs. Ready to breed, part or full load lots. H. M. Jensen, 913 263-2581, Concordia, Ks. SB17
FOR SALE — Registered Black Angus bull, 3½ years old. Good quality & may see his calves. Dale Price, Baldwin, Phone 913 449-2332. SB16
WANT TO BUY — 3 good holstein heifers & a young Holstein bull. Art Carlson, Oberlin, 913 468-3576. x16
FOR SALE — 15/16 Charolais heifers on lease for season 2 yrs. old. LeRoy Holcomb, Gypsum, Ks. 913 866-4306. x16
FOR SALE — 15/16 Charolais bull on lease for season 2 yrs. old. LeRoy Holcomb, Gypsum, Ks. 913 866-4306. x17
REG/REGISTERED Quarter Horse
Reg/Registered, colt, 2 yrs. old, nothing broken to ride. $250. Ph. 913-494-2276, St. George, Ks. x16
FOR SALE — 150 crossbred 3 year old ewes with ram. 913-244-3820, Ivan Schneider, Manhattan, Ks. x17
FOR SALE — 15/16 Charolais bull on lease for season 2 yrs. old. LeRoy Holcomb, Gypsum, Ks. 913 866-4306. x17
SPF YORKSHIRE boars, gilts or Jon Thoel Marion, Ks. 913-468-3576. x18
FOR SALE — 24 White Hampshire sows and 12 Hampshire gilts. 2 yrs. old. Lorraine Leonard Anderson, Waterville, Ks. 913 765-2110. x16
FOR SALE — Free Gilts farrow in August. Gary W. Anderson, White City, Phone 913-765-2110. x19
FOR SALE — Yorkshire gilt gilts, 7 to 8 months old. Yorkshire herd boar. Steve Reeve, Concordia, 913 243-4604. SB16
FOR SALE — 8 Purebred Yorkshire boars, trained 240 lbs. A test on test. York gilts to farrow in April. Ready to fatten past September sired by above named boar. Breed to tested boar. Test on test. 2 east of Frazer & Beets, 913-825-2652. WM. Bramlage & Son.
WANTED — I am looking for an excellent purebred miller gins. Contact Lee Ball, Belville, Ks.
CUSTOM PELLETING
Grain Banking
Page's Feed — Bulk Delivery Animal Health Products
MANHATTAN MILLING
Manhattan, Ks. 785-3212
RIDE 'EM HIGH feed for horses. 100% alfalfa hay. 100% Clay Center, Kans., Phone 913-2741. SB
KID RABBIT Mini Pellets fast gains, no waste. Key Ing. Clay Center, Kans. MB 2241.
WILL HAUL a stack hay or also haul wheat. Ed Behrle Flush, Ks., ph. 913-456-9509. SB
WANTED — Chicken clean. Call for appointment. 913-349-2388. Carl F. Jones, White City, Ks.
FOR SALE: 100 steers — 4½ yrs. old. Phone 913-392-8121, Manhattan, Ks.
STANDING 2 Registered Quarter Horse Stallions
READY MONEY BREEDER
a Ready Skeeter
Sorrel No. 455277
b Ready Paul
Blood Bay No. 179983
FREE
Grade Mares $25
Registered Mares $45
Albino
Grade and Registered Horses For Sale and Breeding, Training & Shoeing
Bob Haynes
Route 1 Wamego, Ks. Phone 913-456-9646
LEO DEEDS
AAA — AQHA 101-594 — Solid Stud Fee: $150
Horses For Sale At All Times
GENE HELMS
913 349-2388
LINN, Ks.
HORSE BREEDING — Stall Diamond Ready. Reg. AQH, grandson of Ready Money. 913 456-2516, Wamego.
Automotive
FOR SALE — 1966 Ford Falcon cabover, clean, excellent on highway truck, 5 spd. as-2 spd., 350 HD engine, 525ci, 4 speed, 8220 lbs. GVWR. Belville, Ks. Phone 913-527-2262.
— Model A Ford. Give body style & price. Submit answers to Ag Press, Box 31, RR, Manhattan, Ks. SI
Farmers & Ranchers Livestock Commission Co., Inc
WEST ON OLD HWY. 40 SALINA, KANS.
MONDAY
Hogs & Cattle
Hogs sell at 10:30 a.m. followed by our regular cattle sale as they are unloaded.
THURSDAY
Cattle Only
Selling steers 9:30 a.m. Cattle will sell in the order they are consigned on the books.
MONDAY SALES ONLY
UNTIL AFTER HARVEST
Selling Both Cattle And Hogs
KANSAS' 2ND LARGEST LIVESTOCK AUCTION
Electric Scale shows average weight in light yard facilities for 5000 head.
Most modern, up-to-date auction facility with theatre style seats for 500.
COWS
1 char hfr, Tampa 835 @ 31.50
1 wlf cow, Ellsworth 870 @ 31.30
HEIFERS
1 char cow, Canton @360.00
1 char cow, Goshen 1130 @ 28.25
4 wlf cows, Barnard 853 @ 28.00
1 wlf cow, Lincoln 1025 @ 27.60
1 wlf cow, Salina 1020 @ 27.50
1 wlf cow, Lincoln 1020 @ 27.50
1 blk cow, Salina 885 @ 27.50
1 wlf cow, Ellsworth 830 @ 27.00
1 char cr, Benningsen 745 @ 27.50
1 wlf cow, Lincoln 1025 @ 27.40
1 wlf cow, Lincoln 1020 @ 27.40
1 blk, Caviker City 1165 @ 27.30
1 wlf cow, Lincoln 1095 @ 27.30
1 wlf cow, Marquette 1140 @ 27.30
1 wlf cow, Ellsworth 830 @ 27.20
1 wlf cow, Marquette 1085 @ 27.10
1 wlf cow, Lindsborg 1045 @ 27.00
1 wlf cow, Lincoln 1015 @ 27.00
1 wlf cow, Hillbord 1210 @ 26.80
1 wlf cow, Marquette@286 26.80
1 wlf cow, Salina 1470 @ 26.80
1 wlf cow, Ellsworth 1080 @ 26.80
1 wlf cow, Lindsborg 890 @ 26.75
1 wlf cow, Assaria 1360 @ 26.70
1 wlf cow, Hope 1270 @ 26.70
1 wlf cow, Ellsworth 1080 @ 26.70
1 wlf cow, Bushton 1150 @ 26.70
1 wlf cow, Hope 1180 @ 26.70
1 wlf bull, Lorraine 1430 @ 31.00
1 wlf bull, Abilene 880 @ 26.70
BULLS
1 blk bull, Caviker City @500.00
1 blk bull, Ellsworth @485.00
1 blk bull, Caviker City @440.00
1 blk bull, Abilene 1060 @ 33.30
1 blk bull, Geneseo 1225 @ 33.30
1 blk bull, Abilene 1225 @ 33.30
1 blk bull, Abilene 1225 @ 33.30
1 char bull, Marquette @430 @ 32.80
1 char bull, Tampa 1620 @ 32.80
1 char bull, Ellsworth 1520 @ 32.80
1 char bull, Bushton 1535 @ 32.20
1 char bull, Hope 1180 @ 32.10
1 char bull, Lorraine 1430 @ 31.00
1 wlf bull, Lorraine 880 @ 26.70
FAT HOGS
15 mix hogs, Tescott 219 @ 26.00
10 mix hogs, Marquette 217 @ 26.00
29 mix hogs, Barnard 222 @ 26.00
13 mix hogs, Ellsworth 243 @ 25.85
20 mix hogs, Abilene 243 @ 25.85
28 mix hogs, Salina 219 @ 25.80
5 mix hogs, Assaria 231 @ 25.75
2 mix hogs, Ellsworth 231 @ 25.75
10 white, Chapman 190 @ 25.50
26 white, Kanopolis 256 @ 25.10
10 white, Minneapolis 267 @ 25.00
12 white, Lindsborg 271 @ 24.60
4 white, Salina Grove 285 @ 23.80
SOINS
2 hamp sows, Solomon 350 @ 22.50
2 white sows, Falun 317 @ 22.40
1 white sow, Tescott 305 @ 22.40
2 white sows, Solomon 350 @ 22.40
1 red sow, Wilson 440 @ 21.90
7 mix sows, Brookville 423 @ 21.80
1 white, Solomon 420 @ 21.80
1 white, Barnwell 420 @ 21.60
12 mix sows, Dorrance 540 @ 21.30
1 white, Ellsworth 445 @ 21.20
1 white, Ellsworth 445 @ 21.20
1 white, Carlton 410 @ 21.20
2 white, Manchester 517 @ 21.20
1 white, sow, Carlton 595 @ 21.10
BOARS
1 white boar, Barnard 660 @ 23.20
1 white, Manchester 695 @ 23.75
1 white, Ellsworth 710 @ 23.75
1 red boar, Geneseo 785 @ 22.60
1 belt boar, Falun 555 @ 22.25
1 belt boar, Solomon 250 @ 19.75
FEEDER HOGS
4 mix fed pigs, Ellsworth 135 @ 27.75
9 mix fed, Solomon 127 @ 26.50
15 mix pigs, Salina @ 30.00
29 mix pigs, Millonvale @ 26.25
34 mix pigs, Ellsworth @ 24.75
11 mix pigs, Little River @ 24.75
34 mix pigs, Oak Hill @ 23.50
20 white sows, Hutchinson @ 22.75
27 white sows, Ellsworth @ 22.75
39 mix sows, Barnard @ 19.75
30 mix sows, Lindsborg @ 18.75
24 mix sows, Minneapolis @ 16.50
THE LIVESTOCK AUCTION MARKET
WITH ACTION
Barn Phone
913 TA 5-0211 Salina, Kansas
FOR INFORMATION OR ESTIMATES
LAURENCE CLEMENCE ........ Phone CO 3-3091
Abilene
MERRILL CHRISTIANSEN ........ Phone 732-3371
Durham
BOB MURR .................. Phone TA 3-2963
Salina
MARKET REPORTS
Radio Station KSAL, Salina
6:45 a.m. Every
Monday, Wednesday & Friday
KFRM
6:55 a.m. Mon. through Fri.
HOLSTEIN STEERS
2 hlf str, Holstein 227 @ 40.25
4 hlf str, Marquette 423 @ 40.00
1 holst str, Clay Center 520 @ 35.50
16 holst, Clay Center 703 @ 33.90
HOLSTEIN HEIFERS
1 blk str, Lincoln 305 @ 49.75
3 wlf str, Great Bend 415 @ 49.25
1 wlf str, Lincolnville 400 @ 49.25
1 blk str, Beverley 339 @ 47.75
4 wlf str, Lorraine 430 @ 47.50
13 blk str, Ellsworth 430 @ 47.50
12 blk str, Lincoln 457 @ 47.00
1 wlf str, Gypsum 476 @ 46.50
1 wlf str, Lordford 490 @ 46.25
7 blk str, Newton 485 @ 46.15
1 wlf str, Beverley 420 @ 46.00
1 blk str, Bennington 449 @ 46.00
8 wlf str, Lincoln 449 @ 46.00
1 wlf str, Lincoln 453 @ 45.90
5 blk str, Great Bend 476 @ 45.75
1 wlf str, Lorraine 476 @ 45.75
1 blk str, Great Bend 415 @ 45.75
5 wlf str, Tampa 413 @ 45.30
3 wlf str, Clay Center 538 @ 42.50
1 blk str, Tampa 517 @ 42.50
6 wlf str, Clay Center 600 @ 42.50
4 mix str, Windom 608 @ 42.50
1 wlf str, Tampa 685 @ 42.40
1 blk str, Ellsworth 685 @ 42.40
3 mix str, Carillon 495 @ 42.00
1 bkw str, Tampa 720 @ 42.00
1 blk str, Ellsworth 640 @ 41.90
88 mix str, Inman 615 @ 41.90
1 wlf str, Salina 580 @ 41.75
7 blk str, Culver 659 @ 41.25
1 wlf str, Ellsworth 618 @ 41.25
5 wlf str, Hillbord 750 @ 40.90
1 blk str, Abilene 640 @ 40.70
24 mix str, Assaria 659 @ 40.70
8 blks, Hillbord 722 @ 40.60
6 mix str, Moxars 772 @ 40.20
6 mix str, Moxars 618 @ 40.20
1 blk str, Marquette 643 @ 40.00
7 wlf str, Ellsworth 768 @ 40.00
13 mix str, Hope 844 @ 39.90
1 wlf str, Carillon 735 @ 39.90
1 wlf str, Ellsworth 618 @ 39.90
1 brd str, Hope 730 @ 39.25
2 blk str, Hope 835 @ 39.10
2 mix str, Ellsworth 878 @ 39.10
1 red str, Miltonvale 880 @ 38.50
1 wlf str, Ada 840 @ 38.50
1 wlf str, Hope 880 @ 38.25
1 brd str, Ellsworth 844 @ 38.25
1 char str, Inman 500 @ 37.80
5 blk str, Clay Center 924 @ 37.30
2 wlf str, Ellsworth 1000 @ 37.30
6 mix str, Ada 1161 @ 36.70
2 char str, Salina 927 @ 36.50
1 blk str, Ellsworth 925 @ 36.25
1 blk str, Brookville 935 @ 36.25
1 wlf str, Salina 690 @ 34.00
1 wlf str, Salina 849 @ 33.00
1 wlf str, Salina 1055 @ 33.70
THE LIVESTOCK AUCTION MARKET
WITH ACTION
Barn Phone
913 TA 5-0211 Salina, Kansas
**G&G Calendar**
June 20 — Household goods at armory in Clay Center, Rhodes Auction, Foster Kretz.
June 21 — Household goods and antiques in Salina, Kans., B. E. Shriver, Jr., Roger A. Johnson & Son.
June 22 — Furniture & misc. at 1106 W. 90th, Junction City, Roy Hillyard, C. W. Crites, executors.
June 23 — Complete dispersion of Raymond L. and Mary Ann Burnside's antique herd at Atchison Co. Sale Pavilion in Atchison, Kans., McCorkle Inc. sale management.
June 23 — Bankruptcy stock of Goodall Bros. & Sons, Wichita, James G. Whrin, trustee in bankruptcy, Aucts. Carl and Vern Whrin.
June 23 — Household & household effects at 108 Riverside, Salina, Roy & Alline Putsch estate, Aucts. Frank Harz & Bob Peters.
June 23 — Horse Auctions at Epic Farms, Flint Hills Livestock Auction, Sonny Doersching, sale manager.
June 24 — Farm & machinery north of Salina, Kans., executors of John R. and Roy Schurter, exec. Aucts. Herb Rockwell.
June 24 — Automobiles & collectibles at 108 Riverside, Salina, Wysoker Service, Aucts. Frank Harz & Bob Peters.
June 24 — Household goods at 1511 SW 2nd St., Abilene, Mrs. Nora Hovland, Mrs. Curt and Winn, Schnell.
June 24 — Pipe, lumber, tools & furniture at 207 E. Spruce St., Junction City, Mrs. Hazel Hudson, exec. Auct. Foster Kretz.
June 24 — Household goods and antiques on N. 1st, Parsons, Kansas, executors of John Sterba.
June 24 — Sale of antiques and collectors' guns and miscellaneous items from McLaughlin, Jr. & Mrs. M. Creed, Aucts. Eldon Farris & Bud Showalter.
June 24 — Household goods and antiques at 1318 24th St., Belleville, Leora Lewis estate, exec. Eldon Farris, Auct. June 24 — Equipment of St. Benedict's Church, Emporia, Weisner auctions, Glenn Applegate and Lawrence Welker.
June 24 — Household goods and antiques at 608 East Ave., Concordia, Kans., Aucts. Don Roche, Auct. Don Roche.
June 25 (Sunday) — Farm sale and auction of the estate of Leavenworth, Mr. & Mrs. Clifford Carney, Aucts. Eldon Farris and Eldon Showalter.
June 25 — Final date for filing suit to probate the estate of Morris County, Delbert Chester, executor of the estate of Rebecca Palmer, Wamego.
June 26 — Republic Co. farm and grain equipment, farm machinery, antiques & furniture. National Guard Armory, Belleville, by Betts & Murphy, executors. Murphy executors Mrs. Odea Hamrick & Lloyd Murphy, Auct. Eugene Werling.
June 26 — Clay Center, Kans., jewelry, goods & antiques at 100, Kans., The Meteorode estate, Auct. Foster Kretz.
---
**Mayhew Augers**
Price includes motor mount, drive sprocket, belt, clamp on sprocket.
| Size | Price |
|------|---------|
| 11" 3/4" auger | $22.95 |
| 16" 3/4" auger | $39.95 |
| 21" 3/4" auger | $53.95 |
| 26" 3/4" auger | $79.95 |
| 30" 3/4" auger | $119.50 KD |
| 44" 6" propeller shaft | $450.50 KD |
Price includes carriage, winch, heavy duty belt, universal gearbox, PTO or motor mount, 14" flexible hose.
27" standard 6" belt driven auger with carriage, cable winch, universal gearbox, drag over clutch | $169.50 KD
V shaped galvanized hopper | $15.55
V shaped galvanized hopper | $15.55
V shaped flex hopper 6" | $29.95
3" flexible extension | $21.85
3" flexible spout 6" | $21.85
16" Mayhew blade mover | $94.50
8" cleat extensions | $28.00
Above items in stock.
---
**Market on cattle steady to weaker due to the lower dressed beef market Friday. Pig market very active with a total of 928 pigs sold, a total of 844 cattle and 1510 hogs.**
Following is a partial listing of our sale last week:
**FEEDER STEERS & HEIFERS**
| Size | Price |
|------|---------|
| 21 blk str | $604 @ 41.20 |
| 5 wf str | $600 @ 40.00 |
| 20 w/lowd str | $673 @ 40.10 |
| 2 bwf str | $698 @ 40.00 |
| 9 chf str | $789 @ 39.80 |
| 3 blk str | $790 @ 39.80 |
| 8 mix str | $837 @ 38.95 |
| 7 mix str | $850 @ 37.40 |
| 1.2 mix str | $940 @ 39.15 |
| 20 mix str | $937 @ 37.05 |
| 60 mix str | $1000 @ 36.75 |
| 179 mix hfrs | $670 @ 37.85 |
| 31 bk hfrs | $486 @ 30.00 |
| 6 mix hfrs | $677 @ 36.10 |
| 6 mix hfrs | $648 @ 36.10 |
**STEER CALVES**
| Size | Price |
|------|---------|
| 1 bk hfr | $228 @ 32.75 |
| 1 char str | $604 @ 41.20 |
| 2 blk str | $701 @ 50.50 |
| 7 w/f str | $376 @ 49.50 |
| 2 char str | $331 @ 40.00 |
| 6 blk str | $430 @ 48.50 |
| 1 b/wf str | $215 @ 48.25 |
| 2 char str | $374 @ 40.00 |
| 2 mix str | $405 @ 42.40 |
| 11 char str | $543 @ 42.30 |
| 8 wf str | $536 @ 42.30 |
| 4 blk str | $525 @ 41.60 |
**HEIFER CALVES**
| Size | Price |
|------|---------|
| 2 blk hfrs | $670 @ 48.00 |
| 1 b/wf hfr | $350 @ 42.00 |
| 5 wf hfrs | $370 @ 40.25 |
**HOLSTEIN STEERS**
| Size | Price |
|------|---------|
| 2 hol str | $365 @ 40.50 |
| 4 hol str | $430 @ 39.00 |
| 4 hol str | $455 @ 38.10 |
| 5 hol str | $624 @ 35.80 |
**HOLSTEIN COWS**
| Size | Price |
|------|---------|
| 33 mix hfrs | $596 @ 38.25 |
| 8 char str | $401 @ 38.00 |
| 5 char str | $481 @ 37.40 |
| 17 char str | $597 @ 37.40 |
| 20 blk hfrs | $511 @ 37.20 |
| 7 blk hfrs | $591 @ 37.00 |
| 6 char hfrs | $561 @ 36.00 |
**STEER CALVES**
| Size | Price |
|------|---------|
| 1 hol cow | $135 @ 25.00 |
| 1 hol cow | $112 @ 25.00 |
| 1 hol cow | $1240 @ 25.20 |
| 1 hol cow | $945 @ 25.00 |
| 2 hol cows | $830 @ 25.00 |
| 1 hol cow | $920 @ 24.80 |
| 1 hol cow | $1120 @ 24.80 |
| 1 jer cow | $1090 @ 24.40 |
| 1 jer cow | $1075 @ 24.40 |
**HEIFER CALVES**
| Size | Price |
|------|---------|
| 15 white butch | $21.2 @ 26.40 |
| 21 white butch | $228 @ 26.35 |
| 18 mix butch | $217 @ 26.25 |
| 10 mix butch | $227 @ 26.25 |
| 16 mix butch | $227 @ 26.25 |
| 21 white butch | $209 @ 26.15 |
| 17 mix butch | $237 @ 26.15 |
**COWS**
| Size | Price |
|------|---------|
| 3 mix sows | $405 @ 21.90 |
| 1 white sow | $420 @ 21.85 |
| 7 hamp sows | $480 @ 21.55 |
| 4 hamp sows | $450 @ 21.40 |
| 1 white sow | $520 @ 20.50 |
| 1 white sow | $615 @ 20.10 |
**PIGS**
| Size | Price |
|------|---------|
| 22 white pigs | @ 33.25 |
| 52 mix pigs | @ 29.25 |
| 48 hamp pigs | @ 26.25 |
| 31 hamp pigs | @ 25.75 |
| 31 white pigs | @ 25.50 |
| 40 hamp pigs | @ 25.25 |
| 26 hamp pigs | @ 25.00 |
| 34 mix pigs | @ 25.00 |
| 19 hamp pigs | @ 24.75 |
| 21 hamp pigs | @ 24.25 |
| 21 hamp cr pigs | @ 23.50 |
| 30 spot pigs | @ 23.00 |
| 30 spot pigs | @ 22.75 |
| 33 mix pigs | @ 22.75 |
| 25 mix pigs | @ 22.25 |
**FAT HOGS**
| Size | Price |
|------|---------|
| 15 white butch | $21.2 @ 26.40 |
| 21 white butch | $228 @ 26.35 |
| 18 mix butch | $217 @ 26.25 |
| 10 mix butch | $227 @ 26.25 |
| 16 mix butch | $227 @ 26.25 |
| 21 white butch | $209 @ 26.15 |
| 17 mix butch | $237 @ 26.15 |
If you have livestock to sell, call:
VERN LANGVARDT, Manager, 230-8211, Junction City
HOWARD LANGVARDT, Auctioneer, 238-8212, Junction City
HERB NEUMEYER, White City, Phone 349-2863
MARC GERARD, Junction City, Phone 319-344-3625
LICENSED AND BONDED
BARN PH. JUNCTION CITY 238-1471
---
**Kansas Milk Production Drops Slightly In May**
Kansas milk production during May totaled 16 million pounds, 2 percent below the same month last year, according to the Kansas Crop and Livestock Reporting Service. Cumulative production during the first five months this year totaled 72 million pounds, 2 percent below the same period a year earlier.
The number of milk cows on farms in Kansas during May totaled 1,000,000 compared to 1,000,000 in May 1971.
Milk production per cow in May averaged 168 pounds, equaling the high for the month set last year.
U.S. milk production during May is estimated at 11,307 million pounds.
---
**Come to Morrison's for Farm & Home Supplies at Discount**
1x12 No. 4 WHITE PINE
13½c PER BOARD FOOT
Combination Hog & Cattle Panels
¼" Roded Fabric
$2.98
52"x16" $8.95 Ea. Fence Paint Gal
Morrison DISCOUNT BUILDING SUPPLY
724 North 13th / Salina / Phone 827-9666
Where Bargains are Ever Ready! SALINA, KANSAS
---
**An Auction Market for Cattle and Hogs**
HOG SALE 9:00 a.m. CATTLE SELLS AT 12:30 Noon
PIG SALE 11:30 a.m.
We are expecting lighter receipts for the next 2-3 weeks due to harvest conditions, but we will stay open all summer for your convenience. Fat hog auction starting at 9:00 and pigs between 11:30 and 12 Noon.
---
**Feed List for Soviet Grain Stocks**
Grain stocks in the U.S. are in a state of hideous disarray, USDA.
"Imports from Soviet Union substantially proportioned," said
It diet not now consumed compared to what while no decrease in consumption compared diet.
"In no way content with Soviet recent incident live livestock.
To do needed.
beefers change.
"Morrison probably
Feed Grains Top List Of Possible Soviet Imports
Grains, feedstuffs, and breeding stock seem to top the priority list for U.S. agricultural exports to Russia — in addition to current shipments of hides, skins and almonds, says the USDA report.
"Much of this potential stems from Soviet plans through 1975 to substantially increase the protein portion of the Soviet diet," the report said.
It said that only 8 per cent of the diet now is derived from the consumption of meat and fish, compared to 21 per cent of the U.S. diet while more than half the Soviet diet is devoted to grain and grain products, compared to 25 per cent of the U.S. diet.
"In order to improve the protein content of the Russian diet, the Soviet Union is aiming for a 27 per cent increase in the production of livestock by 1975."
To do this, better breeding stock is needed. More than 300 U.S. bulls and heifers already have been purchased by the Soviets.
"More grain and oilseeds also probably will be needed, especially in the form of high-energy feeds such as corn or grain sorghum and high-protein feeds such as peanuts or soybean meal. The Soviet Union now uses mainly roughages as feeds, with little use of protein concentrates. The use of more concentrates, such as soybeans, will enable more efficient expansion of animal production," the report in Foreign Agriculture said.
More than any other country, the Soviet Union has abundant supplies of corn and other grains readily at hand, easily could handle any large volume grain purchase which the Soviet Union might need for animal feeding. Also, it is the only country which produces a sizable quantity of soybeans for export.
Potential Soviet markets for other U.S. agricultural products appear to be limited at present for several reasons.
"Russia plans to increase consumption of fruits and vegetables by 1975, but this increase does not appear to have the priority now placed on increased consumption of animal protein."
Most of the Soviet Union's fruit and vegetable imports now come from Eastern Europe and from developing countries with which the Soviets have bilateral trade agreements. Thus, hard Western currencies do not have to be used to import these commodities," the report said.
Reynolds Sale Barn
ABILENE, KS.
Selling Every FRIDAY Starts at 1:00 pm
SALES EVERY FRIDAY DURING SUMMER
No Interruption For Harvest
The Reynolds Sale Barn will be open for business every Friday as usual through harvest. We have the best feeder order buyers any market could ask for, and they depend on this barn for their supplies. Prices are high and they need cattle every week, therefore, we will be open as usual every Friday starting at 1:00 pm.
A big run of cattle for this time of the year sold Friday, June 16. Again many buyers and orders to higher prices for all classes, except cows which looked steady to 50¢ lower.
Lifted below are some of the representative sales of Friday, June 16.
STOCKER & FEEDER STEERS
8 wf strs 506 @ 47.00
24 blk strs 360 @ 45.60
2 blk str 355 @ 47.75
1 blk str 431 @ 44.60
9 xtr strs 737 @ 39.50
1 wf str 910 @ 37.75
1 blk str 866 @ 38.90
4 blk fat strs 600 @ 39.90
1 b/wf str 575 @ 42.60
1 xtr str 615 @ 40.00
1 wf str 610 @ 42.00
1 holst cross str 645 @ 36.90
1 holst str 817 @ 32.50
10 holst strs 860 @ 33.00
STOCKER & FEEDER HEIFERS
10 w/f hfrs 420 @ 40.65
7 wf hfrs 439 @ 41.90
19 blk hfrs 369 @ 41.50
3 b/wf hfrs 395 @ 41.25
1 blk hfr 457 @ 40.40
1 blk hfr 440 @ 40.00
1 b/wf hfr 458 @ 41.90
19 b/wf hfrs 540 @ 38.90
4 wf hfrs 555 @ 37.50
1 wf hfr 715 @ 37.00
5 shthrn hfrs 703 @ 36.00
1 holst hfr 755 @ 35.90
1 wf hfr 690 @ 37.00
GRAIN FED CATTLE
2 wf str 120 @ 37.50
3 wf str 828 @ 37.90
1 char hfr 990 @ 36.90
4 wf hfrs 767 @ 35.40
4 w/f hfrs 803 @ 36.75
2 blu rfn hfrs 835 @ 36.40
2 wf hfrs 835 @ 36.60
COWS
1 hfrtte 1045 @ 31.20
1 holst cow 1645 @ 26.00
1 wf cow 1015 @ 24.40
1 red cow 1085 @ 25.90
1 b/wf cow 1220 @ 25.00
1 w/f cow 1245 @ 25.00
1 holst cow 1155 @ 24.85
1 holst cow 1245 @ 24.00
1 holst cow 1085 @ 24.40
1 wf cow 1445 @ 24.10
1 holst cow 1340 @ 24.50
1 holst cow 1135 @ 25.00
1 holst cow 1490 @ 24.40
1 wf cow 915 @ 24.50
1 wf cow 925 @ 24.90
1 b/wf cow 955 @ 25.75
Yardmen On Duty 24 Hous-A Day
WE ARE OPEN 24 HOURS A DAY
Livestock is our business • our only business
Licensed, bonded and operating under Gov't Supervision
Dude or Randy Reynolds Dan Reynolds
CO3-3394 CO8-4721
Bring your cattle in any time day or night; we'll handle them for you at your rent.
Sale Every Thursday
THURS., JUNE 22
Last Sale
Before Harvest Closing
NEXT REGULAR SALE
THURSDAY, JULY 20
We Are Expecting A Fair Run Of Cattle & Hogs This Week
Marysville Sale Barn
MARYSVILLE, KS.
Raleigh Breeding, Manager
barn 562-3671; home 562-3547
Auctioneer, Larry Lagasse,
Phone Agenda, Kansas 752-6425
LIVESTOCK & COMMISSION CO.
MARYSVILLE, KANSAS |
Estimation and Assessment of Errors Related to Antenna Pattern Distortion in CODAR SeaSonde High-Frequency Radar Ocean Current Measurements
KENNETH LAWS
University of California, Santa Cruz, Santa Cruz, California
JEFFREY D. PADUAN
Naval Postgraduate School, Monterey, California
JOHN VESECKY
University of California, Santa Cruz, Santa Cruz, California
(Manuscript received 22 July 2008, in final form 28 October 2009)
ABSTRACT
A simulation-based investigation of errors in HF radar–derived, near-surface ocean current measurements is presented. The simulation model is specific to Coastal Ocean Dynamics Application Radar (CODAR) SeaSonde radar systems that employ a compact, collocated antenna geometry. In this study, radial current retrievals are obtained by processing simulated data using unmodified CODAR data processing software. To avoid limiting the results to specific ocean current and wind wave scenarios, the analyses employ large ensembles of randomly varying simulated environmental conditions. The effect of antenna pattern distortion on the accuracy of retrievals is investigated using 40 different antenna sensitivity patterns of varying levels of distortion. A single parameter is derived to describe the level of the antenna pattern distortion. This parameter is found to be highly correlated with the rms error of the simulated radial currents ($r = 0.94$) and therefore can be used as a basis for evaluating the severity of site-specific antenna pattern distortions. Ensemble averages of the subperiod simulated current retrieval standard deviations are found to be highly correlated with the antenna pattern distortion parameter ($r = 0.92$). Simulations without distortions of the antenna pattern indicate that an rms radial current error of $2.9 \text{ cm s}^{-1}$ is a minimum bound on the error of a SeaSonde ocean radar system, given a typical set of operating parameters and a generalized ensemble of ocean conditions.
1. Introduction
With the large-scale deployment of high-frequency (HF) radar systems for mapping near-shore ocean surface currents as a part of large-scale coastal environmental monitoring projects (e.g., Paduan et al. 2004), ocean radar systems are transitioning from an experimental to an operational oceanographic tool. Increasingly, datasets are being collected over longer periods of time and larger areas of the world’s coastal oceans. In the United States, data products are now being delivered to national networks and made available to the public and to the research community in near–real time (e.g., see online at http://www.cencoos.org/currents). As the scope of ongoing HF radar current monitoring projects increases, the benefits of assimilating of HF radar–obtained current fields into ocean circulation models increases correspondingly (see, e.g., Breivik and Sætra 2001; Paduan and Shulman 2004; Shulman and Paduan 2008). Presently, a leading factor limiting this assimilation is insufficient knowledge of uncertainties in the radar data.
HF radar vector current measurements are obtained from radial component current measurements that go into a vector summation. Therefore, it is first at the radial level where the errors need to be understood. Other potential sources of errors in vector currents, such as subgrid horizontal shear and distribution of HF radar sampling cells, also exist but are not considered here. Errors in the radials result from several known factors,
such as limitations resulting from noise and interference in the received signals; distortions in the radar antenna sensitivity patterns; inherent limitations in signal processing methods; and limitations in the frequency resolution of the Doppler spectrum, which translates directly to current magnitude resolution. Some recent studies that have investigated errors in radial current estimates based on experiments using in situ or radar-to-radar comparisons include Emery et al. (2004), Lipa et al. (2006), and Paduan et al. (2006).
Errors in the radial current estimates are dependent on the signal processing methods used to resolve the angular position of a given current estimate. A detailed discussion of the two most prominent methods is given by Barrick and Lipa (1997). The first and more easily understood of these two methods is beam forming. In this approach, the radar’s receive antenna consists of a distributed array of elements that is electronically steered to form a narrow sensitivity beam, using the delay and sum technique (see, e.g., Milligan 2005). The width of the formed beam determines the angular resolution and is dependent on the length of the array and the transmit frequency. The width and pointing angle of the steered beam and the range resolution determine the size and location of the radar resolution cell (the area of ocean surface corresponding to the surface current measurement). The current estimate is then derived from the Doppler spectrum by finding the centroids of the Doppler shifted Bragg peaks. Less straightforward is the direction finding approach where each Doppler velocity in a broad angle spectrum is processed to determine the direction or directions of arrival of the received ocean echo signal. The primary advantage of the second approach is the elimination of the need for long receive antenna arrays. Direction finding can be done with compact, collocated loop and monopole antennas requiring little more coastal footprint than a vertical pole supporting both receive and transmit antennas. Most commonly used algorithms for direction finding with ocean radar systems are based on the Multiple Signal Characterization (MUSIC) algorithm developed by Schmidt (1982, 1986) and applied to ocean radar systems (Barrick and Lipa 1997).
The MUSIC algorithm has the ability to resolve multiple directions of arrival for a given spectral component (radial current magnitude) of the radar Doppler spectrum. The maximum number of directions that can be uniquely determined for a given velocity is equal to the lesser of either one less than the number of antennas in the receive array or the number of individual (assumed independent) spectra that are collected for a given inversion. If the number of independent spectra is large, a high degree of certainty is obtained in determining the number of directions for a given Doppler shift (and hence a given radial current magnitude). Unfortunately, because of the frequency and sampling time limitations of practical ocean radar systems, the number of spectra is not large [in the case of typical Coastal Ocean Dynamics Application Radar (CODAR) operating parameters, three spectra are used]; hence, the determination of the number of directions is uncertain (for a detailed comparison of beam forming and direction finding, see Laws et al. 2000).
In installing new radar sites and maintaining existing installations, it is important, particularly with compact antenna configuration systems, to know the characteristics of the antenna sensitivity patterns and to calibrate the radar system accordingly using the data processing software. Effects of antenna pattern distortion on radial current maps, such as angular sectors with reduced numbers of current solutions or apparently nonphysical current solutions, have been observed and empirically associated with antenna pattern distortions. Studies have shown that measured patterns improve results (e.g., Kohut and Glenn 2003; Paduan et al. 2006), but it is likely that distorted patterns reduce the accuracy or coverage of radar systems and that these effects are only partially mitigated by use of pattern measurements.
Because of the difficulty and expense in obtaining comprehensive in situ data and the inherent differences between available in situ data and HF radar measurements, quantitative analyses relating observed radial current errors to antenna pattern distortions are impractical. The factors that affect the patterns are generally part of the radar site environment and not easily varied experimentally. Further, the performance of the radar is essentially statistical, and long time series are needed for substantive evaluations. For this reason, and the need for an independent measure of truth, we rely on simulation-based analysis in the work presented here.
2. Simulation strategy
In this simulation-based analysis, errors in radial current estimates and their relationship to the radar system are investigated with a specific focus on the effect of imperfect antenna patterns. Because most radar systems in use today are CODAR SeaSondes, these simulations are modeled on that system’s configuration and made compatible with that system’s data processing software.
Previous studies that employed simulation methods have investigated various factors determining errors, including signal-to-noise ratio (SNR), setting of radar parameters, effects of the current field under measurement, and antenna pattern distortions. D. E. Barrick and
B. J. Lipa (1996, personal communication) used simulations to compare performance of beam forming and MUSIC direction finding methods. They employed specific current scenarios including upwelling and current front, but they did not examine effects of SNR. Laws et al. (2000) used simulations with specific scenarios, including uniform current and a current jet, to compare MUSIC and beam forming methods. They also examined effects of overall SNR and a “shading” scenario where SNR was reduced over a fraction of the coverage area. Their results indicated a power law response in rms error with SNR for beam forming but a nearly flat response for MUSIC. Toh (2005) used simulation methods with specific current profiles to examine errors with SeaSonde radar systems. He obtained some results indicating that rms errors increase with the square root of the SNR, but other results were inconsistent. He also examined effects of distorted antenna patterns. De Paolo and Terrill (2007), in their simulation study, looked at several wind and current scenarios, including onshore and cross-shore winds and uniform, shear, and eddy current scenarios. They also looked at the effects of SNR, and their results demonstrate a flat response in MUSIC “skill” above about 11 dB. They did not include antenna distortions. In all of the above cases, SNR refers to the spectral region of the Bragg peak, not a particular spectral component within the peak.
The goals of the work presented here are to build on previous work in two key aspects: 1) to provide a more quantitative analysis of antenna pattern distortion effects than has been done previously and 2) to present results that are more general in nature and not dependent on a specific set of sea surface conditions. Central to these goals is the need to isolate particular parameters of interest by removing or generalizing the effects of other parameters on the radial current uncertainty. The characteristics of the current field present at the time of the measurement affect the uncertainty of a given measurement within the field (Laws et al. 2000). Therefore, a single simulation with a given current scenario produces a result that is specific to that scenario. Previous studies provide useful analyses by examining selected scenarios with specific desired characteristics, but the problem of how the radial current uncertainty depends on current field is difficult to quantify. Further, even if one could fully describe the dependence of radial current uncertainty on the current field, in practice, the current field is only known through the estimates obtained. Results that are more generally applicable to radar measurement uncertainties are desired and are obtained here through simulations that employ large ensembles of randomly generated current field scenarios with appropriate statistical characteristics.
For simplicity, we assume that the radar signal is only due to first-order backscatter originating from the simulated sea region within an annular ring centered on the radar system, with a width corresponding to the radar range resolution and a radius corresponding to the selected radar range bin. Hence, we can also assume that only the properties of the currents present in the range arc defined by the range bin and the sea region affect the accuracy of the retrievals. As mentioned above, the nature of variations in radial current magnitude has been observed to affect the accuracy of retrievals. We suggest that the properties of the radial current magnitude within a single range arc that affect the MUSIC retrievals include the rate of change of the radial current as a function of azimuth, variations in that rate of change, maximum and minimum current values, and the number of extrema. This last property relates to the occurrence of multiple azimuthal locations corresponding to a single radial current magnitude. For the purpose of this simulation, what matters is that the radial current profile over the range arc is sufficiently complicated to challenge the inversion algorithm and that it is realistic in nature. Simulated radial currents are generated using a large ensemble of random, physically plausible, current scenarios based on a variable shear scenario superimposed over a variable uniform current. These scenarios are defined over a rectangular simulation grid that contains the range arc region. The angular profiles over the range arc of the radial currents generated by these scenarios exhibit a wide variety of the desired properties listed above. Different physical scenarios, such as eddies and jets, would also produce radial current profiles with a variety of shears and extrema depending on the specific scenario. It is the objective of this work to derive results that are not dependent on a specific type of radial current profile but rather correspond to a random ensemble of current profiles that contain a wide variety of the pertinent parameters that challenge the MUSIC algorithm’s current retrieval process, much the same as what would be observed in the real world.
3. Approach
a. Data description
For a SeaSonde radar system operating in the field, the raw data collected are time series of backscatter signals from a frequency modulated interrupted continuous wave (FMICW) transmitted signal. The first stage of the processing involves demodulating the received signal to separate signals coming from different ranges from the radar. Signals, thus separated, arise from areas of sea surface within annular rings centered
on the radar system of a radius $r$, depending on the selected range bin and effective width, $\Delta r \approx c/2b$, where $b$ is the bandwidth of the transmitted radar signal and $c$ is the speed of light. A fast Fourier transform (FFT) is applied to the range bin data to obtain Doppler spectra for the given range bin. It is commonly assumed that the range resolution processing is well understood and not a significant contributor to errors in the current retrievals. For simplicity, we begin with the simulation of signals that arise only from the range arc corresponding to the selected range bin.
The simulation is defined on a Cartesian grid, and the radar system is located at the center. A grid resolution of one-eighth the radar range resolution is used so that the effects of current variability over the radar resolution cell are included in the simulated radar data. The radar backscatter from simulated Bragg resonant ocean waves is computed for a limited range of angles, referred to as the sea arc, based on a simulated wave spectrum and ocean current. The radar echo for the remaining angular region is defined to be zero. For the simulations presented here, the range of the sea arc is either set to $-30^\circ$ to $180^\circ$ or set by the angular region obtained from field site antenna pattern measurements. The selection of the sea arc region is somewhat arbitrary, but by limiting the sea arc to less than $360^\circ$, the simulated data reflects conditions that are commonly seen in the field (i.e., the presence of a limit or edge of the sea arc region). Signals from each of the simulation grid points within the range arc are summed to compute the total radar backscatter.
A radar frequency of 12 MHz and a bandwidth of 49 kHz are used giving a range resolution of about 3.0 km. The transform length and sampling frequency of the radar are 512 points and 2.0 Hz, respectively. These radar parameters were adopted from an operational CODAR system in the field at Monterey Bay. Range bin 7 is selected for these simulations along with an angular resolution of $5^\circ$, producing a radar resolution cell with 2 km by 3 km horizontal dimensions.
Simulated radar backscatter data are complex amplitude time series for each antenna element. Radar cross and self-spectra are given by
$$S_{j,k} = s_j s_k^*,$$
where $s_j$ and $s_k$ are the Doppler spectra collected on antenna elements $j$ and $k$ ($j = 1, 2, 3; k = 1, 2, 3$) and the asterisk indicates the complex conjugate. Antenna 3 is a monopole with isotropic ideal sensitivity pattern, and antennas 1 and 2 are crossed dipole antennas with sinusoidal ideal sensitivity patterns and sensitivity nulls oriented at $90^\circ$ relative to each other. The simulated cross and self-spectra are computed and written to a CODAR-compatible spectra data file for processing for currents.
It is assumed that the sea echo is dominated by first-order Bragg scatter and that all other contributions, including higher-order backscatter, can be neglected. The simulated backscattered electromagnetic amplitude from the sea surface is given by
$$E = \gamma \exp(i\omega_r t)[A_+ \exp(-i\Delta\omega_+ t) + A_- \exp(-i\Delta\omega_- t)], \quad \text{with}$$
$$\Delta\omega_\pm = \omega_c \pm \omega_B,$$
where $\gamma$ is a constant used to set the backscatter amplitude, $\omega_r$ is the radar transmit angular frequency, $\omega_B$ is the Doppler shift resulting from the still water phase velocity of the Bragg resonant waves, and $\omega_c$ is the Doppler shift resulting from the radial component of the current. The simulated spectra are effectively shifted to zero center frequency, and the radar frequency $\omega_R$ is not included in the simulated data. For the ocean surface, the complex amplitudes $A_+$ and $A_-$ are best described by zero-mean Gaussian random variables with variance proportional to the spectral energy of the resonant waves (Barrick and Snider 1977). Therefore, the magnitudes of both the real and imaginary parts of the simulated complex amplitudes are independent and randomly distributed in space over the simulation grid. The amplitudes are assumed to be constant over the 4.3-min sampling time typical for CODAR standard range systems. The resonant waves are assumed to result from local wind, and the wind wave energy spectrum is that described by Pierson and Moskowitz (1964) for fully developed seas.
The variance of $A_+$ and $A_-$ are set proportional to the simulated Bragg wave spectral energy. The backscatter amplitude is not critical, because it primarily affects the SNR of the resonant peaks, which is not the focus of these simulations. The scaling factor $\gamma$ is set so that the Bragg peaks in the simulated spectra are roughly equal in amplitude to those observed experimentally with CODAR systems in the field. Directional spreading of the wind wave energy is accounted for by the modified cardioid function (Longuet-Higgins et al. 1963),
$$G(\theta_r, \theta_w) = \alpha + (1 - \alpha) \cos^4\left(\frac{\theta_r - \theta_w}{2}\right),$$
where $\alpha = 0.01$ accounts for resonant wave energy opposite the wind direction, $\theta_w$ is the wind direction (toward), and $\theta_r$ is the propagation direction of the Bragg resonant waves. The spectral energy of the Bragg resonant waves is then
\[ W(\theta_r, \theta_w) = G(\theta_r, \theta_w)W_u, \]
(5)
where \( W_u \) is the spectral energy of the wind waves with wavelength equal to half the radar wavelength aligned with the wind direction, as derived from the simulated wind wave energy spectrum. This directional wave height dependence gives rise to a variation in the ratio of the signals resulting from the approaching and receding Bragg resonant waves. The simulated backscatter from the sea surface is computed assuming a uniform illumination of the sea surface. Effects of propagation loss are not included. The simulated antenna voltages were computed using either the ideal antenna pattern, measured antenna patterns from selected radar sites, or simulated distorted patterns.
The CODAR data processing algorithm requires multiple assumed independent spectra for a single inversion producing radial current estimates. Settings used to process the simulated data are typical for field systems in the California coastal region. The spectra sample size was 512 points, and the sampling rate was 0.5 s, giving a time per spectra of about 4.3 min. The averaging time for spectra was 15 min, but a 50% overlap between averaged spectra was allowed so that averaged spectra were produced at 10-min intervals. These spectra were inverted to produce maps of estimates of the radial currents over the given range arc. Seven maps were accumulated over each 74-min interval and merged, by taking the median value wherever there were multiple estimates of radials obtained for the same radar resolution cell, to produce the radial current output files. The overlap of the 74-min intervals was allowed so that output files were generated at hourly intervals.
The radials contained in the 10-min maps, referred to as subperiod radials, are generally not retained by the data processing software, but some statistics of the subperiod radials are computed and recorded with the hourly radial output files. In particular, for each radar resolution cell, the number of subperiod radials that are merged to produce the radial current estimate output and the standard deviation of those subperiod radials are recorded in the radial output files. This standard deviation is referred to by CODAR as the temporal quality and labeled “tempQual” in the radial output files. The method of merging the subperiod radials (either the mean or median function) to compute the hourly maps is user selectable in CODAR’s software. The error in the simulated radial current estimates is defined as the difference between the retrieved radial current estimate for a given radar resolution cell and the average radial component of the simulated currents within that cell.
b. Simulating the sea surface state
In defining ocean wave and current scenarios, our desire is to create physically plausible situations that lead to a variety of sufficiently complicated radial current profiles. To reasonably challenge the data inversion algorithm, these situations include cases that contain two or more azimuthal locations for some of the radial currents in the given range arc. Sufficiently complicated current patterns are obtained by defining two independent currents over the simulation grid, summed to produce the total current. The first current is defined parallel to a simulated wind with a magnitude of 3% of the wind speed, based roughly on estimates of wind-driven surface currents (Wu 1975). The wave energy and hence the radar backscatter amplitudes are related to the wind as described in the previous section. Because the SNR of the simulated data was set high enough so as not to be a factor in this study, the only expected significant effect of the wind–wave spectrum on the simulated data is its effect on the amplitude of the signal arising from approaching Bragg waves relative to the signal arising from receding Bragg waves. The dependence of this simulated current component on wind speed was chosen to roughly preserve a correlation between Bragg peak energy and currents as expected in real conditions. The value of the proportionality constant was selected to be reasonable but not thought to be important. The direction of the current relative to the wind was also thought not to be important but in retrospect should have included a clockwise rotation resulting from the Coriolis force. The maximum wind speed possible was set to about 11 m s\(^{-1}\), giving a maximum for this current component of about 33 cm s\(^{-1}\). The minimum wind speed was set to about 2 m s\(^{-1}\). The wind direction was uniformly distributed over all angles.
The second current component is independent of the wind and defined parallel to a given “shear line” that divides the simulation grid into two parts. A current speed is defined for each of these regions on the grid. A sine function is used to smoothly transition the current speed between the two regions. The minimum width of the shear region is limited to 10 km and the maximum current variation across the shear region is limited to 45 cm s\(^{-1}\). The resulting maximum simulated current shear is \(7.1 \times 10^{-5} \text{ s}^{-1}\). This is comparable to the maximum observed shear (about \(10^{-4} \text{ s}^{-1}\)) observed in the inshore edge of the Gulf Stream (Sheres et al. 1985). Although the random current scenarios generate a wide variety of radial current profiles, the maximum currents simulated are limited to about 75 cm s\(^{-1}\). Regions where very high current magnitudes are expected (e.g., the Florida Current, where speeds up to 2 m s\(^{-1}\) are
observed) are not accounted for within the work presented here and are left for future investigations.
This method of defining the current over the simulation grid requires seven parameters to fully describe the sea surface scenario. These parameters are wind speed, wind direction, slope and intercept of the current shear line, current magnitude for each of the two regions, and the width of the shear region. An example of a sea surface scenario generated in this manner and the corresponding radial current profile are shown in Fig. 1, along with selected examples showing some of the variation in characteristics of the random radial current profiles. The radial current profiles generated in this way provide a wide variety of situations that challenge the MUSIC algorithm, including variation in the rate of change in current speeds; single, double, and triple angle solution cases; weak current as well as strong current cases; and large variation in currents over the range arc. They do not contain very large currents, and they do not contain extremely sharp or discontinuous changes in current.
c. Generalization of sea surface state scenario
As discussed above, properties of the sea surface conditions that affect the retrieval of currents are limited to a single range arc. Properties of the radial currents within the arc that we consider important for this simulation study include maximum and minimum radial current, rate of change of radial current versus look angle, number of unique angular solutions for each current speed (quantized by the radar’s current speed and angular resolution), and directional energy of the Bragg resonant waves (related to the wind direction, as
Fig. 2. Histograms of measured and simulated radial current properties for a single range arc. The radar site location (or “simulation”) is indicated for each row. The columns show histograms of the following range arc properties: (a) minimum current on the range arc, (b) maximum current, (c) the difference between the maximum and minimum currents observed over the range arc, and (d) mean of absolute current magnitude.
discussed previously). Radial current data collected at several radar installations located along the California coast provide a statistical distribution of values for a selected set of range arc properties that are obtainable directly from the HF radar data records. Histograms of these properties for both actual radar sites and for an ensemble of simulated sea surface state scenarios are shown in Fig. 2. The simulation parameters used to generate the random sea state scenario were adjusted by trial and error to produce similar distributions in the simulated and observed range arc properties.
The purpose of evaluating these measured statistical properties is to guide the setting of simulation parameters to obtain a physically plausible ensemble of radial current profile scenarios that represent a subset of typical ocean conditions. In keeping with this goal, it is reassuring to observe that the statistical distributions of the quantities examined are similar for different radar site locations. The site at Santa Cruz covers an area within and outside Monterey Bay. The Point Pinos site has overlapping coverage but encompasses more unobstructed coastline. Both of these regions experience strong diurnal winds during spring and summer. The Coronado Island and Point Loma sites are located near San Diego, where the specific current and wind conditions are presumably very different. The Point Loma site overlaps coverage with the Coronado Island site but with a different orientation. Both sites have nonoverlapping coverage as well.
To estimate the number of points required for a given ensemble to approximate a generalized condition, we examined, for the simulation case, the variance of ensemble mean properties as a function of the number of points per ensemble. The results in Fig. 3 show, as expected, that the mean and standard deviation of the ensemble properties vary less from ensemble to ensemble as the number of points per ensemble is increased. When the number of points per ensemble is below about 200, the variance of the mean and standard deviation of the properties increase rapidly. Based on the plots in Fig. 3 and practical limitations on compute time and data storage, a value of 400 points per ensemble
was selected as appropriate for simulations of generalized sea conditions.
To generate the simulated spectra, sea surface state conditions for each scenario were held constant over the sampling period covered by the spectra. The process was repeated to generate 400 sets of spectra files. The parameters that determine the sea conditions of a given scenario were randomly selected for each sampling period.
4. Simulation experiments
a. Ideal antenna pattern
To obtain a benchmark for radial current uncertainty, two “best case” scenarios are examined. The first case uses a linear current profile (a radial current magnitude that is a linear function of the radar look angle), an ideal antenna pattern, and a high SNR. This simple scenario illuminates a limiting source of error; namely, the radial current resolution of the radar observation. The radial current speed resolution $\Delta v$ is dependent on the radar operating frequency and sampling time and is given by
$$\Delta v = \frac{\lambda_r}{2T} = \frac{c}{2n\Delta t f_r},$$
(6)
where $\lambda_r$ is the radar electromagnetic wavelength and $T$ is the sampling time over which a single spectrum is collected; equivalently, $n$ is the number of samples in the spectrum, $\Delta t$ is the sampling interval, $f_r$ is the radar operating frequency, and $c$ is the speed of light. For the radar parameters used here, $n = 512$, $\Delta t = 0.50$ s, $f_r = 12.1453$ MHz, and $\Delta v = 4.82$ cm s$^{-1}$. From the simulation results, the rms radial error for this scenario is 1.9 cm s$^{-1}$, with about 80% of the errors uniformly distributed within one unit of current speed resolution $\Delta v$ and the other 20% between one and two units of the resolution.
The second case examined involves generalized, random sea surface state scenarios with ideal antenna patterns and high SNR. An ensemble of 400 scenarios, with statistical properties as described in the previous section, and corresponding sets of spectra files were generated. The rms error is computed using all retrieved radial currents from a single simulated range arc from 400 hourly radials files. About 15 000 radial currents were retrieved from the 400 h of simulated spectra files.
As seen in Fig. 4, the retrieved currents are statistically similar to the simulated input currents. The standard deviations of the input and retrieved currents are...
both 19 cm s\(^{-1}\), and the mean of the input and retrieved currents are 0.12 and 0.55 cm s\(^{-1}\), respectively. The histogram of retrieved directions (Fig. 4b) shows an indication of a slight increase in the number of retrieved currents for certain angular bins near the edges of the defined sea arc, \(-30^\circ\) to \(180^\circ\). Some SeaSonde users have observed increased numbers of radial retrievals near the edges of the sea arc in real data, although this is not known to be reported in the literature and the effect seen here is possibly insignificant. The averaged number of retrieved currents as a function of radar look angle is a common diagnostic used in evaluating a given radar system’s performance. The simulated current magnitude errors (Fig. 4c) range from a minimum of \(-33\) to a maximum of 42 cm s\(^{-1}\). The skewness and kurtosis of the distribution of errors are 29 cm\(^2\) s\(^{-2}\) and 1600 cm\(^4\) s\(^{-4}\), respectively. The number of simulated radials with errors in the tails of the distribution is one factor that accounts for differences between the distribution of the simulated errors and a normal distribution. For the simulated data, the rms radial current retrieval error is about 2.9 cm s\(^{-1}\) and the rms direction error of the retrievals is 23°. The mean magnitude and direction errors are 0.43 cm s\(^{-1}\) and 0.35°, respectively. The rms direction error is larger than would be expected from looking at the plot because of the flattening of the tails of the distribution. The number of radials with very large direction errors as well as the large value obtained for rms direction error are likely related to the fact that the direction associated with a given current magnitude is not necessarily single valued. Hence, very large direction errors can correspond to small-magnitude errors.
**b. Distorted antenna patterns**
Measured antenna patterns, consisting of the complex amplitude ratios between each of the two crossed-loop elements and the monopole as a function of direction, were obtained for several radar sites within or around the Monterey Bay region, as well as from San Diego and San Luis Obispo, California. These amplitude ratios are commonly referred to as antenna loop ratios or simply as antenna patterns. Generally, antenna pattern measurements are acquired using a small boat equipped with a GPS and a transponder or a signal generator and a transmitting antenna. The boat is piloted in an arc around the radar site, covering as large a section of
angular arc as possible, at a range of about 1 km from the radar system antennas. While the boat is transsecting the arc, the receive antenna voltages and the position of the boat are continuously recorded.
The loop ratios for each of the loop antennas are recorded to a disk file used later to calibrate the radar system using the data processing software. An ideal pattern has a sinusoidal dependence on look angle for both the real and imaginary components of the loop ratios. The phase difference between the loop ratios for the two loop antennas is ideally $90^\circ$, and the phase difference between the real and imaginary components for each loop ratio is ideally either $0^\circ$ or $180^\circ$. The measured patterns contain both real deviations from the ideal pattern and errors resulting from the measurement process often observed as large, high-wavenumber fluctuations. For more information on CODAR antenna pattern measurements and the effects of distortion on the current measurements, refer to Kohut and Glenn (2003). For the measured patterns used in this simulation study, no attempt was made to separate real pattern variations from measurement errors. Hence, the patterns used may contain unnaturally large, high-wavenumber fluctuations. In spite of this, the spectral distribution of the measured patterns used (see, e.g., Fig. 5) indicates that the lower-wavenumber fluctuations dominate the distortions.
The normal method for viewing the loop ratios is to convert the real and imaginary component signals to phase and amplitude. The amplitudes of the ideal patterns then depend on the absolute value of the cosine of the radar look angle, and the phases are constant, except at the antenna sensitivity nulls, where they undergo a $180^\circ$ phase change. For the purpose of fitting an ideal function to a measured pattern, it is simpler to use the real and imaginary regime. A fit to the measured pattern is obtained by minimizing the function
$$f_n = \sum_{i=1}^{N} [L'_n(\theta_i) - L_n(\theta_i)]^2,$$
where
$$L'_n(\theta_i) = a_n + b_n \cos(\theta_i + c_n)$$
is an ideal fit to the measured pattern, $L_n$ is the measured loop ratio, $\theta_i$ is the bearing direction of the pattern measurement data, $N$ is the total number of points in the measured pattern, and $n = 1, 2$ denotes the given loop antenna. The three coefficients are the offset $a$, the amplitude $b$, and the phase $c$ of the fit. The fitting procedure is repeated for the real and imaginary parts of both loop ratios in the measured pattern. The ideal fit to a loop pattern differs from an ideal pattern in that the offsets, amplitudes, and phases of both the real and imaginary components of each loop ratio can vary independently. For an ideal pattern, the amplitudes are all equal, the offsets are zero, and the phase relationships are fixed. An example of a measured pattern and the ideal fit is shown in Fig. 6.
To increase the number of distorted patterns and the range of level of distortion in the patterns, simulated distorted patterns were generated. Simulated distorted patterns enable adjustment of the level of distortion to extend the set of measured patterns to include more extreme cases and to fill any gaps in the level of distortions in the measured pattern dataset. To generate the simulated distorted patterns, harmonic functions are first generated that approximate the amplitude as a function of angle for each of the loop ratios, given by
$$\overline{L}_1^n(\theta) = A_1 \cos(\theta + \delta \phi_{1a}) - iB_1 \cos(\theta + \delta \phi_{1b})$$
and
$$\overline{L}_2^n(\theta) = A_2 \sin(\theta + \delta \phi_{2a}) - iB_2 \sin(\theta + \delta \phi_{2b})$$
with normally distributed random deviations of the expected phase and amplitude coefficients. The mean value of the amplitudes $A$ and $B$ was set to 0.5, and the standard deviation was 0.33. The mean phases were set equal to the ideal phase values with a standard deviation...
of 28°. These values were derived empirically from observations of measured patterns. Distortions are then added to the basic amplitude functions using
\[
L_n'(\theta) = L_n'' + \sum_{j=1}^{N} C_j \cos(j\theta + \phi_j),
\]
(11)
where \( N = 350 \) sets the upper limit on the frequency of the added distortions and the harmonic coefficients \( C_j \) follow an empirically derived functional form. Both the functional form of \( C_j \) and the value of \( N \) were obtained through examinations of the Fourier transform of distortions in measured loop ratios. In this case, frequency corresponds to cycles per circumvolution (cpc) of the radar look direction. A typical example of the Fourier transform of distortions relative to an ideal fit is shown in Fig. 5 for the measured antenna pattern shown in Fig. 6. A plot of a simulated distorted pattern, along with the ideal fit, is shown as an example in Fig. 7.
c. Parameterization of antenna pattern distortions
There are many possible parameters that may be used to describe the differences between ideal fits and measured patterns; some of these include magnitude differences between the measurements and the fits, phase differences between the fits and the ideal pattern, differences in amplitudes and offsets of fits from expected values, and characteristics of the Fourier spectrum of the differences between measured patterns and fits. These parameters were each investigated for skill in predicting errors in the simulated radial current measurements. Only one parameter was found to exhibit skill in predicting simulated radial current errors, and that was the absolute difference in magnitude between the measured pattern and the fits. This result is somewhat surprising, as one might expect that deviations in the phase relationship between the loop ratios would be important. The results suggest that these phase relationships, as exhibited by the patterns examined here, are not important as long as they are well known. It should be noted, however, that none of the antenna patterns examined had such a level of distortion that the loops could be approximated as parallel. In that case, the inversion method would be expected to break down.
The skill of the distortion magnitude parameter was found to be improved when scaled by a loop ratio magnitude, defined for each of the loops as the mean magnitude of the fit over the range of radar look angles in the measured pattern. The scaled distortion magnitude parameter as a function of azimuth is given by
\[
\delta L_n(\theta) = \frac{|L_n' - L_n|}{\langle |L_n'| \rangle},
\]
(12)
where $L_n$ represents the measured loop ratios for the two loops, $\hat{L}_n$ represents the previously described fits to the measured patterns, and the angle brackets indicate ensemble average over radar look angles. The scaled distortion magnitude parameters for each of the two loops in the antenna system are then averaged together to arrive at a single antenna distortion parameter given, as a function of radar look angle, by
$$\Gamma(\theta) = \frac{1}{2}[\delta L_1(\theta) + \delta L_2(\theta)]. \quad (13)$$
The mean of this distortion parameter over all radar look angles ($\langle \Gamma(\theta) \rangle$) provides a single scalar parameter describing the pattern distortion.
d. Simulating and processing data with distorted antenna patterns
Ensembles of simulated spectra files corresponding to 400 random sea surface state scenarios were generated for each of 40 different antenna patterns. The antenna patterns included 19 measured patterns from sites located on the California coast near Monterey Bay, San Luis Obispo, and San Diego, as well as 20 simulated distorted patterns and the ideal pattern. In each antenna pattern case, the antenna response characteristics were used in computing the simulated spectra received by the radar as well as in the data processing. The simulated spectra files were processed using CODAR’s radial current retrieval algorithm and typical radar operating parameter settings. Some of the pertinent data processing parameter settings are given in Table 1. Descriptions of the data processing parameters are provided in CODAR’s documentation, which is available from the company’s Web site (available online at http://www.codaros.com).
When processing these simulated radar spectra, antenna pattern measurement data are read by the data processing software from a text file with a specific format. In practice, the angular resolution of the pattern measurement data contained within this file is left up to the user, but typically a coarser resolution is selected compared to the resolution of the antenna pattern measurement. This is done because it is generally believed that the measured patterns contain high-wavenumber noise and that the actual antenna pattern is better represented by a smoothed measured pattern. The optimal degree of smoothing has not been definitively established. For the measured patterns used here, the angular resolution of the raw data is typically between 0.1° and 0.3°. The simulated-distorted patterns were generated with a resolution of 0.1°. In generating the simulated radar spectra, the full resolution of the antenna patterns was retained. For the retrieval data processing, the patterns were smoothed by averaging to a resolution of 1°. Apart from smoothing, the antenna pattern used to retrieve the radial currents was the same as the pattern used for generating the simulated signals received by the antennas.
5. Results
a. Skill of antenna distortion parameter
For each of the 40 different antenna pattern cases, the rms radial current error is computed for all retrievals from a single range arc from 400 simulated hourly radial files. The number of simulated radial current measurements is about 13 000 for each antenna pattern case. Figure 8 shows the cumulative error distribution functions for the approximately 13 000 simulated radials for each of three selected cases, a pattern with no distortions; a measured pattern from the Naval Postgraduate School radar site, Monterey Bay, with a distortion pattern value of 0.49 (near the median of the antenna patterns investigated); and a simulated distorted pattern with a value of 1.5 (near the maximum of the patterns investigated). For the three cases, the magnitude errors below 5 cm s⁻¹ account for about 95%, 78%, and 75% for the undistorted, medium, and badly distorted cases, respectively. Similar percentages of errors accounted for direction errors of about 25°. Figure 9 shows the scatterplot of rms error as a function of antenna pattern distortion. With both measured and simulated-distorted antenna pattern results combined, a linear regression model relating the antenna distortion parameter to the rms error predicts about 88% of the variance in the rms
| Parameter | Setting used |
|----------------------------------|--------------|
| MUSIC parameter settings | 40, 20, 2 |
| Averaging time | 1 h |
| Estimated max current | 150 cm s⁻¹ |
| No. of points for running average| 1 |
| No. of frequency points | 512 |
| Factor down peak | 15 |
| Second-order processing | No |
| Factor down peak nulls | 7.5 |
| Noise factor | 4.0 |
| Coverage time | 74 min |
| Output interval | 60 min |
| Transmit frequency | 12.1453 MHz |
| Frequency increment | 0.003 906 25 Hz |
| Angular resolution | 5° |
| Averaging period | 15 min |
| Output period | 10 min |
| Thresholding | After 8 input files |
| Threshold value | 12.0 |
| Smoothing | No |
Fig. 8. Integrated error in radial current retrievals from simulated data, expressed as the fraction of data points below the abscissa value, as a function of the error magnitude for (top) current speed errors and (bottom) current bearing errors. The thick lines correspond to different antenna pattern scenarios: ideal patterns (dashed line), measured pattern with antenna distortion parameter = 0.49 (solid line), and simulated pattern with antenna distortion parameter = 1.55 (dotted line).
Error as function of radar look angle was also examined. However, the results were inconclusive. Figure 10 shows a typical example of the results obtained. As seen in the figure, no clear relationship between angular dependence of rms errors or number of retrievals and the directional features of the antenna pattern distortion function is indicated. This is somewhat surprising given the strong correlation between overall rms radial errors and the mean distortion function values. For each of the antenna patterns examined, the lack of obvious correlations is similar to those shown in the figure.
b. Subperiod standard deviation (temporal quality)
The dependence of the subperiod radial standard deviation, referred to by CODAR as the temporal quality (described in section 3a) on the antenna distortion parameter is shown, for both simulated and real data, in Fig. 11. For the simulated data, a clear dependence is indicated with a correlation coefficient of over 0.90. This is similar to the correlation observed between the rms error of the retrievals and the antenna distortion parameter.
Fig. 9. Scatterplot of the simulated rms radial current error vs the antenna pattern distortion parameter. The open symbols correspond to results from using measured antenna patterns, with the region of the radar site indicated by the legend. The asterisks correspond to results with simulated-distorted patterns. The correlation coefficient given is for measured and simulated-distorted pattern results combined. Individually, the correlation coefficient for the measured antenna pattern results is 0.751; for the simulated-distorted pattern results, the correlation is 0.939.
The real data, obtained from several field sites in the Monterey Bay region, are approximately month-long time series. Plotted are the mean values of the subperiod standard deviation over all times and angular resolution cells within the third range bin. Range bin 3 was selected for this analysis as a compromise between maximizing SNR and preserving a somewhat similar relationship between the size of a range/azimuth cell in the real data and in the simulated data. The field site data all demonstrate higher mean subperiod standard deviation than those obtained from the simulation results, and no correlation is apparent between the mean subperiod standard deviation and the antenna distortion parameter. These results are surprising and not completely understood. The higher than expected mean subperiod standard deviation values and lack of correlation may be due to effects of lower SNR of specific measurements (possibly because of interference from higher-order scatter, ship echoes, or other sources), real temporal variability in the ocean currents during the sampling period of the hourly measurements, or other sources of error not accounted for in the simulation.
6. Conclusions
The relationship between errors in simulated CODAR SeaSonde HF radar–based ocean current measurements
Fig. 10. Directional characteristics of (a) mean (dashed line) and standard deviation (solid line) of errors in simulated radial retrievals, expressed as number of intervals per angular resolution cell; and (b) normalized loop ratio distortion for the two loops, loop 1 (thick line) and loop 2 (thin line), for the measured pattern with the largest distortion parameter, the Monterey Bay site located near the Naval Postgraduate School.
Fig. 11. Mean subperiod standard deviation as a function of antenna pattern distortion for both simulation results and field site data. The field site data were obtained from approximately one-month time series containing a similar number of radial retrievals as with the simulation results. The correlation coefficient for the simulated data results is $r = 0.918$.
and the associated antenna patterns used in data processing with those systems has been examined. To avoid limiting the applicability of the results to specific ocean current and wind wave scenarios, analyses are based on ensembles of simulated random current and wind scenarios that produce radial current profiles with the desired characteristics. These characteristics include large changes in the variation of current speed with azimuth and situations with single, double, and triple valued solutions for direction for a given current speed. Maximum current speeds were limited to about 75 cm s$^{-1}$. Parameters used to generate the scenarios were set so that selected statistical properties of the radial current profiles were similar to those obtained from field site data from sites along the California coast. The conclusions presented here are based on analyses that include 40 different antenna patterns, both simulated-distorted patterns and measured patterns from field sites.
For simulated radar backscatter generated under minimally challenging conditions (i.e., a linear current profile, high SNR, and ideal antenna patterns), radials produced by processing the simulated data with standard CODAR SeaSonde software, with a Doppler current resolution of 4.8 cm s$^{-1}$ and a directional resolution of 5°, were found to have an error standard deviation of 1.9 cm s$^{-1}$.
For simulated data corresponding to a large ensemble of random wind wave and current scenarios and ideal antenna patterns, the retrieved radials obtained using the same data processing method have an rms error of 2.9 cm s$^{-1}$. This level of error represents a minimum bound on the error of a SeaSonde ocean radar system, given a typical set of operating parameters and a generalized ensemble of ocean conditions statistically similar to those observed at radar sites along the California coast.
The effect of distortions in the antenna sensitivity patterns on the simulated radial current errors is examined for 40 different antenna pattern cases. The results demonstrate that the level of pattern distortion can be parameterized by comparing the real and imaginary components of the antenna sensitivity patterns with ideal fits. The antenna distortion parameter is found to be highly correlated ($r = 0.94$) with the rms error of the corresponding simulated radial current retrievals.
The mean magnitude of a data quality indicator produced by the CODAR data processing software was also compared with the antenna distortion parameter over the range of antenna pattern distortion cases. This data quality indicator is the standard deviation of intermediate values of the radial current estimates used by
the processing software to compute the final current estimates. For simulated data, the indicator is found to be highly correlated with the antenna distortion parameter \((r = 0.92)\). Because both the antenna distortion parameter and data quality indicator can be measured directly from field site data, it is possible to compare field site results with the simulation results. For field site data, no correlation between the mean data quality indicator and the antenna distortion parameter is indicated. This result is surprising and not completely understood. The results indicate that other sources of error or variability in the radial current estimates dominate over antenna pattern distortion effects in the field site data.
The results presented here indicate that antenna pattern distortions can be characterized using a single parameter that is, in the absence of other sources of error, well correlated with the errors in simulated radial current retrievals. This parameter can enable users of CODAR SeaSonde systems to evaluate the likely contribution of their observed antenna pattern distortions to errors in the system’s radial current measurements. These simulation results show that antenna pattern distortions account for an increase in rms error, even when data are processed using the appropriate distorted patterns, from about \(2.9 \text{ cm s}^{-1}\) for patterns with no distortions to about \(12 \text{ cm s}^{-1}\) for the most distorted of the patterns examined.
**Acknowledgments.** The authors thank the National Science Foundation for supporting this project under Grants 0526978 and 0526614. The authors also thank Dr. Annalisa Griffa for providing consultation on this project and its application to data assimilation; both Annalisa Griffa and Dr. GianPietro Gasparini for hosting Kenneth Laws at the Consiglio Nazionale delle Ricerche (CNR), Istituto di Scienze Marine (ISMAR), La Spezia during the scope of this project; Brian Emery and Brian Zelenke for sharing SCCOOS antenna pattern data and to Dan Atwater for sharing CeNCOOS antenna pattern data; and Don Barrick for providing an early release of CODAR software for this study.
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D - Science and Technology
| Title | Page |
|----------------------------------------------------------------------|------|
| Design and Development of Rocket Engine’s Static Firing Test Stand of the Weather Rocket: Application of Finite Element Method | 1 |
| Ariel G. Cabildo | |
| Correlation of Factors as Basis of Understanding Overheating of Induction Motors in Angeles Power Incorporated | 20 |
| Mark Angelo M. Quintana | |
| Exploration of Regulating and Accrediting Bodies’ Standards: Basis for an Internal Accreditation Framework for Engineering Programs | 32 |
| Jeferd E. Saong | |
| Nitrate and Phosphate Content Assessment of Soil and Water in an Agri-municipality in Nueva Vizcaya | 53 |
| Cajucom, Elsa L, Antonio, Gloria Vicky A, Aban, Lorna C, Catacutan, Michael S., Almendral, Regidor L. | |
| Road-FMS: Distributed Road Flood Monitoring and Reroute System with Centralized Warning Network | 71 |
| Ceferino Llamelo, Domar Anapi II, Danilo Gali Jr., Krizen Nicole Samonte, Justine Ferrer Corpuz | |
| Judicial Assimilation of the Mainstreamed Aetas of Cagayan in the Katarungang Pambarangay | 84 |
| Jedidiah Clement B. Sta. Monica, Jan Michael Vince M. Oñate, Darin Jan Tindowen | |
| Informal Sector Towards Local Development: The Case of a Component City | 102 |
| Karen Joy A. Catacutan | |
| Eco-Raincatcher: A Rainwater Harvesting System | 122 |
| Rolando Bitagun Jr., King Romel Evan Binayug, Adriel Bueno, Aldrin John Cabatingan, Mark Joseph Reyes, John Philip Rivera, Ertie Abana | |
| Enhancing Resilience: A Contemporary Approach to the Disaster-Resistant Bahay Kubo | 136 |
| Bernadette Joy Bunay, Janet Cangas, Kyla Grail Guevarra, Mesheya Joy Pascual, Yvonne Tacata, Mark Vincent Bricia, Ian James Villano, Ertie Abana | |
Design and Development of Rocket Engine’s Static Firing Test Stand of the Weather Rocket: Application of Finite Element Method
Ariel G. Cabildo
Holy Angel University, Angeles City, Philippines
Email : firstname.lastname@example.org
Abstract
The DARE-TO research for weather rocket system for environment, atmospheric and weather observation use static testing to detect faults early, fix them rapidly, foresee errors, and solve bugs before they’re coded. The most significant advantage of static testing is that it saves businesses time and money. This study compares two models of a rocket engine’s static firing test stand, designed to withstand the average thrust force generated during testing. The models utilize an MS plate as an impact plate and were subjected to simulations using SOLIDWORKS software. The simulations assessed stress concentration, displacement movement, strain, and safety factors. The results indicate that Model A absorbs more stress and exhibits greater movement compared to Model B when subjected to the same load. Model B demonstrates higher stability and a lower risk of failure, as evidenced by a higher factor of safety throughout its structure. However, under the maximum applied force, Model B shows signs of reduced safety threshold and durability. Moreover, Model A approaches the maximum strain limit. Based on these findings, Model B is recommended as the preferred design for the Rocket Engine’s Static Firing Test Stand due to its superior performance in stress absorption, movement resistance, strain limit, and safety factor distribution.
Keywords: Rocket motor stand, Rocket motor, Static test, Solid rocket motor, Finite Element Analysis
1. INTRODUCTION
The Philippine space program, which encompasses space research and development, is currently managed by the newly formed Philippine Space Agency (PHILSA) in collaboration with several departments within the Department of Science and Technology (DOST). Rockets are utilized to dispatch satellites and Space Shuttles into space. Their incredible motors allow rockets to be impacted by space at immeasurable velocities, putting them in the right circle. Holy Angel University was awarded a DARE TO (Discovery-Applied Research and Extension for Trans/Inter-disciplinary Opportunities) research grant by the Commission on Higher Education to design a weather rocket, but the rocket structure consists of a rocket engine. The rocket engine, on the other hand, is subjected to tests in facilities known as test remains before they are put into service. Given the importance of this type of testing, several critical questions arise: how well are these tests performed? How does the design survive the rocket thrust load? Are the measured metrics ascertained by these tests, such as temperature versus exposure time? What degree of certainty and confidence can be assigned to these metrics? And how do these metrics play into the decision-making of the Rocket DARE-TO researchers?
Figure 1 shows the typical rocket engine rocket engine’s static firing test procedure made by NASA for The Marshall Space Flight Center at NASA tested a miniature solid rocket motor that was supposed to look like the Space Launch System Booster for the SLS solid rocket booster, this is a cost-effective and efficient technique to test a new nozzle insulating materials.
The typical components for a rocket engine static stand are shown in figure 2. The main components are (1) the steel plate or the impact plate facing the rocket engine, where the thrust force is absorbed or resists the rocket engine thrust, and (2) the load cell. The load cell is an electronic component that sends signals to the DAS (Data Acquisition System) to measure the thrust force produced by the rocket engine. The (3) base plate serves to hold all the components of the design and to support the alignment of the (4) base angle, (5) pivot plate that holds the rocket engine (6), and the (7) support bracket that holds the steel plate. The RCS Motor stand specification is Maximum recommended thrust 2,000 lbs. or about 8.9 KN and Recommended maximum motor length 60”.
For decades, the US Army’s Redstone Test Center (RTC) conducted several static tests. The proposed design for the test stand is based on the "L" type RTC design in figure 3, but the problem is how to fabricate this kind of huge and heavy test stand if the static test is in a different area, and if the study is indoor, safety is based on the safety aspects of an indoor test stand, including the properties of acoustic noise on the test stand (Korting and Reitsma, 2012).
**Figure 3** Test stand of Redstone Test Center
Texas A&M University created yet another design for a Lab-Scale Hybrid Rocket Test Stand. Figure 4 depicts the rocket test stand. Significant individual parts are featured, including the oxidizer and inactive gas solenoid valves, oxidizer and chamber pressure diagnostics, injector port, igniter, burning chamber, load cell, straight bearing get together, and remote-control box. The oxidizer stockpiling tank has not yet appeared. (J. Thomas, J. Stahl, G. Morrow & E. Petersen, 2016). The design was established to monitor the Hybrid Rocket motor characteristics and performance in a lab-scale model. A hypothetical half rocket model was created and used to estimate fuel grains, a burning chamber, injector, and spout. The ignition chamber can accommodate fuel grains ranging in length from 5 to 12 cm, with a starting ignition port breadth ranging from 2 to 20 mm.
**Figure 4** L-Block Static Fire Test Testing Methodology
The Data Acquisition System, which includes the load cell Rocket Motor used concentrically with the Strain Gauge Loadcell to measure thrust data, is an important aspect of the test stand. Knauber illustrated the effects that thrust misalignment, e.g., canted nozzle, has on a static test stand. Thrust, as defined by Webster, is "a forwarddirected force developed in a jet or rocket engine as a reaction to the rearward ejection of fuel gases at high velocities". A load cell is a type of transducer that converts a given thrust to an electrical signal that can be acquired, stored, and analyzed. The magnitude of the electrical signal generated by a load cell is directly proportional to the amount of thrust applied to its measurement element. The load cell measurement element. The work displayed right now is engaged in precisely estimating the conveyed push of a strong rocket engine as a component of time to distinguish changes in execution. These estimates are obtained through a static test that is still using load cells. The estimation vulnerability and dynamic reaction of the framework are the primary components of concern. Testing with different rocket motors varies with different thrusts so that the test stand can resist the thrust deployed by the force of the rocket.
In the Philippine rocket study, the current rocket motor stand does not provide wide knowledge, particularly in the presence of overall design optimization and without a foundation for material and simulation selection such as stress-strain analysis made by finite elements. Test stands are arranged in deciding the working parameters and reachable exhibitions of Propellants. A rocket motor static test area is where motors might be tried on the ground, under controlled conditions. A ground test program is commonly required before the motor is ensured for flight. Ground testing is modest in contrast with the expense of taking a chance with a whole strategic the lives of a flight team.
The problem is that locally available mild steel can be used in this design and what are the design parameters to resist the thrust force of the rocket motor to have significant data for the Holy Angel University Weather Rocket study? Additionally, there are a predetermined number of tests that can be tried, and both financing and test run time include some hidden costs. Rocket study is very expensive in terms of testing, so the design is to be tested through further studies, as the selection of materials and the subject for simulation. This work will intend to analyze the rocket engine test stand that represents the impact of a test for rocket engine prototypes, ROCKSIM simulation was used to verify up to 2,000 pounds of thrust force, which was compared to BURNSIM simulation and validated by NASA (Glenn Research Center Isentropic Flow and Mass Flow Calculator). To observe the ability of the structure to meet the demand safely.
The proposed two model designs are simplified models to optimize the selection of the material, reduce the material cost, and simulate the rocket engine’s static firing test stand. This configuration can utilize both linear and static simulations. Unlike other rocket engine firing test stands that outsource design and purchase from other countries, the suggested design will only employ locally accessible materials that will be self-sustaining, can be used for a variety of motor sizes on a single platform, and can be deployed in a variety of test areas and for chemical composition verification. About the Philippine space program, the plan is to incorporate (HAU) Holy Angel University’s school of Engineering and Architecture to support the Philippine Space Science Education Program (PESSAP) here in the province of Pampanga. To be specific, the DARE TO HAU ROCKET team will develop a weather rocket to observe the weather that aims to reach at least 7km in altitude with the use of two rockets of the same size as the main vehicle. Use both solid propellants of potassium nitrate and sugar.
The selection of material is a primary concern in this study, particularly the thrust plate, Material choice is a stage during the time spent planning any physical article. With regards to the item plans, the fundamental objective of material determination is to limit cost while meeting the item's execution objectives. Computation for material testing is based on the tensile strength of the materials. Tensile strength is defined as the maximum
load that a material can support without fracture when being stretched, divided by the original cross-sectional area of the material. The mechanical properties of metals are those that have to do with the material's ability to resist mechanical forces and burdens. Quality, solidity, flexibility, pliancy, pliability, fragility, pliability, strength, versatility, creep, and hardness is all mechanical properties of metal.
The choice of legitimate material for fabrication is one of the most troublesome issues for engineers. The best material is one that serves the ideal target at a reasonable cost. The accompanying elements ought to be considered while choosing the material: Availability of the materials, suitability of the materials for the working conditions in service, and the cost of the materials. Carbon steel is a type of mild steel that is commonly used in the Philippines. It is general-purpose carbon steel that is easily machined and welded and can be solidified through carburizing and other surface-solidifying techniques. This grade of steel may be welded by all normal methods: low-carbon electrodes are recommended. Mild steel is an iron and carbon-based ferrous metal. It's a low-cost material with qualities that make it suited for a wide range of technical tasks. Explicit assembling controls are utilized for surface planning, compound arrangement, rolling, and warming procedures. Each of these procedures results in an unrivaled quality item suitable for manufacturing procedures such as welding, producing, penetrating, machining, cold drawing, and warmth treating. According to research by Case et al. (1999), most engineering components fail due to stress. Stress analysis is an important part of engineering science also, Stress is a response to a force acting on a material's or object's unit area. When the force applied exceeds the object's capacity, an internal reaction will result in deformation or failure (Stress: Definition, Importance, Types, Examples, and Benefits, n.d.). The component under stress can range from the legs of an integrated circuit to the legs of an offshore drilling rig, or from the pressure hull of a submarine to the fuselage of a jumbo jet aircraft. To determine the stress absorbed in the structure, there are many techniques to assess the model. The basic principle behind this is stress analysis. Stress is calculated by dividing the force by the area of its generation, and because this area ("A") can be either sectional or axial, the basic stress formula is "σ = F/A". The combination of stress analysis, fatigue analysis, and accelerated durability testing yields an indicator of device structural reliability. Finite element analysis (FEA) on a high-performance computer system is commonly used for stress analysis and to find vulnerabilities in their design prototypes. FEA uses the finite element method (FEM) is a numerical approach for calculating the device's maximum stress and strain under specified boundary and loading conditions. The FEM includes verification and validation to establish the accuracy and credibility of the stress analysis results. The ASME standards committee's general guideline for FEM verification and validation is a valuable resource to consider when creating a device FEM verification and validation plan.
By breaking complex issues down into smaller, simpler pieces, Finite Element Analysis (FEA), a numerical technique, can solve difficult problems in engineering and physics. It is a computational technique that reduces physical systems or structures to their constituent finite parts in order to approximate their behavior. Each component is governed by mathematical equations based on the laws of physics and mechanics and represents a discrete fraction of the bigger system.
Structural analysis, heat transfer, fluid dynamics, electromagnetics, and other disciplines employ FEA extensively. When examining systems with complex geometries, material properties, and boundary conditions, it is especially helpful. Stress, strain, displacement, temperature distribution, and other characteristics can be calculated using
FEA by discretizing the system into smaller parts and simulating the behavior within each element.
To determine structural modes of a rocket engine’s static firing test stand while varying equipment orientations Finite element analysis (FEA) is the strategy for utilizing virtual reproduction innovation to test how an item configuration responds to physical impacts, including twisting, heat, vibration, liquid streams, and different effects. With FEM reenactment devices, you can assess structures from the get-go in the planning cycle, figure out what will cause untimely disappointments, rapidly investigate configuration changes to lessen cost and weight, and decide the item's factor of security (Favato & Magalhãe, 2015). Finite element analysis is a powerful tool for engineers, particularly mechanical engineers, who use it to simulate physical models ranging from simple to complicated. In the engineering industry, there are many different forms of finite element analysis software, but a qualified mechanical engineer or FEM simulator should be familiar with at least one of these programs to produce accurate simulations of real-world engineering systems. In addition, the software that is chosen should be tailored to the researcher's profession. One of the software products certified by the Aerospace Standards Committee (NL) is Solidworks Simulation (Get the Facts about Simulation Accuracy, 2019). Holy Angel University's Mechanical Engineering department adopted Solidworks software in 2016, which includes 3D modeling and analysis, which was used to implement this study. SOLIDWORKS Simulation is an arrangement of investigation devices that utilizes FEM to foresee an item's true physical conduct by testing CAD models. The portfolio conveys straight, non-direct static and dynamic investigation arrangements isolated into three items: Simulation Standard, Simulation Professional, and Simulation Premium, every one of which adds simple-to-utilize capacities to take care of perpetual testing issues. Some material testing incorporates a few methods, such as damaging testing to locate the attribute of a specific material characteristic. Testing on materials can be categorized as destructive or non-destructive. In destructive testing, a material sample is subjected to force until it fails or breaks. Non-destructive testing exerts force on the material sample but releases it before the substance is irreparably harmed (tec-science, 2018). The Universal Testing Machine can test different materials in a small example and not an entire machine plan, by measuring and analyzing the performance of raw materials and component parts under various compressive or tensile stresses, universal testing machines are used to assess the physical and mechanical qualities of raw materials and components. Simulation has a feature that can manipulate the entire machine design and predict the machine's weak spot so that it can be in numbers. Because mild steel is subject to testing for the thrust plate of the Test Stand, mild steel material is known for its adaptability; therefore, a stress examination must be conducted, and others must be included in the examination. In an experiment done by Alhassan et al., 2020, the mechanical characteristics of mild steel, galvanized iron, and stainless steel under tensile and flexural loading were examined.
2. Objectives
Since static testing is a significant job in rocket study, testing of rocket engines on a test stand centered on sway or the push sent by the rocket engine with the nearness of numerous structures to be thought about, for example, design support and choice of materials to be tried, the accompanying goals were made for the design of the test stand:
1. To design and simulate the rocket engine’s static firing test stand using structural steel materials such as MS Steel Plate particular in the impact plate.
2. To test the structural behavior of the designed firing stand using finite element method against the pressing loads, displacement, and strain developed while the rocket engine was under static firing test and the temperature to which all components were exposed regarding the time of exposure.
3. To compare two model rocket test stand models' durability with the same condition and determine the model that best fits the requirement for the rocket engine's static firing test stand based on a factor of safety threshold.
3. Materials and methods
This section should provide enough detail to allow full replication of the study by suitably skilled investigators. Protocols for new methods should be included, but well-established protocols may simply be referenced. Simulation of the static test using the Finite Element Method was conducted for this study using Solid works: a.) design the rocket motor test stand to consider the rocket motor size and other parameters and b.) Finite Element Analysis is used to determine the stress plot and the natural frequencies of the rocket motor test stand to evaluate the impact force given by the rocket motor.
| Selection of Material | •Parameters to be consider from the Researchers study |
|-----------------------|-----------------------------------------------------|
| Design Consideration | •Define the requirements for the model |
| Structural Design and Boundaries | •Design using solidworks |
| FEM | •Create static simulation for the design |
| Test and Validation | •Test the results •consideration of factor of safety |
| Conclusion | •Sumarize all the results |
Figure 5 a method for structural design and Analysis
The structural design and analysis of the Rocket Motor Test Stand have comprised of six (6) procedures, which are as follows:
A. Hypothetical Approach for the Selection of Materials The solutions presented in this research were obtained through considerations and hypotheses. The considerations were made due to the load’s orientation applied to the structure and the boundary conditions. The hypothesis will be presented with a variation in the impact plate mounts’ model and thickness. In materials science, the quality of a material is its capacity to resist an applied load without failure or deformation. The stress made by the thrust force can be calculated using the true stress applied to the load divided by the actual cross-sectional area (the changing area concerning time) of the specimen at that load. The load was applied to a load cell area.
Model A and Model B initial parameters are subject to calculation with free determined locally available mild steel materials. The stress and ultimate strength or maximum force of the material can resist without fracture. The formula is based on the strength of the material. The formula derived from the normal stress replaces the yield stress with the normal stress to calculate the maximum force applied to the plate, which is proportional to the product of yield stress and cross-sectional area. Maximum Force and Thickness of the Plate: to calculate the maximum Load, \( P = \text{yield stress} \times \text{Area} = \sigma \times A \) and the Shearing Stress, \( V = \text{Thickness} \times \text{Area} = t \times A \), where: \( \sigma \), Stress in MPa, \( P \), Thrust Force in N, shearing stress is caused by forces parallel to the area resisting the force. \( V \), and \( A \), Area of the impact plate in mm². The rationale for the parameters in modeling SOLIDWORKS is that the cumulative load is compared to the thrust power of the rocket motor, and the measured maximum force must be greater than the estimated one, considering the Safety Factor as well.
B. Design Consideration The clamp of the rocket motor for the two models is based on the circumference of the normal diameter of the rocket motor of the Weather Rocket shown in figure 4 with a dimension of 127.5 millimeters. Another dimension is the 1000-millimeter length of the motor. The important thing to consider is the center-to-center position of the rocket motor in the load cell and how easy to install the said transducer. The thrust force estimated for the Aluminum 6061 rocket motor and mild steel rocket motor with solid propellant of potassium nitrate and sugar is based on the ROCKSIM software simulation, which was compared to the BURNSIM software simulation and certified by NASA (Glenn Research Center Isentropic Flow and Mass Flow Calculator). And Richard Nakka’s parameter threshold for combustion temperature of 1260 °R to 1800 °R.
Before the main simulation for the rocket engine’s static firing test, there was a simulation based on computed design parameters of the rocket that are in close agreement with the parameters and safety threshold. Stated by a group of researchers, the HAU rocket team, using the same potassium nitrate and sucrose as a propellant. The characteristics of the manufacturers of such propellants have set the parameters and safety thresholds that are used as the basis for the computation of our parameters.
**Figure 7** Simulation parameters for weather rocket.
In figure 7, the data from given potassium nitrate and sucrose as a propellant was verified using the ROCKSIM software simulation, which was compared to the BURNSIM software simulation and certified by NASA (Glenn Research Center Isentropic Flow and Mass Flow Calculator) was used to validate the results of the parameter computation. Mass Flow Rate, Weight Flow Rate, Pressure, Temperature, and Density Ratios, Expansion Ratio, and Mach Number are all in near agreement, if not identical. The threshold demand for the Weather rocket is up to 2,000 lbs of thrust. The total impulse is 3,010.07 lbf-sec and 2,511.57 lbf-sec and the burn time are 3.01 sec and 2.34 sec. The actual simulated average thrust value from ROCKSIM and BURNSIM software are 1,000.02 and 1,305.68 lbs.
**C. Structural Design and Boundaries**
Figure 8 represents the Model A, which is made up of four (4) parts: (a) the impact plate is 18 mm thick for the thrust force, and where the load cell is installed, the impact plate is made of mild steel, specifically AISI 1020, and is welded to the test stand’s base frame with an E6013 welding electrode. (b) The test stand’s base is made of a beam with dimensions of 200 x 102 x 9 millimeters. The anchor nails connect the whole test stand to the ground and transfer different types of loads, i.e., tension forces and shear forces. I-beam is made from mild steel A36 ASTM. The welding process specification is full weld all around end connection using E6013. (c) the clamp for the rocket motor is made of mild steel, and the adjuster is perpendicular to the base to make the clamp center to center to the
load cell (d) the braces to support the whole model, braces made from 50.8 x 50.80 x 2 in millimeter angle bar is material, an angled shape with corners inside the radius, suitable for all structural applications.
**Figure 8** Design for Rocket Motor Static Firing Test Stand Model A
The Model B Shown in figure 9 has the same frame and materials as Model A. The main difference is the impact plate thickness increased by 25 millimeters and bolted to the frame with 10 pieces of M12 x 1.50 x 75 mm. The clamp is made from A36 Seamless pipe (III) with 150 mm nominal diameter schedule 40 and 50mm x 50mm x 3mm square tube to center the motor in the load cell, an additional brace (IV) welded at the back of the impact plate to support the thrust force made of the rocket motor.
**D. Finite Element Method**
The computational methodology used was based on FEM, so it is segmented into determining the type of element, developing the mathematical model, executing the model discretization, and analyzing the results, to interpret the result precisely through the FEM solver. Figure 10 depicts the steps to be taken for the finite element analysis, with the CAD model created in SOLIDWORKS 3D model. Create a mesh. The finite element mesh is used to segment the CAD model into smaller domains known as components, over which a series of equations is solved. These equations represent approximately the leading equation of interest through a set of polynomial functions described for each element.
**Figure 10 Finite Element Method Procedure**
The discretization of the model was accomplished by 1D elements. The precision that can be achieved in any FEM model is directly related to the mesh used for finite elements. The mesh of finite elements is used to subdivide the CAD model into smaller domains called components, over which a series of equations is solved. Such equations represent the governing equation of interest roughly through a set of given polynomial functions over each variable. Apply boundary conditions; A Neumann boundary condition, also known as a second-type boundary condition, is one that determines the value of the function's normal derivative. For example, if a heater is attached to one end of an iron bar, energy is added at a steady rate, but the exact temperature is unknown. For this study, the heat produced by the engine is located at the end of the nozzle.
The factor to be included in the simulation is the maximum thrust load on the computation that generates the stress and temperature to the structure. The fixing screws and the engine mount were represented by one-dimensional elements. The plate type element should be used when one dimension, commonly known as thickness, is significantly smaller than the other dimensions. The mathematical model of the structure was discretized utilizing plate-type elements by this. A quadrilateral element, on the other hand, is a fuller and more refined element than a triangle element. Thus, the main element used to discretize the model will be the impact plate. However, at an almost negligible magnitude, it also used frame elements due to geometrical difficulties. The curvature mesh will be utilized to produce the finite element mesh and depicts the final mesh used for the analysis shown in this study. The maximum size of the element will be decided. Before arriving at this mesh, tests were run and meshes were constructed by changing the element sizes.
The researcher should also be aware of all the physics related to the problem, the properties of the materials, the loads, the constraints, and any elements that may affect the interesting results. For example, the properties of the material and the load may not always be understood precisely. During the modeling process, it is important to keep this in mind, as there is no benefit in trying to solve a model with greater accuracy than the input data allows it to be solved. The FEM solution is based on Von Mises. Von Mises’s stress is a factor used to assess the yield or fracture of a given element. It is mostly used in ductile materials, for example, metals. Visualization and interpretation of results. The theory states that when the von Mises stress is equal to the stress limit, a ductile material begins to yield.
at a spot. In most cases, the yield strength is used as the stress maximum. In addition to the considerations, the location of the loads and contains define the service environment of the model A and B, for each restriction or load defined on one or more entities, create a fixture or external loads such as the weight of the rocket engine and the temperature of the environment where the test is performed. The fixed elements that will be considered in the simulation study are represented by the anchor nails.
E. Test and Validation
For the hypothesis of loading in respect to the probable inclination of the thrust generated by the motor movement for Model A and Model B, a static linear structural simulation was used to compare the two models. Another possibility investigated was obtaining a curve variation of the highest Von-Mises stress for a load variation in the structure's worst loading condition in the Impact Plate and the rocket motor clamp. This hypothesis will be evaluated by exploring the behavior of the structure in a possible fracture. In the hypothesis for Model A & B, it was established that during the test there would be no problems with misalignment with the rocket motor test stand and the rocket motor mount assembly. Accordingly, the entire load was applied to the area of the load cell, and the distribution of the heat by the rocket engine also affected the whole design about time exposure. The setup is shown in Figure 11 for Models A and B.
The modal analysis was carried out with boundary conditions in mind, looking at the degrees of freedom that were appropriate for the structural constraints. When it comes to the problem of failure, the strain is thought to be the most important. The force required to achieve strain increases as the modes of movement increase. As a result, if the strain is equal to or close to the material strain, and there is insufficient energy, the deformation will not occur. Based on the stress-strain diagram performed of the mild steel the fracture strain is 0.2.
For Model A, the impact plate of 18mm is welded to the base frame of the test stand using E6013 welding electrodes under condition loading variation up to 2,000 lb loads. For Model B, an additional brace is welded under condition loading variation of 2,000 lbf loads with an impact plate of 25 mm thick and bolted to the frame with 10 pieces of M12 Consider that the factor of safety is based on rule no. 10 of the Code of Mechanical Engineering Ethics in the Philippines, and an adaptation of the Philippine Society of Mechanical Engineers (PSME) code. The factor of safety for bolted and welded joints must be not less than 5 and a joint efficiency of 0.85 for both models. However, a factor of safety of less than one indicates a high probability of failure. The amount of stress that is within the allowable limit is represented by a factor of safety greater than one.
F. Conclusion
This is where the inference is drawn from the analyzed results, this is also the description of the research's key points. It also reveals the importance of the data examined and raises recommendations.
4. Results
The simulation applied to each model was based on the simulation of the propellant average trust. The actual simulated average thrust values from ROCKSIM and BURNSIM software were 1,000.02 and 1,305.68 lbs and the target thrust force of 2,000 lbs. The following figures are the actual simulated values for stress, displacement, and the factor of safety. Also, the maximum impact due to the maximum impulse was simulated.
The data from the simulated stress impacts of 1,000.02, 1,305.68, and 2,000 lb. force directly to the impact plate of an 18mm MS plate is colored violet arrow, and the boundary conditions assumed fixed are in color green arrow in Figure 12, and the maximum stress in Mpa was (a) 1,467.255, (b) 1,638.804, and (c) 1,949.279, respectively, and was primarily located at the anchor nail support. The heat generated at a combustion temperature of 1800 °R according to Richard Nakka's parameter threshold was simulated, and the heat was distributed centrally in the motor handle. Temperature are all important elements in determining the mechanical characteristics of the metal. These characteristics work together to influence how the metal reacts to the stresses it encounters in operations.
The data from the simulated movement due to 1,000.02, 1,305.68, and 2,000 lb. force directly to the impact plate of an 18mm MS plate, colored violet arrow in Figure 13, the displacements are (a) 51.58, (b) 56.68, and (c) 65.49mm, respectively. The structure's movement, as well as the vibration of the impact, are highlighted in red and were determined to go right side and penetrate through the grounds due to the force directly to the impact plate.
The data from the simulated stress impacts of 1,000.02, 1,305.68, and 2,000 lb. force was limited to the factor of safety (FOS) of 5, all colors light blue to red shown in
Figure 14 is below the expected safety factor of 5 and the minimum factor of safety distribution are (a) 0.147, (b) 0.164 and (c) 0.124 respectively.
The data from the simulated stress impacts of the same amount of force directly to the impact plate of a 25mm MS plate is colored violet arrow, and the boundary conditions assumed fixed are in color green arrow in Figure 15, and the maximum stress in Mpa was (a) 206.760, (b) 269.725, and (c) 420.982, respectively, and was primarily located at the braces back support.
The data from the simulated stress impacts of the same amount of force directly to the impact plate of a 25mm MS plate is colored violet arrow, and the boundary conditions assumed fixed are in color green arrow in Figure 16. The movement of the structure can also the vibration of the impact are highlighted in the color red. The measurements are (a) 0.10, (b) 0.13 and (c) 0.20 respectively.
The data from the simulated stress impacts with the same amount of force was limited to the factor of safety (FOS) of 5. All colors from light blue to red are below the expected safety factor of 5. All structures were simulated and above the considered factor of safety.
**Table 1** Comparison for both models with same amount force simulated.
| Model | Stress Mpa | FOS |
|-------|------------|-----|
| | 1,000 lbf | 1,306 lbf | 2,000 lbf | 1,000 lbf | 1,306 lbf | 2,000 lbf |
| Model A | 1,467.25 | 1,638.80 | 1,949.279 | 51.58 | 56.68 | 65.49 | 0.164 |
| Model B | 206.760 | 269.725 | 420.982 | 0.10 | 0.13 | 0.20 | 1.17 |
Table 1 shows the comparison of the two models based on the same thrust force condition when the thrust force is applied. These values are estimated by the simulation of the solid work. They obtain the maximum stress at the main support for model A at the front, and for model B, they find the maximum stress at the back brace support. The vibration movement of structure model A or the displacement due to the impact of the thrust force is determined at the vertical platform where the 18 mm welded is shown in figure 13. The movement of the Model B structure due to the thrust force is negligible. However, there is movement or vibration that can be found in the structure that can affect the material behavior. This is found in Figure 16. Also, table 1 shows the specific factor of safety distribution shown in figures 14 and 17. A factor of safety of less than one indicates a high probability of failure. The amount of stress that is within the allowable limit is represented by a factor of safety greater than one. This shows that model A has a significantly lower FOS distribution than model B, which shows primary damage to the motor support and impact plate braces that can decrease the durability of the structure.
The durability of the two-model base on the maximum impact at the first second of the rocket motor was determined by the impulse of 3,501 lbf-sec and was loaded and simulated by both models; the force applied was 3,501 lbf-sec divided by 1 sec, which gave 3,501 lbs, and the green to red highlight in Figure 18 shows the safety factor of 5 being below the threshold. Also, the strain based on the material beginning to deform and decrease its durability was simulated through the maximum force in Figure 19. Model A has a 0.013, while Model B has a 0.001. The peak strain for mild steel to begin to stretch and not go back to its original dimension is 0.02. Model A is close to the threshold in terms of strain.
6. Conclusion
The two models were designed based on the rocket motor design parameters using an MS plate as the impact plate that can go through the average thrust force. The average thrust force was simulated using the ROCKSIM and BURNSIM tools, and the stress concentration was simulated using SOLIDWORKS by the finite element method, which can also affect the MS plate structure's vibration or displacement movement and strain. With the factor of safety data, this simulation shows that thrust events may be identified by a Von Mises stress, which is a value used to assess if a specific material would yield or fracture. The temperature also generated through the time of exposure can affect the safety threshold in the structure, particularly in the motor support.
Both models apply the same amount of force as determined by the structure's behavior. The stress absorbed is directly proportional to the MS Plate structure's force impact. When the force increases, the stress also increases. They obtain the maximum stress at the main support, for model A at the front support, and for model B, they find the maximum stress at the back brace support. With the results observed in Figures 12 and 15, analyzing the stress absorbed in both structures, the stress is highlighted in red. Model A has a red color highlight in its structure than Model B. This estimate that Model A has more stress absorbed than Model B based on the same load applied in Table 1. The movement based on figures 13 and 16, analyzing the displacement in both structures, determined that the movement caused by the applied force can also cause the vibration of
the structure. Movement occurs in parallel to the force acting on it from left to right and penetrates the ground. Model A has more movement than model B. The movement of Model B is negligible, and the numbers in Table 1 indicate that Model B is more stable than Model A when the force is applied. The safety threshold for both models is set at 5. Analyzing the FOS structure in Figures 14, 17, and 18, demonstrates that Model A has a lower FOS of 5 within its area than Model B, even though the Model B has a FOS of 5 for all its areas, which means that model B reduces the risk of failure of the structure more than model A. Also verified in figure 18, when applying the maximum force of 3,501 lbs. The Model B begins to have a specific red highlight in the back support braces. This is an indication of lowering the safety threshold of 5 and its durability. It also determined and justified the deformation in Figure 19. It shows the maximum strain in the material used was 0.02 and model A was close to the maximum strain consideration.
By comparison, based on the results, Model B is the recommended design for the Rocket Engine’s Static Firing Test Stand based on the results of stress absorbed by the structure, the movement of the structure when the force is applied, the maximum strain, temperature absorbed in the time of exposure, and the factor of safety distribution measure threshold based on the finite element method.
For future fabrication ensure that all design parameters are considered for the fabrication and supervised by the designer and ensure that the testing site is monitored by a safety officer. The model configuration can add some fixtures to the model B structure. Based on the simulation, the movement of the structure is from left to right, or parallel to the rocket nozzle head. Additional weights at the back and front of the rocket engine’s static firing test stand can reduce the movement of the structure.
7. Acknowledgements
This work was supported by the DARE-TO ROCKET Team of Holy Angel University, Philippines, and Commission on Higher Education DARE TO (Discovery-Applied Research and Extension for Trans/Inter-disciplinary Opportunities) Research Grant
8. References
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9. Author Biodata
Registered Mechanical Engineer, certified solid works professional. Currently an assistant professor under the Mechanical Engineering Department of Holy Angel University. Completing his Ph.D. Degree in engineering management at Nueva Ecija University of Science and Technology (NEUST). He focuses on design and Fabrication, research interest from design and development of machines and rocket propulsion projects.
Correlation of Factors as Basis of Understanding Overheating of Induction Motors in Angeles Power Incorporated
Mark Angelo M. Quintana
Holy Angel University, Philippines
Email: email@example.com
Abstract
In Angeles Power Inc., it was found out that the induction motors, that serve as pump drivers for the cooling system of its diesel gen sets have recorded high surface temperatures which is normally associated with high power consumption. To determine the possible cause of such high surface temperature, the operating condition of the motors were assessed by testing the various factors that may be observed as it operates. These factors include the quality of the input voltage, the quality of the induced current, the motor speed while carrying a load, and surface temperature when running under load. For safety purposes, the motors which operate at 440 V where not considered leaving the nozzle cooling motor the only motor for testing since it operates at 230 V. By setting up a simulation experiment focusing on the nozzle cooling motor, the different factors were measured and gathered. By calculating the correlation of these factors, it was found out that the probable cause of the increase in the surface temperature is the quality of the voltage supplied to the motor after the correlation between the two stood out among the other correlations of all the parameters considered in the study.
Keywords: Overheating, Induction Motors, Correlation, Voltage Unbalance, Surface Temperature
1. Introduction
Induction motors, the most common type of AC motors used in everyday applications, are mainly used in water pumps, kitchen appliances, fans and air conditioners, automobiles and common industrial machinery like boiler pumps and compressors. Though they are less efficient as compared to synchronous motors, this drawback is compromised by its simple construction which requires less maintenance. In addition, the flexibility of induction motors, according to Abdullah (2017), allows them to match the load demand for almost any type of electrical application.
In power generation, particularly in Diesel Power stations, one specific role of induction motors is to drive pumps which provide cooling to the peripherals of the engine. According to Chetwani (2005), induction motors are critical components in many power stations that is why the safety, reliability, efficiency, and performance of this motors should be given much attention.
It is normal for motors to heat up since all rotating electrical machines generate heat because of the electrical and mechanical losses inside the machine (Csanyi, 2011), but operating on high temperatures can harm electric motors (Bishop, 2013). Whenever heat is increased in the motor’s periphery, particularly on the windings, copper loss will increase as well resulting to decline in efficiency. Aside from this, excessive heat also causes physical damage to the motor. This was further emphasized by Wiedenburg (2003) that the fundamental reason for the most common motor failures such as bearing and winding failures is excessive heat.
According to NEMA (National Electrical Manufacturer’s Association), a motor can only operate within a specified temperature – this is known as the operating temperature. Operating temperature is the sum of the reference temperature, allowable temperature rise, allowance for "hot spot" winding. Allowable temperature rises are based upon a reference ambient temperature of 40 °C, which is the temperature of the air surrounding the motor.
NEMA specifies letter designations for motor insulation temperature ratings. These insulation temperature ratings are denoted as Class: A=105°C, B=130°C, F=155°C, and H=180°C. Further, NEMA specifies allowable temperature rises for motors at full load (and at service factor, if applicable).
Adding the NEMA allowable temperature rise of 105°C (for a Class F insulated, 1.0 S.F. motor), to the reference ambient temperature of 40°C, results in a total operating temperature for the motor of \((105+40) = 145°C\). The allowable temperature rises for motors are based upon a reference ambient temperature of 40 °C.
\[ \text{Operating temperature} = \text{ambient temperature} + \text{Allowable temperature rise} \quad (1) \]
\[ + \text{hot spot winding allowance} \]
Motors are designed to operate in a maximum ambient temperature of 40 °C (McFadyen, 2013). “As a general rule of thumb, insulation life doubles for each 10° of unused insulation temperature capability. For example, if you design a motor to have a total temperature of 110°C (including ambient, rise, and hot spot allowance), but build it with a Class B (130°C) system, an unused capacity of 20°C exists. This extra margin raises the expected motor insulation life from 20,000 hr to 80,000 hr.” (Cowern, 2002)
But on a different perspective, “The insulation life is cut in half for every 10 °C of additional heat to the windings. As an example, if a motor that would normally last 20 years in regular service is running 40 °C above rated temperature, the motor would have a life of about 1 year” (Wiedenbrug, 2003).
In terms of heat loss, copper loss which varies directly with the value of the input current should also be accounted. It should also be considered that the resistance the stator windings may also increase if the surrounding temperature becomes high. This is mainly because of the friction within the machine and the ambient temperature. This is known as heat loss. From equation (2) if the resistance (R) increases, the copper loss will increase as well.
\[ \text{Copper Loss} = 3 \times I^2 \times R \quad (2) \]
Aside from the effects of temperature, the quality of power supplied to the induction motors which is represented by the product of the current and voltage in the terminals of the motor should also be accounted. Since motors are built with windings of balanced impedances, it is important that they are supplied with balanced voltage and current.
According to the US Department of Energy, voltage unbalance has negative impact on the motor’s performance and consequently shorten its life span. This is because voltage unbalance can cause current unbalance. This will then yield to torque pulsations, increased vibrations and mechanical stresses resulting to greater electrical and mechanical losses, and hence, lower efficiency.
Based on this article from IEEE, “Voltage unbalance takes place when the magnitudes of phase or line voltages are different and the phase angles differ from the balanced conditions, or both.” This article presents the three mathematical definitions of
voltage unbalance by NEMA and IEEE in comparison with the True Definition which considers the effect of phase sequence. It was found out that the approximations formula by NEMA gives a good approximation to the true definition. The NEMA approximation formula, can therefore be used to calculate reliable data for determining voltage unbalance.
\[
\% \text{Voltage Unbalance} = \frac{\text{maximum voltage deviation from the average line voltage}}{\text{average line voltage}}
\]
(3)
When motors are supplied with unbalance voltage, current unbalance will also follow. In reality, a perfectly voltage-balanced circuits are not possible as emphasized in the article, “Unbalanced Voltages and Electric Motors: Causes and Consequences”. This why NEMA recommends a voltage unbalance of less than 1% when operating poly-phase motors.
With an unbalanced voltage supply, the induction motor’s rotor temperature will increase and thus the losses as well. This will result to a greater drop in speed making the motor turn a little more slowly and do less work in each time. That speed drop is known as the ‘slip’ which is a good indicator on how well the motor is performing under load since it indicates how much speed was lost during its operation.
\[
\% \text{slip} = \frac{\text{synchronous speed} - \text{motor speed}}{\text{synchronous speed}}
\]
(4)
Voltage unbalance is not constant and varies at some point depending on the use of equipment on a given instant e.g., lightings and welding machines, that is why the monitoring and data gathering must be done over a long period of time. Not only voltage unbalance must be monitored but all other factors that are relevant to the operation of induction motors.
Angeles Power Inc. (API), a diesel power plant with an installed capacity of 40 MVA serving as both substation and back-up power source for the Angeles city distribution system, has five generator sets with rated output of 5.3 to 5.5 MW, each driven with Diesel (Sulzer) engines with rated speed of 514 to 600 rpm. It makes use of induction motors as drivers for the pumps of the cooling system and heat exchanger for the operation of their Diesel (Sulzer) Gen-Sets. These induction motors are collectively known as auxiliary motors.
These auxiliary motors are located just a few feet away from the diesel engine, and as a result, the heat being exhausted on the diesel engine’s body, which rises to 75 °C, affects the surrounding temperature of these auxiliary motors. These motors were observed to have exceeded their operating temperatures even though the ambient temperature is still way below 40 °C.
When the operating temperature was calculated by adding the body temperature, the winding temperature and the ambient temperature, the operating temperature for each motor was found to have exceeded their insulation capacity in the first hour. The operating temperature continued up until the fourth hour. This may cause damage to the windings. It may also lower its resistance causing higher copper loss resulting to lower efficiency.
According to the Electrical Maintenance Section at API, the current practice is that the motors are ensured to be operating in good condition (such as voltage, current, insulation, alignment) after they have undergone repair or reconditioning, and have had
been reinstalled. Since the diesel gen sets are on standby operation, the operation of these motors will also follow. During operations, an operator (known as the auxiliary tender) is tasked to roam around the auxiliary area on an hourly basis, ensuring that everything is operating well. But since there are no monitoring tools employed on the auxiliary motors, only visual inspection is practically being done.
With monitoring systems for induction motors yet to be integrated in API’s current practice, no data is available as baseline data aside from the data gathered from April 9 to 24, 2018. With the use of a more recent data for factors such as temperature, voltage, current and speed; and analyzing them through correlation, the probable cause of overheating of induction motors at API may be identified.
2. Objectives
The main objective of this study is to establish a basis for understanding the overheating of induction motors in API through correlation of the input current, voltage, operating temperature, and motor speed. The study particularly aims to achieve the following:
1. Measure the input voltage and current, and motor speed of induction motors
2. Monitor the winding and surface temperature of motors in response to ambient temperature
3. Calculate the percent of voltage unbalance using the measured input voltage
4. Calculate the percent slip in synchronous speed of the induction motors
5. Assess the operational condition of the induction motor based on the percent of voltage unbalance, slip and operating temperature
6. Document current practice in managing abnormalities in current, voltage, operating temperature, and speed of motors.
7. Compare the current practice in managing abnormalities in current, voltage, operating temperature, and speed of motors to recommended standard practices
3. Materials and methods
**Figure 1 Conceptual Framework**
The data on the $x_1$ and $x_2$, $x_5$, $x_6$ and $x_8$ were measured using appropriate instruments, while the $x_3$, $x_4$, $x_7$, and $x_9$ were calculated. For data accuracy, the test was repeated several times on a given period. The environment of the test motor was controlled to simulate the operation of the actual nozzle cooling motor.
The $x_8$ was measured using a hand tachometer; a digital multimeter in AC Voltmeter mode was used to measure $x_1$; while a clamp ammeter was used to measure $x_3$. The $x_5$ and $x_6$ were measured using a thermal gun.
**Experimental Set-up**
A. Selection of Motor for Simulation
The AC motor for the simulated experiment was tested by running a light load to simulate that of a pump. When the chosen motor was initially tested, it ran at a speed of 1790 rpm at almost constant speed. There is difference in the ratings of the actual and the chosen test motor in terms of the input current, but everything else is identical. Since the %unbalance of the input current is more important than its magnitude, the said AC motor was chosen as the test motor for this study.
**Table 1** Comparison of the Nameplate rating of the Test Motor and Nozzle Cooling Motor
| Motor | Test Motor | Nozzle Cooling |
|------------------------|------------|----------------|
| Input Current per phase| 5.10 A | 10 A |
| Nominal Voltage | 230 V | 230 V |
| Power | 2000 W | 3000 W |
| Speed | 1800 rpm | 1800 rpm |
| Class | B | B |
B. Setting the Load and Motor Speed
The nozzle cooling motor delivers mechanical power that will pump water to regulate the temperature of the nozzle of the fuel injector of the diesel engine. The said load will be simulated using an ac generator which is coupled to the shaft of the induction motor. Initially, the said set-up recorded an average speed of 1790 which is a bit higher than the average 1775 rpm from the actual nozzle cooling motors. Since there is no significant change in speed with reference to the speed of the nozzle cooling motors of units 3, 4 and 5 on the data gathered last April 2018, the load, and hence the speed of 1790 will be the reference speed and all significant changes will be considered.
C. Surrounding Temperature
The surrounding temperature was simulated by incandescent bulbs. Three incandescent bulbs were used to heat up the surrounding of the motor. The maximum temp was limited to 42 degrees Celsius which is the highest recorded surrounding temperature from the data gathered last April 2018. (See Appendix A)
D. Supply Voltage
The system voltage used for the simulation is practically the same system voltage in API. This is due to the fact that API, as a substation, has feeders which directly serves commercial, industrial and residential loads in Angeles city. The same feeder also serves
the Sacred Heart Building of HAU which houses the Electrical Engineering Laboratory where the experiment was conducted.
E. Measuring Instruments
The clamp ammeter, the tachometer and the Multimeters are all available in the Electrical Engineering Laboratory, while the thermal scanner was loaned from the Plasma Laboratory of the same university. This ensures that all measuring instruments are calibrated and are in good working condition.
Statistical Analysis
The nameplate of the motor under test is shown in Table 2.
Table 2 Nameplate rating of the Nozzle Cooling Motor
| Input Current per phase | 10 A |
|-------------------------|------|
| Nominal Voltage | 220 V|
| Power | 3000 W|
| Speed | 1800 rpm|
| Class | B |
The allowable slip for induction motors depends on their size. For class B motors, the allowable slip is from 5% to 6%. Exceeding the said value is an indicator that there is a probable misalignment, or that the motor is carrying more than its rated capacity.
For over/under voltage and Current, Z-test (at 95% level of confidence) was used to test if voltage and current are still within the rated value as reflected in the nameplate of the motor. An under/over voltage may indicate that the resistance of the windings and/or the supply voltage are not balanced. Such unbalance may affect the speed and output torque of the motor as well as the occurrence of more losses in the form of copper loss (see equation 2) since a relatively higher current will naturally flow on one phase. The voltage and current were expressed as average voltage and average current, respectively.
Using the values at the column for the average voltage, Z-test was performed with a null hypothesis that the mean of the voltages does not significantly differ from rated voltage of 220 V. As for the average current, Z-test was also performed with a null hypothesis that current does not vary significantly from the rated current of 10 A.
Rejection of both the null hypothesis may indicate that the winding resistance and/or the voltage of the supply might be unbalanced. This will cause unbalanced current to flow through the winding which may cause higher copper loss. Should both hypotheses yield a “do not reject” decision, it means that the motor is working on rated voltage and current. This is an indicator that the motor is in good working condition. If the two (2) test yield contrasting decisions, the motor should be subjected for monitoring to prevent further damage, accidents, and possible loss of productivity.
For the operating temperature, equation (1) was used. For a class B induction motor, the allowable operating temperature will be 130 degrees Celsius plus the reference ambient temperature of 40 degrees Celsius i.e., 170 degrees Celsius. Going beyond the operating temperature will cause damage to the insulation of the windings. This will eventually burn the wires until they become brittle and cause failure.
After testing the voltage, current, speed and temperature, the correlation of the said parameters was tested. All the factors were tested first if they are within normal range to come up with a reliable conclusion in their correlation.
Using data analysis, the Current and Voltage, Current and Surface Temperature, Current and Ambient Temperature, Voltage and Surface Temperature, Voltage and Ambient Temperature, Surface and Ambient Temperature, and % Current and % Voltage unbalance to the surface temperature, were all tested.
It is also important to note that the motor speed was not considered in the correlation since it remained constant for the duration of the test. This is because it was observed that the motor speed for the nozzle cooling motors were found to be constant as reflected in the data gathered on April 2018. (See appendix A)
For the percent slip, percent voltage unbalanced, and operating temperature, the following equations 4, 3 and 1 were used, respectively. For the voltage and current unbalance, the Philippine Distribution code recommends that the nozzle cooling motor is allowed to have a slip of 5% to 6% based on the NEMA table (see appendix K).
4. Results
Using the z-test with a null hypothesis that the average voltage is equal to 230 V at 95% level of confidence, the calculation returned a p-value of 0. Since the p-value is less than the level of significance of 5%, there is sufficient evidence that the average line voltage varies significantly from 230 V. The deviation from the rated voltage of 230 V is also evident in Figure 2.
**Figure 2** The graph of the average voltage per phase in each observation
The values of the measured current were also tested in the same manner as with the voltage, with a null hypothesis that the average value is equal to 5.1 A, also at 95% level of confidence. The p-value for this test was calculated to be 0.0007% which is lower than the
5% level of significance prompting for rejection of the null hypothesis. The deviation from the rated current of 5.1 A of the measured values can further be seen in Fig. 3.
**Figure 3** The graph of the average current per phase in each observation
Both tests on voltage and current indicated that the given set of voltage and current varies significantly from the rated values as seen in the nameplate of the motor. (See appendix C for test on voltage of motors and appendix D for test on current of motors). As for the slip, the calculated values indicate that the induction motor is operating at normal speed as seen in Appendix E.
As for temperature, there are no recorded instances of overheating as seen in Appendix F indicating that the operating temperature is within normal range. It can also be seen that all temperature readings started to pick up in the first three (3) observations as seen in Figure 4. This is normal for induction motors since it has just started operating and the surface temperature is expected to increase. It can also be observed that the ambient temperature and the surface temperature steadily increased until it becomes stable, and so is the operating temperature which is dependent on them.
**Figure 4** The graph of the temperature of Induction Motors
Figure 4 The graph of the Surface Temperature, Ambient Temperature and Operating Temperature
As for the voltage and current unbalance, the voltage was found to be balanced while the current shows a high level of current unbalance (See Appendix G). Although, the voltage and current of the motor are not within the rated value as seen in Appendix C and D, the correlation of the motor’s voltage, current, surface temperature and ambient temperature was still calculated as reference for similar studies in the future. The result summary of the calculation of correlation coefficient is shown in the Table 3.
Table 3 Remarks on the correlation of Factors
| Correlation | Coefficient | Remarks |
|--------------------------------------------------|-----------------|--------------------------------|
| Current and Voltage | 0.468284657 | Strong positive relationship |
| Current and Surface Temp | 0.090605542 | Negligible Relationship |
| Current and Ambient | 0.100480588 | Negligible Relationship |
| Voltage and Surface Temp | 0.497049791 | Strong positive relationship |
| Voltage and Ambient | 0.222903401 | Weak positive relationship |
| Surface and Ambient | 0.495664433 | Strong positive relationship |
| %Voltage Unbalance and Surface Temp | 0.360583278 | Moderate positive relationship |
| %Current Unbalance and Surface Temp | -0.365119886 | Moderate negative relationship |
When the correlation among $x_1, x_2, x_3, x_4, x_5$ and $x_6$ were calculated in Appendix H, it was found out that there is a strong positive relationship between $x_1$ and $x_6$; a moderate positive relationship between $x_2$ and $x_6$; and a moderate negative relationship between the $x_4$ and $x_6$.
5. Discussion
Since the slip is way lower as compared with the maximum allowable slip for that size of motor, the induction motor therefore is running in normal speed. As for the voltage, it is important that it is within normal range so as not to affect the current. By Ohm’s law, the current will be directly proportional to the supply voltage since the resistance of the windings is said to be constant unless the temperature rises to a value more than it can handle. The probable cause of the value of voltage and current deviating from the normal range is the condition of the supply voltage, while the high %current unbalance may be attributed to the unequal resistances of the windings per phase of the machine. With varying resistance, there will be difference in induced current per phase as seen in Appendix B and Appendix D.
From the correlation of factors, the strong correlation of voltage and current is expected since they are directly proportional to each other. As for the current and surface temperature, Appendix H shows no correlation between them. This is an indication that the motor is not having difficulty with the load it is carrying. If induction motors are carrying loads beyond their capacity, the tendency is that it will absorb more current and surface temperature will rise. Another data that will support this conclusion is that the slip is in normal condition.
The tests also shows that since no overheating was observed, the operating temperature of the motor is within normal range. Although appendix H indicates that there is a strong correlation on the surface and ambient temperature, it cannot be pointed out as
the cause for the latter since the surface temperature is higher than that of the ambient temperature. In this case, heating in the surface motor is not an indication of lower efficiency, but a manifestation of condition of the voltage being supplied to the machine i.e., the system voltage in the company. Appendix H shows that the correlation of the voltage, particularly its magnitude, and the surface temperature is a strong positive relationship.
6. Conclusion
Based on the tests and calculations performed, the motor was found to be operating in unbalanced system supply which adds to the chance of having a current unbalance regardless of having equal or unequal phase resistance. This agrees with one of the reviewed literatures in this study which is *Unbalanced Voltages and Electric Motors: Causes and Consequences*, which identified unbalanced supply as one of the causes of voltage unbalance in the motor operation.
According to the EMS of API, the auxiliary motors (such as the nozzle cooling motors) are usually operated with a spare motor of the same type so as not interrupt the operation since these motors are vital to the operation of the diesel gen sets. The EMS pulls out and reconditions motors whenever they have observed that there is abnormality. The reconditioning process include the dry cleaning of motors from dirt using solvents and compressed air, replacement of bearings, and checking of contacts and resistances. After reconditioning, the motors are reinstalled, coupled to its load and are aligned manually with the help of the dial gauge. The motor operation of the motor is tested by checking its rotation, the supply voltage, the resulting current, and the grounding. Once the motor has been properly aligned, the motor is run, and the voltage, current and speed are recorded. API follows the industry standard when it comes to installation and reconditioning of induction motors. The only difference is that the use of motor protection such as over and under voltage protections are yet to be integrated in the company’s operation.
With the company being fully established in 1997 at a capacity of 30 MW and planning of expansion in the coming years, literatures emphasizing the importance of monitoring and installing protection for induction motors have always been available. Existing literatures include online monitoring by F.C. Trutt et. al. (2002), the use of PLC-based monitoring system by M.G. Ioannides (2004); the use PIC microcontroller-based motor monitoring system which protects the motor from abnormal voltage, current and temperature by M.A. Ayoade (2018); and setting up a wireless control and monitoring system for induction motors by VC Khairnar (2018) and S. Aher et. al (2017).
The quality of supply voltage should be checked because it directly affects the performance of the motors. The use of overvoltage protection will help to prolong the service life of the motors. The use of mechanisms or devices that will help correct or reduce the voltage unbalance can also be considered. Lastly, the company might also consider the balancing of single-phase loads to correct the existing voltage unbalance, as suggested in the literature, *Unbalanced Voltages and Electric Motors: Causes and Consequences*.
API has been installing and reconditioning induction motors based on industry standard as discussed earlier, except for the utilization of monitoring systems such as those mentioned in the literatures. Aside from those, there commercially available devices that may serve the purpose of monitoring and protecting the motor, and hence the operation, which can easily be integrated or installed. The company may also seek the help of
researchers to come up with a monitoring and protection scheme that will fit the needs of the company’s operation.
As for research, it is recommended to perform observations with cooling system for the area of the motors considered. The same test can also be performed on larger induction motors, but preferably in the actual site instead of simulated experiments.
7. Acknowledgements
Mr. Johanan G. Duenas, the Electrical Engineering Laboratory Custodian, for his assistance in the conduct of the experiment.
Dr. Abigail P. Arcilla, for imparting her knowledge on Statistical Analysis.
Engr. Ojay D.L. Santos and Engr. Ren Zedec S. Santos for their inputs
8. References
Abdullah, S. (2017). Uses of AC Motors. https://sciencing.com/uses-ac-motors-6139209.html
2019 DOE Power Situation Report. https://www.doe.gov.ph › pdf › electric_power
Singh, R., Bath, S.K. and Goyal, V. (2013). Performance Evaluation & Life Cycle Costs In Rewound Induction Motors Used. IOSR Journal of Electrical and Electronics Engineering, vol. 3, no. 3, pp 32-35, 2013.
Cummings, P., Bowers, W. and Martiny, W. (1981). Induction Motor Efficiency Test Methods. IEEE Transactions on Industry Applications (Volume: IA-17, Issue: 3, May 1981). http://ieeexplore.ieee.org/abstract/document/4503940/
Motor Efficiency (2017). http://www.portescap.com/motor-solutions/motor-efficiency
Wiedenburg, E. (2003). Overheating Electric Motors: A Major Cause of Failure. https://www.efficientplantmag.com/2003/04/overheating-electric-motors-a-major-cause-of-failure/
Csanyi, E. (2011). Cooling and Ventilation of Electric Motors (IC). http://electrical-engineering-portal.com/cooling-and-ventilation-of-electric-motors-ic
Bishop, T. (2013) - Increase motor reliability by monitoring and reducing operating temperature. https://www.controleng.com/single-article/increase-motor-reliability-by-monitoring-and-reducing-operating-temperature/44b3c51bedc9ec5af165cb99880f7160.html
McFadyen, S. (2013). Understanding electric motor insulation & temperature. http://myelectrical.com/notes/entryid/122/understanding-electric-motor-insulation-temperature
Cowern, E. (2002). The Hot Issue of Motor Temperature Ratings. http://www.ecmweb.com/content/hot-issue-motor-temperature-ratings
Theraja, B.L. (2005). A Textbook Of Electrical Tech. Vol. 1 Basic Electrical Engineering.
Chapman, S. (2005). Electric Machinery Fundamentals 5th Edition
Trutt, F.C., J. Sottile, J., J.L. Kohler (2002). Online Condition Monitoring of Induction Motor. https://ieeexplore.ieee.org/document/1058119
Ioannides, M.G. (2004). Design and implementation of PLC-based monitoring control system for induction motor. IEEE Transactions on Energy Conversion 19(3):469 - 476
9. Appendices
Appendix A. Reference Data Gathered in API from April 9, 2018 to April 24, 2018
Appendix B. Data Gathered in Simulated Experiment
Appendix C. Testing the hypothesis that the voltage is significantly different from 230 V using Excel
Appendix D. Testing the hypothesis that the current is significantly different from 5.1 A using Excel
Appendix E. Testing Slip of the induction motor if it is less than 5-6%
Appendix F. Calculation and Testing of Operating Temperature using Excel
Appendix G. % Voltage and Current Unbalance
Appendix H. Calculating the Correlation of the Factors using Excel
Appendix I. Setting up the Simulated Experiment
Appendix J. Equations relevant to the study
Appendix K. NEMA Temperature Ratings for Induction Motors
10. Author’s Biodata
Mark Angelo M. Quintana is a Registered Electrical Engineer who previously worked as a diesel power station maintenance and operations staff. He is currently working as a full-time Instructor under the Electrical Engineering Program of Holy Angel University, Philippines.
Exploration of Regulating and Accrediting Bodies’ Standards: Basis for an Internal Accreditation Framework for Engineering Programs
Jeferd E. Saong
Graduate School, University of Baguio, Philippines
Email: firstname.lastname@example.org
Abstract
Accreditation requires higher education institutions (HEIs) to demonstrate that they have procedures in place to ensure that the program is consistently improved. The issuance of memoranda by the Commission on Higher Education (CHED) related to outcomes-based education (OBE) leads the preparation of higher education institutions for international accreditation. Majority of private HEIs with engineering programs in the Cordillera Administrative Region struggle to achieve accreditation requirements. The study explored accreditation standards as basis for the development of an internal accreditation framework. The study employed concurrent mixed-method in the development of the internal accreditation framework for private higher education institutions with engineering programs in the Cordillera Administrative Region. Purposive sampling was used in the selection of participating institutions and respondents. The common standards of accrediting bodies for engineering reflect the requirements in the implementation of outcomes-based education. While there is a very high extent of OBE implementation for document accessibility, HEIs face challenges when it comes to evidence documentation. The factors affecting the accreditation status of private HEIs with engineering programs are related to outcomes-based education, faculty requirement, resources, and licensure examination. The low percentage of accredited engineering programs implies that few higher education institutions are compliant to regulatory and accreditation requirements. The internal accreditation framework introduces internal review and monitoring mechanism for the preparation of accreditation documents. It is recommended that HEIs devise strategies to actively address concurrent accreditation deficiencies.
Keywords: accreditation, outcomes-based education, internal review, framework, quality assurance
Introduction
The International Engineering Alliance (IEA) educational accord outlined educational standards for mutual recognition of educational standards by its member signatories. Educational accords establish and enforce standards for engineering education with expected competence in engineering practice (International Engineering Alliance (IEA), 2021). Membership in the IEA educational accord entails a domestic accreditation system that conforms to standards in providing professional competence to engineering graduates. Conditions for membership in a Mutual Recognition Agreement (MRA), also known as an accord, include a) ongoing profession-controlled domestic accreditation system, b) recognition or authorization of operating status from a national education agency, and c) representation of professions in its governance. An MRA from a home country to a host country allows the international practice of engineers (Trevelyan, 2016).
The Washington Accord of the International Engineering Alliance in engineering programs and technology internationally recognizes tertiary-level engineering
qualifications. Membership in WA expedites the review of academic credentials from one party by the regulatory body of another party (IEA, 2021).
The Philippines’ Commission on Higher Education (CHED) issued several memoranda to promote quality assurance and adherence to international standards. CHED memorandum order (CMO) number 37 series of 2012 focused on establishing an outcomes-based education (OBE) system in engineering programs to meet the demands of global equivalency of quality standards and promote continuous quality improvement. CMO #46 series of 2012 stressed an outcome-based quality assurance system to differentiate the type of higher education institution (HEI) with the inclusion of accreditation for vertical typology.
Marcos et al. (2020) emphasized that engineers must strengthen global competencies acquired from academic training and understanding the job’s needs. The attributes of an engineer include strong analytical skills, practical ingenuity, creativity, communication, business and management, leadership, high ethical standards, professionalism, dynamism, agility, resilience, flexibility, and being lifelong learners (Beagon et al., 2019).
CHED authorized the Federation of Accrediting Agencies of the Philippines (FAAP) to certify the quality levels of accredited programs at the tertiary level. FAAP accreditation aids HEIs to qualify their status in a) horizontal typology, b) vertical typology, c) center of excellence, and d) center of development. The accrediting agencies of FAAP for private engineering universities include a) Philippine Accrediting Association of Schools, Colleges, and Universities (PAASCU) and b) Philippine Association of Colleges and Universities Commission on Accreditation (PACUCOA). The areas of accreditation include a) mission, goals, and objectives, b) faculty, c) curriculum and instruction, d) students, e) research, f) extension and community involvement, g) library, h) physical facilities, i) laboratories, and j) administration (Tansinsin, 2020).
The Philippine Technological Council (PTC) is the umbrella organization of professional engineering organizations in the country. It acts as the focal point for international linkages and the promotion of the global competitiveness of Filipino engineers (PTC, 2017). PTC represented the Philippines as a provisional signatory in the Washington Accord in 2013. The domestic accreditation of PTC is through its Accreditation and Certification Board for Engineering and Technology (ACBET). PTC-ACBET accredits engineering programs with reference to standard guidelines of the Washington Accord. The PTC is also endorsed by the Commission on Higher Education (CHED) as the sole organization for the accreditation of engineering programs through CMO #37 series of 2012.
The Commission on Higher Education reinforced CMO #37 series of 2012 through the release of CMO #46 series of 2012, which mandated the higher education system to produce globally competitive graduates. CMO #46 series of 2012 demands that higher educational institutions meet widely used national and international standards. CMO #17 series of 2015 integrated the shift to outcomes-based education, typology, and outcomes-based quality assurance in implementing guidelines for selecting engineering center of excellence and center of development.
In the Philippines, only 28.77% (677) of HEIs of the 2353 total number of HEIs qualify the minimum standards set by public and private accrediting agencies in the Philippines. In alignment with international accreditation, only 0.34% (8) have PTC ACBET Accredited Engineering Programs of the 28.77% (677) accredited HEIs qualify
for full PTC-ACBET accreditation, while 0.47% (11) qualify for PTC-ACBET of partial accreditation. Only one of the 14 HEIs in the Cordillera Administrative Region, Benguet, Philippines had program accreditation by PTC-ACBET (PTC, 2017).
Accreditation is a stamp that an academic institution undergoes evaluation, complies with the minimum requirements, and assist in improving the quality of the academic program (Rashideh et al., 2020). Institutions with traditional engineering curricula face difficulties in meeting accreditation requirements leading to deferred or declined accreditation. Last-minute preparations for accreditation lead to failure, while systematic preparation ensures successful accreditation (Al-obaidi, 2021). Qadir et al. (2020) stressed that accreditation results in a better quality of education, professional preparation, and professional practice.
Conceptual Framework
A paradigm shift in engineering education is driven by rapid industry expectations and learning pedagogy changes. A new approach to engineering education and practices must promote the learners' life-long learning. The emphasis of paradigm shift is laid on learning and working together to develop and innovate skills such as critical thinking, creativity, communication, user orientation, and teamwork. The shift in education systems plays a vital role in recognizing the essential role of learning institutions in the training of graduates to be innovative in the practice of the profession (Kalman, 2012). According to industry, students with hands-on learning experience are quicker to adapt to the workplace environment (Baltimore & Mwangi, 2015).
Outcomes-based education (OBE) is a paradigm shift from traditional learning approaches to student-centered learning approaches with competitive assessment (Macayan, 2017). Outcomes-based education focuses on attaining intended student outcomes that students can achieve at the end of a course, at the end of the program, and within a few years after graduation. The paradigm shift to OBE challenged the curriculum offering of HEIs for global competitiveness. Institutions significantly shifted to OBE to be globally competitive.
CMO #37 series of 2012 pursued to transform engineering education into an outcomes-based system to meet the demands of global equivalency and quality standards in engineering programs and to promote continuous quality improvement. It mandated all higher education institutions to shift to the OBE system and submit monitoring requirements of CHED. The OBE system implementation shall be aligned to the accreditation criteria set forth by PTC-ACBET. Concerned HEIs shall ensure the sustainable delivery of an OBE system with an institutional framework.
Quality assurance ensures the existence of mechanisms, procedures, and processes to ensure the delivery of quality outcomes, either internal or external. An internal quality assurance system of an HEI can be used for a) the translation of learning outcomes, b) the implementation of teaching-learning systems, c) the review of performance indicators and standards in the assessment system, and d) program enhancement. An external quality assurance system can be through accrediting agencies. Quality assurance can be carried out by external agencies such as CHED and other accrediting bodies. This calls for accreditation bodies to retrofit towards outcomes-based accreditation (Tansinsin, 2020).
CHED released a series of memoranda for engineering programs in 2017 that mandated HEIs to shift to an outcomes-based approach in the program delivery and adapt global requirements of the engineering profession. Implementing outcomes-based education (OBE) in the engineering program curricula is a minimum requirement for WA
The paradigm of the study is shown in Figure 1.
**Figure 1**
| INPUT | PROCESS | OUTPUT |
|--------------------------------------------|----------------------------------------------|---------------------------------------------|
| - accreditation standards | - administration of survey questionnaire | - internal accreditation framework |
| - OBE implementation | - document analysis | |
| - status of accreditation | - statistical analysis | |
| | - thematic analysis | |
**Paradigm of the Study**
**Significance of the Study**
The accreditation framework of PTC-ACBET aligns with international standards regarding implementing outcomes-based education. The PTC-ACBET accreditation granted to an HEI is either full or partial accreditation concerning findings indicated as a) Deficiency which indicates the criterion is not in compliance, b) Weakness which indicates the program lacks the strength of compliance, and c) Concern which indicates the program currently satisfies but identified criterion may not be satisfied (PTC-ACBET criteria for accreditation, 2014).
The general criteria for PTC-ACBET accreditation are: 1) Program Educational Objectives, 2) Program Outcomes, 3) Students, 4) Faculty and Support Staff, 5) Curriculum, 6) Facilities and Learning Environment, 7) Leadership and Institutional Support, 8) Extension Service, Community-oriented Programs and Industry-Academe Linkage, and 9) Continuous Quality Improvement.
The output of the study provides background information on engineering HEIs’ conformity to the implementation of outcomes-based education concerning CHED policies, standards, and guidelines for engineering programs. The study will develop an internal accreditation framework to guide engineering HEIs in preparing accreditation documents.
**Objectives of the Study**
The study developed an internal accreditation framework for private HEIs with engineering programs in the Cordillera Administrative Region. The study sought to:
- determine the common standards employed by private accrediting bodies in the Federation of Accrediting Agencies of the Philippines and Philippine
Technological Council Accreditation and Certification Board for Engineering and Technology
- determine the extent of implementation of outcomes-based education in engineering programs
- determine the factors affecting the accreditation status of private HEIs with engineering programs
- develop an internal accreditation framework for private HEIs
Methodology
Study Design
The study used concurrent mixed-method research design. The concurrent mixed-method design was the appropriate method since it involved data collection simultaneously for the quantitative and qualitative indicators needed for the study.
The quantitative design of the study involved the evaluation of the extent of implementation of OBE in engineering programs regarding CHED PSGs for engineering programs; and monitoring indicators for the compliance of OBE-related CHED memoranda through a survey. Qualitative information for common accreditation standards was extracted from published accreditation materials of accrediting bodies. The standards reflected in the accrediting bodies were extracted to prepare common documents. Qualitative information was collected through a survey determining the factors affecting engineering accreditation. Thematic analysis was used to construe the factors contributing to the limited participation of engineering HEIs in accreditation.
Population and Locale of the Study
Purposive sampling was implemented in the study to select private four private HEIs with and without accredited engineering programs, including 29 (five program chairs, three deans, and 21 faculty members) willing respondents. The inclusion of HEIs was based on the willingness of the head of the institution to participate and the respondents in the study for SY 2021-2022. The study included respondents with teaching assignments to professional engineering courses. The exclusion of HEIs included a) declined participation of the institution, b) centralization of engineering program course offerings to the main office, and c) temporary closure of engineering programs due to the Covid-19 pandemic.
The study was limited to a) accessible accreditation documents, b) submitted responses of private HEIs in the Cordillera Administrative Region with active engineering program offering for the academic year 2021-2022, and c) the endorsement of HEI representative for the survey.
Data Gathering Tools
Document analysis was used to determine the common standards of accrediting agencies in engineering accreditation published documents of a) PAASCU, and b) PACUCOA; since ACSCU-ACI has no accredited engineering program. The published self-survey guide for PTC-ACBET and OBE monitoring indicators of CHED-TPET were mapped for equivalency to the common standards of FAAP.
The primary means of gathering data for the extent of OBE implementation and factors affecting accreditation status was a researcher-made survey questionnaire with three sections based on the Commission on Higher Education Technical Panel for Engineering and Technology monitoring report in compliance to CMO #37 series of 2012 and Philippine Technological Council self-survey accreditation guidelines for engineering
programs. The first part of the questionnaire included information on the program accreditation profile. The second part of the questionnaire has five sections, including a) accessibility of documents for stakeholders, b) documentation for instructional quality, c) documentation for research and publication, d) documentation for linkages and community involvement, and e) institutional documents. The indicators focused on implementing the OBE curriculum regarding the CHED-issued policies, procedures, and guidelines of engineering programs. The questionnaire used a 4-point Likert scale using 1) strongly disagree, 2) disagree, 3) agree, and 4) strongly agree. The level of agreement was based either on the accessibility or availability of documents for OBE implementation.
The third part of the questionnaire comprised open-ended questions to determine the factors affecting the accreditation status of HEIs with engineering programs.
The researcher-made survey questionnaire was validated at the University of Baguio. The survey questionnaire was administered to a public engineering institution in CAR and a private engineering institution in Region I for a reliability test. Cronbach’s alpha coefficient was used for the internal consistency reliability of the researcher-made survey questionnaire. The Cronbach alpha value was 0.99, representing the very high reliability of the questionnaire.
Data Gathering Procedures
The internet home page of private accrediting agencies (PAASCU and PACUCOA) and PTC were accessed to find available documents for accreditation (accreditation guidebook, manual of accreditation, and survey instrument). The documents for accreditation employed by the accrediting agencies and PTC were analyzed to determine the common accreditation standards.
In determining the extent of OBE implementation and factors affecting accreditation among HEIs, a survey questionnaire was administered to the respondents. The survey questionnaire with the consent form was distributed to the private HEIs through a Google form link provided by the researcher with endorsement from the HEIs representative that was accessed and accomplished by the respondents. The researcher extracted the accumulated data from the Google sheet of the Google form.
Treatment of Data
Document analysis was used to identify common standards for private HEI accreditation from accrediting agencies and PTC accreditation indicators. Emphasis was made on common criteria with standards common to the accrediting bodies, common to two accrediting bodies, and unique to an accrediting body. Weighted mean and standard deviation were used to determine the extent of implementation of OBE in engineering programs with the statistical range and interpretation in Table 1.
The statistical range of the weighted mean was the basis for the extent of implementation of OBE implementation, ranging from very low to very high level of implementation. Thematic analysis was used to identify the factors.
Table 1
| Likert Scale | Statistical Range | Interpretation | Description |
|--------------|-------------------|----------------|-------------|
| | | | |
| Likert Scale | Statistical Range | Interpretation | Description |
|--------------|-------------------|--------------------------------------|-----------------------------------------------------------------------------|
| 4 | 3.26-4.00 | Very High Extent of Implementation | Strongly Agree/accessible within/outside School premises/available document is 1-2 years ago |
| 3 | 2.51-3.25 | High Extent of Implementation | Agree/accessible within School premises /available document is 3-4 years ago |
| 2 | 1.76-2.50 | Low Extent of Implementation | Disagree/accessible upon request /available documents is 5-6 years ago |
| 1 | 1.00-1.75 | Very Low Extent of Implementation | Strongly Disagree/not accessible/no available document |
affecting the accreditation status of private HEIs concerning the open-ended items in the survey questionnaire. Maguire and Delahunt's (2017) "doing a thematic analysis" with six steps guided the study's thematic analysis.
**Ethical Considerations**
The researcher sought the permission from the head of the institution for the engineering division of the institution to participate in the study. The study's respondents were informed of the study's objectives to develop an internal accreditation framework that aligns accreditation standards in preparation for accreditation through a consent form. Anonymity and confidentiality of the institution and respondents were observed in the study. The identity of the participating institution and respondents were not disclosed in the discussion and presentations of findings to minimize risks to the respondents. The consent form included provisions for respondents to decline or withdraw their participation in the study at any time. Submission by the respondent of the completed questionnaire signifies their willingness to be included in the study; on the contrary, non-submission of the questionnaire will not constitute any consequence to the respondent. The respondents did not spend any amount on the conduct of the study. The google form was deleted from the cloud upon completion of the study to prevent unauthorized access to the data.
The study's respondents will be informed of the study's results through publication. The researcher will also provide a copy of the study findings to the participating institution.
**Results and Discussion**
**Common Standards of Private Accrediting Bodies for Engineering**
The shift from input-based to outcomes-based education system demands the transformation of engineering education to achieve global comparability in the engineering practice through program accreditation. Eventually, accrediting bodies for quality assurance lean towards international standards.
There are 10 accreditation areas with specific criteria for PACUCOA; PAASCU has 12 standards, seven main areas of accreditation, and sub-areas with specific criteria; and PTC-ACBET has nine criteria primarily for the implementation of OBE. Florida and Quinto (2015) stressed that local accrediting bodies have criteria for HEIs to qualify and acquire recognition. As Mariano and Valenzuela (2015) stressed, the differences in accreditation standards and instruments result in non-uniformity in recognition of the quality of engineering programs.
The standards of PTC-ACBET matched to the common standards between PACUCOA and PAASCU resulted to the common standards including a) Publication of the Program Educational Objectives Consistent with the Vision and Mission of the Institution, b) Sufficiency in the Number of Qualified and Competent Faculty, and Professional Development of Faculty, c) Attainment of Student Outcomes, d) Curriculum that Leads to the Attainment of Student Outcomes, e) Availability of Adequate and Updated Laboratory Resources for the Attainment of Program Outcomes, f) Availability of a Research Program for Faculty Participation in Research, g) Library Services must be Adequate to Support Scholarly and Professional Activities of the Students, h) Accessibility of Student Services to Support the Program Needs and Students, i) Services that Entail Involvement in the Community, j) Adequacy of Physical Facilities to Support the Needs of the Program, k) Adequacy of Leaders for Effective Supervision and Institutional Support to Ensure Quality and Continuity of the Program, l) Continuous Improvement of the Program
Extent of Implementation of Outcomes-Based Education in Engineering
The administered researcher-made survey questionnaire to engineering HEIs in CAR for the implementation of OBE yielded the presence of a) an institutional OBE framework, b) monitoring activities for OBE implementation, and c) a monitoring report submitted to the Commission on Higher Education Technical Panel for Engineering and Technology.
All list of documents of HEIs accessible to the stakeholders indicators including a) Institutional OBE framework, b) Institutional Vision statement, c) Institutional Mission statement, d) Program Educational Objectives (PEOs), e) Program outcomes (POs), f) Program Curriculum, g) Curriculum map, h) Course pre-requisite map, i) Program assessment and evaluation matrix plan, j) Historical enrollment data, k) Historical graduation rate data, and l) Syllabi, yielded a very high extent of implementation from the ratings of the respondents. The accessibility of the OBE documents reflects the shift in the engineering program’s curriculum from traditional to OBE as mandated by CMO #37 series of 2012 and 2017 CHED memos for engineering programs policies, standards, and guidelines, which essentially mandate the enumerated metrics.
Most instructional quality documentation has a very high extent of implementation except for the licensure performance with a high extent of implementation rating from the respondents. In addition, some faculty response points out that documents prepared five years ago were not updated, particularly on program educational objectives and laboratories, contrary to deans and program chairs. The availability of supporting documentation indicates that the engineering curriculum has developed the main indicators for the OBE instructional delivery of engineering programs. The successful implementation of OBE allows for new ideas and challenges to be developed into an educational model that results in enhanced learning outcomes to prepare the learners in the workforce.
The very high extent of implementation on instructional quality documents means that HEIs have already begun considerable preparation of the engineering programs for the instructional shift from traditional to outcomes-based education. However, students’ performance on the licensure examination requires special attention to reviewing the skills acquired by the graduates.
On research and publication documents; only the List of faculty with name of mentees and corresponding title of thesis, and Sample of thesis manuscript of Students had a very high extent of implementation; while high extent of implementation were seen for
indicators in research organizations, presentations, awards, publications, and a list of patents produced by the program. Florida and Quinto (2015) stated that international accreditation places a higher value on citations of published research. According to Welch et al. (2018), research-focused programs must expand with industrial linkages for accreditation to be successful. The added function of faculty delves into active engagement in research.
The bulk of extension and linkages documentation is implemented to a very high level. On the contrary, a high extent of implementation in the indicators a) List of non-degree educational programs, short-courses, and training programs offered to fellow engineers/other professionals, b), List of professional and consultancy services done by faculty & staff, and c) Performance monitoring assessment and evaluation plan of community-oriented programs. Natarajarathinam (2021) stressed that differences in the priorities of educational institutions and community partners hinder the implementation of projects. Schools must form partnerships with organizations and agencies relevant to the program. Engaging in school-community activities is a slow and demanding work, expands the workload, and takes significant time. However, school-community involvement contributes to the positive development of students (Houseman et al., 2017).
Active participation in professional and community service activities aids in the development of a well-rounded engineering personality (Canini & Dalis, 2016). This suggests that the curriculum should encourage active participation in professional and community programs.
Most institutional documentation has a very high extent of implementation except institutional documents for international engagement. Results show a need to increase the visibility of partnerships through an accomplished memorandum of agreement. Considering the internationalization trends in the field of Higher education stipulates the growth of cooperation between higher education institutions through the provision of international accreditation, including regional accreditation (Obolenska & Tsyrkun, 2016). This implies that engineering HEIs should be aggressive in forming partnerships with academic, professional, and research institutions in order to meet international accreditation standards.
Factors Affecting the Accreditation Status of Private HEIs with Engineering Programs
In the Cordillera Administrative Region, no institution (0%) with an engineering program was accredited by PACUCOA. PAASCU accredited two institutions (18.18%) with engineering programs, and one institution (9.09%) was accredited by PTC-ACBET from the 11-private institutions with engineering program offerings.
Despite the high to very high extent of OBE implementation from the respondents, HEIs encounter barriers to accreditation. The resulting themes include a) insufficient paradigm shift, b) Lack of qualifications, c) faculty workload, d) inadequacy of resources, and e) poor licensure examination performance.
Insufficient Paradigm Shift
This includes consultation with the stakeholders to craft its essential components, including program educational objectives, program outcomes, program curriculum, program assessment, evaluation matrix plan, and syllabi manifested in the common accreditation standards. The realization of the OBE framework in instructional quality should be manifested through the availability of evidence. However, the respondents are affected by a) paradigm shift orientation and b) lack of OBE orientation.
The objectives of an OBE system cannot be realized when students have a low level of perception and teachers misunderstands the implementation of OBE. It makes the teacher less motivated in performing teaching and learning tasks. Implementing OBE becomes burdensome due to the lack of skills and training, especially for teachers accustomed to the traditional system (Damit et al., 2021).
The study finds deficiencies in the acceptance of paradigm shift to OBE, which remains a challenge to HEIs. The observed deficiencies necessitate immediate action by HEIs to ensure the transformation of the stakeholders, engage in the HEIs OBE framework, and realize documents for OBE implementation.
**Lack of Qualifications**
The aspect of academic qualification was embedded at 2017 CMOs on the policies, standards, and guidelines for engineering programs describing the qualifications of the dean, program chair, faculty, and support staff. The respondents are faced with a) failure to meet qualifications requirements and b) a lack of credentials.
The study findings reveal that the credentials of faculty and administrators are a work in progress which contradicts the very high extent of OBE implementation for the documentation of instructional quality. Hence, it is practical to adhere to hiring qualified faculty would be necessary for the sustainability of the program. The faculty must have skills and academic requirements to deliver OBE instruction.
**Faculty Workload**
The preparation of documents is an essential part of accreditation and OBE implementation that needs the significant contribution of the faculty. The respondents are challenged with a) stressful requirement and b) time constraint.
The implementation of OBE significantly needs commitment and extra work from the teacher since the traditional system differs from the OBE system. Faculty members are burdened by the total change from the traditional to the OBE system. Non-familiarity with OBE and regular updating of the curriculum affect assessment preparation, not within uniform standards (Damit et al., 2021). As such, accreditation success necessitates the submission of pieces of evidence (Al-obaidi, 2021). Obligations from authorities and educational leaders mostly cause excessive workloads. The responsibilities associated with a teacher have some bearing on the success and performance of the school and as a faculty of the institution (Pacaol, 2021).
The study finds that the faculty is not adept with the duties of a faculty in implementing OBE as prescribed in CHED PSG. This is contrary to the respondents' high extent of OBE implementation at the evidence for instructional quality. This suggests the orientation of the faculty to accept the embedded duties and to mentor for the systematic preparation of documents for accreditation. Faculty training for the different OBE components will be necessary to acquire knowledge and skills in OBE implementation.
**Inadequacy of Resources**
The aspect of this theme is the support structure and mechanism to assist the quality of instruction. The common accreditation standards for resources that need to be addressed include the availability of adequate and updated laboratory resources, research programs, adequate library services, and accessibility of student services. Adequate resources contribute to a conducive teaching-learning environment to support the attainment of learning outcomes that are necessarily evaluated during accreditation. The respondents are faced with a) inadequacy of facilities, b) deficiency of equipment, c) lack
of funds), and d) limited resources.
Lack of equipment disrupts the teaching-learning process, especially with missing and damaged equipment. This defeats the assessment since students are graded, but the student outcomes are not attained. It is encouraged to collaborate with other institutions to supplement the resource deficiency (Damit et al., 2021).
The financial considerations for the deficiencies have to be openly discussed with the administration for the effective implementation of OBE in the course of the institution’s mission and preparation for accreditation.
Poor Licensure Examination Performance
The poor performance of graduates in the licensure examination is another key factor for non-submission to accreditation. As such, accrediting bodies require a minimum passing rate in the licensure examination to qualify for accreditation. The respondents seem to be benchmarking at 50% performance in the licensure examination, while the focus area of OBE includes citation as a top-performing school.
Accreditation should be strengthened as a higher level of accreditation is equivalent to higher performance in the licensure examination (Dator, 2016). Rashideh et al. (2020) emphasized that accreditation promotes graduates’ competitiveness and results in better professional preparation. This is supported by Qadir et al. (2020), finding that accreditation improves the quality of educational programs.
The study finding is contrary to the respondents’ high extent of OBE implementation and remains a challenge for private engineering HEIs in CAR. The faculty and administration should implement sustainable solutions to improve the licensure examination performance.
Application for accreditation is impeded by perceived deficiencies in the implementation of OBE, qualifications of the faculty and administrators, facilities, research engagement, extension and community programs, industry partnership, and licensure examination performance. Uziak et al. (2017) argued that accreditation could catalyze good change for the institution, professors, department, curriculum, academic staff, students, and industry. It covers the challenges that come with the process.
Internal Accreditation Framework for Private HEIs
The accrediting bodies duly recognized by the Commission on Higher Education for engineering programs adapt the implementation of outcomes-based education for quality assurance and international engineering accreditation. Familiarity with accreditation should not be based on weakness but rather on developing strategies and solutions. The conflicting results of the study on the implementation of OBE and accreditation factors necessitate a deeper understanding by the stakeholders on accreditation.
Engagement in accreditation begins with institutional accreditation, in which the institution assesses itself in light of accreditation standards and declared institutional mission (ACCJC, 2020). An institution’s proposed internal accreditation framework aims to attain the standards of accrediting bodies. It necessarily dictates that the stakeholders review the processes and documents to implement institutional plans to attain the institutional mission. The internal accreditation framework organizes the steps that must be taken to demonstrate that the institution is on the path to accreditation.
The proposed internal accreditation framework that the institution can use for
accreditation is shown in Figure 3.
Institutional Mission
The heart of an educational institution is its mission statement. It communicates its commitment to the community with alignment to educational best practices in a changing environment (Keefe, 2020), driven by the internationalization process and positioning on a global level (Borsetto, 2021). The mission statement expresses the institution's goal, who it serves, and what it seeks to achieve. Accreditors and institution leaders can use the mission statement for institutional identity and increase transparency among internal and external stakeholders (Marquez, 2016).
Figure 3
Local and International Accreditation
Accreditation suggests a level of quality consistent with the institution's educational mission. Accreditation seeks program enhancement and compliance with minimum standards set by an external accrediting body. Obtaining an engineering accreditation is a lengthy procedure that requires significant work from all program participants (Rashideh et al., 2020). Accreditation adds value by providing critical suggestions based on self-assessment and external examination (De los Rios & Oviedo, 2021).
Common Accreditation Standards
The development of an OBE framework forms the foundation of the OBE system, and the implementation of OBE is supported by the existence of support systems and mechanisms.
The common standards for accreditation were summarized as a) OBE curriculum, b) human resources, professional services, d) physical and laboratory resources, and e) student support services.
CHED Memoranda for Engineering Programs
The 2017 CMOs for engineering programs emphasized on curriculum and resources needed by the program. The curriculum should have a) CHED recognized outcomes-based curriculum of the program, b) program educational objectives (PEOs), c) program outcomes (POs), d) performance indicators (PIs), e) program assessment and evaluation (for the assessment and evaluation of PEOs/POs), f) continuous quality improvement (CQI), g) program of study, h) curriculum Map, and i) syllabi (with the emphasis of outcomes-based teaching and learning; including teaching, learning, and assessment).
Emphasis on resources includes a) administration (qualification of the dean and program chair), b) faculty (qualifications and duties), c) library and other learning resources, and d) laboratory equipment and resources (facilities for instruction, site and buildings; laboratories; modernization of equipment; and calibration of equipment).
Preparing documents in conformity with CHED memoranda ensures the institution’s qualification in offering the engineering program. The institution should undertake strategic and developmental planning for identified deficiencies to comply with CHED memoranda in offering the engineering program.
**OBE Implementation**
The existence of factors hindering accreditation of engineering HEIs despite the high to very high extent of OBE implementation is contributed by differences in deans, program chairs, and faculty members’ perspectives towards the OBE framework and availability of documents. This does not rule out disagreement but rather uncertainty on the implementation of OBE, with some respondents’ disagreeing with the availability of documents. The implementation of OBE requires the documentation of pieces of evidence that cater to the common accreditation standards and CHED mandates for outcomes-based education. Addressing accreditation factors improves the preparation of an HEI for accreditation.
**Institutional Accreditation Process**
The internal accreditation process is the gradual preparation of the HEI for accreditation, as shown in Figure 4. The internal accreditation process is an institutional self-assessment in compliance with accreditation requirements.
**Orientation.** The orientation phase includes the students, faculty, staff, and administration to deliberate on a) institutional mission about accreditation, b) common standards for accreditation, c) accreditation requirements, and d) the accreditation process. Awareness of the school administration to regulatory issuances increases the compliance of the HEI, affecting its status.
Awareness of the stakeholders (students, faculty, staff, and administrators) of the common standards for accreditation and accreditation requirements complements the implementation of OBE to avoid information overload. Stakeholders should have a positive response toward accreditation for the success of accreditation (Prado, 2018). It sheds light
**Figure 4**
*Institutional Accreditation Process*
on the importance of HEIs commitment to certain standards and accreditation. People generally had favorable attitudes toward accreditation, although their understanding was restricted (Al-khourry et al., 2014).
Hidayat et al. (2018) emphasized that the involvement of all stakeholders in the accrediting process is one of the important success indicators.
Guidance activities by accreditors, including consultancy and preliminary visits, are necessary prior to formal accreditation. The consultancy visit is intended to orient the institution for necessary preparations and documentation for accreditation, including the self-survey report. The preliminary visit validates the self-survey report and exhibits with stakeholder meetings/interviews (faculty, students, staff, and administrators), class observation, examination of documentary evidence, ocular visit, cites best practices, and endorses recommendations for improvement. PACUCOA grants “Candidate Status” for a successful preliminary visit valid for two years. The preliminary visit is the eligibility of institutions to apply for level I accreditation.
The formal accreditation visits of PACUCOA and PAASCU are categorized as a) Level I, b) Level II, c) Level III, and d) Level IV.
The process of PTC-ACBET accreditation involves a) request for accreditation, b) pre-visit, c) Program Evaluation Team Site Visit, and d) post-visit.
**Self-Review.** Conformity to regulatory requirements is an initial preparation of the program to accreditation requirements. Self-study is one of the best practices in preparation for accreditation (Prado, 2018). The stakeholders must be represented in the committee for the assessment and evaluation of readily available documents of the institution.
**Planning.** A non-eligible evaluation result of the self-survey necessitates planning to address the non-compliant indicators in the self-survey instrument. Accreditation entails financial resources to support human and non-human resources for an improved and quality program. The common problems encountered in accreditation include preparation of documents, administrative support, facilities, and attitude towards accreditation. Problems arising during the accreditation process should be resolved as soon as feasible to prepare the path for future institutional accreditation and challenges (Prado, 2018).
**Implementation.** Approval of the plan by the administration suggests implementation by the school administrators and concerned offices. Administrators are responsible for the implementation of plans and participation in the preparation of documents. Implemented plans should reflect improvement with supporting documents (ACCJC, 2020).
**Updating.** The implementation of plans dictates the progress of documentation. This process involves revisiting the self-review documents with the supporting documents of the implemented plan. Regular updating of self-review documents signifies the intent to qualify for accreditation.
**Self-Review Report.** The self-review report is a summative assessment and evaluation report from the accreditation committee highlighting the compliant indicators, strengths, and improvements from implementing plans concerning submitted documents.
**External Review Application.** An institution’s application to an accrediting body signifies that the institution has prepared for external review.
**Conclusions and Recommendations**
The common standards of accreditation by accrediting bodies for private HEIs are associated with CHED memos mandating the establishment of outcomes-based education and pursuance of an outcomes-based quality assurance system leading to the attainment of learning outcomes. Capability training activities will promote an institutional culture for the implementation of outcomes-based education. The common accreditation standards include the continuous improvement of the OBE curriculum, documentation of human and non-human resources, and pieces of evidence for the availability of student and professional services.
The factors that inhibit the accreditation of engineering programs are limited conformity to CHED memos, such as lack of OBE orientation, dearth of qualified faculty and administrator to perform duties, and deficient facilities and resources. Additionally, poor performance in the licensure examination contributes to the non-engagement of the institution to accreditation.
The internal accreditation framework necessitates the stakeholders' acceptance of the institutional goal for quality education. The primary features of the internal accreditation framework are a) institutional mission, b) regulatory/accreditation requirements, and c) accreditation process for the preparation of baseline documents and continuity of improving documents.
After a thorough analysis of the data, the following recommendations are hereby made:
1. School management, either through the office of the vice president for academics or the quality assurance office to impose the adoption of the engineering common accreditation standards in preparing documents for accreditation.
2. School management to require the active participation of the faculty and administrators in OBE seminars/training/workshops endorsed by CHED, Philippine Association of Engineering Schools, PACUCOA, and PAASCU.
3. School administrators to orient the faculty on the OBE framework and implementation in the engineering program through faculty meetings. Faculty will orient the student on the OBE framework and implementation specific to the class, emphasizing program outcomes, course competencies, course outcomes, teaching-learning activities, assessment tasks, and course assessment.
4. Adoption of the internal accreditation framework by engineering HEIs administration to be implemented in preparation for accreditation application.
5. Furtherance of the study to all engineering HEIs with the inclusion of administration, faculty, and students to validate the extent of OBE implementation and accreditation factors.
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Nitrate and Phosphate Content Assessment of Soil and Water in an Agri-municipality in Nueva Vizcaya
Cajucom, Elsa L*, Antonio, Gloria Vicky A. Aban, Lorna C, Catacutan, Michael S., Almendral, Regidor L.
Center for Natural Sciences, Saint Mary’s University, Bayombong, Nueva Vizcaya, Philippines
*Email: email@example.com
Abstract
Water safety and quality are essential, especially to human health, agriculture, aquaculture, industry, and all life forms. Effective crop production depends on an adequate supply of nutrients through fertilizer application to achieve maximum yield. However, farmers must manage soil nutrients appropriately to meet crops’ fertility requirements without adversely affecting the quality of our valuable water resources. This research assessed the concentration of nitrates and phosphates in farmland soil and groundwater in the selected agro-ecosystem barangays in Dupax del Sur, Nueva Vizcaya, to ascertain the degree of anthropogenic influence via the application of fertilizer and other agro-chemicals to farmlands by farmers. Results show that the dissolved nitrate concentrations of both water sources and farmland soils for both barangays are below the recommended levels set by the respective standards referenced in the study - with the statistical analysis showing no statistically significant difference in nitrate concentration between both barangays. Also, data indicate that the soil phosphate concentrations on all sampled farmlands in both barangays are below the recommended levels set by the standards referenced in the study. However, the dissolved phosphate concentration in all sampled water sites is significantly above the recommended levels. The differences in soil and water phosphate concentrations can be due to having a separate irrigation source that has experienced multiple runoffs and leaching events, increasing its dissolved phosphate.
Keywords: agrochemicals; biogeological processes; fertilizer application; sustainable farming
1. Introduction
Nueva Vizcaya is Cagayan Valley’s vegetable capital and the country’s next “salad bowl” (Department of Agriculture, 2011). In particular, Dupax del Sur is one of the leading vegetable producers. The income of most families is derived from rice farming, onion planting, and vegetable cultivation. Thus, it is inevitable for farmers to use fertilizers to boost crop yield. Farmers across the municipality use a variety of fertilizers to grow crops and to improve and increase the crop yield in every cropping season. Applying these inorganic fertilizers repeatedly for decades pollutes the soil and the water reservoir near it. If there is excessive use of fertilizers, it could potentially cause groundwater contamination.
Among the most pervasive pollutants of freshwater globally today are phosphate and nitrate (Khan & Ghouri, 2011). Sources of nitrates include runoff or seepage from fertilized lands, municipal and industrial wastewater, refuse dumps, animal feedlots, septic tanks, private sewage disposal systems, drainages, and decaying plant debris. Nitrates and phosphates are surplus nutrients that contaminate the soil and affect fertility.
Farmlands are the most common source of nitrates and phosphates (Lemma et al., 2017). Farmers are using organic fertilizers all year-round to boost their crop yields. Esteller et al. (2009) mentioned that this usage of organic wastes in agriculture may
increase the production of crops by incorporating nutrients (such as nitrates and phosphates) into the soil. However, this could also lead to serious environmental concerns such as soil and water pollution, leaching, and eutrophication. Because nitrate can easily be transported from the soil into aquatic ecosystems by surface runoff and leaching, this causes groundwater contamination and aquatic eutrophication of surface waters (Guo et al., 2010). Moreover, according to Yeshno et al. (2019), the concentration of nitrates in soil often changes rapidly, on a timescale of hours to days, and are dictated by irrigation–precipitation pattern, fertilization and cultivation methods, plant uptake, and natural soil biochemical processes.
These nutrients are the main reason for water contamination and eutrophication, which could result from other phenomena that could seriously threaten the environment and its living organisms. Eutrophication happens when a body of water receives an excessive nutrient load, particularly phosphorus and nitrogen, resulting in an overgrowth of algae. This phenomenon often results in an overgrowth of algae. These algae will then cover the entirety of the surface of the water, keeping sunlight from penetrating. This will then cause some aquatic plants to die at the bottom of the water source. When these algae and aquatic plants die and decompose, oxygen is depleted from the water. This lack of oxygen in water causes the death of aquatic animals (Ghosh, 2021).
In the Philippines, there are limited studies about nitrate pollution and its environmental risks, such as groundwater pollution. The study of Bednarek et al. (2014) shows that some of the groundwater sources sampled in a municipality in Laguna were found to be contaminated with nitrate-nitrogen from the use of inorganic nitrogen fertilizers, septic tanks, poor dug wells, and defective sewage systems. This became a significant concern that heightens fear in most communities because of the potential risks of groundwater pollution and the possible consequences it may bring depending on these water sources.
Although there is prior research about this issue in other locales, a study has yet to be conducted in the municipality of Dupax del Sur about the nitrate accumulation in farmlands and its subsequent environmental risks, such as groundwater contamination.
The lack of adequate research and studies regarding this matter in our country is alarming. Nitrates and phosphates pollution monitoring is needed to provide baseline data that can be used by decision-makers and policymakers for sustainable environmental management of river basins and aquatic ecosystems (Oremo et al., 2020).
The findings of the study will be beneficial for the environment and the community. Farmers will be aware of the potential risks of continued usage of inorganic or chemical fertilizers. Hence, they will be encouraged to use alternative fertilizers for more sustainable farming. Local governments could raise awareness about this phenomenon. This could encourage them to devise restoration efforts and formulate eutrophication control programs for affected areas. Lastly, the result of this study could be the basis for further environmental investigation on the excessive accumulation of nitrates and phosphates in soil and water reservoir. The researchers also believe that the study will help promote sustainable farming and is also aligned with risk reduction and mitigation, one of the components of SMU’s Project WEALTH VERSION 2.0. This academic endeavor is also associated with the United Nations’ Sustainable Development Goals (SDGs) 2, 6, 12, and 13. SDG2 is No hunger: End hunger, achieve food security and improved nutrition, and promote sustainable agriculture; SDG6 is Clean Water and Sanitation: Ensure availability and sustainable management of water and sanitation for all; SDG12 is
Responsible Consumption and Production: Ensure sustainable consumption and production patterns; and SDG13 is Climate Action: Take urgent action to combat climate change and its impacts (UN, n.d.).
2. Objectives
This study focused on the assessment of nitrate and phosphate concentrations in farm soil and irrigation water in Dupax del Sur, Nueva Vizcaya.
Specifically, it sought to answer the following questions:
1. What is the nitrate concentration of the groundwater in different study sites?
2. What is the nitrate concentration of the farmland soil in different study sites?
3. What is the phosphate concentration of the groundwater in different study sites?
4. What is the phosphate concentration of the farmland soil in different study sites?
5. Is there a significant difference on the nitrate concentration in groundwater samples at different study sites?
6. Is there a significant difference on the nitrate concentration in farmland soil samples at different study sites?
7. Is there a significant difference on the phosphate concentration in groundwater samples at different study sites?
8. Is there a significant difference on the phosphate concentration in farmland samples at different study sites?
9. What recommendations in restoration efforts and eutrophication control programs may be proposed to the identified communities?
3. Materials and methods
Research Design
The study utilized a descriptive-comparative research design to assess and compare the nitrate and phosphate concentrations of the farmland soil and ground waters in the two selected barangays in Dupax del Sur, Nueva Vizcaya.
Study Site and Sample Collection
Soil and water samples were collected from four farms, three of which are located in Barangay Mangayang and one in Gabut.
The farmers from Magayang and Gabut are members of the Mangayang-Iñeangan-Duppes Irrigation Association, Inc. and Gabut Farmers Rice and Onion Growers Association, respectively. The farmlands cover an area from 0.8 hectares (8,000 sq. meters) to 1.5 hectares (15,000 sq. meters) with a mean area of 1.15 hectares (11,500 sq. meters).
The common crop planted in Mangayang is sweet potato or commonly called camote. Rice is also grown on the two farms, while corn is on one farm. As one farmer shared, camote is a good alternative to rice since the profit is greater, considering the very low buying price of rice by traders. Vegetables such as tomato, pepper, Kentucky beans, string beans, winged bean (pallang), and bottle gourd (upo) are also planted as additional crops. The only farm visited in Gabut is planted with squash and red onions. To provide additional nutrients to the plants, all sampled farmers commonly use urea fertilizer, one of the most widely used chemical nitrogen fertilizers, according to Zhengzhou Huaqiang (2019). Triple 14 is another growth booster used. The name describes the NPK ratio present in the fertilizer, 14% nitrogen, 14% phosphorus, and 14% potassium. The remaining percent may include other nutrients the plants need (WhyFarmit, 2023). An average of six-seven bags of fertilizer are applied per hectare of farmland.
The plant growers are hesitant to use organic fertilizer, particularly the vermicompost given free by the Department of Agriculture. Vermicompost is the product of the decomposition process using various species of earthworms, which creates a mixture of decomposing vegetable or food waste, bedding materials, and vermicast (vermicompost, n.d.). From what the farmers experienced before, the worms which excrete the vermicast eventually destroyed their crops. For the entire year, the farmers have two cropping seasons or cycles. This is done to give time for the soil to sustain or restore its productivity. To augment their produce from the farms, one farmer has a piggery and another one takes care of ducks.
**Water Sample Collection**
Water samples were obtained from groundwater sources in the selected study sites. Each borehole was pumped for 3 minutes, and each sample bottle and its cap were rinsed three times with the well water during sampling. Water samples were placed in clean polyethylene bottles, were preserved with 1 mL sulfuric acid (96%, JT Baker) for every 500-mL water sample, and were stored in an icebox maintained at a temperature of about 4°C and were brought immediately to the laboratory for its nitrate-nitrogen determination.
**Farm Soil Sample Collection**
A manual collection method was used to collect soil samples in the study sites. This method was used primarily to collect surface and shallow subsurface soil samples. The surface was first removed from the sampling plot before collecting. In the sampling spot, a V-shaped cut to a depth of 15cm was made using a spade. Thick slices of soil from top to bottom of the exposed face of the ‘V-shaped cut were placed in a clean container. The samples were mixed thoroughly, and foreign materials like roots, stones, pebbles, and gravel were removed. Then, the bulk was reduced by about half to one kilogram by quartering. Quartering was done by dividing the thoroughly mixed sample into four equal parts. The two opposite quarters were discarded, the remaining two quarters were remixed, and the process was repeated until the desired sample size was obtained. The collected samples were placed in a clean cloth of polyethylene bag. The bags were labeled with information like the spot's location and the collection date.
**Data Gathering Procedure**
1. **Nitrate Assessment of Water and Farm Soil Samples**
Nitrate concentration ([NO₃-N mg/L]) was determined using the ultraviolet spectrophotometric screening method (Eaton et al., 2005). For this method, water samples
were analyzed using an Ultraviolet-Visible (UV-VIS) Spectrophotometer in the ultraviolet (UV) range at 220 nm and 275 nm wavelengths. Measurements at both wavelengths correct for possible interference by dissolved organic matter. Dissolved organic matter may be absorbed at 220 nm and 275 nm, while NO3- is only absorbed at 220 nm. The nitrate concentration was calculated by subtracting the absorbance at 275 nm from the absorbance at 220 nm and then comparing the corrected absorbance to a calibration curve developed using standards of known nitrate concentration (Eaton et al., 2005). For this analysis, the Biobase Spectrophotometer UV-1000 was used, and all measurements were read against distilled water set at zero absorbance as a blank. Fifty milliliters of field samples were filtered prior to UV-VIS analysis, and 1 mL of 1N HCl was added to minimize interference from dissolved organic matter. Each sample was analyzed using the UV-VIS spectrophotometer thrice, and the average absorbance was calculated. To prepare the calibration curve, a stock nitrate solution was made by diluting 0.7218 g of potassium nitrate previously dried at 105oC for 24 hours and was cooled in a desiccator to 1 L in a volumetric flask with distilled water. The concentration of the stock solution is 100 mg NO3 - N/L or one milliliter of the stock nitrate solution containing 100 µg of NO3-N. Standards in the 0 to 7 mg NO3-N/L were prepared by diluting the stock nitrate solution. These standards were treated and analyzed in the same manner as the samples. A linear relationship between absorption and NO3-N mg/L, or a calibration curve, was developed and used to convert the absorbances measured for the samples to nitrate concentrations in units of mg NO3-N/L.
First, the chloride concentration in the farm soil sample was determined, the chloride reading was divided by 10, and an amount of silver sulfate equivalent to the amount of chloride was added. Then (2-5) mL of the sample was taken in the centrifuge test tube, and the volume was completed to 10 mL with distilled water. The tube was centrifuged for 10 min until the solution was clear. Five mL of the clear solution was taken in a glass evaporating dish, put in a water bath, evaporated to dryness, and cooled. Then 1 mL of phenoldisulphonic acid was added after 10 min, then 10 mL of water was added and transferred to a 100 mL volumetric flask and made alkaline by adding conc. NH4OH, diluted to volume and mixed. Then the absorbance at 650 nm was measured using Visible Spectrophotometer and cuvette.
**2. Phosphate Assessment of Water and Farm Soil Samples**
In a 250 mL volumetric flask, 50 mL of distilled water was prepared, with 0.75 g of ammonium sulfate and 5 mL of concentrated sulfuric acid added. The solution was allowed to cool, as the heat was generated upon pouring the concentrated sulfuric acid, and then was diluted to the mark with distilled water.
For water samples, 10 mL of the sample and 200 mL of the ammonium sulfate solution were added to an Erlenmeyer flask and shaken occasionally over 30 minutes. The sample was filtered through filter paper to filter unwanted debris.
For farm soil samples, the obtained samples were oven-dried overnight at 50°C. 10 g of the dried soil samples and 200 mL of the ammonium sulfate solution were added to an Erlenmeyer flask and shaken occasionally for over 30 minutes. The sample was filtered through filter paper to remove any unwanted debris.
A standard solution was prepared by formulating a 300 mg/L stock solution by accurately weighing approximately 0.220g of solid potassium phosphate monobasic (KH2PO4) into a 500 mL volumetric flask and diluting it to the mark with distilled water. 10 mL of the stock solution was pipetted into a 200 mL, 250 mL, 500 mL, and 1L
volumetric flask and diluted to the mark to obtain 15, 12, 6, and 3 mg/L standard solutions, respectively. 15 mL of the stock solution was pipetted into a 1L volumetric flask and diluted to mark to obtain a 4.5 mg/L solution.
Using 100 mL of distilled water, 5 g of ammonium molybdate was dissolved. Then, 160 mL of concentrated sulfuric acid was slowly added to the solution and diluted to 500 mL with distilled water. Into a 150 mL Erlenmeyer flask, 10 mL of each standard phosphate solution was pipetted. 20 mL of distilled water, 2 mL of the molybdate solution, and a spatula of ascorbic acid crystals were added to the standard solution and heated slowly until boiling – resulting in a deep blue or green color. The solution was allowed to cool, and its absorbance reading was measured using a UV-Vis spectrophotometer at 650 nm. Into a 150 mL Erlenmeyer flask, 10 mL of each prepared sample solution was pipetted. 20 mL of distilled water, 2 mL of the molybdate solution, and a spatula of ascorbic acid crystals were added to the standard solution and were heated slowly until boiling. The solution was allowed to cool, and its absorbance reading was measured using a UV-Vis spectrophotometer at 650 nm.
Using the standard curve obtained from the absorbance readings of standard phosphate at known concentrations, an equation was obtained from the equation of its trendline using Microsoft Excel data processing software. The equation of the trendline was presented as $y = mx + b$, where $y$ is the absorbance of the sample and $x$ is the phosphate concentration of the sample. The measured absorbance readings of each sample were integrated into the equation, and the phosphate concentration was obtained by solving for $x$.
**Treatment of Data**
Mean and standard deviation were used to determine the nitrate and phosphate content of the samples tested in three replicates. The data were tested using a t-test to determine whether significant differences in the nitrate-nitrogen and phosphate concentrations of the farmland soils and groundwater sources at different study sites were present. The groundwater quality criteria used for interpreting the results were obtained from the Department of Environment and Natural Resources (DENR) Administrative Order No. 2016-08 for Class C waters and Nutrient Status Maps for both nitrogen and phosphorus content as of June 2017 in Nueva Vizcaya from the Department of Agriculture - Bureau of Soils and Water Management.
**Ethical Considerations**
This study was approved by the Saint Mary’s University Research Ethics Board (SMUREB) at Saint Mary’s University, Ponce Street, DMM, Bayombong, Nueva Vizcaya, with a cellphone number: 09177053041 and email: firstname.lastname@example.org There is no conflict of interest in conducting this study. The study involved the conduct of laboratory procedures on the level of concentration of nitrate and phosphate in farm soil and irrigation water. It did not involve human or animal participants. Since the study dealt with chemicals, the researchers executed standard chemical practices to minimize the risk. Specially, these chemicals posed high-risk hazards to the environment, and non-carcinogenic health risks to laboratory users if accidentally exposed by skin contact, inhalation, or ingestion. The researchers are trained and well-equipped to handling these chemicals and other chemical agents used to analyze the levels of nitrate and phosphate concentration in water and soil samples. The CNS laboratory has an established Hazardous and Biological Waste Management Policy (2020). Lastly, all procedures where infectious/hazardous or possibly infectious aerosols/splashes created were conducted in biologically and chemically safe laboratory benches and/or stations.
4. Results and Discussion
Section 1. Nitrate Concentration
The absorbance readings at 220 nm and 275 nm were recorded in triplicates and averaged to calculate the corrected absorbance reading by finding the difference between the two readings. Table 1 displays the resulting absorbance readings of the standards.
Table 1. Concentrations and Absorbances of Nitrate Standard
| Concentration (mg/L) | Absorbance (220 nm) | Absorbance (275 nm) | Corrected Absorbance (A220 - A275) |
|----------------------|---------------------|---------------------|-----------------------------------|
| | Trial 1 | Trial 2 | Trial 3 | Average | Trial 1 | Trial 2 | Trial 3 | Average | (A220 - A275) |
| 0 | 0.229 | 0.188 | 0.171 | 0.196 | 0.004 | 0.012 | 0.000 | 0.005 | 0.191 |
| 1 | 0.401 | 0.399 | 0.406 | 0.402 | 0.053 | 0.056 | 0.057 | 0.055 | 0.347 |
| 2 | 0.628 | 0.622 | 0.621 | 0.624 | 0.055 | 0.053 | 0.053 | 0.054 | 0.570 |
| 3 | 0.826 | 0.830 | 0.828 | 0.828 | 0.054 | 0.054 | 0.053 | 0.054 | 0.774 |
| 4 | 1.026 | 1.023 | 1.023 | 1.024 | 0.052 | 0.050 | 0.052 | 0.051 | 0.973 |
| 5 | 1.203 | 1.204 | 1.190 | 1.199 | 0.051 | 0.049 | 0.052 | 0.051 | 1.148 |
| 6 | 1.373 | 1.370 | 1.358 | 1.367 | 0.052 | 0.053 | 0.053 | 0.053 | 1.314 |
| 7 | 1.654 | 1.607 | 1.588 | 1.616 | 0.053 | 0.053 | 0.048 | 0.051 | 1.565 |
Plotting the corrected absorbance readings of the standards on a graph yields a trendline, which determines the equation used to find the nitrate concentration of unknown samples. Figure 1 below shows the standard curve for determining the nitrate concentration in both water and farmland soil samples.
Figure 1. Standard Curve of Nitrate Concentration
The procedure for determining corrected absorbance for the nitrate standard is applied to the water and farmland soil samples collected from different labeled locations in Dupax del Sur.
A. Nitrate Concentrations of Water Samples
Tables 2 and 3 display the corrected absorbance readings and nitrate concentrations for the ground and irrigation water samples, respectively.
**Table 2. Absorbance Readings of Water Samples for Nitrate Test**
| Location | Sample | Absorbance (220 nm) | Absorbance (275 nm) | Corrected Absorbance (A220 - A275) |
|----------|------------|---------------------|---------------------|-----------------------------------|
| | | Trial 1 | Trial 2 | Trial 3 | Ave | Trial 1 | Trial 2 | Trial 3 | Ave | (A220 - A275) |
| Brgy. Mangayang | MIWS-01 | 0.354 | 0.359 | 0.364 | 0.359 | 0.133 | 0.137 | 0.137 | 0.136 | 0.223 |
| | MGWS-02 RICE | 0.412 | 0.415 | 0.406 | 0.411 | 0.179 | 0.181 | 0.180 | 0.180 | 0.231 |
| | MIWS-03 CAMOTE | 0.333 | 0.329 | 0.331 | 0.331 | 0.127 | 0.125 | 0.126 | 0.126 | 0.205 |
| | MIWS-04 MAIN | 0.338 | 0.347 | 0.369 | 0.351 | 0.139 | 0.143 | 0.151 | 0.144 | 0.207 |
| Brgy. Gabut | GIWS-01 MAIN | 0.462 | 0.454 | 0.457 | 0.458 | 0.172 | 0.167 | 0.165 | 0.168 | 0.290 |
| | GIWS-02 | 0.358 | 0.359 | 0.355 | 0.357 | 0.134 | 0.132 | 0.132 | 0.133 | 0.225 |
Table 3. Nitrate Concentrations of Water Samples
| Location | Sample | Equation | Nitrate Concentration (mg/L) |
|--------------|-----------------|--------------------------------------------------------------------------|------------------------------|
| Brgy. Mangayang | MIWS-01 | $f(x) = 0.195x + 0.177$ | 0.236 |
| | MGWS-02 RICE | where $x$ is the Nitrate concentration and $f(x)$ is the corrected absorbance | 0.277 |
| | MIWS-03 CAMOTE | | 0.144 |
| | MIWS-04 MAIN | | 0.154 |
| Brgy. Gabut | GIWS-01 MAIN | | 0.579 |
| | GIWS-02 | | 0.246 |
It is worth noting in Table 3 that GIWS-01 MAIN, irrigation water collected from Gabut, contains the most dissolved nitrate per liter of irrigation water. However, all water sites have dissolved nitrate levels that are significantly lower than the acceptable levels of class C waters based on DENR-AO No. 2016-08, which is 7 mg/L.
B. Nitrate Concentrations of Farmland Soil Samples
The corrected absorbance readings and nitrate concentrations for the farmland soil samples are presented in Tables 4 and 5, respectively.
Table 4. Absorbance Readings of Farmland Soil Samples for Nitrate Test
| Location | Sample | Trial 1 | Trial 2 | Trial 3 | Ave | Trial 1 | Trial 2 | Trial 3 | Ave | Corrected Absorbance (A220 - A275) |
|--------------|--------|---------|---------|---------|-------|---------|---------|---------|-------|-----------------------------------|
| Brgy. Mangayang | MSS-01 | 3.696 | 3.699 | 3.701 | 3.699 | 3.398 | 3.398 | 3.398 | 3.398 | 0.301 |
| | MSS-02 | 3.523 | 3.523 | 3.523 | 3.523 | 3.301 | 3.301 | 3.301 | 3.301 | 0.222 |
| | MSS-03 | 3.620 | 3.622 | 3.622 | 3.621 | 3.385 | 3.386 | 3.388 | 3.386 | 0.235 |
| | MSS-04 | 3.549 | 3.550 | 3.549 | 3.549 | 3.101 | 3.103 | 3.100 | 3.101 | 0.448 |
| | MSS-05 | 3.613 | 3.611 | 3.611 | 3.612 | 3.370 | 3.371 | 3.371 | 3.371 | 0.241 |
| Brgy. Gabut | GSS-01 | 3.319 | 3.315 | 3.317 | 3.317 | 3.088 | 3.085 | 3.089 | 3.087 | 0.23 |
| | GSS-02 | 3.566 | 3.570 | 3.566 | 3.567 | 3.322 | 3.322 | 3.320 | 3.321 | 0.246 |
Table 5. Nitrate Concentrations of Farmland Soil Samples
| Location | Sample | Equation | Nitrate Concentration (mg/kg) |
|-------------|--------|--------------------------------------------------------------------------|------------------------------|
| Brgy. Mangayang | MSS-01 | $f(x) = 0.195x + 0.177$ | 0.636 |
| | MSS-02 | where $x$ is the Nitrate concentration and $f(x)$ is the corrected absorbance | 0.231 |
| | MSS-03 | | 0.297 |
| | MSS-04 | | 1.390 |
| | MSS-05 | | 0.328 |
| Brgy. Gabut | GSS-01 | | 0.272 |
| | GSS-02 | | 0.354 |
It is also worth noting in Table 5 that MSS-04 has the highest soil nitrate concentration among the farmland soil samples obtained. However, all soil samples fall significantly below the acceptable levels of nitrate in the soil, which is 10-50 mg/kg (HORIBA Instruments Singapore, 2015).
**Section 2. Phosphate Concentration**
Table 6 shows the absorbance readings of the phosphate standard at 650 nm.
**Table 6. Concentrations and Absorbances of Phosphate Standard**
| Concentration (mg/L) | Trial 1 | Trial 2 | Trial 3 | Average |
|----------------------|---------|---------|---------|---------|
| 0 | 0.056 | 0.050 | 0.047 | 0.051 |
| 3 | 0.095 | 0.098 | 0.096 | 0.096 |
| 4.5 | 0.128 | 0.122 | 0.128 | 0.126 |
| 6 | 0.167 | 0.170 | 0.165 | 0.167 |
| 12 | 0.202 | 0.205 | 0.202 | 0.203 |
| 15 | 0.243 | 0.240 | 0.248 | 0.244 |
A standard curve is constructed based on the absorbance readings of the phosphate standard. The equation of the trendline was used in determining the phosphate concentration of unknown samples. Figure 2 illustrates the standard curve obtained from the phosphate standard.
Figure 1. Standard Curve of Phosphate Standard
Absorbance
\[ f(x) = 0.012x + 0.066 \]
\[ R^2 = 0.952 \]
Phosphate Concentration
The procedure for determining the absorbance phosphate standard was applied to the water and farmland soil samples collected from different identified sites in Dupax del Sur.
A. Phosphate Concentrations of Water Samples
Tables 7 and 8 display the absorbance readings at 650 nm and phosphate concentrations for each of the ground and irrigation water samples, respectively.
**Table 7. Absorbance Readings of Water Samples for Phosphate Test**
| Location | Sample | Trial 1 | Trial 2 | Trial 3 | Average |
|----------------|-----------------|---------|---------|---------|---------|
| Brgy. Mangayang| MIWS-01 | 0.083 | 0.083 | 0.082 | 0.083 |
| | MGWS-02 RICE | 0.087 | 0.088 | 0.087 | 0.087 |
| | MIWS-03 CAMOTE | 0.089 | 0.087 | 0.089 | 0.088 |
| | MIWS-04 MAIN | 0.082 | 0.083 | 0.082 | 0.082 |
| Brgy. Gabut | GIWS-01 MAIN | 0.087 | 0.088 | 0.087 | 0.087 |
| | GIWS-02 | 0.081 | 0.083 | 0.081 | 0.082 |
**Table 8. Phosphate Concentrations of Water Samples**
| Location | Sample | Equation | Phosphate Concentration (mg/L) |
|----------------|-----------------|---------------------------|-------------------------------|
| Brgy. Mangayang| MIWS-01 | $f(x) = 0.012x + 0.066$ | 1.416 |
| | MGWS-02 RICE | where x is the phosphate concentration and f(x) is absorbance | 1.75 |
| | MIWS-03 CAMOTE | | 1.833 |
| | MIWS-04 MAIN | | 1.333 |
| Brgy. Gabut | GIWS-01 MAIN | | 1.75 |
| | GIWS-02 | | 1.333 |
It is worth noting in Table 8 that MIWS-03 CAMOTE, groundwater sample from Mangayang, contains the most dissolved phosphate per liter of irrigation water. However, all water samples sites have dissolved phosphate levels that are higher than the acceptable levels of class C waters based on DENR-AO No. 2016-08, which is 0.5 mg/L.
B. Phosphate Concentrations of Farmland Soil Samples
Tables 9 and 10 show the absorbance readings at 650 nm and phosphate concentrations for each of the farmland soil samples, respectively.
**Table 9: Absorbance Readings of Farmland Soil Samples for Phosphate Test**
| Location | Sample | Trial 1 | Trial 2 | Trial 3 | Average |
|----------------|--------|---------|---------|---------|---------|
| Brgy. Mangayang| MSS-01 | 0.107 | 0.075 | 0.080 | 0.087 |
| | MSS-02 | 0.118 | 0.122 | 0.152 | 0.131 |
| | MSS-03 | 0.102 | 0.136 | 0.109 | 0.116 |
| | MSS-04 | 0.128 | 0.158 | 0.129 | 0.138 |
| | MSS-05 | 0.073 | 0.074 | 0.076 | 0.074 |
| Brgy. Gabut | GSS-01 | 0.089 | 0.087 | 0.118 | 0.098 |
| | GSS-02 | 0.229 | 0.229 | 0.226 | 0.228 |
**Table 10: Phosphate Concentrations of Farmland Soil Samples**
| Location | Sample | Equation | Phosphate Concentration (mg/kg) |
|----------------|--------|-----------------------------------------------|---------------------------------|
| Brgy. Mangayang| MSS-01 | $f(x) = 0.012x + 0.066$ | 1.75 |
| | MSS-02 | where $x$ is the phosphate concentration and $f(x)$ is absorbance | 5.42 |
| | MSS-03 | | 4.16 |
| | MSS-04 | | 6.0 |
| | MSS-05 | | 0.6 |
| Brgy. Gabut | GSS-01 | | 2.6 |
| | GSS-02 | | 13.5 |
GSS-02 has the most phosphate present in its farmland soil among the farmland sites the samples are obtained from. Meanwhile, MSS-02 obtained the highest phosphate concentration among farmland sites in Brgy. Mangayang may be attributed to the presence of piggery and duck poultry. However, all farmland sites exhibit phosphate levels below the recommended amount which is 25 to 50 mg/kg.
Section 3. Comparisons of Nitrate and Phosphate Concentrations
Table 11. t-Test Results for Nitrate and Phosphate Concentrations of the Water Samples in the two Barangays
| Concentration in Water Sample | Site | N | Mean | Std. Deviation | t | df | Sig. (2-tailed) |
|-------------------------------|--------|----|---------|----------------|-------|------|-----------------|
| Nitrate | Mangayang | 4 | .20275 | .064412 | -1.237| 1.076| .422 |
| | Gabut | 2 | .41250 | .235467 | | | |
| Phosphate | Mangayang | 4 | 1.5830 | .24548 | .185 | 4 | .862 |
| | Gabut | 2 | 1.5415 | .29486 | | | |
The t-test results in Table 11 show that the nitrate and phosphate concentrations of the water samples obtained from the different irrigation sites in Barangays Mangayang and Gabut are not significantly different from each other with p-values greater than 0.05.
Table 12. t-Test Results for Nitrate and Phosphate Concentrations of the Soil Samples in the two Barangays
| Concentration in Soil Sample | Site | N | Mean | Std. Deviation | t (df = 5) | Sig. (2-tailed) |
|-----------------------------|--------|----|---------|----------------|------------|-----------------|
| Nitrate | Mangayang | 5 | .57640 | .480772 | .731 | .498 |
| | Gabut | 2 | .31300 | .057983 | | |
| Phosphate | Mangayang | 5 | 6.1660 | 4.41296 | 1.365 | .230 |
| | Gabut | 2 | 1.6000 | 1.41421 | | |
Table 12 reflects the t-test results which indicate that the nitrate and phosphate concentrations in the different soil samples gathered in Barangays Mangayang and Gabut are not significantly different from each other with p-values greater than 0.05.
The different nitrate and phosphate concentrations were compared with the acceptable levels. Tables 13 and 14 show the one-sample t-test results for the water and soil samples, respectively.
**Table 13. One-sample t-test Results on the Water Samples**
| Sample | N | Mean | Std. Dev. | Test value | t | df | Sig. (2-tailed) | Mean Difference |
|------------|-----|---------|-----------|------------|---------|-----|-----------------|-----------------|
| NitrateW | 6 | .27267 | .159092 | 7 | -103.579| 5 | .000 | -6.727333 |
| PhosphateW | 6 | 1.5692 | .23239 | 0.5 | 11.270 | 5 | .000 | 1.06917 |
The results in Table 13 indicate that the mean nitrate concentration of the six water samples of .27 mg/L is significantly lower than the recommended level of 7 mg/L (p < .001). While the mean phosphate concentration of 1.57 mg/L is significantly higher than the acceptable level of 0.5 mg/L (p < .001).
**Table 14. One-sample t-test on the Soil Samples**
| Sample | N | Mean | Std. Dev. | Test value | t | df | Sig. (2-tailed) | Mean Difference |
|------------|-----|---------|-----------|------------|---------|-----|-----------------|-----------------|
| NitrateS | 7 | .50114 | .413731 | 25 | -156.667| 6 | .000 | -24.498857 |
| PhosphateS | 7 | 4.8614 | 4.27551 | 25 | -12.462 | 6 | .000 | -20.13857 |
Table 14 reflects the results indicating that the mean nitrate concentration of the seven soil samples of .50 mg/kg is significantly lower than the recommended level of 25 mg/kg (p < .001). While the mean phosphate concentration of 4.86 mg/L is significantly higher than the acceptable level of 0.5 mg/L (p < .001).
The nutrient status map by the Bureau of Soils and Water Management of the Department of Agriculture (2017) shows low to moderately low dissolved nitrogen levels in Dupax, Nueva Vizcaya farm soils, consistent with the findings of the study. Although nitrates are more soluble in water and can leach towards groundwater or irrigation water, the low levels of dissolvable nitrate and clay-loam soil in Dupax del Sur limit the amount
of leached nitrates in irrigation water, which mainly consist of dissolved nitrates from organic matter that were minimized during analysis (Geisseler & Horwath, 2016).
On the other hand, the nutrient status map by the Bureau of Soils and Water Management of the Department of Agriculture (2017) shows varying but mostly low levels of dissolved soil phosphorus in Dupax, Nueva Vizcaya, consistent with the study results. Despite the low phosphate concentration in farmland soil, the study found high levels of dissolved phosphate in irrigation water in some areas of Dupax del Sur, which could be caused by multiple farmland surface runoff events that have occurred – resulting in low dissolved phosphate in the soil but high dissolved phosphate in groundwater (Chakraborty, 2022).
5. Conclusion
The study found that the dissolved nitrate concentrations in both irrigation water sources and farmland soils for both barangays were below recommended levels, with no statistically significant difference. It can be concluded that nitrates from the soil obtained from the two communities are nearly depleted, and there are low amounts of nitrate that can be leached through various water sources – leading to low concentrations of dissolved nitrate in the irrigation water as well. Soil phosphate concentrations in all sampled farmlands were below recommended levels, but dissolved phosphate concentrations in all sampled irrigation water sites were significantly above recommended. The differences in soil and water phosphate concentrations may be due to a separate irrigation source experiencing multiple runoffs and leaching events, increasing its dissolved phosphate.
6. Acknowledgements
The researchers would like to give thanks to Saint Mary’s University for funding this research endeavor through Project WEALTH 2.0.
7. References
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Chakraborty, D., Prasad, R., & Brantley, E. (2020, May 28). *Phosphorus basics: Understanding pathways of soil phosphorus loss*. https://www.aces.edu/blog/topics/crop-production/understanding-soil-phosphorus-loss/
Department of Agriculture - Bureau of Soils and Water Management. (2017, June 19). *Nutrient Status Map: Nitrogen*. https://bswm.da.gov.ph/wp-content/uploads/Nueva-vizcaya_N.pdf
Department of Agriculture - Bureau of Soils and Water Management. (2017, June 24). *Nutrient Status Map: Phosphorus*. https://bswm.da.gov.ph/wp-content/uploads/Nueva-Vizcaya_P.pdf
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8. Appendices
None
9. Author(s) Biodata (50 words)
Dr. Elsa L. Cajucom currently an Associate Professor II, the Director of the Center for Natural Sciences, and a faculty member of the School Health and Natural Sciences. She authored Junior HS Science textbooks and published researches in online refereed journals and served as a trainer and resource speaker for the DOST Project STAR and K 12 in Region 2 Philippines.
Mrs. Gloria Vicky A. Antonio, Associate Professor II, is the university statistician at Saint Mary’s University and a faculty member of the School of Health and Natural Sciences. She is one of the Trainors of DOST Project STaR in Region 2 Philippines.
Mrs. Lorna C. Aban is a faculty member of the School of Health and Natural Sciences.
Mr. Regidor L. Almendral and Mr. Michael S. Catacutan are the research laboratory assistants of the SMU Center for Natural Sciences.
Road-FMS: Distributed Road Flood Monitoring and Reroute System with Centralized Warning Network
Ceferino Llamelo*, Domar Anapi II, Danilo Gali Jr., Krizen Nicole Samonte, Justine Ferrer Corpuz
Computer Engineering Program, School of Engineering, Architecture, and Information Technology Education,
University of Saint Louis, Tuguegarao City
*Email : email@example.com
Abstract
Flooding is a highly destructive natural disaster that poses a significant threat worldwide. With heavy rainfall accompanying tropical storms, rivers overflow, resulting in widespread flood damage and flash floods that endanger large populations. Tuguegarao City, the capital of the Cagayan province, experiences rapid flood inundation during heavy rainstorms, primarily due to insufficient road infrastructure and environmental deviations. To address this issue, a distributed road flood monitoring and reroute system has been developed, focusing on monitoring flood conditions in specific areas and providing drivers with alternative routes when roads become impassable. The system comprises two deployed devices located in Barangay Atulayan Sur and Linao East of Tuguegarao City. The utilize water-based ultrasonic sensors and ESP8266 Wi-Fi modules, which connect to ThingSpeak, a cloud-based Internet-of-Things (IoT) analytics software. ThingSpeak collects and analyzes data from the monitoring stations, offering real-time flood updates through mobile and web-based services. To communicate crucial information, the system leverages the ITEXTMO API service provider to send text messages to residents within the barangay, successfully delivering messages at intervals of one to three minutes. Additionally, when road lanes become inaccessible, the system proposes alternative paths, while the web program provides users with detailed information about flood and traffic conditions in specific areas, suggesting the best alternate routes. The implementation of this system enhances Tuguegarao City's ability to respond effectively to flooding events, ensuring the safety of its residents and mitigating the devastating impact of this natural disaster.
Keywords: road flood, ultrasonic sensor, flood monitoring, text messaging, Internet-of-Things
1. Introduction
Flooding is a globally recognized and hazardous natural disaster, often caused by heavy rainfall during typhoons and monsoons. This leads to river overflow and sediment deposition, resulting in devastating flood damage and flash floods that put a significant portion of the population at risk (Ardales et al., 2016). Tuguegarao City, the capital of the Cagayan province, experienced severe flooding during the 2020 typhoon Ulysses, with some areas submerged by over 4.5 meters of water. The release of floodgates from the nearby Magat Dam exacerbated the situation, making Tuguegarao City particularly vulnerable (Macaraeg, 2020). The extensive flooding rendered bridges and roads impassable, causing significant disruptions to transportation and incurring substantial infrastructural damage, with an estimated cost nearing P6 billion and close to 30 road sections being closed (Manila Bulletin, 2020).
Several technologies already exist for road flood monitoring and information systems. For instance, Abana et al., (2019) developed a system to measure flood depth,
assess road accessibility, and send notifications via social media. However, this paper proposes a novel approach by enabling the system to send warnings directly to residents in specific barangays through text messages. It also features a dedicated website that displays traffic routes with color-coded indicators based on flood levels and suggests alternative routes when road lanes become impassable. Another study in Metro Manila focuses on designing a Remote Station for Real-time Monitoring of Urban Flooding (Retamar et al., 2014). However, the previous research lacks comprehensive data collection during extreme rain conditions and lacks visualization methods such as historical data analysis and smartphone applications for on-the-road alerts.
To address these gaps, this study aims to develop a flood monitoring system that provides an alternate route when water levels exceed a specific threshold, rendering roads impassable. Additionally, it will send text messages to residents of the specific barangay, keeping them informed about road conditions. The study also introduces a centralized warning network where data from the flood monitoring systems will be directly sent to a website accessible to everyone. This website aims to provide motorists and citizens with real-time information about road conditions and flood level estimations, assisting in decision-making and enhancing overall flood monitoring capabilities. By improving real-time flood monitoring, early detection of impassable roads, and suggesting alternate routes, this study strives to mitigate traffic issues and ensure public safety during flooding events.
2. Objectives
This study designs and develops a comprehensive road flood monitoring system with a centralized warning network. Specifically, it aims to achieve the following objectives:
1. Assess the flood level status on the road accurately and effectively.
2. Evaluate the response time and effectiveness of SMS notifications and advisories sent to the constituents of the barangay regarding the road status.
3. Provide real-time updates on traffic routes status and offer rerouting directions through a dedicated website.
3. Materials and methods
Figure 1 showcases the interconnected components of the Road-FMS (Road Flood Monitoring System). The system comprises various electronic modules, including a microcontroller, ultrasonic sensor, LED matrix, and Wi-Fi shield. The microcontroller utilizes the Wi-Fi shield to establish internet connectivity, while the ultrasonic sensor measures the water depth. The collected data is analyzed by the ultrasonic sensor, which then transmits the relevant information to mobile phones. The system utilizes SMS to send warnings and provides more comprehensive details through the dedicated website.
The SMS functionality plays a crucial role in managing safety by facilitating data transmission from the monitoring system to the computer server and delivering notifications to concerned residents. An SMS application is installed on the computer server to process the received data and take appropriate actions based on the information. This systematic approach ensures efficient data management and timely responses to flood-related situations, enhancing the overall effectiveness of the Road-FMS.
Figure 2 shows a flood gauge, which serves as the standardized measurement system for assessing flooding in Metro Manila, as implemented by the Metro Manila Development Authority (MMDA). This flood gauge plays a crucial role in evaluating road accessibility by monitoring rising water levels. The estimation of flood depth is determined concerning the average human height, providing a consistent and reliable basis for assessment. According to the MMDA flood gauge, if the flood level remains below half-knee height, which is approximately less than 13 inches, all types of vehicles can still navigate through the flooded lane. However, once the flood level reaches 13 to 19 inches, small cars are no longer able to traverse the road. When the flood depth exceeds 19 inches, the road becomes completely impassable for all vehicle types. This standardized system ensures clarity and uniformity in determining the safety and usability of roads during flooding incidents.
In this study, the MMDA flood gauge was utilized as the primary tool for assessing and reporting flood levels. By incorporating this established measurement system, the assessment and reporting process becomes more accurate and consistent, facilitating efficient decision-making and enhancing public safety during flood events.
The development of the system involved the use of various IDEs (Integrated Development Environments) to create and manage the code and components. One of the key IDEs used was the Arduino Uno IDE, which is the official software from Arduino.cc. This IDE allowed for authoring, compiling, and uploading code to the Arduino modules and boards. The system code was created in the Arduino Uno IDE and then uploaded to the microcontroller, enabling it to run and interact with sensors and other components effectively. Additionally, JavaScript was used as a programming language for web page interaction. It provided dynamic behavior and functionality, allowing users to interact seamlessly with web pages. Furthermore, the development process incorporated the CodeIgniter framework, a PHP MVC (Model-View-Controller) framework. CodeIgniter facilitated the rapid creation of web applications, with built-in libraries for tasks such as database connectivity, email handling, file uploading, and session management. HTML5, a programming language for building web pages, was used to customize the appearance and structure of the system's web pages, ensuring an enhanced user experience. Lastly, MySQL, a relational database management system (RDBMS), was utilized for organizing and managing data in databases. MySQL's connectors and drivers made it a popular choice for efficient data management in various applications.
Table 1 Notification Points
| Water Level | Indicator | Message |
|----------------------|-----------|-------------------------------------------------------------------------|
| Low (0.5-1.2ft.) | Green | Name of Barangay |
| | | Flood Level in the Road |
| | | Passable to All Types of Vehicles |
| Moderate (1.3-1.9ft.)| Orange | Name of Barangay |
| | | Flood Level in the Road |
| | | Not Passable to Light Vehicles |
| High (2 ft. and above)| Red | Name of Barangay |
| | | Flood Level in the Road |
| | | Not Passable to All Types of Vehicles |
Table 1 presents a comprehensive overview of the flood status on the road, accompanied by message notifications and traffic route indicators. The indicators use different colors to denote various conditions: green signifies a normal condition, orange indicates a critical condition, and red represents a dangerous condition. The table also displays the specific message that will be sent to constituents when the flood level on the road reaches the water level warning as indicated by the system.
Figure 3 depicts the placement of the first system along the Linao-Carig Road. This strategic location was selected due to its significance as a primary route frequently used by motorists and drivers, making it highly susceptible to flooding. When this road becomes flooded, the nearby areas are also affected. System 1 serves to monitor and assess the flood situation specifically along the Linao-Carig Road, enabling real-time monitoring and data collection. Similarly, Figure 4 showcases the positioning of the second system in Atulayan Sur, an area with a substantial population and prone to flooding. Once the water level reaches the predetermined threshold set in the system, an early warning signal is transmitted. Should the flood escalate beyond a certain limit, the system will offer an alternative route, mirroring the functionality of the first system. System 2 effectively
monitors and provides critical flood information for Atulayan Sur, encompassing Tagunon Street to Linao-Carig Road. The strategic placement of these systems ensures comprehensive flood monitoring coverage for these vulnerable areas, allowing for timely alerts and the provision of alternative routes to ensure the safety and convenience of motorists and residents.
4. Results and Discussion
Figure 5 showcases the Road-FMS, which plays a crucial role in the flood monitoring system. Upon activation, the system initiates the functioning of the sensor. The ultrasonic sensor, known for its reliability and cost-effectiveness, is employed to accurately measure the water level in the flooded road. This sensor serves as a vital instrument for this specific application. Once the water level is detected, the data is transmitted to the local server and subsequently stored in the database for further analysis. In the database, the sensor measurements are categorized based on the corresponding rainfall measurements obtained from the MMDA flood gauge. This classification allows for a comprehensive understanding of the flood situation. To ensure effective dissemination of information, the system incorporates a centralized warning network. This network facilitates the sharing of detected information from multiple systems, providing people with valuable knowledge regarding the flood conditions. This feature enhances overall awareness and helps individuals make informed decisions based on the real-time data collected from various monitoring points. The Road-FMS system, with its sensor capabilities and integration into the centralized warning network, plays a critical role in the flood monitoring system, enabling prompt responses and enhancing public safety measures.
**Figure 4** Road-Flood Monitoring System
To verify the accuracy of the system in calculating the flood depth, rigorous testing was conducted, comparing the measured flood depth obtained from the system with the actual flood depth. In Table 2, the measured flood depth was determined using a measuring tape, while the actual flood depth was obtained through the system's measurement. Through multiple trials, it was observed that the measured flood depth closely matched the actual flood depth, indicating the system's reliable accuracy in its calculations. These results provide confidence in the system's ability to accurately measure and report the flood depth in real-time. The testing process served to validate the system's performance and its suitability for effective flood monitoring applications. By ensuring accurate measurements, the system can contribute to enhanced flood prediction, early warning systems, and improved decision-making processes to mitigate the impacts of flooding.
| Trials | Measured Flood Depth (ft) | Actual Flood Depth (ft) | Accuracy |
|--------|---------------------------|-------------------------|----------|
| 1 | 0.42 | 0.41 | 97.62 |
| 2 | 0.67 | 0.64 | 95.52 |
| 3 | 0.83 | 0.82 | 98.80 |
| 4 | 0.92 | 0.90 | 97.83 |
| 5 | 1.00 | 0.98 | 98.00 |
| 6 | 1.17 | 1.15 | 98.29 |
| 7 | 1.25 | 1.24 | 99.2 |
| 8 | 1.38 | 1.37 | 99.28 |
| 9 | 1.42 | 1.39 | 97.89 |
| 10 | 1.55 | 1.53 | 98.91 |
| 11 | 1.74 | 1.71 | 97.71 |
| 12 | 1.85 | 1.84 | 99.46 |
| 13 | 1.92 | 1.90 | 98.96 |
| 14 | 2.17 | 2.15 | 99.08 |
| 15 | 2.25 | 2.24 | 99.5 |
| 16 | 2.33 | 2.30 | 98.71 |
| 17 | 2.50 | 2.47 | 98.8 |
| 18 | 2.68 | 2.67 | 99.63 |
| 19 | 2.87 | 2.84 | 98.95 |
| 20 | 3.00 | 2.96 | 98.67 |
The road flood monitoring system demonstrated a high level of accuracy in measuring the depth of the flood using the ultrasonic sensor, with an average accuracy of 98.94%. This accuracy is comparable to the average accuracy of 98.69% achieved by a previous study (Hanshim et al., 2013) that also utilized an ultrasonic sensor for detecting water depth. The use of an ultrasonic sensor proves advantageous in flood depth measurement due to its ability to detect the actual depth of the flood at any given time. In contrast, a water level sensor (Hanshim et al., 2013) relies on the water reaching a certain level before the depth can be accurately detected. Furthermore, compared to a water level sensor (Hanshim et al., 2013) and a barometric pressure sensor, the ultrasonic sensor does not require physical contact with the water to measure the flood depth. This characteristic safeguards it from being displaced or compromised during severe flooding. The exceptional accuracy and non-contact measurement capability of the ultrasonic sensor make it an ideal choice for flood monitoring applications. By reliably capturing precise flood depth data, the system can contribute to improved flood forecasting, early warning systems, and effective decision-making processes aimed at mitigating the impact of flooding events.
Table 3 SMS Latency
| Trials | Message Sent | Message Receive | Latency |
|--------|--------------------|---------------------|---------|
| 1 | Yes (3:07 pm) | Yes (3:09 pm) | 2 minutes |
| 2 | Yes (11:45 pm) | Yes (11:47 pm) | 2 minutes |
| 3 | Yes (11:23 am) | Yes (11:26 pm) | 3 minutes |
| 4 | Yes (9:25 am) | Yes (9:26 am) | 1 minute |
| 5 | Yes (9:39 am) | Yes (9:41 am) | 2 minutes |
| 6 | Yes (9:50 am) | Yes (9:51 am) | 1 minute |
| 7 | Yes (4:33 pm) | Yes (4:35 pm) | 2 minutes |
| 8 | Yes (4:50 pm) | Yes (4:52 pm) | 2 minutes |
| 9 | Yes (5:04 pm) | Yes (5:07 pm) | 3 minutes |
| 10 | Yes (3:11 pm) | Yes (3:12 pm) | 1 minute |
| 11 | Yes (3:22 pm) | Yes (3:23 pm) | 1 minute |
| 12 | Yes (3:38 pm) | Yes (3:40 pm) | 2 minutes |
| 13 | Yes (6:12 pm) | Yes (6:15 pm) | 3 minutes |
| 14 | Yes (6:32 pm) | Yes (6:34 pm) | 2 minutes |
| 15 | Yes (6:47 pm) | Yes (6:49 pm) | 2 minutes |
| 16 | Yes (9:58 am) | Yes (10:00 am) | 2 minutes |
| 17 | Yes (10:14 am) | Yes (10:16 am) | 2 minutes |
| 18 | Yes (10:28 am) | Yes (10:31 am) | 3 minutes |
| 19 | Yes (2:09 pm) | Yes (2:10 pm) | 1 minute |
| Trials | Message Sent | Message Receive | Latency |
|--------|--------------------|---------------------|----------|
| 20 | Yes (2:17 pm) | Yes (2:19 pm) | 2 minutes|
The SMS latency of the system is shown in Table 3. This latency is the amount of time it takes for the message to be delivered to the intended customer system. The SMS notification integrated into this system provides a valuable means of conveying information to concerned parties in the event of potential floods. Unlike previous studies on early warning systems utilizing GSM modules for message transmission to residents (Pagatpat, Arrelano, & Gerasta, 2015), this system utilizes various platforms to deliver SMS notifications. To facilitate SMS notifications, the system incorporates ITEXTMO, an SMS API service provider that establishes a seamless connection between the system and its recipients through a simple API. By leveraging this approach, the system can send SMS notifications without the need for specific hardware or complex coding requirements, ensuring efficient and reliable communication. The utilization of an SMS notification system enhances the responsiveness and reach of the road flood monitoring system. By integrating with an easy-to-use SMS API service provider, the system can effectively disseminate critical information to concerned parties, enabling timely alerts and proactive measures to be taken in response to potential flood situations.
**Figure 4** Road-Flood Monitoring System SMS information
Individuals with concerns about potential flood disasters can utilize the SMS application to obtain real-time information. By sending a message with the keyword "Flood Update," the system promptly responds with an informative message containing essential details. These details include the alert level, flood warning status, and the locations of flood-affected roads. Figure 5 visually depicts an example of the "Flood Update" message that is generated when the water depth surpasses the normal level. This feature empowers individuals to stay informed about the current flood situation and take necessary precautions accordingly.
The web-based monitoring system shown in Figure 5 is a comprehensive system that provides users with valuable flood-related information, including water levels, affected areas, and the status of flooded roads. The website features an interactive map that displays traffic routes, with distinct warning colors that dynamically activate based on the measurement readings. This intuitive design allows users to quickly assess the severity of the flood situation and make informed decisions regarding their travel routes.
**Figure 6.1** First warning indicator
Figure 6.2 Second warning indicator
Figure 6.3 Third warning indicator
Figure 6.1 illustrates both systems positioned in the first warning indicator, denoted by a green color. This indicates that the flood depth is currently at 1 foot or below, allowing all types of vehicles to pass through the road safely. In Figure 6.2, the second warning of the system is displayed, indicating a flood depth of 1.1 feet on the road. When the flood depth ranges from 1.1 to 1.99 feet, the road lane changes to orange, signaling that light vehicles are no longer able to traverse the road. Moving to Figure 6.3, if the flood level in the road exceeds 2 feet, the road lane is shown as red, indicating that it is impassable for all types of vehicles. Additionally, Figure 6.4 showcases the alternate route when the first system located at Barangay Linao becomes inaccessible. The website utilizes a static algorithm to determine the alternative route. Static routing does not require frequent changes to the routing table and provides enhanced security compared to dynamic routing, as it avoids the need for complex routing algorithms.
5. Conclusion
The results showed the effectiveness of the road flood monitoring system in providing real-time flood depth information and corresponding warnings. The color-coded indicators accurately depict the flood levels, enabling motorists to make informed decisions about road accessibility. The system's ability to differentiate between safe, restricted, and impassable conditions enhances overall safety and mitigates potential risks associated with flooding. Furthermore, the utilization of a static algorithm for determining alternate routes ensures reliable and secure navigation, as it avoids the complexities of dynamic routing algorithms.
Based on the findings, it is recommended to further enhance the system by incorporating additional features that promote proactive flood management. Integration of real-time weather data and forecasts can provide valuable insights for predicting and responding to flood events more effectively. Expanding the coverage of monitoring systems to strategic locations prone to flooding would enhance the system's overall accuracy and reliability. Additionally, exploring the possibility of integrating mobile applications alongside the web-based system can extend the reach of flood warnings and facilitate easier access to information for concerned individuals. These recommendations would further strengthen the system's capabilities and contribute to a more robust and comprehensive flood monitoring and warning system.
6. References
Abana, E., Dayag, C. V., Valencia, V. M., Talosig, P. H., Ratilla, J. P., & Galat, G. (2019). Road flood warning system with information dissemination via social media. International Journal of Electrical & Computer Engineering (2088-8708), 9(6).
Ardales Jr, G. Y., Espaldon, M. V. O., Lasco, R. D., Quimbo, M. A. T., & Zamora, O. B. (2016). Impacts of floods on public schools in the municipalities of Los Baños and Bay, Laguna, Philippines. Journal of Nature Studies, 15(1), 19-40.
Hanshim, N. M., et al. (2013). Flood Detector Emergency Warning System. International Journal of Engineering and Computer Science (IJECS), 2, 2332-2336.
Macaraeg, P. (2020, November 24). 3 issues that need to be addressed in Cagayan flooding Web Site. Retrieved January 19, 2021, from https://www.rappler.com/newsbreak/iq/issues-need-to-be-addressed-cagayan-flooding.
Manila Bulletin (2020). "Ulysses" infra damage cost in Cagayan Valley nears P6-B close to 30 road sections impassable. Retrieved March 16, 2022, from https://mb.com.ph/2020/11/14/ulysses-infra-damage-cost-in-cagayan-valley-nears-p6-b-close-to-30-road-sections-impassable/
Pagatpat, J. C., Arellano, A. C., & Gerasta, O. J. (2015). GSM & web-based flood monitoring system. In IOP Conference Series: Materials Science and Engineering (Vol. 79, No. 1, p. 012023). IOP Publishing.
Retamar, A., García, F. C., Yabut, J. J., & Javier, J. (2014). Design and Development of a Remote Station for Real-time Monitoring of Urban Flooding. Proceedings of the Asia-Pacific Advanced Network, 38, 99-114.
Judicial Assimilation of the Mainstreamed Aetas of Cagayan in the Katarungang Pambarangay
Jedidiah Clement B. Sta. Monica*, Jan Michael Vince M. Oñate, Darin Jan Tindowen
University of Saint Louis, Tuguegarao City, Philippines
*Email: firstname.lastname@example.org
Abstract
Aeta Communities is known for its nomadic lifestyle. Their settlement from one place to another affects their cultural and judicial practices. Contemporarily, Aeta Communities has been assimilated to the justice system of the mainstream society due to their resettlement. With the emergence of Katarungang Pambarangay (Village Justice) as an alternative dispute resolution of the Philippines, it is an interesting study to ponder the judicial profile of the Aeta Community who were assimilated in the Katarungang Pambarangay. This study is a qualitative endeavor to explore the dispute resolution practices of the mainstreamed Aetas when assimilated to the Katarungang Pambarangay. This study utilized a basic qualitative design. The result revealed that the Aeta Communities practices justice system of their indigenous culture and the Katarungang Pambarangay. The blending of both systems allows for a smoother conflict settlement system. This result signifies that despite their judicial assimilation to the mainstream community, their method of conflict resolution is still influenced by their indigenous practices. This provides an empirical understanding on how they are able to settle conflict in a harmonious way without going through the intricacies of formal courts. It allows the local government unit to devise a better framework on alternative dispute resolution.
Keywords: Barangay, Katarungang Pambarangay, Indigenous People, Justice System, Alternative Justice System
1. Introduction
Justice is a fundamental element that maintains the moral balance in a society. It is a legal framework created to determine who shall be accorded with a benefit or burden in a conflict (Wex Definition Team, 2020). Correspondingly, the concept of justice varies across different nations (Parnami, 2019). In the Philippines, the justice system is delivered in the form of an adversarial justice system. In this system, legal offense is applied to a malefactor to pacify the victim and fulfill society’s need for retribution (Hand et al., 2012). The Adversarial system is viewed as fair, logical, and worthy to be used for reaching a judgment (Khan, 2012). However, studies show that while the adversarial justice system best caters the conflicts in a heterogeneous society, this system transgresses the conflict management of the Indigenous Peoples [IPs; Alfred, 2009; Friedland, 2014; Green, 2011; Hand et al., 2012; McGuire & Palys, 2020]. Thus, the Philippine Government established an alternative dispute resolution (ADR) which serves as a conflict settlement tool in a community level. ADR includes arbitration, mediation, conciliation, and other alternative means to resolve issues and conflicts within a community. The Katarungang Pambarangay, a restorative justice system, is an example of ADR and is a mechanism of rural conciliatory tools in a community (Guia & Mangubat, 2021). It is a system of dispute resolution at a community level which functions to aid the court in attaining a speedy disposition of justice and unclog court dockets from criminal and civil cases (De Torres & Del Rosario, 2019; Mohammed & Caingat, 2017). Along the contours of these contentions, the lack of commitment in delivering essential social services continuously prejudice the IPs (Drbohlav & Hejkrlik, 2017; Carino, 2012; Rey, 2010).
IPs occupy 10% to 20% of the Philippine population (“Indigenous People,” 2020). They are described as indigenous groups in a modern society who have unique languages, traditions, and customs (Ellington, 2019), seek to uphold discrete beliefs (Benter et al., 2020; Bodley, 2008), and have a special relationship with their communal territory (Carino, 2012; Molintas, 2004). One of the most recognizable tribal communities in the Philippines are the Aeta Communities (Balilla, et al., 2013). Political autonomy and self-sufficiency are some of their primary advocacies which are fundamental elements for their right to self-determination (Corntassel & Hopkins, 1995; Rio, 2016). However, in the recent years, roughly 20 million people are forced to be relocated due to development projects (Cernea & Maldonado, 2018) and a proportion of the displaced people are identified as indigenous (Hagen & Minter, 2019; McCully, 1996; UN, 2009). Additionally, there is a paucity of studies addressing the displacement of hunter-gatherers (Athayde & Silva-Lugo, 2018; Hitchcock & Holm, 1993; Tacey, 2013) who arguably are among the most vulnerable and marginalized indigenous populations (Hagen & Minter, 2019; Headland, 1986; Torres, 2012).
Despite these limitations, IPs push toward the embodiment and maintenance of their own indigenous laws, justice system, alternative dispute resolution, and peacebuilding (Benter et al., 2020; Daytec-Yangot, 2019; Guadamor & Martinez, 2017; Naganag, 2019; Ragandang, 2017; Ty & Bibon-Ruiz, 2022). In recent reckoning, restoration of peace and maintenance of moral symmetry are the primary aims of the justice system in an aboriginal society (Benter et al., 2020). This alternative dispute resolution specifically endeavors to reconcile people who are in conflict with the law back to the community. In spite of such movement, the persistent uprooting of the IPs from their ancestral territories undermines their right to life and identity (Drbohlav & Hejkrlik, 2017). Consequently, these struggles inherently affect their preservation of culture and traditions which are visibly derived from these lands. Thus, logically, land loss has resulted in social, political, and economic marginalization (Carino, 2009; Göcke, 2013; Perera, 2009). The ratification of the Indigenous Peoples Rights Act in 1997 (IPRA Law), which guarantees the rights and protection of IPs, was recognized as a pillar in the continuing advocacy towards indigenous rights (Soriano, 2008).
Philippines legally recognizes and supports indigenous dispute settlement as an alternative dispute resolution as their communal and individual rights for self-governance and self-determination in pursuit of their economic, social, and cultural development (Balilla et al., 2013). In contravention, the existence of such law is inadequate in upholding the protection and promotion of the rights of IPs when compared to the mainstream Filipinos (Yang et al., 2020). This explains the presence of various irregularities causing internal and external conflicts in Aeta communities. Even though indigenous justice systems have survived the twenty-first century, only a dearth of literature specialized in exploring the indigenous judicial system of the mainstreamed Aetas exists. Moreover, few literatures delve on the justice system of Aetas while taking into account their constant displacement and assimilation cases. Thus, this present paper investigates how justice is attained in three (3) of the mainstreamed indigenous communities in the Cagayan Province. It specifically explores their conflict resolution practices imbued by their cultural traditions, resettlement issues, and assimilation to the mainstream justice system, and investigates their modern issues and problems in the execution of these practices.
Accordingly, this study is anchored on the Republic Act No. 9285, otherwise known as Alternative Dispute Resolution Act of 2004. Stipulated in its declaration of policy is to actively promote party autonomy in the resolution of disputes or the freedom of the party to make their own arrangements to resolve their disputes. The purpose of this
law is to sustain the sanctity of identity and self-preservation of the culture and tradition of one of the most vulnerable communities in our modern society. Verily, this framework supports the standpoint of this study in which it entails and promotes the right to self-determination of IPs, as enshrined in Section 5, paragraph c of the aforesaid law. Invoking further Section 15 of the same law, it recognizes the unique dispute settlement mechanisms of the IPs and allows the practice thereof. This referenced the objective of the study exploring the judicial assimilation of the Aeta community in the Katarungang Pambarangay.
2. Objectives
This study is a qualitative endeavor to explore the dispute resolution practices of the mainstreamed Aetas of Cagayan province when assimilated to the Katarungang Pambarangay (Village Justice) of their respective local government unit.
3. Materials and methods
This study utilized a basic qualitative design by Merriam and Tisdell (2016) to generate essential accounts on and important understanding of the dispute resolution practices of the mainstreamed Aetas of Cagayan Province. There are seventeen (17) informants of the study who are community leaders, Nataengans (elders), and/or highly aware members of the Aetas residing in the Municipalities of Claveria, Peñablanca, and Gattaran of Cagayan Province. Specifically, the following are the informants of the study: (A) Agugaddan, Peñablanca – Three (3) informants joined the focus group discussion. It was composed of one community leader, one highly involved member, and the eldest member of the community who pioneered their relocated area since 1980s. They have a first-hand experience on their judicial practices, thereby possess specialized knowledge about their cultural practices, traditions, and beliefs; (B) Culao, Claveria – Ten (10) informants joined the focus group discussion. It was composed of ten highly aware members with ages ranging from 30-55 years old who pioneered their relocation from Sanchez Mira, Cagayan. They offered insights into the cultural and historical context of specific events or practices and provided primary source of information to their community practices; and (C) Naddungan, Gattaran – Four (4) informants joined the focus group discussion. It was composed of two (2) nataingan and two (2) highly aware members who were able to witness their traditional justice system prior the assimilation to mainstreamed community. They therefore acquire knowledge and skills through their lived experiences and cultural upbringing in their community.
Focus Group Discussion (FGD) employing the scissor-and-sort technique (Stewart, 2006) was utilized. This is an appropriate instrument which provided an in-depth exploration of a topic about which little is known (Stewart, 2006). Through this technique, the researches first transcribed the audio recording using the Express Scribe Transcription Software®. To codify these data, a Clean Verbatim Transcription was utilized. This type of transcription method removes stutters, run-ons, non-speech sounds, and filler speech that are not necessary in attaining the objectives (Opal Transcription Services, 2018). The researches then analyzed the transcription and coded them based on their recurring idea. Finally, the researchers synthesized them to create themes and sub-themes. The discussion revolves around a semi-structured interview guide question. It collects comparative data from the community leader and the elders regarding their experience in the Katarungang Pambarangay. The guide question answers three major topics that are essential in this study: (1) Old or current practices that the Indigenous People have; (2) their awareness and
judicial assimilation in the Katarungang Pambarangay; and (3) the issues and challenges they experience in this system.
To ensure rigor of the study, the researchers have employed the TACT framework (Daniel, 2019) which consists of Trustworthiness, Auditability, Credibility, and Transferability. To ensure trustworthiness, the researchers have interviewed participants who are really part of the community and is regarded as well-versed to their culture and practices. The researchers have no direct affiliation to the informants as regards to their culture, identity, and demography. To ensure auditability, the researches have secured an archive for all signed informed consent, and recorded audios, documentations, and transcripts. During the data gathering, the researchers were joined by the Local Government Officials to assist. To ensure credibility, the researches ensure that the tools, interview guide question, and procedures employed is inclined with the objective of the study. The researchers returned to the informants after the results were analyzed. The researchers discussed the findings of this study and how it is beneficial to their community in the aspect of dispute resolution. To confirm that the analysis matched what the informants said during the interview session, the researchers also created a copy to be distributed to the community. Lastly, to ensure transferability, the researchers have clearly described the demographics and geographic boundary of the study and utilized appropriate methods so that it may be replicated for other applicable contexts. The research approach of the study may be utilized to determine the case of other Indigenous Communities or for other context such as political assimilation. These four-dimensions ensure that the study is credible, applicability, consistency, and neutrality.
The study has observed optimum due diligence to maintain legal and ethical means of employing the data gathering procedures. Before the actual gathering of data begins, the instrument was first checked and reviewed by the research panel of experts. After which, the pertinent letters were forwarded to the concerned offices for the approval of the conduct of the study. The researchers then secured a proper communication with the village captain and the community chieftain. They are contacted through phone for the initial approval, and a formal letter as soon as they have expressed affirmation to the conduct of the study. The researchers, thereafter, personally visited the community and established rapport in order to gain trust, and so not to arouse any suspicion on the part of the Aeta community. Before the preliminary survey, the researchers sought the informed consent of the participants. All questions were translated into their mother tongue to maximize their understanding of the questions and so as to extract more personal answers from them. Furthermore, the purpose of the study was clearly explained and all questions regarding the study were immediately addressed prior the interview proper. Deception and exaggeration on the objectives of the study were avoided. A preliminary survey was administered to all the IP members which identified the specific people who are qualified to participate in the interview. The qualified members were asked to undergo focus group discussions. The informants were assured that they are free to withdraw from the discussion at any moment if they feel uncomfortable. Permission to record and document was also secured through their consent. To respect the anonymity of the informants, codes were used to identify them. The researchers have given simple gift of appreciation for their participation. Every part of the interview guide and written consent was structured to gather only the data essential for this research.
Thematic Analysis was utilized to determine the alternative dispute practices of the Mainstreamed Aetas of Cagayan when assimilated to the Village Justice. It analyzed the interview transcripts through the three aspects of data analysis: description, analysis, and interpretation (Reeves et al., 2013). Firstly, the description aspect treated the extracted data
as fact. The transcription was translated to a simpler sentence but still retained the thought and essence of the data. It also recounted and described the data in a well-defined body of facts. Each data was labeled according to the question number and the informant number. Secondly, the analysis aspect processed the facts based on their recurring thought and essence across all data points. These groups of data have gone through comparison and contrast to determine their similarities and differences to create major themes and sub-themes. Thirdly, the interpretation aspect analyzed the themes and came up with a comprehensive discussion on the dispute resolution practices of Aetas and produced ethnographic knowledge thereto.
4. Results
At the outset of this research is the quantitative exploration of the dispute resolution practices of the mainstreamed Aetas of Cagayan province when assimilated to their Katarungang Pambarangay. At this conclusory juncture, after a comprehensive review of the focused group discussion with the informants through the interview transcript, pieces of information with similar idea were clustered into themes. Hence, it can be revealed in the following results the different alternative dispute resolution practices of the mainstreamed Aeta Communities.
4.1. Judicial Assimilation of The Mainstreamed Aetas of Culao, Claveria in The Village Justice
In an approximately 20-year-old close community is the Aeta Community of Culao. It is a village composing of only thirteen (13) households residing at a traditional *nipa hut* architecture. Having a nomadic lifestyle (Balilla et al., 2013), they decided to resettle from the upland mountains down to the lowland areas for better access of work. An informant has said that:
**CC001:** “Nangatu adyay bantay kit nababa adyay pagubraan. Syempre, adayu. Awan iti lugan mi. Kit nu agubra, Bumaba kami ket nu malim manin, sumang-at kami manin” (The mountains are high yet our work is situated in the lowland. Of course, it’s far. We have no transportation. That’s why, when we work, we walk down the trail and, in the afternoon, we go back up again).
Their resettlement has affected some of their traditions which are inherently embedded on their ancestral lands. More specifically, their judicial practices and political self-determination has gradually fade as they move within the mainstream society.
4.1.1. Nadarama Justice System
Before the resettlement took place, their local justice framework is grounded on the system of *Nadarama*. This system is an alternative dispute resolution which places the *Nataengans* (elders) at the forefront of settlement machinery to resolve communal conflicts. The verbalization of the informant is as follows:
**CC001:** “Dagitii nataingan, adda mitlang iti role da nga mangbagbaga kadagiti agririnniri nga kunada. ‘Suda iti mang-resolve adyay nga pinagririnniri idyay kapulungan mi’” (The leaders are vested with the role of advising us. They are the ones who resolve the commotion in our community).
To ensure their basic human rights and quality of life, the Aetas are increasingly required to participate in the formal and informal non-Aeta economy with whom they share their traditional lands (Bodley, 2008). Having been exposed to the mainstreamed Philippine society, they are also met with different cultural and judicial assimilation which resulted to new alternative dispute resolution method.
4.1.2. Alternative Dispute Resolution through Informal Practice
Despite its relatively small population, the Aeta Community of Culao has shared several issues and conflicts of their village which include land dispute, neighborhood quarrel, drunkenness, and coveting another man’s wife. However, these are just light cases of civil conflicts which may be solved within one or two days. These conflicts are solved through a voluntary conflict settlement as they have no leader or chieftain who stands as mediator in conflict resolution processes. However, if such conflict eventually becomes a major issue, then they seek the help of the barangay through the Katarungang Pambarangay.
The Aeta community of Culao is aware of the Katarungang Pambarangay. The Barangay Captain has informed the community of the existence and function of Katarungang Pambarangay. They had advised the Aetas to refrain from fighting and always uphold high level of moral duty. As one informant has stated:
**CC001:** “Kanayun da kami met nga sarsarungkaren dituy ser...Ibagbagada [da nga] ‘haan kayo aggi-innapa.’ Win kuna mi met ta ‘awan milta iti sabsabali kadakayo’ kunada” (They always help us here sir. They advise us that we should not fight. Of course, we listen to them because there is nothing to help us other than us ourselves).
4.1.3. Experiences on the Katarungang Pambarangay
The Aeta community of Culao has experienced no derogatory practice with the implementation of Katarungang Pambarangay. In fact, they are always given a special treatment as the Barangay understood the plight of the community. They are constantly advised by the Barangay to always adhere to the laws and not commit immoral acts.
**CC001:** “In-advice da mit nukwa nga dagidyay maar-aramid nga madi, kasla kuma dagidyay agtakaw, kii haan yu nga aramidin kunada. Nu pumatay, haan yu aramidin. Agagaw iti asawa, dagidyay mit iti ibagbaga da nga haan yu aramidin. Nga haan yu agumin dyay kukwa iti sabali” (They advised us sir that those morally wrong conduct, like the case of theft, murder, coveting another man’s wife, and the likes should not be committed).
4.2. Judicial Assimilation of The Aeta Community of Naddungan, Gattaran in The Village Justice
Within the realms of Gattaran is a 20-year-old semi-complex civilization of the Agta Community of Sitio Padongsol. The Sitio, a village situated in-between the locale of Barangay Naddungan and Barangay Basao of Gattaran, houses 108 Agta families. When asked regarding their indigenous practices, they said that as they move, the judicial tradition of conflict resolution has also dissolved. The community leader has stated “awan taitan ah. Idi un-una na, adda daydyay” (in the beginning, there is [a tribal justice system]. But today, it’s lost).
4.2.1. Ngayaw Justice System
Before they have evacuated from their ancestral land, a judicial tradition called *Ngayaw* is implemented. It is a retaliatory judicial practice which is an unlawful attack to an innocent person when an Aeta have lost their loved ones. The community leader has illustrated that if a person is mourning a deceased family member, even if it’s not their fault, they are being attacked at night. The verbalization of the informant is as follows:
**NG001:** “…natayan da kuma, uray awan basul mi mut kuma dituy nga banda, sikami iti mapabasul dagidyay minatay da. Sikami iti pabasulin da…Umay da kami nga
ngay-ngayawin idi. Agtartaray kami iti rab-rabii nu kasdyay idi.” (For example, they are grieving, even if we have nothing to do with the death of the deceased, we are the one being blamed. They attack us. If that happens, we try to escape even at the night).
As they traveled away from their highlands to transfer within the civilized areas, they were encouraged to acquire the ways of life of the mainstream community. From work to education and language, the only way to develop their community is to mimic the kind of life that their neighboring community has. This assimilation includes their village justice system.
4.2.2. Alternative Dispute Resolution through Conciliation
Aeta Community of Naddungan faces mild civil conflicts which are frequently a case of concubination and altercation. However, these issues do not result to any serious disparity between the parties as these are easily resolved through amicable resolution. The conflict is resolved within a day or two. Once peace is restored, the conflict ceases to exist as if it has not happened. These issues do not happen on a daily basis. Verbalization of the informant is as follows:
NG001: “Kaasi mit ‘ti Apu, kit nu kanya mi lang mit ah kit awan mit iti inaldaw. Nu adda lang mit insigida ma-resolve mit lang iti problema…Ngim nu madamdama mayat da manin kasla kuma sikami nga agkakarubba nu adda kuma agsisinunghat damdama naginnuni da manin…Awan iti pinadimdim ti panunut, kasla ubbing nu aginappa idi ubbing madamdama aga-ayam da manin kasdyay latta mit” (Thank God, in our village, it does not frequently happen. If such cases happen, we can quickly resolve it. For example, in our neighborhood, when there are commotions, they can easily go back to what they were before. We do not hold grudges. Just like kids, we fight and then immediately after, we go back to normal).
When asked how does this conflict resolution is practiced, they narrated that both parties talk through it until settlement is reached. For example, when a cow of a resident has eaten the crops of his neighbor, the concerned parties shall talk and reach an agreement. The parties may agree to pay the value of the crops or replace the crop of the same value. Such issues are viewed as mild conflicts that may be resolved within the community. However, there are cases where these are grossly difficult to handle that even the aid of the barangay is required. This kind of practice is termed as Conciliation. It is the amicable, protagonistic adjustment and resolution of a disagreement employed in courts prior to trial in an effort to avoid trial and in labor disputes prior to arbitration (Lara et al., 2016).
When asked if they are aware of the Katarungang Pambarangay, they attested that they are well aware of such system. In cases where issues are beyond the power of amicable settlement, the Barangay may intervene to solve the problem. An informant said that when they cannot solve the issue on their own, then they seek the aid of Katarungang Pambarangay to take cognizance of the case. The verbalization of the informant is as follows:
NG001: “Nu makaya mi nga solbarin, sikami latta dituy mittin. Ngim nu haan mi makaya nga solbaren, syempre mapan kami idyay barangay. Basta no tawagan dan iti kapitanin, madamdama adittwyn nga mangsolbar iti problema dagidyay haan da nga masolbar.” (If we can resolve it, then we prefer to fix it ourselves. But if we cannot solve it, of course we pass it onto the barangay. As soon as the aid of barangay captain is required, then he/she can easily be contacted for immediate action).
4.2.3. Experiences on the Katarungang Pambarangay
The Aeta community of Naddungan has faced no issues and challenges. They experience no prejudice nor any coercion in the assimilation of the institutionalized justice system. In fact, the Katarungang Pambarangay provides swift conflict settlement even in the middle of the night. As they have affirmed, the barangay is very lenient when it comes to conflict resolution. An informant has said that:
**NG001:** *Wen, palubusan da kami nu daydyay kasta nalag-an nga problema ta awan mit sabsabali...Isu nga nalag-an kin kinna-awatan, alistu lang iti pagkikinna-awatan. Alistu da. Uray rabrabii, uray tingnga iti rabii, alistu da a umay.”* (Yes, they will allow us if it is a light conflict because we closely know each other already. That’s why it’s very easy for us to understand each other and be reconciled. It’s [the process] very quick, even during nighttime or in the middle of the night, they will immediately attend.)
### 4.3. Judicial Assimilation of The Mainstreamed Aetas of Aguggadan, Penablanca in The Village Justice
In a 43-year-old village of Agugaddan is the well-known Aeta Community. These indigenous people were able to proliferate labor vantage points which help their small community develop. They also have strong sense of historical attachment while also strongly assimilated with within the neighboring community. Their literacy skills were further improved when a Learning Center was established within the village. This is where alternative learning system and kindergarten education were being implemented.
#### 4.3.1. Mixed System
Before the establishment of the village, they first resided at Gattaran where both retaliatory and restorative justice system are being enforced. The first system involves *Lallakay* (elder men) and *Babbaket* (elder women) in reaching a verdict in a conflict. They will help reconcile the two parties and reach an agreement as to solve the issue at hand. An informant stated that:
**AP001:** “Adda paylaing iti nagkakauna nga sistema. Idyay pagtitinnungtungan iti problema da, ayaban da adyay lallakayin. Ken daydyay umun-una nga lallakay kin babbakit. Pagtutungtungan da, nu enya iti solusyon, nu kasta kit mapagtino da adyay agap-apa… Isuda garud iti mangted iti desisyong tapmo kasta nga maamwanan da nu ustu ken saan adyay ar-aramidin da. Isu nga adda mit laing iti lallakay kin babbakit nga mangted iti pagsyaatan da.” (The old system is still existing, if there is a problem, they will call the elders for an advice to reconcile the disputants. They [elders] will decide if their actions were good or bad. That’s why the elders have significant contributions.)
The second system involves brutal disposition of justice which was abolished when the former community has evacuated the village. This is the *Ngayaw* System where they kill an innocent person with a bow and arrow to satisfy their desire for revenge. The community leader has illustrated the system further through the following testimony:
**AP001:** “Nu agaapa da idi, dagidyay nagkakauna nga [Aeta], agngayaw da. Kasi nu haan da kayat iti maysa nga tau, hunting-in da iti rabrabii. Panain da. Kasi pana ti usar da idi. Isu nga ti tawag da idi kit Ngayaw. Nu adda matay iti nasakit ta nasakit iti nakim da, ipabasul da iti sabali nga tau. Isu adyay pagngayaw da” (The ancient Aetas, when they fight, they conduct raids. If they do not want a person, they hunt them at night. They shoot them with arrow and they use bow. That is why they call it *Ngayaw*. If someone dies a natural death and they do not like it, they blame it to others. That’s when they will raid).
Due to this retaliatory system, they were required to evacuate for the mean time. However, they never returned as they have established civilization in the resettlement areas.
4.3.2. Alternative Dispute Resolution through Mediation
The Aeta Community of Agugaddan has faced several conflicts especially on assault case of a husband to his wife. Based on practice, these cases are quickly resolved through an effective agreement between the assailed parties for amicable settlement. This community prefers conflict resolution through a peaceful conversation rather than escalating the problem. As they said “nu ipipipam daydyay sakit ti nakem sir ket talaga nga rumubrubrub nga kunadan” (if you keep holding grudges, it will eventually become stronger).
This practice is called mediation. It is an alternative dispute resolution method where a mediator, selected by the disputing parties, facilitates communication and negotiation, and assists the parties in reaching a voluntary agreement regarding a dispute (Chap. 1, Sec. 3(q), R.A. No. 9258). In their community, this peaceful conversation involves their Chieftain as the mediator of the conflict, with Panglakay as the advisers. Residence of the community may ask the aid of their Chieftain to help them resolve the issue if they cannot settle their conflict. In such system, the Chieftain allows both parties to have an opportunity to share their grievances. The Chieftain will weigh these testimonies and provide the best way to settle the dispute. The informant has verbalized this system below:
**AP001:** ‘Adda laeng ’ti nasyaat nga tungtungan. Nu ittuy community mi ser, adda mit lang iti chieftain mi. Tapnu nu haan nga maayos ’ti, kaspangarigan kuma sir ta nagapa kuma iti nagasawa, ipalagay ku lattan ser siyak kin ni lakay ku. Nu haan mi nga masolusyonan daydyay nga agasawa sir, syempre I danon mi mitlaeng kinni chieftain mi ta tikkanna kami iti advice nu kasanu kasami kami aginnayus.” (There is a peaceful way of conversation. In our community, we also have a chieftain. If we fail to reconcile, for example in my case with my husband, we pass it onto our chieftain whose role is to give us advise on how we can solve the conflict).
Having an important role in the community, the Chieftain has the primary role of supervising its constituents. The Chieftain may be elected in two (2) ways. First, is by appointment of a representative of Barangay and Municipal government. Second, is by direct election by the Aetas. The chieftain has no definite tenure. As long as they still would like to hold the position or until they die. In the verbalization of one informant, she said that:
**AP001:** “Dipende sir ’ti kayat na. Nu kayat na ’ti makisinnukat, nu haan na nga makaya ta adda ti trabaho, nu sukatan da, Mabalin lang. Ngem isuna ’ti urayen mi nga mangidding idayay tyempo na ta nariqat met nga ’sukatan da kan ta’ haan nga kasdyay. Urayen mi daydyay oras na” (It depends sir if he wants. If he prefers replacement, if he cannot uphold the demands of his position, if they decided to replace him/her, it’s all possible. But, in practice, we wait for his declaration to terminate his position).
When asked about their awareness on the Katarungang Pambarangay, they said that in cases where the Chieftain cannot pacify both parties into settling the dispute, they file it to the Katarungang Pambarangay. The barangay captain summons the parties and asks the cause of the problem. After which, their testimonies will be used by the captain to assess the conflict and try to derive settlement therein. If a decision is rendered, a letter shall be signed by the two parties signifying that they will not do it again.
AP001: Ni Punong Barangay lattan sir…Kit syempre nu damagen na met nu anya nga gapu nga agap-apa kayo, syempre istoryain na met adyay gapu. Tapnu ammu mit ni kapitana. Tapnu masolusyonan na. tapnu nu agayus kayu, appirma kan, ta haan mu ululitin ti kastuyin, ay kit nasiyaat iti kasdyay sir. “Aginmayus kayun” ag-shake hands dan, eh di nalpas (It’s the barangay captain sir… of course, if he asks the cause of the conflict, they will narrate it. The captain understands that they can solve it. So, if they are able to resolve it, they will sign and pledge not to repeat it. “Reconcile now” they shake hands, and then it ends).
4.3.3. Experiences on the Katarungang Pambarangay
In the present study, the Aeta community of Agugaddan has faced no problem dealing with the Katarungan Pambarangay of their Local Government Unit. As the Barangay has constantly reminding them, as long as they can solve their own conflict, issues, or problems, then they should be the ones who shall fix it. They encourage them to find the best and most convenient way for peacebuilding and conflict settlement.
AP001: “Kuna da ngarud sir, nu makaya yu nga solbarin iti problema yu, apay kitdi nga haan nga dakayo iti mangsolbar? Basta makaya yu. Isuru da mit lang sir adyay pakalag-anan mi. Syempre sir, bassit met laing nga [problema] daydyay. adda met ti chieftain ti community mi. kit syempre, ikaming mi met laeng kanyayu. Daydyay laing naunig sir nga problema nga haan mi makaya, i’pan mi talaga idyay barangay” (they said sir, that if we can solve our problem, then why is it that we are not the ones solving it? As long as we can, they direct us to what is the most convenient for us. Only those difficult problems that we cannot solve, are passed onto the barangay).
4.4. Synthesis
The three mainstreamed communities of Aeta practice two (2) existing methods of alternative dispute resolution namely – modified indigenous judicial practices and the judicial assimilation in the Katarungang Pambarangay. As to the judicial practices, the three communities employed different methods, namely Nadarama, Ngayaw, and Blended Justice. Previous studies claim that there are variations in principles of Indigenous legal systems because they are based upon a relationship to Indigenous languages and Indigenous peoples’ linkages to their lands and territories, has been supported by earlier research (Acuña, 2009; Hewitt, 2016; Rio, 2016).
4.4.1. Indigenous Judicial Practices
One judicial practice revealed the system of Ngayaw. It is a peculiar justice system practice in the Aeta community as it promotes killing as tribal settlement. The term ngayaw (sometimes spelled ngayao) is the active verb of the proto-Austronesian base kayaw, which means ‘to go headhunting’, ‘to raid’, ‘to capture’, and ‘to engage in piracy’ (Angeles, 2013; Gowey, 2015; Minter, 2010). Definitions are not always mutually exclusive, with most providing multiple contexts for the behavior(s) in question (Gowey, 2015). For example, studies show that ngayaw has a variety of root causes including the urge for vengeance after any death within own group, whether it be accidental or not, and the fact that raids were only carried out when a member of the rival group had violated the territory of the former (Gowey, 2015). This is relative to the finding of this study where the informants have narrated that this practice is used as a means of revenge. The reason why it is a judicial system is because of its distinct settlement patterns (Minter, 2010). Many studies contend that Ngayaw does not always connote negative meaning (Angeles, 2013; Gowey, 2015; Minter, 2010; McMahan, 2005) as it is usually motivated by spiritual belief
or may have been served to defend territories and perhaps even explored new ones (Minter, 2010).
Also revealed in the findings is the system of Nadarama. This restorative system is tantamount to the assertion that the political foundation of the Aeta is largely built on respect for elders who are in charge of judicial matters and are responsible for maintaining the band’s peace and order (Balilla, et al., 2013; Yodisphere, 2020). This Indigenous political institution is primarily composed of elderly Aetas revered for their years of accumulated knowledge, wisdom, and ability (Balilla et al., 2013; Naganag, 2019; Tebtebba Foundation, 2008). Other tribal societies, like those of the Ifugao, may have similar justice system. This method is defined as the procedure by which peace and harmony in the Ifugao community should be protected and maintained, through a peaceful resolution of a dispute over an improper behavior that raises the possibility of conflict (Co, 2020). The Upland Kalinga region of the Northern Philippines also uses this method. It is an assembly of the village’s elders (*pangat*), made up of elderly men who have gained knowledge and expertise in tribal rules by extensive experience and involvement in the resolution of inter- or intra-tribal conflicts (Naganag, 2019).
### 4.4.2. Judicial Assimilation in the Katarungang Pambarangay
The resettlement of the three communities sets in motion an irreversible process of tribal justice system and the introduction of a new one influenced by the standard legal remedies and proceedings of the mainstream community. Accordingly, without the aid of written literatures and documentation, the practices are dissolved and the contemporary method of conflict management offsets these historical traditions (Naganag, 2019). Hence, the inevitable assimilation to the judicial principle of the mainstreamed community is existent. Importantly, the assimilation shows no problem in terms of dispute resolution machination among the Indigenous People. In fact, their experiences with the Katarungang Pambarangay have been inclusive and cooperative. This is tantamount to the finding that members have no problem in the implementation of the Barangay Justice System and its processes (Lupao & Alejandro, 2022).
In fact, whenever a tribal conflict is serious or non-indigenous people are concerned, or both, the village government leader (Barangay Captain) is requested to settle the dispute (Ty & Bibon-Ruiz, 2022). Forms of conflict resolution depend on the nature of parties involved. In most cases, conflicts are settled within the tribe before being brought to the village level for amicable settlement. There are two recognized alternative dispute resolution methods which were revealed in the focus group discussions – mediation and conciliation.
Conciliation is the adjustment and settlement of a dispute in a friendly, protagonistic manner (Lara et al., 2016). A conciliator may be a specialist in the area of conflict typically offer guidance on the problems and possible solutions (New South Wales, 2023). A conciliator won’t, however, render a verdict or take a position on the conflict. As expressed in the findings of this study, both parties are given the autonomy to agree on the stipulations binding only to them. The role of the elders is reduced to advisership.
Mediation, on the other hand, means a voluntary process in which a mediator, selected by the disputing parties, facilitates communication and negotiation, and assists the parties in reaching a voluntary agreement regarding a dispute (Chap. 1, Sec. 3(q), R.A. No. 9258). The voluntariness in mediation must be possessed by both parties (Lara et al., 2016). The fact that the parties are ultimately responsible for resolving a disagreement and creating a consensual and unforced solution is unaffected by the mediation process (Chap.
1, Sec. 3(q), R.A. No. 9258). This is relative to the finding of the study where the community treats their chieftain as the mediator and helps them arrive to an agreement.
Illustrating the generated results and discussions, the following figures are the judicial framework that visually explains the dispute resolution mechanism of the mainstreamed Aetas of Cagayan.
**Figure 1** Aeta Community of Agugaddan Judicial Framework
**Figure 2** Aeta Community of Gattaran and Culao Judicial Framework
6. **Conclusion**
Based on the findings deduced from the indigenous informants, the researchers were able to generate the following conclusions: The findings of this study depict an important implication of the current status of the alternative justice system of the Aeta Community of Cagayan. There is no dichotomy between the customary law and the state law of the IPs. Their resettlement from a secluded and remote place to the mainstreamed community has affected their justice system. Accordingly, there are two systems that the Aeta community blends together to achieve a value-based conflict resolution. These two
systems – Modified Indigenous practices (customary law) and alternative dispute resolution methods (state law)- are the co-existing justice system in settling dispute of the Aeta Communities. The first system relies on the solidarity and sense of belongingness which influence the effective peacebuilding methods of Aetas. The second system relies on the aid of Katarungang Pambarangay to solve a difficult dispute. Understanding this legal landscape of the mainstreamed indigenous people, they experience no issues, more so prejudice, in the Katarungang Pambarangay.
In regard of its limitation, the study was not able to elaborate the motivations behind the principles employed in their justice system. It fails to explain how such motivations contributes to the dispute resolution mechanisms utilized by the Aetas and how it is applied in Katarungang Pambarangay. Furthermore, the study was not able to ponder on the history and background of the communities as it may have an influence to their contemporary judicial system.
Based on the generated findings and conclusions drawn from the study, the researchers strongly recommend the following: (1) The Aeta Community and Indigenous Peoples should strengthen the influence of a value-based justice system to properly build the principles of restorative justice and community involvement which can help promote justice, reconciliation, and empowerment within the communities; (2) The Local Government Units should engage in support and collaboration with Indigenous communities to understand their unique justice systems and the challenges they face in accessing justice. This includes respecting and acknowledging Indigenous laws, traditions, and cultural practices; (3) The Barangay should help and give assistance to the community chieftain as a political leader vested with vital role in reconciling and arbitrating the disputed parties within his domain, by teaching the chieftain strategic and effective mediation; (4) The National Commission on Indigenous Peoples may improve and organize the planning and monitoring of the existing Indigenous Peoples Justice System to bring out genuine IP self-governance and empower, and at the same time conserving traditional and legal peacebuilding mechanisms of IP that would, in turn, decrease the dockets of the courts; (5) The Political Science students of USL should further study the Indigenous justice systems which are often focused on understanding the relationship between Indigenous communities and the state, and the ways in which Indigenous justice systems have been suppressed or marginalized; and (6) Future Researchers may use this study to broaden the scope of their research by examining the practices of justice system of other IP communities in the Philippines.
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10. Authors Biodata
Jedidiah Clement B. Sta. Monica and Jan Michael Onate are undergraduate students of University of Saint Louis. They are enrolled to Bachelor of Arts in Political Science with Legal Studies.
Informal Sector Towards Local Development: The Case of a Component City
Karen Joy A. Catacutan
University of Saint Louis, Tuguegarao City, Philippines
Email: email@example.com
Abstract
This study was conducted to determine the perceived effects of the informal sectors to local development of Tuguegarao City. Mixed-research method was used in the study. The study was conducted in Tuguegarao City. For the quantitative aspect of the research, there were 500 respondents who were selected through purposive sampling method. The study utilized survey questionnaire for the profile. For the qualitative aspect of the study, focal persons from the Local Government Unit, Department of Labor and Employment and Department of Trade and Industry were interviewed on the perceived effects of informal sectors on local development. Also, some of those engaged in the informal sectors were also interviewed to verify the information gathered from the implementers. Results reveal that there are push factors or necessity-driven factors and pull factors or opportunity-driven factors affecting the engagement of the respondents in the informal sector. Topping this is the need to provide for the daily needs of the family, for the education of the children and debt payments. Also, results reveal that there are positive and negative effects of the existence of informal sectors to local development. To mention, for the positive effects, there is (1) generation of employment opportunities, (2) sustainable source of income, (3) community participation and environmental responsibility, (4) market opportunities and convenience and (5) transition of informal sector to formal. Lastly, for the negative perceived effects, informal sectors create (1) unfair competition between informal and formal sector (2) waste management problems, and (3) cause of traffic.
Keywords: Informal Sector, Informal Sector Engagement, Local Development, Perceived Effects, Tuguegarao City
1. Introduction
The informal economy, also known as the grey economy or the informal sector, is a sector of the economy that is not regulated or taxed by the government. The activities or characteristics of the grey economy are never accounted for in the country's GDP (GDP). The term "informal sector" was first used to refer to self-employment in a variety of unregistered businesses, but it was later expanded to include all wage jobs in the unmonitored sector (Migiro, 2017). In the developing world, informality is a much more pervasive phenomenon, with more than 2 billion people, representing 60% of workers and 80% of enterprises (ILO, 2020).
Informal sector plays a crucial role in local development particularly in urban poverty alleviation through creating jobs and reducing unemployment. As literature shows there are a number of reasons that drives the informal economy participants to enter to the informal sector and also there are a number of constraints that faces the informal economy participants when engaged in this sector (Adamu & Muguleta, 2018). The informal economy is an important part of local development in terms of economic, social and political life in most developing, as well as some developed economies. In countries with high rates of population growth or urbanization, the informal economy tends to absorb most of the growing labor force (MoLSA, 2013). Informal economy is continuously expanding in developing countries and providing employment and income to the poor. It is stimulating the growth of the market economy, promoting flexible labor market, stimulating and absorbing labor than the formal economy. Specifically, urban informal
economy is a major source of employment and income in developing countries. The sector has helped the impoverished groups of the urban population to improve their business skills and income levels required for business development (Asaminew, 2010).
Informality, according to Garcia-Bolivar (2006), can be a problem for governments. Governments are unable to collect taxes from informal businesses and, as a result, are unable to fund the provision of adequate public services. In some cases, governments may push businesses into informality due to a lack of good public services, such as the rule of law. Governments then raise tax rates on those who continue to be formal, creating an additional incentive to be informal. For governments, the informal sector could be a solution to unemployment. Where the formal economy is unable to absorb the excess labor due to its own constraints, the informal sector is the ideal solution. Perhaps it is for this reason that some governments tolerate informality to a large extent. Others have even gone so far as to see informality as a solution to the problem of unemployment, and have created a favorable framework for promoting the informal economy. That was the case in China following the mid-1990s (Garcia-Bolivar, 2006).
In the Philippines, the number of people working in the informal sector is growing year by year. According to records, millions of Filipinos earn a living from unregistered businesses. The Philippine government has made efforts to move workers from the informal to the formal sectors of the economy. In fact, the labor department has held consultative workshops in collaboration with the National Anti-Poverty Commission Workers in the Informal Sector Council (NAPC-WISC) to identify key policy gaps and challenges related to the government's emphasis on addressing informality, as well as strategies and models to operationalize the transition from an informal to a formal economy. The Department of Labor and Employment (DOLE) launched the Trabaho, Negosyo, Kabuhayan (TNK) initiative in collaboration with the Department of Trade and Industry (DTI), with key outputs including the Blueprint for Decent Employment and Entrepreneurship for 2017-2022 and the Livelihood Agenda for 2017-2022. Through full implementation of the GoNegosyo Law, the MSME Development Plan, and the Asia-Pacific Economic Cooperation (APEC) 2015 Action Agenda to Globalize MSMEs, the initiative sought to transform livelihoods into competitive, resilient, and sustainable enterprises by encouraging the formalization and growth of micro, small, and medium enterprises (MSMEs) (Department of Labor and Employment, 2017).
Tuguegarao City is a landlocked component city in the coastal province of Cagayan. It serves as the provincial capital as well as the regional center of Cagayan Valley. Its population as determined by the 2020 Census was 166,334. This represented 13.11% of the total population of Cagayan province, or 4.51% of the overall population of the Cagayan Valley region. The population as of 2020 shows an increasing percentage from last year (Tuguegarao City, Cagayan Profile – PhilAtlas, 2020). The Cagayan Valley Region has registered 11.7% poverty incidence rate based on the 2021 Family Income and Expenditure Survey, Philippine Statistics Authority (PSA) Region 2 revealed. Marilyn T. Estrada, regional director of Philippine Statistics Authority, said the province of Isabela registered the highest rate at 15.9%, followed by Nueva Vizcaya at 10.8%, Cagayan at 7.3% and Quirino at 6.2%. On the subsistence incidence among families, Estrada said the provinces have the same standing in which Isabela has the highest rate at 4.0%, followed by Nueva Vizcaya at 2.9%, Cagayan at 1.2%, Quirino at 0.9% and Batanes with only 0.2%. The subsistence incidence is defined as the proportion of Filipinos whose income is not enough to meet even just the basic food needs, Estrada said (Philippine Information Agency, 2022). From Cagayan, Tuguegarao City the poverty incidence was 4.19% as of
2018. For this reason, some families’ income is not enough to meet the even just the basic food needs, some are forced to enter the informal sector as their source of income. And entering informal sector is their only means to survive.
In the context of high unemployment, underemployment, poverty, gender inequality, and precarious work, the informal economy thrives. It plays a significant role in such circumstances, particularly in income generation, due to the relative ease of entry and low requirements for education, skills, technology, and capital. The majority of people, however, enter the informal economy not because they want to, but because they need to survive and have access to basic income-generating activities (International Labor Organization, 2014). One of the main characteristics of the informal sector that has contributed to its growth is a lack of entry barriers. Anyone who wants to work in the informal sector can find work and earn a living (Migiro, 2017). However, the city’s development has been hampered by the fact that the informal economy is unregulated. To achieve long-term development of the city’s economy and services, the municipality must work with the informal sector, create services to support, monitor, and regulate informal activities, and simplify the registration process. More information about the sector’s needs, obstacles, and behaviors is required in order to create an effective legal framework for informal activities (Heinonen, 2008). A proliferation of informal activity in an economy reflects systemic failures, leading to weak institutions, endemic corruption, and large bureaucratic obstacles (and high entry barriers) to formal activity (Narula, 2020).
As there are various and varying research findings on the factors or reasons on the informal sector engagement and literatures on the effects of the existence of the informal sectors to local development as established in the paper, thus this study was conducted.
2. Objectives
This study aimed to document the effects of the informal sectors to local development. Specifically, it aimed to answer the following questions: (1) What is the profile of the respondents according to: a. socio-demographic characteristics and b. informal-sectoral characteristics (2) What are the factors affecting the engagement of the respondents in the informal sector? (3) What are the perceived effects of the informal sector on local development? (4) Is there a significant association between the profile of the respondents and the factors affecting their engagement to informal sector? and (5) What proposed policy may be recommended to manage the informal sectors?
3. Materials and methods
The study used mixed-method of research employing both quantitative and qualitative research designs to determine the effects of the informal sector in the local development. Due to the nature of the economic activity the researcher tried to examine; it was impossible to compile a comprehensive list of businesses established informally to provide a basis for selecting a representative probability sample. Therefore, the researcher used a purposive sampling method. The researcher selected respondents of whose business is not regulated or is not registered and operating a small-scale business. Moreover, in order to determine the perceived effects of the informal sector in local development, focus-group discussions were done among the focal persons or participants working in the Local Government Unit of Tuguegarao, Department of Trade and Industry and Department of Labor and Employment and among the informal sectors. A questionnaire consisting of three parts was used in the study. Focus-group discussion was conducted among the focal persons or participants who are in-charge of the informal sectors or economy. In like manner, focus-group discussion was performed among some of the informal sectorrespondents on their perceived effects to local development. This served as a verification on the information gathered from the implementers. Documents on the programs, policies or efforts done by the Local Government Unit of Tuguegarao, Department of Trade and Industry and Department of Labor and Employment were requested. Data gathered were analyzed using descriptive statistics such as frequency and percentage for the socio-demographic characteristics and informal-sector characteristics of the respondents, factors that affect the engagement of the respondents in the informal sectors and the assistance they receive from the city government. Binary Logistic Regression was used for determining the significant association between profile of the respondents and the factors that affect their engagement to informal sector. Document analysis and thematic analysis were done to determine programs, policies and/or efforts done for the informal sectors.
4. Results
Table 1a. Socio-Demographic Characteristics of the Respondents
| Variable | Frequency | Percent |
|-----------------------------------------------|-----------|---------|
| Age | | |
| ≤ 20 | 25 | 5.0 |
| 20 – 29 | 152 | 30.4 |
| 30 - 39 | 128 | 25.6 |
| 40 - 49 | 105 | 21.0 |
| 50 - 59 | 68 | 13.6 |
| ≥ 60 | 22 | 4.4 |
| Mean Age=37 | | |
| Sex | | |
| Male | 291 | 58.2 |
| Female | 209 | 41.8 |
| Civil Status | | |
| Single | 182 | 36.4 |
| Married | 269 | 53.8 |
| Widow/er | 40 | 8.0 |
| Separated | 9 | 1.8 |
| Place of Origin | | |
| Tuguegarao City | 355 | 71.0 |
| Outside Tuguegarao City but within Cagayan | 121 | 24.2 |
| Outside Cagayan | 24 | 4.8 |
| Highest Educational Attainment | | |
| No Formal Education | 23 | 4.6 |
| Elementary Undergraduate | 26 | 5.2 |
| Elementary Graduate | 30 | 6.0 |
| High School Undergraduate | 141 | 28.2 |
| High School Graduate | 113 | 22.6 |
| College Undergraduate | 102 | 20.4 |
| College Graduate | 65 | 13.0 |
| Highest Educational Attainment of Spouse | | |
| No Formal Education | 49 | 15.5 |
| Elementary Undergraduate | 25 | 7.9 |
| Elementary Graduate | 13 | 4.1 |
| High School Undergraduate | 70 | 22.1 |
| High School Graduate | 96 | 30.3 |
| College Undergraduate | 20 | 6.3 |
| College Graduate | 41 | 12.9 |
| Others | 3 | 0.9 |
| Combined Monthly Income | | |
| ≤ 10,000 | 24 | 12.9 |
| 10,001 – 20,000 | 118 | 63.4 |
| 20,001 – 30,000 | 27 | 14.5 |
| 30,001 – 40,000 | 8 | 4.3 |
| 40,001 – 50,000 | 5 | 2.7 |
| > 50,000 | 4 | 2.2 |
| Average Combined Monthly Income = 18, 986.00 | | |
| Number of Dependents | | |
| 0 | 7 | 2.2 |
| Age | Count | Percentage |
|-----|-------|------------|
| 1 | 52 | 16.4 |
| 2 | 105 | 33.0 |
| 3 | 82 | 25.8 |
| ≥ 4 | 72 | 22.6 |
Average Number of Dependents = 3
No. of Dependents in School
| No. of Dependents | Count | Percentage |
|-------------------|-------|------------|
| 0 | 61 | 19.2 |
| 1 | 115 | 36.2 |
| 2 | 92 | 28.9 |
| 3 | 37 | 11.6 |
| ≥ 4 | 13 | 4.1 |
Average Number of Dependents in School = 1
Other Source of Income
| Yes/No | Count | Percentage |
|--------|-------|------------|
| Yes | 38 | 7.6 |
| No | 462 | 92.4 |
Monthly Earning from Other Source of Income
| Monthly Earning | Count | Percentage |
|-----------------|-------|------------|
| ≤ 1,000 | 7 | 18.5 |
| 1,001 – 2,000 | 7 | 18.5 |
| 2,001 – 3,000 | 3 | 7.9 |
| 3,001 – 4,000 | 5 | 13.2 |
| 4,001 - 5,000 | 13 | 34.2 |
| > 5,000 | 3 | 7.9 |
Average Monthly Earning = 3,426.00
Previously Employed in Formal Sector
| Yes/No | Count | Percentage |
|--------|-------|------------|
| Yes | 30 | 6.0 |
| No | 468 | 94.0 |
Investment*
| Investment | Count | Percentage |
|----------------|-------|------------|
| Gadgets | 158 | 31.6 |
| Appliance | 236 | 47.2 |
| Housewares | 55 | 11.0 |
| Clothing | 57 | 11.4 |
| Vehicle | 123 | 24.6 |
| Housing Renovation | 66 | 13.2 |
| Land | 16 | 3.2 |
| Furniture | 38 | 7.6 |
Table 1a showed the socio-demographic characteristics of the respondents. The table showed that the mean of the respondents is 37. Results further revealed that there are more male respondents than female respondents. In addition, along the civil status, majority are married respondents, and along with the place of origin, most of the respondents reside in Tuguegarao City and very few reside outside Cagayan. Furthermore, majority of the respondents were high school undergraduate, while few were college graduates. For respondents who are married, most of their spouses were high school graduates. For the combined monthly income, the respondents are earning ₱18,986.00 on average. Moreover, of the non-single respondents, majority of them have two (2) dependents. It can be further seen from the table that the average number of dependents is three (3) dependents. For those respondents with dependents, majority of them have one (1) dependent who is attending school, further revealing an average number of dependents in school of one (1). Furthermore, the table revealed that majority of the respondents have no other source of income. On the other hand, for those respondents with another source of income, most of them are earning a monthly income of ₱4,001–₱5,000, further showing an average monthly earning from other source of income of ₱3,426.00. Meanwhile, it can be gleaned from the table that almost all the respondents have no previous employment in the formal sector. Lastly, the table reveals that most of the respondents have invested in appliances, gadgets and vehicles, among the top 3 investments.
| Variable | Frequency | Percent |
|-----------------------------------------------|-----------|---------|
| **Nature of Business** | | |
| Ambulant Vending | 271 | 54.2 |
| Selling of Staple Foods | 117 | 23.4 |
| Cart Selling | 68 | 13.6 |
| Sidewalk Vending | 90 | 18.0 |
| Kalesa Operator | 18 | 3.6 |
| Shoe Repair Service | 10 | 2.0 |
| Manicure/Pedicure, Barber | 2 | 0.4 |
| Watch Repair | 1 | 0.2 |
| **Sources of Capital** | | |
| Loan/Credit | 235 | 47.0 |
| Government Assistance | 68 | 13.6 |
| Personal Savings | 268 | 53.6 |
| Salary | 8 | 1.6 |
| Donated by Friends/Family | 46 | 9.2 |
| Negotiated | 22 | 4.4 |
| **No. of Years Engaged in the Informal Sector** | | |
| < 5 | 163 | 32.6 |
| 5 - 9 | 122 | 24.4 |
| 10 - 14 | 94 | 18.8 |
| 15 - 19 | 55 | 11.0 |
| ≥ 20 | 66 | 13.2 |
| Average No. of Years in the Informal Sector | | 10 years|
| **Status of Engagement** | | |
| Full-Time | 463 | 92.6 |
| Part-Time | 37 | 7.4 |
| **Total Monthly Income** | | |
| ≤ 10,000 | 187 | 37.4 |
| 10,001 – 20,000 | 250 | 50.0 |
| 20,001 – 30,000 | 41 | 8.2 |
| 30,001 – 40,000 | 11 | 2.2 |
| 40,001 – 50,000 | 7 | 1.4 |
| > 50,000 | 4 | 0.8 |
| Average Total Monthly Income | | 14,425.00|
| **Monthly Expenses** | | |
| ≤ 10,000 | 199 | 39.8 |
| Monthly Income Range | Number | Percentage |
|----------------------|--------|------------|
| 10,001 – 20,000 | 243 | 48.6 |
| 20,001 – 30,000 | 42 | 8.4 |
| 30,001 – 40,000 | 9 | 1.8 |
| 40,001 – 50,000 | 5 | 1.0 |
| > 50,000 | 2 | 0.4 |
Average Monthly Expenses = 13,426.00
**Assessment of Financial Status**
- Financially Surviving: 443 (88.6%)
- Financially Struggling: 57 (11.4%)
**Coping Mechanism of Struggling Respondents**
- Apply for Loan/Credit: 27 (47.4%)
- Working Harder in Selling: 30 (52.6%)
**Income Allocation***
- Food and Daily Needs: 265 (53%)
- Education: 40 (8%)
- Business: 120 (24%)
- Gas/Fare/Gasul: 40 (8%)
- Utilities: 55 (11%)
- Debt Payment: 40 (8%)
- Savings: 20 (4%)
Table 1b showed the informal-sectoral characteristics of the respondents. It can be seen that majority of the respondents are into ambulant vending followed by selling of staple foods such as vegetables, fruits, meats. It can be further seen in the table that most of the respondents used their personal savings as their source of capital while some had applied for loan or credit for their capital. Moreover, the results reveal that most of the respondents are engaged in the informal sector for five (5) years and below, while few are into the informal sector for more than twenty (20) years. It can be further seen from the table that the average number of years in the informal sector is ten (10) years. In addition, almost all the respondents are doing business in the informal sector as full-time. Furthermore, the table showed that on average, the respondents are earning ₱14,425.00 as the average total monthly income and are spending ₱13,426.00 as average monthly expense. This is along the level of poverty threshold in the Philippines as of 2021 which is ₱14,498.00. Lastly, the table showed that almost all the respondents consider themselves as financially surviving. On the other hand, the respondents who consider themselves as financially struggling have coping mechanisms of working harder in selling and applying for loan or credit. Moreover, the table indicates the income allocation of the respondents. It can be seen that respondents allocate 53% of their income for food and daily needs of the family, followed by 24% income allocation for business needs. Moreover, the table showed that 11% of income of the respondents are allotted for their utilities, while 8% of their income is allotted for education or school needs, for gas/fare or transportation needs/gasul or LPG needs and settling their debt payments. Meanwhile, 4% is allotted for savings of the respondents as revealed in the table.
Table 2. Factors Affecting the Engagement of the Respondents in the Informal Sector
| Factors Affecting the Engagement | Frequency | Rank |
|---------------------------------|-----------|------|
| **Necessity-Driven Factor (Push Factor)** | | |
| Daily Needs of the Family | 500 | 1st |
| Education of Children | 256 | 2nd |
| No Jobs Available | 39 | 5th |
| Buy Appliance, Furniture, and Other Things Needed in the Family | 9 | 7th |
| For Self-Support | 53 | 4th |
| To Pay Debts | 236 | 3rd |
| For Investment Purposes | 10 | 6th |
| For Medication of Family Member | 5 | 8th |
| **Opportunity-Driven Factor (Pull Factor)** | | |
| The Easiest Way to Earn Profit | 80 | 1st |
| Very Easy to Manage | 74 | 2nd |
| Serve as Sideline Business | 13 | 3rd |
Table 2 showed the factors affecting the engagement of the respondents in the informal sector along necessity-driven and opportunity-driven factors. It can be seen in the table that along necessity-driven factor or the push factor, all of the respondents are engaged in the informal sector for the day-to-day needs of the family, followed by the need to provide for the school needs of their children, then entering informal sector in order to pay debts. Meanwhile, along opportunity-driven factor or the pull factor, the table showed that some of the respondents answered that they entered informal sector because engaging in this sector is the easiest way to earn profit, and it is very easy to manage.
Table 3a. Predictors of Engagement in Informal Sector (Necessity-driven)
| Variables | Educ. of Children | No Job Available | Buy Other Needs (appliance, etc.) | Self-Support | Pay Debts | Investment | Medication of a Family Member |
|--------------------|-------------------|------------------|-----------------------------------|--------------|-----------|------------|-------------------------------|
| | B | Sig. | B | Sig. | B | Sig. | B | Sig. | B | Sig. | B | Sig. | B | Sig. |
| Age | -.112 | .784 | .037 | .868 | .972 | .037 | -.180 | .472 | -.105 | .410 | .876 | .078 | 1.478 | .542 |
| Sex (Female) | .096 | .897 | -.481 | .286 | 18.366 | .994 | 1.167 | .022 | .357 | .145 | 1.526 | .205 | 56.435 | .979 |
| Dependents | .209 | .481 | -.401 | .071 | -1.829 | .042 | -.117 | .575 | -.058 | .565 | .021 | .960 | -.574 | .293 |
| D-School | 6.165 | .000 | .364 | .162 | .249 | .744 | -.602 | .043 | -.033 | .791 | -.361 | .459 | 15.162 | .975 |
| T120,001 – 30,000 | 1.641 | .226 | -.427 | .629 | 18.802 | .996 | .366 | .671 | 1.099 | .014 | 17.516 | .997 | 47.328 | .994 |
| T130,001 – 40,000 | .737 | .801 | 19.69 | .999 | 1.415 | 1.000 | 2.392 | .027 | -.235 | .760 | -.315 | 1.000 | -3.678 | 1.000 |
As shown in the table, age, sex, number of dependents, number of dependents in school and total monthly income are predictors in the engagement of the respondents in informal sector in terms of necessity-driven factors. Additionally, the table revealed that older respondents are more likely to engage in the informal sector in order to buy their other needs such as appliances, gadgets, etc. Moreover, it can also be gleaned that female
respondents are more likely to engage in the informal sector in order to support their needs than male respondents. Also, respondents with more dependents are less likely to engage in the informal sector to buy other needs such as appliances, gadgets, etc. On the other hand, respondents who have more dependents enrolled in school are more likely to engage in the informal sector to fund the education of their children. It can also be seen in the table that respondents having more dependents attending school are less likely to engage in the informal sector to support their needs. The table further showed that those respondents with total monthly income between ₱20,000 to ₱30,000 are more likely to engage in the informal sector to pay off debts than those whose total monthly income is not more than ₱10,000. In addition, respondents whose monthly income is between ₱30,001 to ₱40,000 are likely to engage in the informal sector in order to support their living.
**Table 3b. Predictors of Engagement in Informal Sector (Opportunity-driven)**
| Variables | Easiest Way to Earn Profit | Easy to Manage | Sideline Business |
|---------------|----------------------------|----------------|-------------------|
| | B | Sig. | B | Sig. | B | Sig. |
| Age | -.547 | .007 | .231 | .178 | .056 | .936 |
| CS (Married) | 1.528 | .002 | .425 | .390 | -17.528 | .997 |
| D-School | .270 | .154 | -.023 | .895 | 1.807 | .032 |
As shown in the table, age, civil status and number of dependents in school are predictors in the engagement of the respondents in informal sector in terms of opportunity-driven factors. It can be gleaned from the table that older respondents are less likely to engage in the informal sector because it is the easiest way to earn profit. Moreover, respondents who are married are more likely to engage in the informal sector because it is considered to be the easiest way to earn profit compared to single respondents. Moreover, having more dependents who are attending school are more likely to engage in the informal sector as their sideline business.
**Positive Perceived Effects of the Informal Sector to Local Development**
**A. Generation of Employment Opportunities**
One of the positive perceived effects of the informal sector to local development is the generation of employment opportunities. One of the indirect effects of the operations of informal sector in the economy is the increased flow of operating income in the city. As there are increased engagements of the informal sector, collections and money supply tend to increase as well. This favorable economic condition results to investment opportunities, thus increasing employment opportunities to both in informal and formal sectors. Same views are shared by some of the informal sectors: that they are able to be earn through engaging in the informal sectors, and that they need not to be employed in formal sectors since there are less to no opportunities for them. The verbalizations are as follows:
INF01: “Did you know that, according to former City Mayor Jefferson Soriano, P32.2 billion is circulating here in Tuguegarao and any one time. There is more money circulating here than in Santiago, City of Ilagan and Cauayan. That’s why if you notice, there are so many banks here. China bank? How many branches. Metro bank, how many branches, BDO, how many? BPI? How many? BPI already has three. So if you see, the economy is good when there is a lot of money circulating. So, in a way, they, what I’m saying is P372,000 per day of circulating money, they help the economy, we just don’t know how…”
INF01: “It’s okay that they are there (informal sector) .. because that’s also their job, they also help the economy, they just need a little discipline. We will not stop them because they
are the polluters, no. We have to help them, because that’s all they make a living from. That is why we help them to help themselves, and in return, when they are helped, and in return, they also help the community.
B. Sustainable Source of Income
One of the positive perceived effects that one of the informants shared is that, the engagement of the respondents in the informal sector, tends to become their sustainable source of income. This affects the local development economically as they are contributing in the good flow of funds and consumption in the economy. Also, most of the informants in the informal sector convey that through their operations in the informal sector, they are able to sustain their day-to-day needs and some are also able to send their children to school. One of the aspects of local development is the improvement in the quality of life of the population, resulting to positive effect along this area. The verbalizations are as follows:
INF01: “It’s also big, even so, it also contributes to our economy, whether we like it or not. Because like this, when you are in the informal sector, you are an ambulant vendor, even if you don’t have a license, okay, you don’t have a business permit to pay for, but you make money. Once you earn something, when you buy what you earn, you earn what you sold. And you earn, others earn too. Once you move the money, it’s good… that has an effect on our economy. Imagine, 186 beneficiaries, they sell at a minimum, let’s say, an average of P2000 (let’s compute), P2000 times 186 they are, that’s how much? P372,000. That is, they will not hold that, they will also buy raw materials, when they buy that, that will have an effect on our economy. The money has circulated. Because when the money circulates, it has an immediate effect, because it moves. Here they are, they will use the money to buy their food, their merchandise, their raw materials. Imagine the P372,000 to circulate… even if they are only informal. That’s what you’re saying, they are just the ambulant vendors specifically, earnings from talipapa, food vendors, fruits and vegetables vendors, sidewalk vendors because we also have vendors in Ugac, in Pengue, they are not even included here in the P372,000.00. That’s so big, in fact, we are talking of millions. Worth millions of circulating goods”
IS25: “I sell face towels even if we make sacrifices every day as long as we earn something to buy our necessities in life.”
IS27: “Even if we are only here on the side selling, we are able to help people. For our future and for our children to see that we are doing everything for their school needs.”
C. Community Participation and Environmental Responsibility
Informal sectors, though not registered, are still part of the community. Through their engagement in the locality, they contribute to the community where they operate. One of the perceived effects of the informal sector to the local development is their civic participation to special calls of the local government such as cleaning the market. Also, as part of the community, the informal sectors abide with their environmental responsibility such as having waster bins in their area. Aside from the fact that the availability of four sets of trash cans per business sector is a city ordinance, the informal sectors voluntarily comply to this ordinance as well. The verbalization is as follows:
INF01: “One time, these ambulant vendors, when Ma’am Maila won, they were the ones who cleaned up. They clean the whole area. So now, at the night market, it’s just on one side, for example, purely ambulant vendors, purely selling street foods, they also only have a portion to put, then after they leave, there’s a dumptruck, they’ll take one by one. So they are fine, but we can’t avoid, that the others are really stubborn, you can’t do anything.”
IS01: “I have a trash bin here and I can’t damage the environment here because I’m close to the school so it must always be clean.”
IS03: “There is a trash bin here to keep the surroundings clean.”
IS06: “I have a trash can here to avoid pollution around”
D. Market Opportunities and Convenience
Most of the informants shared that one of the perceived effects of the informal sectors in the local development is the provision of the avenue to where varied customers may choose to purchase from. There are some consumers in the market who cannot afford to purchase from formal sectors thus resorting to purchase from informal sector due to some reasons such as price, access and image. With this, market segmentation arises. Through their informal sector engagement, some members of the community who cannot
afford to engage in the formal sector are given the choice and opportunity to engage in the informal sector. This improves the quality of life as some basic needs are provided by the informal sectors. Moreover, most of the informal sectors mentioned that they provide variety of choices to varied markets (e.g., students, professionals, passersby, etc.) and also, they provide convenience to the market as they are held accessible, easy to transact with and less hassle in purchasing. The verbalizations are as follows:
INF01: “Because when it comes to the formal sector, their client is different. The target customers of those are different. Other… For example, let’s say, here’s a turo-turo, Pension Roma. It’s different. Only for those who can afford, those people living in, say above average income. Here is for the general public. This is what tricycle drivers eat, don’t expect a tricycle driver to go to Roma. For me, we can’t compare these two eh. The customer of the formal sector is different; the customer of the informal sector is different. Although, it’s okay, there are just as many people, even the rich, who go there (informal sector), just enjoy eating fish balls. But the definite thing for me is that the poor, can’t go at Pension Roma, in the formal sector. Or at least in a restaurant that is pretty nice. Db? So their target customers are different.”
IS08: “I sell various vegetables that I bring from house to house. I help my customers because they don’t get tired anymore, I bring them vegetables.”
IS09: “The dish we serve to our customers is delicious and clean. Many people are enjoying our food. We help because we can give satisfaction of food to our customers.”
IS13: “Almost everyone who works (divine mercy) doesn’t have time to buy food from distant fast food restaurants when in fact they don’t eat like that, just on breaks. That’s my help, selling is not only for me but also for them because they get enough.”
E. Transition of informal sector to formal sector
Some of the informants mentioned of the intention to transition the informal sector to formal sector. This mandate of the different agencies will eventually affect the local development as everything in the economy is held legal and all transactions are transparent and documented. There are lots of benefits, like, when you are part of the formal sector, there will be less barriers, less restrictions, more access to capital, safer environment, more regulated transactions, among others. Meanwhile, none of the informal sectors shared about their views along this theme. Some of the verbalizations are as follows:
INF01: “Actually the others, you say informal, they are becoming formal especially the talipapas, because the city government has already required them to secure a business permit. But it depends on the capital. If you have a bbq, worth of your goods is let’s say, P1000, will you still get a permit? Then you get a permit, but the permit, already lessened, they have a special discount. I don’t know if we call that as a discount. So most of them, because I was with the meeting of BPLO and Market Administrator, they said, one year they will pay, something like P2500-P3000. But BPLO said, just register, just get a permit. Because what you pay is more expensive, because if P20 per day, P20 times 30 days = P600 times 12 months is P7,200. But they don’t pay that P7200 daily, but this P 3000 business permit is cash, it can’t be paid in installments of twenty pesos every day. But then, maybe it’s better if the others, as long as they are already big, if they can afford it, they are already selling a lot, it’s better if you’re registered. First, you are legal. Whatever happens, you can’t be banned. You cannot be banned because you are paying for a business permit. Whereas, if you are an ambulant vendor, when it is said that it is not allowed there, it is not allowed there.”
Negative perceived effects of the Informal Sector to Local Development
A. Unfair competition between informal and formal sector
Two of the informants among the government sectors mentioned that the existence of the informal sector in the economy, results to unfair competition between them and the formal sector. Some of the informal sectors are earning even higher compared to the formal sector. There was also a complaint to the agency that it is also unfair on the part of the formal sector since they are spending for the permits and licenses in order to operate while others are not. Meanwhile, none of the informants shared this theme because for them, they believe they are not into competition since the markets have their choice. Also, most of the informants in the informal sector shared their positive insights about the competition since they are not in any means competing with the formal sector since they are operating in a small-scale only. The verbalizations are as follows:
INF01: “One of the effects of this is like… it happened last year or pandemic because, some people complain that online sellers who are unregistered earn more than legit or registered businesses, so there are complaints. That’s right, they’re just online, they’re just there at home. But we don’t have any form of monitoring because eh. I also asked the BIR how you can visit them, they are online, there is no visible address to go to. So that’s the problem too, because online, those
are the complaints. The informal sectors have more income and the one that is losing money are those business that are legit.”
B. Waste Management Problems
One of the negative perceived effects of the existence of the informal sector to local development affecting the environment is the waste management problems. It happens that when the informal sectors, especially ambulant vendors and street food vendors operate in the city, there are some who are not mindful of their and their customers’ wastes. One informant from the informal sector also shared that sometimes they could not manage their waste well due to some customers who do not dispose well their trash. Some of the verbalizations are as follows:
INF01: “It’s like this, back then, they were restricted, they had to be in one place, because sometimes, they became messy. That is why, we required them then, that they have a trash bin, or trash container… they have a garbage bag. So that, it’s a bit restricted because, they’re one of the polluters. And then, aside from that, so it was restricted then, there was a time when ambulant vendors were banned, those that are banned are those who are not from Tuguegarao, so you must have a valid ID to prove that you are from Tuguegarao”
IS15: “Sometimes it got bad because our goods were not disposed of properly. Not us, but our buyers.”
C. Cause of Traffic
Two of the informants from the informal sector mentioned that due to their engagement in the informal sector and their operations within the city, some are not mindful if they cause traffic. In the city, peak hours start during the closing of office hours, business hours and school hours. During this time, many customers avail of the streets as pedestrians, walkers and passengers. Some customers rush home and some buy their stuffs for dinner and other things. Some of the verbalizations are as follows:
IS34: “when we were not yet moved here (pertaining to the inside of mall of the valley where different informal vendors are being relocated), we were able to cause traffic because of course we were only on the side and people really flocked to us.”
IS17: “Sometimes we are blocking the way. Especially that I am selling in the sidewalk.”
5. Discussion
Factors Affecting the Engagement of the Respondents in the Informal Sector
There are various factors affecting the engagement of the respondents in the informal sector. As enumerated, engaging in the informal sector is attributed to necessity-driven factors (push factors) or opportunity-driven factor (pull factors). For necessity-driven factors, respondents engage in the informal sector for day-to-day needs of the family, for the education of children, for the payment of debts, for self-support, for investment purposes, for buying appliance furniture and other things needed in the family and for medication of family member and because of the unavailability of jobs. For the opportunity-driven factor, respondents engage in the informal sector because it is the easiest way to earn profit, it is very easy to manage, and this serves as sideline business.
There are two major factors that significantly impacted entrepreneurs in the informal sector. Push factors, also known as factors of necessity, and pull factors, also known as factors of opportunity (Williams, 2008; Bora, 2014). According to Williams (2008) push factors can be understood as unemployment, underemployment, and dissatisfaction with current employment. “Necessity” entrepreneurs were forced into entrepreneurship due to a lack of alternatives. These are defined as a desire for independence, self-actualization, financial benefits, and a desire to achieve a better balance between family and work obligations. Entrepreneurs seize such an “opportunity” because they want to be self-sufficient or own a business. People engage in the informal economy because they can’t look for a formal job to sustain their living (Elgin and Oyvat, 2012). Also, supported by Sibhat (2014) the main reason of informal sectors to be informal is seeking of employment. This is similar to the finding of Ogbuabor and Malaolu (2013); Jie et al., (2010) that unemployment is one of the causes for informal economy engagement. Tambunan (2009) also revealed that they cannot find employment in the formal sector.
The result of Willemse (2011) shows that the limited ability of the government and the formal business sector to provide sufficient employment opportunities to people in the economically active age categories is the main reasons for informal trading. Ebisa (2012) assessed that informal sector is the only hope for a large number of women who are not able to find employment in the formal sector also from Sibhat (2014) lack of job opportunity in the formal sector.
Moreover, economic players of informal economy are forced to participate not by choice, but more likely by necessity (Williams & Round, 2007; Pfau-Effinger, 2003). Moreover, informal economy is displayed “as a new form of work emerging in late capitalism as a direct by product of the advent and deregulated open world economy” (Williams & Round, 2008). In this by-product understanding, informal economy is enormous in marginalized groups of western and developing nations due to weak status of formal economy (Williams & Round, 2007; Amin, et al., 2002). Marginalized populations engage in the informal sector in order to survive in this sphere as a last resort (Williams, 2008). Some workers with jobs in the formal sector also engage in informal economic activity to reduce the risks associated with formal employment (Edgcomb & Thetford, 2004). Push factors have overriding importance; however, the importance of pull factors shows that their relative influence is greater when income earning and employment opportunities are concerned (Bora, 2014). Also, on the opportunity factor or pull factors, the respondents engaged in the informal sector due to ease of management and the ease of earning money. Becker (2004) also mentioned that the obvious benefit for entrepreneurs who operate in the informal economy is avoidance of costly and burdensome government regulations, as well as high and complex taxes. He also said that the reason why the informal sector is so large in developing countries is that the benefits of formality are dwarfed by its costs. Also, majority of the respondents in the study of Sibhat (2014) perceived that they become informal sector because of the difficulty of entry into the formal sector. This is due to their inability to fulfill minimum criteria of the sector or alternatively due to the ease of entry into the informal sector.
**Predictors of Engagement in Informal Sector**
There are various predictors affecting the engagement of the respondents in the informal sector. The current study reveals that age, gender, number of dependents, number of dependents in school and total monthly income are predictors of engagement along necessity-driven factor such as for buying other needs, for self-support, for education of children, for paying off debts. While civil status and educational attainment are not predictors in the engagement of the informal sector along necessity-driven factors. In details, the study implies that older respondents are more likely to engage in the informal sector in order to buy their other needs such as appliances, gadgets, etc., as compared to younger respondents. As the respondents grow older, they are more likely to engage in the informal sector due to the need of buying appliances, gadgets and others. Meanwhile, female respondents are more likely to engage in informal sector than male respondents do due to self-support needs. Other than the daily needs of the family, female respondents enter the informal sector in order to finance their own needs presuming that they are also single. Also, respondents with more dependents are less likely to engage in the informal sector to buy other needs such as appliances, gadgets, etc. since this is not considered as primary needs for those families with more dependents. Having more dependents has more priority needs to consider over the need to buy appliances, gadgets, etc. Lastly, respondents who have more dependents enrolled in school are more likely to engage in the informal sector to fund the education of their children. For this reason, respondents with more dependents in school enter the informal sector in order to support the school needs of their children.
Meanwhile, results reveal that age, civil status and number of dependents in school are predictors of engagement along opportunity-driven factors such as engaging in the informal sector is the easiest way to earn profit and it serves as a sideline business. Lastly, results also reveal that sex, educational background, number of dependents and monthly income are not predictors of engagement in the informal sector along opportunity-driven factors. In details, older respondents are less likely to engage in the informal sector because it is the easiest way to earn profit; married respondents are more likely to engage in the informal sector because it is considered to be the easiest way to earn profit compared to single respondents and respondents with more dependents who are attending school are more likely to engage in the informal sector as their sideline business. This is so, since engaging in the informal sector will serve as an additional source of income for families with more dependents in school. This finding supports Sarreal’s (2019) study, which found that the significant variable for deciding to be an informal entrepreneur is necessity, with no other option for work as the primary motivation and goal of being an entrepreneur.
**Perceived Effects of the Informal Sector to Local Development**
As defined, local development refers to participative process to address and solve a diversity of socio-economic, cultural and environmental problems with the aim of producing sustainable development and improve the quality of life of the population (Jover et al., 2016). Results revealed that there are positive and negative perceived effects of the informal sectors to local development.
Through the existence of the informal sectors, there is an employment generation. As it is a desire for any given government to achieve high employment rate, this aim is realized through the existence of the informal sectors. It can be noted that some of the informal sector respondents in the current study mentioned that they engaged in the informal sector since they cannot find jobs or there are no jobs available for them. Lack of jobs can also be attributed to slow economic activities as a result of COVID-19 pandemic which caused many businesses to shut down and to temporarily close. Not finding a job can also be attributed to the qualification of the job where the respondents seem not to be qualified. Therefore, their only means is to engage in the informal sector. At the macro level, employment refers to the application of production factors to efforts that generate income for the benefit of citizens (Atoloye, 2007).
Moreover, an indirect effect of the existence of the informal sector in the economy, facilitates the ability of the spending and consuming units to spend and consume. This is a good indicator in the economy. Since there is a good flow of spending in the economy, there are some businesses who are benefited. The cycle continues, as there is a good business activity, which would translate to business opportunities, thus may result to generation of employment opportunities or income opportunities. The informal sector’s productivity contributes immensely to the economic growth that will in turn generate employment opportunity (Yusuf, 2014). As a result, enhancing the productivity of informal traders and making them competitive is crucial as it absorbs the job-seeking and able-bodied people who in turn produce thereby increasing national output and speeding up economic development (Tshuma & Jari, 2013). When looking at the issue of employment, Aswani (2007) stresses that the informal sector should not be viewed as a sector that offers jobs per se, but as one that offers income opportunities. Furthermore, it acts as a cure to many ill effects of globalization by accommodating the retrenched, uneducated, unskilled, displaced workers, etc. (Aswani, 2007).
On the other hand, the proliferation of the informal sector in Tuguegarao City is perceived to positively affect the local development. The engagement to the informal sector is seen to be a sustainable source of income or has the ability to generate income. In
Tuguegarao City, most of the respondents engaged in the informal sector mentioned that the factor for their engagement is due to the necessity-driven factor. This is where the respondents get the money for their day-to-day needs, for the school needs of their children and for debt payments, among many others. The ability of the informal sector to sustain for their daily needs is a good indicator that they are at least surviving in their day-to-day living. This is a good indicator for local development since the quality of life of the respondents can be considered good. Schmögenerová (2004) considers the informal sector to be one of the primary driving forces in economic development due to its role in many developing economies such as South Africa. Other than providing income for the less educated and unskilled, it serves a variety of functions. Businesses in this sector are adaptable and can quickly respond to changing market demand and supply situations; they create jobs, help diversify economic activity, contribute significantly to exports and trade, supply raw materials to local producers, and aid in poverty alleviation (Tshuma & Jari, 2013). Local development may include participative process to address and solve a diversity of environmental problems with the aim of producing sustainable development and improve the quality of life of the population (Jover et al., 2016). This activity in the city was participated into voluntarily among the informal sectors. If this activity will be done regularly, it is obvious to note that these informal sectors are participating positively in the community towards local development.
Meanwhile, through the existence of the informal sectors, income-segmented customers may have the opportunity to choose where to purchase from. In order to improve the quality of life, the ability to survive every day is a factor. Looking into the capacity and the ability of different market segments in the community, not all can afford to engage in formal sectors. There are products being sold in the informal sectors that are not provided in the formal sector, or vice versa. Also, there are market segments who cannot afford to engage in the formal sector. For this reason, the informal sectors are considered as options, if not, the only option. There are various reasons why other market segments purchase from the informal sectors. One important role played by the informal sector is the provision of cheap and low-quality goods and services compatible with the incomes of the majority of the population. Informal sector activities play an important role in absolute poverty alleviation by providing additional cash income to households (Bagachwa, 2019). From a rational economic view, consumers will be more likely to engage in informal transactions if they can obtain better value for their money. As such, they will do so if they can obtain a faster delivery or provision or if the quality of the goods and services provided is better (Williams & Martinez-Perez, 2014). Therefore, consumers will continue making purchases in the informal economy as long as it is more convenient either due to a lower price or due to obtaining better value for money (i.e., faster provision and/or better quality of provision). Another explanation for consumers purchasing from the informal economy is that these transactions exist because the formal economy is flawed. It can also be argued that consumers who make purchases in the informal economy are making a rational decision because the formal market is underserved or unavailable, leaving the consumer with no choice but to engage in transactions in the informal economy (Horodnic, et al., 2021).
Meanwhile, another perceived effect of the informal sector to local development is the mandate to slowly transition these informal sectors to formal sector for various reasons. In order to achieve an improved quality of life, manner of engaging in the economy should be sound, safe and legal. According to International Labor Organization (2014), by its very nature, the characteristics of the informal economy are largely negative. It can trap individuals and enterprises in a spiral of low productivity and poverty. A coherent national strategy to facilitate transitions to formality needs to recognize that the
costs of working informally are high for businesses, workers and the community. Most people working in the informal economy do not enjoy secure property rights, which deprives them of access to both capital and credit. They have difficulty accessing the legal and judicial system to enforce contracts, and have limited or no access to public infrastructure and public markets. The biggest and probably the most dominant constraint faced by the informal business sector is lack of finance which is very much needed to bear possible losses. It is difficult to obtain credit from the formal financial sector such as banks due to the lack of enough collateral (Adisu, 2006). With time, some of the small businesses grow and try to join the formal sector. However, this transition into the formal sector brings with it many constraints such as the complicated and expensive legal requirements for registration (Tshuma & Jari, 2013). Having said all these cons in doing business informally, the Local Government Unit of Tuguegarao, DOLE and DTI are working closely towards the transition of some informal sectors to formal sectors through its programs, policies and efforts being implemented in the city in order to achieve local development.
On the other hand, there are also negative perceived effects of informal sectors in local development. One of which is the unfair competition between the informal and formal sector. Formal sectors tend to feel that there is unfair competition between the informal sector as the former needs to secure permits and licenses and pay taxes while the latter can freely engage in selling without paying for regulatory fees. This may affect the local development negatively as formal sectors may choose to later engage in the informal sector when the earning capacity is at stake. Additionally, shifting from formal to informal may cause negative effect to the economic development of the locality as revenues derived from these formal sectors may be reduced. According to Levy (2008, as cited in Rothenberg et al., 2016), informal businesses typically do not pay official taxes. This is because the government cannot recognize each of the businesses that are part of the informal sector. In effect, most businesses that are unregistered tend to be free from paying taxes. On the other hand, it also affects the registered businesses. As informal businesses tend to have a lower cost (i.e., production cost), they can offer relatively lower price compared to registered businesses. In effect, there would be an unfair competition between the two (Farrell, 2004, as cited in Rothenberg et al., 2016). Lastly, it also affects the informal business itself. Given that they do not have any license to operate, it would be difficult for them to obtain credit from banks and other financial establishments (Rothenberg et al., 2016).
**Policy Recommendation Towards Informal Sector**
With the findings of the study, the researcher proposes a slow transition from the informal sector to formal sector. To be able to do this, the researcher proposes the following policies:
**Registration of Business.** A simple registration without taxation and monetary cost involved is the first stage towards transition. This will serve as documents on the statistics and existence of this sector as baseline data on the number of operating informal sectors in the city. Such registration will need basic data as to the socio-demographic profile of the business owner and informal sector profile such as nature of business, number of years in operation among others. The government should be able to undertake a proper assessment and diagnostics of factors, characteristics, causes and circumstances of informality in the city to inform the design and implementation of laws and regulations, policies and other measures aiming to facilitate the transition to the formal economy. It can be further proposed that the office of City Development and Planning should take charge of this activity as this form part the local development of the city.
Business Monitoring. Once the city is able to identify the proper office to be in-charge of informal sector, it will be easier for the local government to monitor the business engagement of these informal sectors. The government should look into how it can support operations of this sector in a win-win situation with the formal sector. It can be proposed that the government should conduct seminars on the different areas of business management such as capital acquisition, sanitation, safety, marketing and many others to the informal sectors in order to guide them as they are encouraged to enter in the mainstream of the economy. The government should actively champion informal sector, even though, unlike formal firms, there is likely little revenue benefit (but increased costs) to the local government in the short and medium run. Also, business monitoring of informal sectors should be aided in providing higher workplace safety standards and better worker protection, for example, by providing training or subsidizing certification. In other words, the government should assist informal sector firms in gradually integrating some business practices in preparation for a possible slow transition to the formal sector.
6. Conclusion
With all the findings of the study, it can be concluded that informal sectors in Tuguegarao City have engaged in the informal sectors due to necessity-driven factors (push factors) and opportunity-driven factors (pull factors). Topping these factors, respondents enter informal sector in order to provide for the daily needs in order to survive, for the education of the children and for debt payments. Also, entering the informal sector is the easiest way to earn profit. Moreover, some socio-demographic variables such as age gender, number of dependents, number of dependents in school and monthly income are predictors of engagement along necessity-driven factors, while for opportunity-driven factors, age, civil status and number of dependents in school are predictors of engagement. Lastly, the study concludes that there are positive and negative effects of the informal sector in the local development of the component city-Tuguegarao City. Informal sectors in the economy generate employment opportunities, serve as a sustainable source of income and provide wide range of choices available for customers from both informal and formal sector. However, informal sectors create unfair competition with the formal sector, cause waste management problems and traffic.
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Eco-Raincatcher: A Rainwater Harvesting System
Rolando Bitagun Jr.*, King Romel Evan Binayug, Adriel Bueno, Aldrin John Cabatingan, Mark Joseph Reyes, John Philip Rivera, Ertic Abana
Civil Engineering Program, School of Engineering, Architecture, and Information Technology Education
University of Saint Louis, Tuguegarao City
*Email : firstname.lastname@example.org
Abstract
This study designed an efficient rainwater harvesting system (RWHS) using polyethylene barrels and environment-friendly filters, such as biosand and non-woven geotextile, while also assessing its efficiency and economic viability. To evaluate the system's performance, water samples were collected from the RWHS and subjected to various tests. After passing through the filtration process, the pH level of the rainwater showed a decrease of 1.64%. The color of the water also decreased by 54.17%, indicating a substantial improvement in its visual appearance. However, the total dissolved solids (TDS) value increased by 72.1 mg/L, suggesting the presence of dissolved substances in the filtered rainwater. Despite this increase, other parameters such as turbidity, arsenic, cadmium, and lead showed no significant changes. One of the critical aspects of water quality is microbial contamination. The study revealed that the filtration process effectively reduced the total coliform and fecal coliform counts from 8.0 to less than 1.1. Moreover, there was a significant decrement in heterotrophs from $6.6 \times 10^4$ CFU/mL to less than $30 \times 100$ CFU/mL. These results indicate that the filtered rainwater from the RWHS met the standards for potable water. In addition to assessing the efficiency of the system, the study also evaluated its economic feasibility. The cost of implementing the eco-raincatcher system was compared to that of commercial RWHS options. Remarkably, the eco-raincatcher system was found to be 55.624% cheaper, making it a cost-effective alternative for rainwater harvesting.
Keywords: rainwater harvesting, polyethylene barrel, filter, geotextile, water quality
1. Introduction
Water scarcity worsened by climate change and population growth has become a global threat that demands attention. Rainwater utilization presents a reliable alternative to alleviate this issue by harnessing a valuable resource that would otherwise go to waste as runoff. Rainwater Harvesting Systems (RWHS) serve as collection and storage systems for rainwater, which can be used for non-potable purposes and even treated for drinking water.
Previous studies have highlighted the effectiveness of RWHS in water conservation. For regions experiencing a wet season, RWHS implementation has been shown to save 500-800 m$^3$ of water annually (Bashar, Karim, & Imteaz, 2018). The size of the storage tank plays a crucial role in the amount of water saved (Semaan et al., 2020; Khan et al., 2017; Abas & Mahlisa, 2019). However, designing an optimal RWHS requires detailed rainfall information, which may not always be available (Liaw & Chiang, 2014). In such cases, estimation techniques for storage size are necessary. Considering cost optimization from the customer’s perspective is also important in determining the size of the system (Semaan et al., 2020; Oviedo-Ocaña et al., 2017). To improve the quality of harvested rainwater, filtration facilities are commonly incorporated into RWHS. Various filtration methods, including ultraviolet light, chlorine, and natural filtration using materials like gravel and sand, have proven effective in removing microbial pathogens (Das et al., 2018). However, these facilities can be expensive, prompting the need for low-cost alternatives.
In the Cagayan Valley Region of the Philippines, water supply shortage poses a significant and urgent challenge (Paguigan & Afidchao, 2020). The region is heavily reliant on traditional water sources, such as rivers and groundwater, which are facing depletion due to factors like climate change and population growth. As a result, many communities within the region are grappling with inadequate access to clean and reliable water. While some individuals in the community have taken the initiative to collect rainwater as a means of supplementing their water needs, rainwater harvesting as a viable solution to address the water scarcity problem remains largely overlooked.
To address the need for rainwater harvesting while mitigating the cost of RWHS, the researchers developed the eco-raincatcher. Unlike previous studies, this system employs inexpensive and environmentally friendly materials. It operates without the need for electricity or water treatment chemicals, making it energy-efficient and environmentally sustainable. In this study, the size of the storage tank was estimated based on limited rainfall information and common usage, considering the cost of materials.
2. Objectives
This study aims to design a rainwater harvesting system incorporating geotextile and biosand filters and evaluate its efficiency. The specific objectives of the study were as follows:
1. Evaluate the potability of both the untreated rainwater and the rainwater filtered through the designed system by analyzing their chemical and microbiological properties.
2. Calculate the cost associated with implementing the rainwater harvesting system, taking into account the materials, installation, and maintenance expenses.
3. Develop an informative and comprehensive eco-raincatcher assembly guide pamphlet.
3. Materials and methods
The proposed design of the RWHS is shown in Figure 1 and the filtration system is illustrated in Figure 2. Figure 1 shows the different components of the RWHS. Figure 2 shows a more detailed view of the filtration tank.
Blue plastic barrels or food-grade drums, 200 liters (3) and 160 liters (4), were used in the system. These drums are made from High Density Polyethylene (HDPE) which makes it inert and resistant to high pH contents and easy to recycle. The water treatment shown in Figure 2 is composed of geotextile, sand, and gravel to naturally filter impurities from the rainwater. The researchers used a 1.5 mm thick standard non-woven geotextile fabric having 180 μm pore size, which is best for filtration, that was placed on top and bottom of the BSF with fine sand, S1 sand, and 3/4-inch gravel layered with a scaled height based on a past experiment (Heirloom Builders, 2020). Polyvinyl Chloride (PVC) pipes with a diameter of 3 inches (1) served as the passage of water in entering the system, 1-inch pipe (5) was used to transfer the water from one tank to another, and 90° elbows (6) were utilized to change the direction of water flow. This kind of pipe is durable and free from bio-film contamination making it suitable to be utilized in the system. A float valve (7) was installed to control the amount of water in the filtration tank. A DIY drain inlet filter (2) was installed to avoid large particles from entering the system. Finally, faucets (8) were placed on the collection and storage tank for water release.
The rainwater flowed from the gutter to the downspout and strained in the drain inlet filter before entering the collection tank. To avoid clogging, the gutter must be cleaned once a month. The rainwater went to the filtration system. The non-woven geotextile fabric on top of the BSF trapped tiny particles and avoided them from being mixed in the sand. It will be changed every after three (3) months for maintenance. The other geotextile in between the sand and gravel helped separate the aggregates. Moreover, gravity feed caused the water to transfer from the filtration tank to the storage tank.
**Figure 2** The filtration tank of the rainwater harvesting system
**Project Development**
The researchers selected a two-story, seven-meter-high residential building around Ugac Sur, Tuguegarao City, Cagayan, that was suitable for RWHS installation. The height of the house, roof structure, and availability of gutter were considered. Using the data gathered, enhancement for the initial design of the system was done. This served as the basis for determining the actual number of materials to be utilized. As preparation for the system building, listing the needed materials and canvassing for the prices were done. The creation of the RWHS was undertaken once the necessary materials were bought.
The initial step in the creation of the system was cutting the pipes to attain the necessary lengths. Then, boring holes in the drums that fit the pipes and faucet is the next step. The cleaned sand and gravel were layered inside the 160-liter drum together with the non-woven geotextile fabric which served as the treatment facility of the system. Lastly, permeability test was undertaken and connecting the parts was the final step.
Testing and Evaluation
The system underwent a preliminary test before installation to ensure that it was properly working. Water was poured until the system was full before releasing it from the faucets. After checking if it was functioning well, the system was installed in the selected house for a week. After one week, the researchers visited the system to record the data needed in the analysis.
The samples shown in Figure 3 were taken from the first and third drums to determine the property changes of the rainwater after passing into the filtration tank, and to test if it is suitable for drinking. The bottles labeled as ‘pure’ contain the water samples taken from the collection tank, while the bottles labeled as ‘filtered’ contain the water samples from the storage tank. The samples were given to the testing facility of the Department of Science and Technology (DOST) to measure the quality of water in terms of its chemical and microbiological constituents.
**Figure 3** Water samples taken from the system
pH level is a measure of the water’s acidity/alkalinity in mg/L that can be determined using a Conductivity meter. The neutral pH level of water is 7, pHs below 6.5 is acidic, and pH level above 8.5 is alkaline (Cirino, 2019).
TDS are the amount of materials, organic or inorganic, dissolved in water that are measured using TDS meter (Hancock, 2018). Generally, the TDS level between 50-150 is considered as the most suitable and acceptable for drinking purposes (Bisleri, 2020). However, the set TDS level in the Philippine National Standard for Drinking Water (PNSDW) can range up to 600 mg/L.
Turbidity is the measure of how clear a liquid is. It can be determined using a TDS meter (US Geological Survey, 2018). The World Health Organization (WHO) establishes that the turbidity of drinking water should not be more than 5 NTU, and should ideally be below 1 (World Health Organization, 2019).
Using a Spectrophotometer, water color is captured and evaluated. The standard color for a potable water is 10, according to PNSDW. But according to the United States Environmental Protection (U.S. EPA) Agency for Secondary Drinking Water Regulations, drinking water should possess less than 15 units in color (Environmental Protection Agency, 2022).
The only inorganic chemical parameters accessible at the DOST testing facility were arsenic, cadmium, and lead. The samples were digested and directly aspirated using Graphite Furnace-Atomic Absorption Spectrophotometer (GFAAS). A study proved that there is no arsenic content in rainwater, but it was found in the roof runoff. When the rainwater flows from the roof, it washes off dust particles that have settled on the roof or have collected in the gutter or the dust present in BSF (Quaghebeur, 2019). PNSDW recognized that arsenic content must be less than 0.01 mg/L. However, according to WHO, long-term consumption of water with arsenic over many years can increase the risk of cancer (Minnesota Department of Health, 2018).
Cadmium may harm living organisms in both chronic and acute ways. Cadmium is mostly obtained through municipal solid waste incinerators. Automobile tires and dumping of cadmium batteries are two further sources of cadmium (Anabtawi et al., 2022). The maximum permissible cadmium content in PNSDW is less than 0.003 mg/L.
Air contamination causes rainwater to become acidic and cloudy, and adds heavy metals such as lead in rainwater (Khayan, et al., 2022). The presence of lead in rainwater will have an impact on the health of the community. It is recommended by PNSDW that the presence of lead in drinking water is less than 0.01 mg/L.
Total coliforms are bacteria that are present in water and soil contaminated by surface water and animal waste, while fecal coliforms are total coliforms found in gut and feces of animals (New York State Health Department, 2022). These parameters are tested using the Multi-Tube Fermentation Technique. The standard count of total coliform and fecal coliform in drinking water is less than 1 MPN/100 mL.
Heterotrophs are water microorganisms that consume organic carbon measured through the Pour Plate Method (H2O Distributors Inc., 2022). Generally, the accepted number of heterotrophs in drinking water is less than 500 CFU/mL, to which the filtered rainwater conformed to.
4. Results and Discussion
Figure 4 shows the eco-raincatcher installed at Pauly’s Residence, Ugac Sur, Tugugegarao City. The system has a total height of 97cm excluding the elevation of the pipe.
Based on the analysis shown in Table 1, the pure and filtered rainwater’s pH levels are 6.1 and 6 (1.64% reduction), respectively, which indicate that both samples are acidic but not acidic enough to be harmful in the body. The decrease in pH level may be attributed to the acid-forming reaction occurring within the filter medium (Duran Romero et al., 2020).
It can be noted that the TDS of rainwater increased after the filtration, as presented in Table 1. The laboratory analysis revealed that the TDS of pure and filtered rainwater are 13.4mg/L and 85.5 mg/L, respectively. Both samples met the standard specification. The main reason for the TDS increase is that the aggregates were cleaned with water the same
day the RWHS was assembled. The water remains in the aggregates mixed with the rainwater, which caused the increment of TDS value. To achieve a lower TDS level, it is recommended that the rainwater should be boiled for at least 20 minutes (Organization of American States, 2016). Although some highly resistant organisms may survive after boiling for this length of time, it is believed that such presence is rare and so is acceptable (Environmental Protection Agency, 2021).
Table 1 shows an identical result in terms of pure and filtered rainwater turbidity. Both rainwater samples have a turbidity of less than 1 NTU which conformed to the standard specification. BSF has been proven to reduce turbidity by 90% to 95%. BSF can reduce turbidity by 64% on average (Duran Romero et al., 2020; Das et al., 2018). However, in this study, it did not show any relevance to the result.
It can be seen in Table 1 that the filtered rainwater achieved a 54. 17% reduction of color in the result. The pure rainwater has a color unit of 24 CU. After filtration, it changed to 11 CU which gave a better result for the filtered rainwater than the pure rainwater.
The results obtained from the method utilized as indicated in Table 1 for the inorganic chemical parameters (arsenic, cadmium, and lead) are lesser levels for both pure and filtered rainwater compared to the standard. The result suggests that BSF has no impact on the inorganic chemical characteristics of rainwater. The rainwater samples are safe to drink and will not create harmful side effects since these do not exceed the inorganic chemical content provided by PSNDW.
**Table 1 Chemical Test Result for Pure and Filtered Rainwater**
| Parameter | Result | Standard Specification | Method Used |
|----------------------------|--------------|------------------------|----------------------|
| | Pure | Filtered | |
| pH @ 24.8°C | 6.1 | 6 | 6.5-8.5 | Potentiometry |
| Total Dissolved Solids | 13.4 | 85.5 | 600 | TDS Meter |
| (mg/L) | | | 10*** | |
| Turbidity (NTU) | < 1 | < 1 | 5 | Nephelometric |
| Color (CU) | 24 | 11 | 10 | Platinum-Cobalt |
| | | | Standard Method | |
| Arsenic (mg/L) | < 0.005 | < 0.005 | 0.01 | GFAAS |
| Cadmium (mg/L) | < 0.0005 | < 0.0005 | 0.003 | GFAAS |
| Lead (mg/L) | < 0.005 | < 0.005 | 0.01 | GFAAS |
The employment of geotextile, together with BSF, can reduce the number of bacteria present in water (Duran Romero et al., 2020). Employing BSF alone can reduce total coliform and fecal coliform bacteria in water by 91.52% and 91.39%, respectively. Results showed that the total coliform and fecal coliform counts, in MPN/100mL, of the rainwater both decreased from 8 to < 1.1 after filtration, as presented in Table 2. The level of coliform in the filtered rainwater coincided with the standard specification provided by PNSDW. Furthermore, the laboratory analysis revealed that the heterotrophic plate count
of the pure rainwater ($6.6 \times 10^4$ CFU/mL) is significantly higher than that of the filtered rainwater (< $30 \times 100$ CFU/mL).
**Table 2** Microbiological test result for pure and filtered rainwater
| Parameter | Result | Standard Specification |
|------------------------------------------------|-----------------|------------------------|
| | Pure | Filtered | |
| Total Coliform Count (MPN/100mL) | > 8.0 | < 1.1 | <1.1 |
| Fecal Coliform Count (MPN/100mL) | 8 | < 1.1 | <1.1 |
| Heterotrophic Plate Count (CFU/mL) | $6.6 \times 10^4$ | < $30 \times 100$ | < 500 |
A RWHS with pumps and associated components that is sold in the market typically costs ₱157.55 to ₱315.10 per gallon (Hammerstrom & Pushard, 2022). The eco-raincatcher can save 102.24 gallons of water, therefore buying a commercial RWHS that can save the same amount of water will cost ₱16,107.91 to ₱32,215.82. In addition, since it is electricity operated, the electric consumption must be settled monthly anticipating rate changes over time. In this study, the eco-raincatcher costs ₱7,148.00 which is 55.624% cheaper than the commercial RWHS. The total cost of the system is shown in Table 3.
**Table 3** Materials Used and their Prices
| Quantity | Unit | Material | Unit Price | Amount |
|----------|--------|-----------------------------------|------------|--------|
| 1 | pcs | 160-liter blue drum | 1300.00 | 1300.00|
| 2 | pcs | 200-liter blue drum | 1400.00 | 2800.00|
| 1 | pcs | Float valve | 450.00 | 450.00 |
| 2 | pcs | Faucet | 50.00 | 100.00 |
| 2 | pcs | Female adapter for faucet | 20.00 | 40.00 |
| 3 | pcs | 1-inch coupling | 30.00 | 90.00 |
| 2 | pcs | 1-inch 90° elbow | 30.00 | 60.00 |
| 1 | pcs | 1-inch 90° elbow with thread | 30.00 | 30.00 |
| 2 | pcs | 3-inch 90° elbow | 75.00 | 150.00 |
| 2 | m² | 1.5mm non-woven geotextile | 148.00 | 296.00 |
| 3 | m | 3-inch PVC pipe | 100.00 | 300.00 |
| 3 | m | 1-inch PVC pipe | 33.33 | 100.00 |
| 1 | pcs | Screen | 150.00 | 150.00 |
| 2 | m³ | Fine sand | 300.00 | 600.00 |
| Quantity | Unit | Material | Unit Price | Amount |
|----------|--------|---------------------------|------------|--------|
| 1 | m³ | S1-crushed sand | 300.00 | 300.00 |
| 1 | m³ | 3/4" gravel | 300.00 | 300.00 |
| 1 | pcs | Teflon tape | 15.00 | 15.00 |
| 1 | pcs | PVC pipe cement | 42.00 | 42.00 |
| 1 | pcs | Sealant | 25.00 | 25.00 |
**Total** 7148.00
The pamphlet shown in Figure 5 and Figure 6 is to be used for the Service-Learning Program (SLP) of the Community Engagement and CICM Advocacy Office (CECAO). The pamphlet presents the materials used in the system, installation process, connection details, how the system works, and its maintenance. It will serve as a guide for the target community on how to create their own RWHS which will aid their water insufficiency problem.
**How it works?**
The rainwater will flow from the gutter to the downspout and be strained by the drain inlet filter before entering the collection tank. The rainwater will then go to the filtration system. The non-woven geotextile fabric on top of the biosand filter will trap dirt and other impurities from being mixed in the sand. The other geotextile between the sand and gravel will help separate the aggregates. Moreover, gravity feed will cause the water to transfer from the filtration tank to the storage tank.
**How to maintain?**
- Clean the gutter every month
- Clean the drain inlet filter after the rain
- Change the top geotextile every after three months
**The Researchers**
BINAYUD, KING ROMEL EVAN
BULGAR, ABINEL
CABATINGAN, ALDRIN JOHN
REYES, MARK JOSEPH
RIVERA, JOHN PHILIP
RAMOS, JASON
5. Conclusion
The study concludes that the eco-raincatcher is efficient with regard to its function and cost. BSF with geotextile layers improved the quality of water in terms of its chemical and microbiological properties, except for the pH level and TDS. Although the pH level and TDS in the filtered rainwater increased, the result still suggest that it is potable. Moreover, when compared to the commercial RWHS, the eco-raincatcher is more economical considering that both harvesting systems can reduce the impurities present in the rainwater.
Although the overall result suggests that the water is potable, it is better to further enhance the parameters to reduce health risk when consumed. It is recommended that the storage for the filtered rainwater should be cleaned thoroughly in order to prevent water contamination. In addition to that, the sand and aggregates should also be dried out before settling inside the filter tank. This will restrain the rainwater and tap water from mixing and creating improbable pH and TDS results. To prevent the collection tank from falling, it should be permanently attached to the storage tank. Furthermore, it is ideal to consider the size of the storage tank and the amount of rain experienced in the selected area to save more water.
6. References
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Anabtawi, F., Mahmoud, N., Al-Khatib, I. A., & Hung, Y.-T. (2022). Heavy metals in harvested rainwater used for domestic purposes in rural areas: Yatta area, Palestine as a case study. International Journal of Environmental Research and Public Health, 19(5), 2683. http://iews.birzeit.edu/sites/default/files/theses/Thesis-Last-Version-2018-2
Bashar, M. Z. I., Karim, M. R., & Imteaz, M. A. (2018). Reliability and economic analysis of urban rainwater harvesting: A comparative study within six major cities of Bangladesh. Resources, Conservation and Recycling, 133, 146–154. https://www.sciencedirect.com/science/article/abs/pii/S0921344918300259
Cirino, E. (2019, March). Ph of drinking water: Acceptable levels and more. Healthline. https://www.healthline.com/health/ph-of-drinking-water#TOC_TITLE_HDR_1
Das, T. K., Shaibur, M. R., Shalihin, R., & Mamun, A. M. (2018). Performance Evaluation of Bio-sand Filter in Removing Contaminants from Surface Water. Journal of Jessore University of Science and Technology, 3(2), 45–51. https://www.researchgate.net/publication/339177378_performance_evaluation_of_biosand_filter_in_removing_contaminants_from_surface_water
Duran Romero, D. A., de Almeida Silva, M. C., Chaúque, B. J. M., & Benetti, A. D. (2020). Biosand filter as a point-of-use water treatment technology: Influence of turbidity on microorganism removal efficiency. Water, 12(8), 2302.
Environmental Protection Agency (2022). "Secondary Drinking Water Standards: Guidance for Nuisance Chemicals." Retrieved from https://www.epa.gov/sdwa/secondary-drinking-water-standards-guidance-nuisance-chemicals
Environmental Protection Agency (2021). "Emergency Disinfection of Drinking Water." Retrieved from https://www.epa.gov/ground-water-and-drinking-water/emergency-disinfection-drinking-water
H2O Distributors, Inc. (2022). "Heterotrophic bacteria in drinking water." Retrieved from https://www.h2odistributors.com/pages/contaminants/contaminant-heterotroph.asp
Hammerstrom, J., & Pushard, D. (2022). Is Rainwater Harvesting a Good Investment? HarvestH2o. Retrieved from https://www.harvesth2o.com/Is_RWH_a_good_investment.shtml
Hancock, N. (2018, August). TDS and pH. Safe Drinking Water Foundation. https://www.safewater.org/fact-sheets-1/2017/1/23/tds-and-ph
HeirloomBuilders. (2020, May). DIY Home Water Filtration System: Rainwater Harvesting with a Biological Sand Filter and Maintenance [Video file]. YouTube. https://www.youtube.com/watch?v=L56q_pCxULc&t=285s
Khan, S. T., Baksh, A. A., Papon, M. T. I., & Ali, M. A. (2017). Rainwater Harvesting System: An Approach for Optimum Tank Size Design and Assessment of Efficiency. International Journal of Environmental Science and Development, 8(1), 37–43. https://www.researchgate.net/publication/328366063_Rainwater_harvesting_system_An_approach_for_optimum_tank_size_design_and_assessment_efficiency
Khayan, K., Heru Husodo, A., Astuti, I., Sudarmadji, S., & Sugandawaty Djohan, T. (2019). Rainwater as a source of drinking water: Health impacts and rainwater treatment. Journal of Environmental and Public Health, 2019, 1760950. https://www.hindawi.com/journals/jeph/2019/1760950/
Liaw, C.-H., & Chiang, Y.-C. (2014). Dimensionless Analysis for Designing Domestic Rainwater Harvesting Systems at the Regional Level in Northern Taiwan. Water, 6(12), 3913–3933. https://www.mdpi.com/2073-4441/6/12/3913
Minnesota Department of Health. (2018, February). "Arsenic." Retrieved from https://www.who.int/news-room/fact-sheets/detail/arsenic
New York State Health Department (2022). "Coliform Bacteria in Drinking Water Supplies." Retrieved from https://www.health.ny.gov/environmental/water/drinking/coliform_bacteria.htm#:~:text=Total%20coliforms%20include%20bacteria%20that,feces%20of%20warm%2Dblooded%20animals.%20Amount%20of%20Rainwater%20Saved
Organization of American States (2016). "Disinfection by boiling and chlorination." Retrieved from https://www.oas.org/dsd/publications/unit/oea59e/ch23.htm
Oviedo-Ocaña, E. R., Dominguez, I., Ward, S., Rivera-Sanchez, M. L., & Zaraza-Peña, J. M. (2017). Financial feasibility of end-user designed rainwater harvesting and greywater reuse systems for high water use households. Environmental Science and Pollution Research, 25(20), 19200–19216. https://link.springer.com/article/10.1007/s11356-017-8710-5
Paguigan, G., & Afidchao, M. (2020). Investigating the Status of Water Supply in Cagayan Valley Region, Philippines. Journal of Critical Reviews, 7, 431–435. https://www.researchgate.net/publication/340023533_Investigating_the_Status_of_Water_Supply_in_Cagayan_Valley_Region_Philippines
Quaghebeur, W., Mulhern, R. E., Ronsse, S., Heylen, S., Blommaert, H., Potemans, S., Valdivia Mendizábal, C., & Terrazas García, J. (2019). Arsenic contamination in rainwater harvesting tanks around lake poopó in Oruro, Bolivia: An unrecognized health risk. Science of The Total Environment, 688, 224–230. https://www.sciencedirect.com/science/article/abs/pii/S0048969719326038
Semaan, M., Day, S. D., Garvin, M., Ramakrishnan, N., & Pearce, A. (2020). Optimal sizing of rainwater harvesting systems for domestic water usages: A systematic literature review. *Resources, Conservation & Recycling*, X, 6, 100033. https://www.sciencedirect.com/science/article/pii/S2590289X20300049
U.S. Geological Survey. (2018, June). Turbidity and Water. Retrieved from https://www.usgs.gov/special-topics/water-science-school/science/turbidity-and-water#:~:text=Turbidity%20is%20the%20measure%20of,light%2C%20the%20higher%20the%20turbidity
World Health Organization (2017). "Water quality and health - review of Turbidity: Information for Regulators and Water Suppliers" Retrieved from https://apps.who.int/iris/bitstream/handle/10665/254631/WHO-FWC-WSH-17.01-eng.pdf
Enhancing Resilience: A Contemporary Approach to the Disaster-Resistant Bahay Kubo
Bernadette Joy Bunay*, Janet Cangas, Kyla Grail Guevarra, Mesheya Joy Pascual, Yvonne Tacata, Mark Vincent Bricia, Ian James Villano, Ertic Abana
Civil Engineering Program, School of Engineering, Architecture, and Information Technology Education
University of Saint Louis, Tuguegarao City
*Email : email@example.com
Abstract
The Philippines is witnessing a rise in losses and destruction due to increasingly frequent and intense typhoons, resulting in floods and landslides. To address this issue, a previous study proposed a lightweight bamboo-based hybrid amphibious house that utilizes a buoyant foundation of HDPE sewer pipes enclosed in a steel cage, along with easy base isolation. The main objective of the project was to design a disaster-resistant modern Bahay Kubo using bamboo as the primary material. By obtaining wind load, dead load, and live load data from the National Structural Code of the Philippines 2015, the study found that the forces applied to the structure were sufficient to withstand the challenges posed. Through STAAD analysis, it was determined that the design could endure wind speeds ranging from 240 to 320 kilometers per hour, with a maximum displacement of approximately 0.099mm at 320 kph. This research presents a promising solution for enhancing resilience against typhoons and reducing the impacts of floods and landslides, offering a durable and sustainable housing option that aligns with the specific needs of the Philippines.
Keywords: bahay-kubo, bamboo, typhoon, house structure, flood
1. Introduction
The Philippines, being highly susceptible to natural disasters such as typhoons, faces significant challenges each year. These typhoons pose a severe threat to livelihoods, shelters, and even lives, resulting in devastating consequences for rural communities (Cantiveros, 2020). Historical data reveals the extensive damage caused by typhoons like Rolly, Yolanda, and Ulysses, which resulted in the destruction or damage of millions of houses and substantial losses to the country's infrastructure (Morella, 2018; Deiparine, 2020; Nepomuceno, 2020). While some researchers have explored resilient housing structures as a potential solution, a significant gap remains in providing improved construction methods to the impoverished population, who are particularly vulnerable to such disasters (Das & Mukhopadhyay, 2018; Shih & Ravina, 2020).
The concept of developing disaster-resilient housing has gained attention from various studies. For instance, researchers have proposed incorporating an amphibious foundation into traditional Assamese buildings to enhance their resilience against hazards, utilizing cost-effective bamboo-based hybrid facilities (Das & Mukhopadhyay, 2018). Another study suggests the construction of a lifelong typhoon shelter, utilizing locally abundant Coco lumber and employing a design that reduces the impact of prevailing winds during typhoons (Ray, 2019). Similarly, amphibious foundations have been proposed as an alternative to permanent static elevation, allowing houses to float during flooding and settle back into place afterward (Shih & Ravina, 2020).
Amidst these innovative approaches, the iconic Bahay Kubo, a symbol deeply ingrained in Philippine culture, emerges as a potential solution. This traditional dwelling constructed using bamboo, nipa leaves, and other indigenous materials, reflects the rich
heritage and practical applications of bamboo in the Philippines (English, 2009). Bamboo is recognized for its strength and flexibility, boasting higher compressive and tensile strengths compared to concrete and steel, respectively (De Jong, 2010). Leveraging these properties, the researchers aim to construct a modern Nipa Hut, or Bahay Kubo, with the objective of mitigating wind-related disasters, promoting safety, and fostering sustainable societies.
By addressing the enormous losses inflicted on the country's infrastructure by typhoons, this study seeks to contribute to the development of a modern Nipa Hut that can withstand future wind-related disasters. The ultimate goal is to create safer and more sustainable communities that are resilient to the adverse effects of natural calamities.
2. Objectives
This study aims to design a disaster-resistant modern Bahay Kubo and accomplish the following objectives:
1. Conduct simulation and analysis to evaluate the structural response of the modern Bahay Kubo under varying wind loads.
2. Estimate the cost of constructing the disaster-resistant modern Bahay Kubo.
3. Materials and methods
Due to the limited material options available in STAAD Pro, such as concrete, aluminum, steel, and timber, the researchers conducted a comprehensive investigation into the characteristics and compositions of bamboo, focusing specifically on the Bambusa blumeana variety, which is abundant in the Philippines. By exploring the properties of Bambusa blumeana presented in Table 1 and integrating this information into the analysis within STAAD Pro, the researchers aimed to accurately assess the structural behavior and performance of the modern Bahay Kubo. This investigation ensures that the unique properties of bamboo are appropriately considered and incorporated into the design, enabling a comprehensive evaluation of the disaster-resistant housing structure's response to wind loads and other relevant forces.
**Table 1 Properties of Bambusa Blumeana**
| Property | Specification | Literature |
|------------------------|------------------------|----------------------------|
| Young’s Modulus (E) | 10034000kN/m² | Abdullah et al. (2019) |
| Poisson’s Ratio (nu) | 0.013to0.278 | Takeuchi et al., (2015) |
| Density | 8.3552537487kN/m³ | (Salzer et al. (2018) |
| Thermal Coeff (a) | 65x10⁻⁶ | Hebel et al. (2013) |
| Critical Damping | 0.00152 | Kakkad (2011) |
| Shear Modulus (G) | 2200kN/m² | Bautista et al. (2021) |
Table 2 presents the various load combinations as prescribed by the National Structural Code of the Philippines. Load combinations occur when multiple types of loads act upon a structure simultaneously. These combinations are defined in building codes to ensure the safety and structural integrity of the building under different anticipated maximum loading scenarios. To account for the complex nature of loads, building codes specify load factors or weightings for each type of load, considering the structure's response to various loading conditions. By incorporating these load combinations and factors, the design process addresses the necessary safety requirements to withstand a range of expected loading situations. In the table, dead load (DL) refers to a constant and
predictable load that must be supported at all times, while live load (LL) is transient and can vary depending on the usage of the structure. On the other hand, wind load (WL) refers to the force exerted by the wind on the structure.
**Table 2 Load Combinations**
| Number | Load Combinations |
|--------|-------------------------------------------------------|
| 1 | 1.4 DL |
| 2 | 1.2 DL + 1.6 LL |
| 3 | 1.0 DL + 1.6 LL + 1.0 WL (windward) |
| 4 | 1.0 DL + 1.6 LL + 1.0 WL (leeward) |
| 5 | 1.0 DL + 1.6 LL + 1.0 WL (sidewall) |
**Wind Load Simulation**
After gathering the data needed for the structure's design, the researchers utilized the provisions of the Philippine National Structural Code (NSCP) to determine the external forces required for calculating the loading applied to the structure. The Directional Procedure was used to calculate the wind pressure, starting with the determination of the basic wind parameters, including the occupancy category, structure type, exposure category, topographic effects, gust effect factor, and enclosure classification as specified in the NSCP 2015. Subsequently, the researchers computed the wall pressure by setting the structure's leeward, sideward, and windward directions, with the assistance of the Structural Analysis and Design application. After assessing the combination of loads on the structure, STAAD was employed to analyze the structure and determine its ability to withstand the applied loads at different magnitudes.
**Flood Vulnerability**
In the context of designing a flood-resilient structure, the researchers prioritize certain parameters. One such parameter involves elevating the structure on stilts, typically ranging from one to two meters, depending on the location. By raising the interior of the structure above ground level, shelter residents are protected from flooding (Berkeley, 2021), while allowing water to flow freely underneath the structure (Kouhirostami, & Kibert, 2003). Considering this important parameter, the structure can be designed to be flood-resilient, mitigating the potential impacts of flood events.
4. Results and Discussion
The researchers utilized AutoCAD to design the frame system required to simulate various loads and its floor plan. SketchUp was another tool utilized by the researchers to create the 3D model of the structure, and it was rendered using V-Ray to depict its view in a real-world structure. The designed disaster-resistant Bahay Kubo is shown in Figure 1, along with its floor plan in Figure 2.
**Figure 1** The Disaster-Resistant Modern Bahay Kubo
**Figure 2** Floor Plan of the Structure
The Bahay Kubo is built utilizing data and criteria acquired from several literature sources to construct a bamboo house that can withstand the high winds caused by typhoons and its height from the ground in terms of floods. In assessing the structure's vulnerability in terms of flood, some studies (Berkeley, 2021; Kouhirostami, & Kibert, 2003) suggest raising the structure's floor from the ground as a mitigating measure that must be integrated into the design to ensure that the building will not drown. The designed modern
Bahay Kubo adopted this approach by elevating the structure by about 2 meters to ensure that the occupancy of the Bahay Kubo is safe from flooding.
**Figure 3.1** Column and Beam Connection
**Figure 3.2** Column and Roof Connection
The joints for the bamboo construction should be carefully and effectively lashed to prevent future collapse or undesirable displacement in the structure. To further maintain the full strength of bamboo, the researchers utilized a lash for each connection rather than creating a hole to connect the bamboo, which may lead to an undesirable outcome. As shown in Figures 3.1 and 3.2, the cut connection between the column and the beam is revealed. In connecting the bamboo, the researchers needed a 3.5m nylon monoline (Tansi) to lash the column and beam of the structure. For the column and foundation of the structure, the column should be attached to the concrete floor, as shown in Figure 3.3.
The loadings gathered from the National Structural Code of the Philippines are applied to the structural bamboo frame and are validated by analyzing the frame using STAAD Pro. The frame dimension has been taken to be 4.31m in height and a span of 5 meters by 4 meters. The supports at the base of the column are pinned joints. The material specified for the analysis is the Bambusa blumeana. Figures 4.1, 4.2, and 4.3 show the simulation of STAAD Pro load in dead load, live load, and wind load, respectively.
The results of the STAAD analysis show different values of maximum displacement from different loads and load combinations set by NSCP. In Table 3, the tabulated data is from 240 kph, 280 kph, and 320 kph wind velocity for the standard occupancy category. The maximum node displacement is 0.284 millimeters in all wind velocity ranges. The highest node displacement is load combination two, the factored load of dead load and live load, followed by 0.256 millimeters as the second-highest maximum node displacement at 280 kph, which is then factored load of dead load, live load, and wind load. While dead load alone has a node displacement of 0.142mm in all wind velocity ranges, the live load alone has a 0.074-millimeter node displacement in all wind velocity ranges. Concerning wind load simulation, the maximum displacement is at the windward of 320 kph, having node displacement of 0.099mm, while minimum node displacement is at leeward of 240 kph with 0.044mm node displacement.
| Load | Wind Velocity (kph) |
|-----------------------|---------------------|
| | 240 | 280 | 320 |
| DL | 0.142mm | 0.142mm | 0.142mm |
| LL | 0.074mm | 0.074mm | 0.074mm |
| WL Windward | 0.056mm | 0.076mm | 0.099mm |
| WL Leeward | 0.044mm | 0.060mm | 0.049mm |
| WL Sidewall | 0.052mm | 0.071mm | 0.058mm |
| Load Combination 1 | 0.198mm | 0.198mm | 0.198mm |
| Load Combination 2 | 0.284mm | 0.284mm | 0.284mm |
| Load Combination 3 | 0.284mm | 0.256mm | 0.284mm |
| Load Combination 4 | 0.284mm | 0.256mm | 0.284mm |
| Load Combination 5 | 0.284mm | 0.256mm | 0.284mm |
When the structure induces dead load, live load, and load combinations, node number 24 exhibits the most significant displacement from its initial location, as tabulated in Table 4. Node number 24 is located in the middle of the roof, which carries the roofing structure of the Bahay Kubo. Node numbers 11, 13, 16, and 17 have the most significant node displacement in wind load. The tabulated displacement in all loads and load combinations is not enough to displace the nodes of the structure, as shown in Figure 5. Therefore, the modern Bahay Kubo design is sturdy and firm enough to withstand a 240, 280, and 320 kilometers per hour wind velocity.
**Table 4 Number of Nodes Displaced**
| Load | Node Number with Maximum Displacement |
|-----------------------------|--------------------------------------|
| | 240 | 280 | 320 |
| DL | 24 | 24 | 24 |
| LL | 24 | 24 | 24 |
| WL Windward | 11, 13, 16, 17 | 11, 13, 16, 17 | 11, 13, 16, 17 |
| WL Leeward | 11, 13, 16, 17 | 11, 13, 16, 17 | 11, 13, 16, 17 |
| WL Sidewall | 11, 13, 16, 17 | 11, 13, 16, 17 | 11, 13, 16, 17 |
| Load Combination 1 | 24 | 24 | 24 |
| Load Combination 2 | 24 | 24 | 24 |
| Load Combination 3 | 24 | 24 | 24 |
| Load Combination 4 | 24 | 24 | 24 |
| Load Combination 5 | 24 | 24 | 24 |
**Figure 5 Maximum Displacement**
Table 5 outlines the quantities and costs of various materials required for the construction of the project. It offers valuable insights into the cost breakdown, aiding in the overall project budgeting and procurement process. The majority of the expenses are allocated to essential construction materials such as CHB (Concrete Hollow Blocks), cement, gravel, and sand. These items are fundamental for creating a sturdy foundation and structural elements. Additionally, steel bars are included to reinforce the structure, ensuring its strength and stability. The utilization of bamboo for both the sidewall and flooring showcases the project's commitment to sustainable and locally available materials. Other materials, such as nipa for the roof, wood for the stairs, and nylon for various purposes, contribute to the aesthetic and functional aspects of the construction. By analyzing the quantities and rates provided in the table, it becomes evident that the estimated total cost of ₱40,000 aligns with the project's budget constraints. This affordability factor reinforces the feasibility and accessibility of the construction materials,
promoting cost-effective and sustainable building practices. In summary, this comprehensive materials table provides a valuable reference for project managers, contractors, and stakeholders, enabling effective cost estimation, procurement planning, and informed decision-making throughout the construction process.
**Table 5 Cost Estimation of the Structyre**
| Name of Item | Quantity | Unit | Rate (P) | Amount |
|-------------------------------|----------|--------|----------|--------|
| CHB | 150 | pcs | 12 | 1800 |
| Cement | 51 | bags | 230 | 11730 |
| Gravel | 6 | cu.m | 715 | 4290 |
| Sand | 3 | cu.m | 572 | 1716 |
| Steel Bar (10mm) | 20 | pcs | 165 | 3300 |
| Bamboo (Sidewall) | 196 | pcs | 12 | 3144 |
| Bamboo (Flooring) | 262 | pcs | 12 | 2352 |
| Nipa (Roof) | 234 | pcs | 5 | 1170 |
| Wood (Stairs) | 43 | m² | 179 | 7697 |
| Bamboo (0.25 m diameter) | 36 | pcs | 12 | 432 |
| Bamboo (0.10 diameter) | 18 | pcs | 12 | 216 |
| Nylon (0.1) | 60 | pcs | 35 | 2100 |
| **Total** | | | | **40 000** |
**5. Conclusion**
In conclusion, this project has successfully conducted an analysis and conceptual design of a disaster-resistant modern Bahay Kubo, considering various loads and their combinations, with a specific focus on wind loads based on the provisions of Section 207 of NSCP 2015. The designed structure offers an environmentally friendly and resilient alternative for housing construction in disaster-prone areas. The computed forces, including wind loads, dead loads, live loads, and load combinations, have been satisfactorily addressed in the design. The structure exhibits robust connections between its components, showing minimal displacement when subjected to wind loads and various load combinations.
It is recommended to further enhance the disaster-resistant modern Bahay Kubo by conducting detailed calculations and designs specifically for its foundation. Strengthening the foundation will contribute to the overall sturdiness and load-bearing capacity of the structure, ensuring its resilience against different loadings. Since there is currently no specific code of practice available for bamboo construction, it is important to note that the steel code (NSCP 2015) has been utilized where necessary, which may have introduced some potential errors in the design. Therefore, future research and development efforts should focus on establishing comprehensive codes and guidelines specifically tailored for bamboo construction, ensuring accurate and reliable design practices for resilient structures.
6. References
Abdullah Siam, N., Uyup, M. K. A., Husain, H., Mohmod, A. L., & Awalludin, M. F. (2019). Anatomical, physical, and mechanical properties of thirteen Malaysian bamboo species. BioResources, 14(2), 3089-3104.
Bautista, B. E., Garciano, L. E. O., & Lopez, L. F. (2021). Establishing the Characteristic Shear Strength of a Local Bamboo Species: Bambusa blumeana (Kawayan Tinik). DLSU Research Congress Proceedings. Retrieved from https://www.dlsu.edu.ph/wp-content/uploads/pdf/conferences/research-congress-proceedings/2021/SEE-15.pdf
Berkeley (2021). Bahay Kubo Reimagined: A Way of Future-Proofing a Disaster-Prone Country. Retrieved from http://www.berkeleyprize.org/endowment/the-reserve?id=3160
Cantiveros, R. (2020). An average of 20 typhoons a year visit the Philippines: Billions of pesos lost in properties, crops and lives. Filipino Journal. Retrieved from https://filipinojournal.com/an-average-of-20-typhoons-a-year-visit-the-philippines-billions-of-pesos-lost-in-properties-crops-and-lives/
Das, S., & Mukhopadhyay, P. (2018). Multi-hazard disaster resilient housing with bamboo-based systems. Procedia Engineering, 212, 937–945. https://doi.org/10.1016/j.proeng.2018.01.121
De Jong, R. (2010). Bahay Kubo. ThingsAsian. Retrieved from http://thingsasian.com/story/bahay-kubo#:~:text=Bahay%20Kubo%2C%20Philippines%2C%20Mindanao%20countryside%20Image%20%2CA%9202010,and%20Bahay%20is%20the%20Filipino%20word%20for%20house
Deiparine, C. (2020). Ulysses cost of damage now at P12.9 billion. The Philippine Star. Retrieved from https://www.philstar.com/headlines/2020/11/22/2058624/ulysses-cost-damage-now-p129-billion
English, E. (2009, November). Amphibious foundations and the buoyant foundation project: Innovative strategies for flood resilient housing. In the International Conference on Urban Flood Management sponsored by UNESCO-IHP and COST Action C (Vol. 22, pp. 25-27). Pilot Low Cost Housing Project. Retrieved from https://www.researchgate.net/publication/241179899_Amphibious_foundations_and_the_buoyant_foundation_project_Innovative_strategies_for_flood_resilient_housing
Hebel, D. E., Heisel, F., & Javadian, A. (2013). Engineering Bamboo: The new composite Reinforcement. ResearchGate. Retrieved from https://www.researchgate.net/publication/295908450_Engineering_Bamboo_The_new_composite_Reinforcement
Kakkad, M. D. (2011). Comparative Study of Bamboo (Ikra) Housing System with Modern Construction Practices. BVM Engineering College. Retrieved from https://www.bvmengineering.ac.in/misc/docs/published-papers/civilstruct/struct/101078.pdf
Kouhirostami, M., & Kibert, C. J. (2003). Advanced Modular Housing Design: High-Efficiency, Affordable, and Resilience Post-Disaster Housing. ResearchGate. Retrieved from https://www.researchgate.net/publication/345311274_Advanced_Modular_Housing_Design_High-Efficiency_Affordable_and_Resilience_Post-Disaster_Housing
Morella, C. (2018). Why super typhoon Yolanda was so deadly. ABS-CBN News. Retrieved from https://news.abs-cbn.com/news/11/05/18/why-super-typhoon-yolanda-was-so-deadly
Nepomuceno. (2020). Agri. infra damage due to ‘Ulysses’ reaches P16-B. Philippine News Agency. Retrieved from https://www.pna.gov.ph/articles/1123152
Salzer, C., Wallbaum, H., Alipon, M., & Lopez, L. (2018). Determining material suitability for low-rise housing in the Philippines: Physical and mechanical properties of the bamboo species *Bambusa blumeana*. BioResources, 13(2), 4236-4252.
Shih, R. R., & Ravina, D. (2020). Ocho Balay: Design of a permanent typhoon shelter for the rural areas in the Philippines. Journal of Asian Architecture and Building Engineering, 15(2), 221–228. https://doi.org/10.3130/jaabe.15.221
Takeuchi, C. P., Estrada, M., & Linero, D. L. (2015). The Elastic Modulus and Poisson’s Ratio of Laminated Bamboo *Guadua angustifolia*. Key Engineering Materials, 668, 126–133. https://doi.org/10.4028/www.scientific.net/kem.668.126
Eco-bricks with Animal Manures for Covered Walkways
Julius Lugo*, Sean Ayang-ang, Steve Sebastian, Stephanie Lourainne Alejo, Yanessa Quibol, Melby Uson, Ertie Abana
Civil Engineering Program, School of Engineering, Architecture, and Information Technology Education
University of Saint Louis, Tuguegarao City
Email: firstname.lastname@example.org
Abstract
This study aimed to create an eco-friendly brick using an environmentally friendly process to address transmission concerns. Animal manures, specifically horse manure, cow manure, and carabao manure, were sun-dried and pulverized for experimentation. Alluvial soil was partially replaced with animal manures at 10%, 20%, and 30% ratios, and the resulting bricks were tested for compressive strength and water absorption. The findings indicated that the addition of animal manure significantly improved water absorption. The combination of 10% carabao manure demonstrated the highest compressive strength at 0.38 MPa. Water absorption varied between 14% and 25% across different mixtures. Notably, the 10% cow manure mixture had the lowest water absorption capacity at 14.36%, while its compressive strength measured 0.35 MPa. The carabao manure mixture exhibited a water absorption capacity of 14.68% but had the highest compressive strength. Based on comprehensive analysis, the inclusion of a 10% carabao manure mixture yielded the most favorable results among all treatments.
Keywords: alluvial soil, bricks, horse manure, cow manure, carabao manure, compressive strength, water absorption
1. Introduction
Clay brick has been a widely utilized construction material for centuries. However, the depletion of suitable alluvial soil, commonly used for brick production due to its mineral-rich and moisture-retentive properties, is becoming a pressing issue (Wang, 2016). The brick industry, known for its significant consumption of raw materials and production of finished products, is a prime candidate for incorporating solid waste management practices (Andreola et al., 2005).
Researchers have explored various avenues in the development of eco-bricks to address the depletion of alluvial soil. One approach involves creating bricks from discarded plastic, effectively reducing waste and mitigating health risks associated with improper disposal. The enhanced binding capability of molten plastic has contributed to a sustainable solution for plastic waste management (Kagnole et al., 2019). Another study investigated the feasibility of using waste from paper mills, specifically lime mud waste, as a substitute for natural soil in brick production (Sarkar et al., 2017). Additionally, animal manures such as cow dung (Sruthy et al., 2017), horse manure (Sahu & Tiwari 2018), and carabao manure (Evasco, 2019) have been investigated as potential alternatives for eco-brick development. However, previous studies involved burning the manure, resulting in the release of harmful gases such as hydrogen sulfide, methane, ammonia, and carbon dioxide, posing risks to human health (Saxena et al., 2013).
To address these concerns, this study sought to determine if unburnt animal manure could meet brick production standards. While animal manures have been studied as partial replacements for brick materials, no previous study has explored their use without involving burning processes. The present study aimed to develop an eco-friendly brick using an environmentally friendly approach, considering the adverse impact of brick
production on the environment and the hazards posed to local communities by improper waste disposal. The animal manures (horse manure, cow manure, and carabao manure) were sun-dried and pulverized. Different proportions of animal manure were utilized to partially replace alluvial soil (10%, 20%, and 30%) in the production of eco-friendly bricks.
2. Objectives
This study sought to produce eco-bricks by incorporating animal manures, namely cow, horse, and carabao manures, as partial replacements for alluvial soil. The specific objectives of the study are:
1. To evaluate the compressive strength of the eco-bricks.
2. To measure the water absorption capacity of the eco-bricks.
3. Materials and methods
The collection of animal manure was geographically diverse. Figure 1 illustrates the horse manure collected in Tabuk, Figure 2 depicts the cow manure collected in Isabela, and Figure 3 showcases the carabao manure collected in Baggao. Before collection, the researchers communicated with the breeders and owners to explain the purpose of utilizing the animal manure as a partial replacement for traditional bricks. Subsequently, the manure was carefully dried and pulverized to facilitate its integration into the eco-brick manufacturing process.
**Figure 1** Horse Manure
**Figure 2** Cow Manure
**Figure 3** Carabao Manure
Given the Cagayan River's distinction as the longest and largest river in the Philippines, renowned for its abundant alluvial soil, the study collected alluvial soil from Tuguegarao City, Cagayan. This alluvial soil served as a primary component in the brick production process. The soil was extracted from the ground and distributed across the designated area. To ensure optimal quality, visible stones, and other impurities were meticulously removed, while soil lumps were physically broken down. Following the cleansing process, the alluvial soil was left exposed to the air for four weeks, allowing it to naturally soften through a weathering period.
The study utilized hand mixing as the method of choice to blend the different components. Alluvial soil was combined with varying proportions of cow manure, carabao manure, and horse manure. Table 1 provides an overview of the different mixture ratios employed in the study. Each treatment involved the production of three bricks to ensure accuracy and reliability in obtaining the average values for both compressive strength and water resistance.
| Treatment No. | Animal Manure | Percentage | Clay Soil Percentage |
|---------------|-----------------|------------|----------------------|
| 1 | None | 0% | 100% |
| 2 | | 10% | 90% |
| 3 | Horse Manure | 20% | 80% |
| 4 | | 30% | 70% |
| 5 | | 10% | 90% |
| 6 | Cow Manure | 20% | 80% |
| 7 | | 30% | 70% |
| 8 | | 10% | 90% |
| 9 | Carabao Manure | 20% | 80% |
| 10 | | 30% | 70% |
The prepared alluvial soil was skillfully shaped into bricks using wooden rectangular molds, as depicted in Figure 5. These molds were specifically designed to create bricks with a uniform thickness of 3.5 inches and a cross-sectional area of 70000 mm^2. The mixture of the soil and other components was carefully poured into the molds. To ensure a smooth and even top surface, a plastic scraper was employed to level the mixture. Once the bricks were properly set, the molds were gently removed, allowing the bricks to be transported for the drying process.
After the molding process, the bricks were carefully collected and set aside for drying to mitigate the risk of fractures. To facilitate proper drying, the bricks were stacked in a manner that allowed for sufficient air circulation between them. Over three days, the bricks underwent a sun-drying process in a shaded area.
Following the drying phase, the bricks underwent an additional step to enhance their strength and durability. They were subjected to a controlled heating process in an oven, which further solidified their structure, enabling them to withstand various weather conditions effectively. This additional treatment aimed to optimize the overall quality and performance of the bricks.
To assess the quality of the manure bricks, a water absorption test was conducted. Water absorption measures the amount of water absorbed by the bricks under specific conditions. For this test, the researchers carefully dried the brick specimens in a vented oven at temperatures ranging from 105°C to 115°C until a substantially constant mass was achieved. Once cooled to room temperature, the specimens were weighed (M1). It is important to note that excessively hot specimens should not be handled to ensure safety. Subsequently, the dried specimens were submerged in clean water at a temperature of 27±2°C for 24 hours. After removing the specimens from the water, any remaining water was gently wiped away using a wet towel, and the specimens were weighed again (M2) (The Constructor, 2010). The water absorption was then calculated using Formula (1), which determines the percentage of water absorbed by mass after the 24-hour immersion in cold water. The accepted water absorption capacity for clay bricks falls within the range of 12% to 20% (The Clay Brick Association of Southern Africa, 2022).
\[
W = \frac{M_2 - M_1}{M_1} \times 100
\]
Compressive strength tests are conducted on the bricks using compression testing equipment to assess their load-carrying capacity. Bricks are commonly employed in load-bearing masonry structures such as walls, columns, and footings, which primarily experience compressive loads. Therefore, understanding the compressive strength of bricks is crucial to determine their suitability for construction purposes. The procedure for the Compressive Strength Test on Bricks is as follows: The specimen is carefully positioned, and an axial load is applied at a constant rate of 14 N/mm² (140 kg/cm²) per minute until failure occurs. The highest load recorded at the point of failure is noted. The load at failure represents the maximum load at which the specimen no longer exhibits any further increase in the indicator reading on the testing equipment. After conducting the test, the compressive strength of the brick is calculated. The formula used is as follows: Maximum Load at Failure (N) divided by the Average Bed Face Area (mm²) equals the Brick Compressive Strength. The resulting value represents the average compressive strength of the bricks tested. The range selection for the test parameters, including maximum compressive strength, contact area, and maximum expected load, is determined accordingly (The Constructor, 2012).
4. Results and Discussion
The compressive strength analysis was performed on the eco-bricks shown in Figure 6. The results, presented in Table 2, indicate that the eco-bricks treated with 10% manure exhibit significantly higher compressive strength. However, except for the carabao manure mixture, the compressive strength of the eco-bricks decreases as the percentage of manure increases. Notably, the control treatment of bricks without any manure mixture still exhibits slightly higher compressive strength than the 10% carabao mixture. Nevertheless, the 10% carabao manure mixture stands out as the most favorable among all the manure combinations tested. This finding contradicts previous studies, where a 10% mixture of cow manure is identified as the most advantageous. It is worth mentioning that exceeding a 10% content of cow manure has a detrimental effect on the strength characteristics of the specimens (Magudeaswaran, 2018).
Table 2 Compressive strength results
| Manure | Sample Identification | Max load (KN) | MPa (N/mm²) |
|--------|-----------------------|--------------|-------------|
| Control| 100% clay | 26.66 | 0.39 |
| | | 26.02 | 0.38 |
| | 10% manure | 26.19 | 0.37 |
| | | 14.61 | 0.22 |
| Horse | 20% manure | 15.84 | 0.24 |
| | | 19.64 | 0.3 |
| | 30% manure | 11.64 | 0.17 |
| | | 10.40 | 0.15 |
| | 10% manure | 24.96 | 0.36 |
| | | 23.51 | 0.34 |
| Cow | 20% manure | 20.39 | 0.29 |
| | | 18.24 | 0.26 |
| | 30% manure | 22.81 | 0.35 |
| | | 12.69 | 0.19 |
| | 10% manure | 25.18 | 0.36 |
| | | 27.19 | 0.39 |
| Carabao| 20% manure | 23.72 | 0.36 |
| | | 22.46 | 0.33 |
| | 30% manure | 19.26 | 0.28 |
| | | 28.62 | 0.42 |
Water absorption is a crucial parameter for assessing the quality of bricks. Table 4 presents the water absorption values of bricks with varying percentages of animal manure. The findings reveal that as the percentage of animal manure increases, the water absorption of the bricks also increases. In a previous study, it was reported that the maximum water absorption reached 17% when using a mixture of 20% cow dung ash (Fernando et al., 2019). In comparison, our study demonstrates a higher maximum water absorption of 25.05% with a 30% cow manure mixture. The water absorption values obtained in this study range from 14% to 25%.
Notably, the bricks with a 10% cow manure mixture exhibit the lowest water absorption capacity of 14.36%. However, their compressive strength is 0.35 MPa. On the other hand, the carabao manure mixture exhibits a water absorption capacity of 14.68% but boasts the highest compressive strength. These findings indicate that the inclusion of animal manure has an impact on the water absorption characteristics of the bricks. The results demonstrate that the water absorption of the bricks falls within the acceptable range.
of 12% to 20% (The Clay Brick Association of Southern Africa, 2022). Therefore, these eco-friendly bricks are suitable for various applications, including gardens, paths, and patios (Quadra, 2020).
Table 3 Water absorption results
| Treatment No. | Ratio | Normal Weight (kg) | Wet Weight (kg) | Dry Weight (kg) | Moisture Content (%) | Water Absorption (%) |
|---------------|---------------------|--------------------|-----------------|-----------------|----------------------|----------------------|
| 1 | Control | 1.120 | 1.326 | 1.118 | 18.60% | 18.39% |
| 2 | 10% Horse Manure | 1.105 | 1.285 | 1.103 | 16.50% | 15.83% |
| 3 | 20% Horse Manure | 1.100 | 1.289 | 1.098 | 17.40% | 17.18% |
| 4 | 30% Horse Manure | 0.998 | 1.213 | 0.996 | 21.79% | 21.54% |
| 5 | 10% Cow Manure | 1.086 | 1.242 | 1.087 | 14.30% | 14.36% |
| 6 | 20% Cow Manure | 1.112 | 1.291 | 1.118 | 15.47% | 16.10% |
| 7 | 30% Cow Manure | 1.038 | 1.298 | 1.037 | 25.17% | 25.05% |
| 8 | 10% Carabao Manure | 1.090 | 1.250 | 1.094 | 14.26% | 14.68% |
| 9 | 20% Carabao Manure | 1.057 | 1.223 | 1.056 | 15.81% | 15.70% |
| 10 | 30% Carabao Manure | 1.022 | 1.199 | 1.021 | 17.43% | 17.32% |
5. Conclusion
Based on the three tests conducted with varying percentages of animal manure, it was determined that the combination of carabao manure with a 10% proportion exhibited the highest compressive strength among the three types of animal manure. Furthermore, its water absorption rate falls within the acceptable range of water absorption. On the other hand, the cow manure with a 10% combination displayed the lowest water absorption capacity. However, it still achieved a considerable compressive strength. Overall, the results suggest that adding a 10% carabao manure mixture yields the most favorable outcomes among the tested treatments.
The researchers recommend conducting additional tests, such as soundness tests, to assess the behavior of the bricks when subjected to sudden impacts, which is crucial for evaluating their quality. It is also advised to ensure uniform thickness of the eco-bricks during testing to obtain more accurate results. Based on the findings, the researchers propose the use of a 10% carabao manure mixture for high-strength external construction, internal wall barriers, and decorative applications. This approach can be implemented onsite, resulting in cost savings, the creation of semi-skilled jobs, and contributing to overall economic growth.
6. References
Andreola, N. M., Barbieri, L., Lancellotti, I., & Pozzi, P. (2005). Recycling industrial waste in brick manufacture. Part 1. Materiales De Construccion, 55, 5-16.
Evasco, S. M. M. (2019). Utilization of Carabao Manure and Polyethylene Waste as Brick. Ascendens Asia Journal of Multidisciplinary Research Abstracts, 3(2O).
Kognole, R., Shipkule, K., Patil, M., Patil, L., & Survase, U. (2019). Utilization of plastic waste for making plastic bricks. International Journal of Trend in Scientific Research and Development, 3, 878-880.
Fernando, P. R., Krishanth, S., Rathnayake, N. B., & Welarahne, S. A. (2019). Manufacturing, Physical and Chemical Characterization of Fire Clay Brick Value Added with Cow Dung Ash. American Journal of Materials Synthesis and Processing, 4(1), 32-36.
Magudeaswaran, P., & AS, H. (2018). Development of Eco Brick and Concrete with the partial replacement of cow dung. Development, 6(5).
Quadra, M. H. D. G. (2020, November 16). Pagudpud school construction uses plastic wastes converted into eco-bricks. Good News Pilipinas. https://www.goodnewspilipinas.com/pagudpud-school-construction-uses-plastic-
Sarkar, R., Kurar, R., Gupta, A. K., Mudgal, A., & Gupta, V. (2017). Use of paper mill waste for brick making. Cogent Engineering, 4(1), 1405768.
Sahu, R., & Tiwari, A. (2018). Implementation of Unprocessed Dried Horse Manure Ash in Sustainable Concrete. Indian Journal of Science and Technology, 11(19), 1-8.
Saxena, A., Agarwal, N., Tirth, V., & Lath, S. (2013). Impacts of biomass burning on living areas. TERI Information Digest on Energy and Environment, 12(1), 1-10.
Sruthy, B., Mathew, G. M., Krishnan, A. G., & Raj, S. G. (2017). An experimental investigation on strength of concrete made with Cow dung ash and glass fibre. International Journal of Engineering Research & Technology (IJERT), 6(03).
The Clay Brick Association of Southern Africa (2022). How much water can a clay brick safely absorb? | Clay Brick Association of South Africa. Www.claybrick.org. https://www.claybrick.org/how-much-water-can-clay-brick-safely-absorb#:~:text=The%20acceptable%20water%20absorption%20for
The Constructor (2010). Water Absorption Test on Bricks - Values and Procedures. The Constructor. https://theconstructor.org/practical-guide/water-absorption-test-on-bricks/2796/
The Constructor. (2012). Compressive Strength of Brick Masonry. The Constructor. https://theconstructor.org/practical-guide/compressive-
Wang, G. C. (2016). The utilization of slag in civil infrastructure construction. Woodhead Publishing.
Assessment of Coastal Erosion: A Basis for a Salvage Zone Map
Regine Oandasan*, Mark Wayne Alcantara, Jofrey Costales, Ertie Abana, Christine Joy Tan, May Valdez
Geodetic Engineering Program, School of Engineering, Architecture, and Information Technology Education,
University of Saint Louis, Tuguegarao City
Email : email@example.com
Abstract
Coastal erosion has become a significant global problem, and this study focuses on analyzing the shoreline rate of change in Centro East and Centro West, two barangays in Ballesteros. Using the Last High Tide (LHT) data from the Sea Level Affecting Marshes Method (SLAMM) and the Shoreline Change Special Area Management Plan (SAMP), we assessed the coastal retreat over 14 years (2007-2021) and predicted potential landward movement of the shoreline over the next 15 years (2021-2036). The findings highlight a worrisome average shoreline rate of change of 2.236 meters per year, indicating the rapid erosion of coastal areas. In the examined 14-year period, approximately 4.8 hectares of coastal land experienced retreat, underscoring the tangible impact of coastal erosion in the region. Looking ahead, without human intervention, projections suggest that an additional 5.1 hectares of coastal land will face retreat within the next 15 years. Considering the Philippines' susceptibility to natural disasters like typhoons, landslides, and the exacerbating effects of climate change, which contribute to coastal erosion, immediate actions are crucial. The government must prioritize proactive measures to mitigate this coastal problem and protect affected communities. Implementing strategies such as reforestation efforts to restore natural protective barriers and constructing resilient seawalls are vital steps toward combatting further degradation and potential hazards. By undertaking these adaptive measures, the government can enhance the resilience of coastal areas, safeguard the environment, and secure the livelihoods of coastal communities for future generations.
Keywords: coastal erosion, shoreline, salvage zone, coastal retreat, natural disasters
1. Introduction
Coastal erosion poses a significant threat to the coastal areas of the Philippines, which are not only rich in natural resources but also economically and socially important. As the country experiences constant development and rapid land conversion, the coastline, with its diverse characteristics and beauty, is constantly changing over time. Factors such as human activities and natural environmental changes contribute to the imbalance in coastal processes, leading to the destructive process of coastline retreat and beach erosion. This problem has been observed in various studies conducted in both local and international contexts (Rose et al., 2021; Makar, 2018; Vrinda & Mohammed-Aslam, 2021).
Despite the existence of regulations, such as the Salvage Zone defined by the Water Code of the Philippines, which prohibits residing or building structures within the designated zone, it has been discovered that some residents and businesses have encroached upon these critical coastal areas (Valencia, 2014). This not only violates the law but also exposes these individuals to significant risks posed by potential calamities. Moreover, improper septic vaults and waste disposal practices by residents within the salvage zone can also have detrimental effects on the environment.
In light of these problems, coastal studies have been conducted to assess the impact of climate change and identify adaptive responses to these threats. Evaluations have been
made regarding the possible consequences of accelerated sea-level rise, particularly in coastal barangays of Metro Manila, Bulacan, and Cavite, should a 1-meter sea-level rise occur (Jose & Cruz, 1999). Similar studies conducted in Rhode Island using the Sea Level Affecting Marshes Method (SLAMM) have examined the effects of coastal storms, sea-level rise, and coastal retreat, revealing increased erosion and shoreline changes due to rising sea levels (Olsen, McCann, & Fugate, 2014).
The municipality of Ballesteros, Cagayan, situated adjacent to the Babuyan Channel, is also facing the challenges of coastal erosion and recurring typhoons. Residents in the Poblacion area have witnessed alarming and drastic coastal erosion, with notable damage observed during typhoon Ulysses in 2020, including the washing away of the Ballesteros beach and the destruction of small hut houses. To address these concerns, this study aims to assess the physical changes of the coast and predict potential coastal damage in the Poblacion Area of Ballesteros, Cagayan. The Sea Level Affecting Marshes Method (SLAMM), Last High Tide Swash, and QGIS will be utilized to generate historical and prediction maps of the coastline, offering valuable insights into the extent and impact of coastal erosion in the area.
2. Objectives
This study aims to investigate the coastal erosion in the Poblacion area in Ballesteros, Cagayan through the use of GIS. Specifically, it aims to achieve the following objectives:
1. Determine the area of the coastal retreat for the past 14 years.
2. Identify the possible area of the coastal retreat for the next 15 years.
3. Delineate the salvage zone.
3. Materials and methods
Ballesteros, a coastal municipality situated adjacent to the Babuyan Channel, encompasses an approximate total area of 120 square kilometers and is composed of nineteen barangays. Among these coastal barangays, Centro East and Centro West stand out as the most populated. According to the 2020 census, Centro East has a population of 4,174, while Centro West is home to 2,046 residents. Figure 1 provides an overview of the study area's location within Ballesteros. To the north lies the Babuyan Channel, a significant fishing ground catering to the daily needs of many local fishermen. The neighboring barangays of Sta. Cruz, Mabuttal, and Cabuluan East are situated to the east, south, and west, respectively.
Satellite images play a crucial role as the primary framework for this study, providing valuable historical data. To acquire these essential images, the researchers reached out to various government agencies, including the Philippine Satellite Agency (PhilSA). Through collaboration with the PhilSA, the researchers were able to obtain satellite images depicting the Poblacion area for the years 2007 and 2021. Additionally, Elshayal Smart GIS software, in conjunction with Google Earth, was utilized to download georeferenced high-definition satellite images, further enhancing the study's data collection process.
\[
\Delta h_{\text{shoreline}} = \frac{\text{displacement}}{\text{years}}
\]
(1)
The researchers employed the Last High Tide Swash (LHTS) method, which utilizes the wet/dry land as baselines, to accurately measure displacements along assigned transects. These transects were specifically chosen in areas where notable changes were observed. By collecting data on these transects, the Shoreline Rate of Change (SRC) per year was calculated using the following formula (1). The computation took into account the 14 years from 2007 to 2021, with displacement measurements taken for each transect.
\[
\text{Shoreline Rate of Change} = \Delta h_{\text{shoreline}} * \text{years}
\]
(2)
The researchers utilized the Shoreline Rate of Change to estimate the predicted shoreline displacement on each transect after a 15-year period (2021 to 2036) using formula (2).
In accordance with Section 51 of the Water Code of the Philippines, the Salvage zone refers to the land measuring twenty (20) meters landward from the interior limit of the shoreline. This easement is applicable to all foreshore lands, including marshy lands or those covered with water that border shores or banks of navigable lakes or rivers. To identify residential houses within the salvage zone, the researchers delineated the area using satellite images from 2021 obtained from the Philippine Space Agency (PhilSA) and Google Earth.
The analysis of the study area's available images and the creation of maps were carried out using QGIS software. Transect lines were assigned to prominent eroded points to determine the shoreline rate of displacement per year. Furthermore, QGIS was instrumental in visualizing the projected coastal retreat of the shoreline. The Last High-Tide Swash (LHTS) served as the reference point for measuring shoreline changes throughout the study.
4. Results and Discussion
Figure 2 incorporates a satellite image from 2007, highlighting the shoreline’s initial position and its subsequent landward movement over the years. The shoreline is depicted by a yellow line, while the light blue line represents the updated shoreline as of 2021. The figure showcases diverse displacements observed at each transect line, reflecting the shoreline rate of change per year.
**Figure 2** Shoreline Retreat for the past 14 years
Table 1 presents the displacement distance and rate of change of the shoreline from 2007 to 2021. Figure 3 visually illustrates this data, highlighting that the largest displacement of 47.569 meters occurs at transect 9, while the smallest displacement of 18.564 meters is observed at transect 2. Notably, all displacements measured from the 2007 shoreline display negative values, indicating a landward movement of the shoreline until 2021, with an average displacement of 32.631 meters. The average rate of change is calculated to be 2.326 meters per year.
Coastal erosion is an inevitable process, particularly in areas lacking protective features like mangrove forests or sea walls. Storm surges, caused by the rise of water during storms, are one of the contributing factors to coastal erosion. These surges exceed the normal high tide and, when combined with sea level rise resulting from climate change, pose an increased threat to the lives of people residing in coastal areas. Sea level rise is a global issue, driven by the thermal expansion of seawater due to high sea surface temperatures, including those found in the Philippines.
According to a report by Villarin et al. (2016), sea level rise in the country surpasses the global average, ranging from 5.7 mm to 7.0 mm per year. In recent years, the study area of Poblacion in Ballesteros, Cagayan, has experienced coastal erosion. A study on remote sensing of the ocean and coastal environment has quantified the average annual shrinkage of the coastline in the absence of human intervention, which ranges from 0.5 meters to 2.0 meters (Climate Change Commission, 2018).
This study reveals an average displacement per year of 2.236 meters toward the residents, indicating the presence of human intervention in the study area. Residents are cutting down and removing the abundant male Pandan trees without undertaking any replanting efforts. This clearing of the coastal vegetation leaves the area vulnerable to further coastal erosion, as the soil becomes more susceptible due to the absence of tree cover.
The findings demonstrate that approximately 48,584 square meters, or roughly 5 hectares, of land resources have been lost in the barangays of Centro East and Centro West in Ballesteros. This significant loss emphasizes the need to inform the local government unit (LGU) of Ballesteros about the issue and prompt them to take appropriate actions to address coastal erosion in the area.
Figure 3 illustrates the projected shoreline retreat displacement over 15 years starting from 2021, based on the observed trend of the past 14 years. The 2021 shoreline is depicted by a light blue line, while the predicted shoreline is represented by a red line. The figure provides a visual representation of the potential landward movement of the shoreline. Additionally, Figure 4 highlights the specific transects, namely 9-12, where residential areas are significantly impacted by coastal erosion. These transects indicate the locations along the coastline where the erosion has particularly affected the residential communities. The figure serves to emphasize the vulnerability of these areas to coastal erosion and the urgent need for appropriate measures to mitigate the impacts on the affected residents.
Table 2 Projected Shoreline Displacement in 15 Years
| Transect Number | Shoreline rate of change (m/yr) | Shoreline displacement (m) |
|-----------------|---------------------------------|----------------------------|
| 1 | -1.614 | -24.195 |
| 2 | -1.326 | -19.890 |
| 3 | -2.30 | -35.445 |
| 4 | -2.850 | -42.795 |
| 5 | -2.280 | -34.260 |
| 6 | -1.943 | -29.145 |
| 7 | -2.120 | -31.755 |
| 8 | -1.530 | -22.980 |
| 9 | -3.400 | -50.970 |
| 10 | -3.030 | -45.465 |
| 11 | -3.030 | -45.435 |
| 12 | -3.360 | -50.400 |
| 13 | -1.450 | -21.780 |
| Average | -2.236 | -34.963 |
Table 2 provides the approximate distances of the shoreline from 2021 to 2036, highlighting the projected changes in the subject area. Figure 4 visually represents the projected shoreline retreat in the study area. Notably, transect 9 exhibited the greatest displacement, with a distance of 50.4 meters, while transect 2 had the least displacement, measuring 19.890 meters. The average change in the shoreline after 15 years was found to be approximately 34.963 meters.
The unpredictability of Sea Level Rise (SLR) poses significant challenges as it is a consequence of climate change. The current global SLR is estimated to range from 50 centimeters to 3 meters, making it crucial to address this issue effectively. Failure to do so will particularly impact coastal communities, which are the most vulnerable to the effects of SLR and frequent cyclones. The study highlights the increasing severity of flooding and predicts that informal settlers, especially those within the salvage zone of the Poblacion Area of Ballesteros, Cagayan, will face critical challenges by 2035.
Furthermore, the study revealed that without human intervention and with a sustained rate of change, an estimated area of fifty-one thousand five hundred seventy (51,570) square meters will be lost from the Poblacion Area. This finding emphasizes the urgent need for proactive measures and interventions to mitigate the adverse impacts of coastal erosion and SLR on the affected region.
Figure 4 provides a visual representation of the actual salvage zone in the Poblacion area. The study determined that the approximate area of the salvage zone is twenty-eight thousand seven hundred nine square meters (28,709), highlighting its boundaries. Notably, the figure reveals the presence of privately owned land parcels and residences within the designated salvage zone. This finding underscores the fact that residents of Ballesteros, Cagayan have already been affected by the adverse shoreline changes.
It is imperative to inform the local government unit (LGU) of Ballesteros about the situation, particularly the need to consider relocating or prioritizing the affected residents in the application for Alienable and Disposable areas of Ballesteros. While living and conducting businesses near the ocean may have its allure, it is crucial to respect and adhere to easement regulations. The Philippine Coastal Adaptation study emphasized the inherent dangers of residing in such areas due to the impact of climate change and the inevitable occurrence of catastrophic events (Ye, 2017). The presence of residential areas along the salvage zone of the study area confirms that as the shoreline moves inward, it encroaches upon the homes of the residents. This highlights the vulnerability of those living within and beyond the salvage zone, particularly in the face of uncontrollable natural disasters that pose a threat to their lives.
5. Conclusion
This study focused on the coastal projection of the Poblacion Area in Ballesteros and employed the SLAMM model to determine the current shoreline position and project future shoreline retreats. The findings revealed significant coastal erosion over the past 14 years, with a substantial landward movement of the shoreline. Settlements and privately-owned land within the salvage zone were identified as vulnerable to sea-level rise and other coastal hazards. The study highlighted the importance of implementing mitigation
measures such as reforestation, seawalls, and mangrove restoration to protect the area from further erosion and enhance coastal resilience.
In conclusion, coastal erosion in the Poblacion Area poses risks to the densely populated community, particularly fishermen residing in vulnerable sections. The study emphasized the need for awareness programs on reforestation and the construction of seawalls, along with the establishment of mangrove forests to mitigate ecological degradation and promote sustainable development. Future research should consider utilizing topographic maps, assessing the economic impact of coastal erosion, and exploring the effects of different mitigation strategies. These efforts are vital for effective coastal management and safeguarding the community's well-being in the face of ongoing climate change and coastal hazards.
6. References
Bayani, J. K. E., Dorado, M. A., & Dorado, R. A. (2009). Responding to Sea Level Rise-A Study of Options to Combat Coastal Erosion in The Philippines (No. pb2009082). Economy and Environment Program for Southeast Asia (EEPSEA).
Climate Change Commission (2018). Climate Change and the Philippines: Executive Brief. Executive Brief, (2018-01), 202018-01.
Jose, A. M., & Cruz, N. A. (1999). Climate change impacts and responses in the Philippines: water resources. Climate research, 12(2-3), 77-84.
Laurice Jamero, M., Onuki, M., Esteban, M., Billones-Sensano, X. K., Tan, N., Nellas, A., & Valenzuela, V. P. (2017). Small-island communities in the Philippines prefer local measures to relocation in response to sea-level rise. Nature Climate Change, 7(8), 581-586.
Makar, A. (2018). Determination of Inland Areas Coastlines. Proceedings of the 18th International Multidisciplinary Scientific GeoConference SGEM, 18, 701-708.
Olsen, S. B., McCann, J. H., & Fugate, G. (2014). The State of Rhode Island’s pioneering marine spatial plan. Marine Policy, 45, 26-38.
Rose, T., de Gelder, G., Fernández-Blanco, D., Nshokano Mweze, J. R., Sieber, M., & Singh, B. V. (2020). Proceedings of the 5th International Young Earth Scientists (YES) Congress “Rocking Earth’s Future”. GFZ German Research Centre for Geosciences.
Valencia, A. (2014). Panglao mayor signs salvage zone order | Philippines Today. Philippines Today. http://www.philippinestoday.net/archives/15906
Villarin, J. T., Algo, J. L., Cinco, T. A., Cruz, F. T., de Guzman, R. G., Narisma, G. T., ... & Tibig, L. V. (2016). 2016 Philippine Climate Change Assessment (PhilCCA): The Physical Science Basis.
Vrinda, M., & Mohammed-Aslam, M. A. (2021). Assessment of shoreline vulnerability in parts of the coastline of Kasaragod district, Kerala, India. In Remote Sensing of Ocean and Coastal Environments (pp. 359-374). Elsevier.
Ye, Y. C. (2017). Marine geo-hazards in China. Elsevier. Available: https://www.sciencedirect.com/topics/earth-and-planetary-sciences/coastal-erosion. [Accessed: 10-May-2022].
Caffeine removal from aqueous solution by amine-functionalized rice husk ash
Pattanan Chanhom\textsuperscript{1}, Narit Nitjapan\textsuperscript{2}, Nuntawat Ta-in\textsuperscript{2}, Sasiprapa Radchatawin\textsuperscript{3}, Sakdinun Nuntang\textsuperscript{3,4,*}
\textsuperscript{1}Chiang Mai University Demonstration School
\textsuperscript{2}Montfort College, Chiang Mai
\textsuperscript{3}Applied Chemistry Program, Faculty of Science, Maejo University
\textsuperscript{4}Industrial Chemistry Innovation Program, Faculty of Science, Maejo University
*Email: firstname.lastname@example.org
Abstract
This study's purpose is to evaluate the adsorption capacity of RHA–NH\textsubscript{2} as an adsorbent for removing the caffeine (CAF) from an aqueous solution. The RHA–NH\textsubscript{2} were synthesized successfully via post grafting method using (3-Aminopropyl)-triethoxysilane (APTES), [3-(2-Aminoethylamino) propyl]-trimethoxysilane (AEA) and 3-[2-(2-Amino ethylamino)ethylamino] propyl-trimethoxysilane (AEEA) as amine group precursors. Surface and structural characteristics of RHA–NH\textsubscript{2} were examined using X-ray diffraction, N\textsubscript{2} adsorption–desorption analysis and Fourier transform infrared spectroscopy. In addition, the effects of type of RHA–NH\textsubscript{2} adsorbents, adsorbent dose (M/V(g/L)), CAF concentration, adsorption time, and shaking speed on the CAF removal efficiency (%) of RHA–NH\textsubscript{2} were also analyzed. The RHA–NH\textsubscript{2} functionalized with AEEA exhibited an effective for CAF removal when compared with other adsorbents. Moreover, the maximum adsorption capacity of this RHA–NH\textsubscript{2} for CAF was 82.25 mg/g and it could be reused in the adsorption of CAF for at least 4 times.
Keywords: Rice husk ash, Amine, Functionalize, Caffeine, Adsorption
1. Introduction
Caffeine (CAF) is one of the most consumed psychotropic substances in the world and can be used as ingredient in a wide variety of foods, drinks and medicines [(Li et al., 2020, pp. 125343),(Bachmann et al., 2021, pp. 144229)]. It is a purine alkaloid. Due to its low metabolization rates allied with high consumption worldwide, CAF is frequently found in environmental matrices, making it an important anthropogenic pollutant. According to the Environmental Protection Agency (EPA), CAF has been considered a potential tracer for sanitary wastewater, serving as and indicator to evaluate the efficiency of treatment systems of sewages and waters [(Santos-Silva et al., 2018, pp. 237-242),(Ondarza et al., 2019, pp. 1029-1037)]. In front of the environmental and public health problems that CAF can cause, researchers are focusing the attention to the development of new strategies to remove these compound and other contaminants from environmental matrices. According to literature data, caffeine can be removed from aqueous with the use of advanced technologies such as ozonation [(Ternes et al., 2003, pp. 1976-1982)], advanced oxidation processes [(Afonso-Olivares et al., 2016, pp. 130-138)], membrane filtration [(Mahlangu et al., 2014, pp. 28-34)] and adsorption [(Ptaszkowska-Koniarz et al., 2018, pp. 13-21)].
The adsorption method is a potential application for the removal of CAF since it exhibits many advantages such as low initial cost, simple and flexible design, easy operation, the possibility of effluent reuse, and insensitivity to toxic pollutants. In addition, intermediate by-products are not generated during this process [(Li et al., 2020, pp. 125343)]. Over the past years, several adsorbents have been employed for antibiotics adsorption such as activated carbon, zeolite, metal-organic frameworks (MOFs), and
mesoporous silica [(Li et al., 2020, pp. 125343)-(Santos-Silva et al., 2018, pp. 237-242)]. However, those adsorbents are expensive, which resulted in high operating costs.
Recently, the low-cost adsorbent is interesting for use in the adsorption process and has a higher usage trend. Rice husk (RH) is an agricultural waste that produced about one-fifth of the annual rice production of the world, or around 550 million metric tons [(Imyim & Prapalimrungsi, 2010, pp. 775-781)]. It can be applied for several uses such as energy production and as an adsorbent. RH has the potential to be accounted as an adsorbent because its main components are carbon and silica. In addition, rice husk ash (RHA) produced by heating rice husk at 700 °C possesses a higher amount of silica content (~84.3%) and has been used as an adsorbent for the removal of pollutants in the wastewater such as heavy metals ions [(Feng et al., 2004, pp. 1-8)], and dye [(Chou et al., 2001, pp. 217-219)]. However, there has not been reported using rice husk applied as adsorbent to remove caffeine in aqueous.
To enhance the adsorption capacity and selectivity of silica adsorbents for particular substances, surface modification is useful by utilizing interactions between adsorbents and adsorbates. Therefore, the modified silica surface has been regarded as an effective adsorbent due to its high surface area which allows the binding of a large number of surface groups. The amine-functionalized silica (SiO$_2$-NH$_2$) has received substantial attention because the amine group has a positive impact on the performance of the adsorption systems of heavy metals, dyes, and other organic compounds [(Abu Rumman et al., 2021, pp. 100536)]. In addition there has been reported using carbon xerogels modified with amine groups applied as adsorbent to remove caffeine in aqueous [(Ptaszkowska-Koniarz et al., 2018, pp. 13-21)]. Therefore, the rice husk ash with high amount of silica content is interesting to modify its surface with amine groups to enhance its adsorption performance.
This work aimed to study the feasibility of using amine-functionalized rice husk ash (RHA-NH$_2$) as adsorbents for the removal of CAF from wastewater. The textural and structural properties of RHA-NH$_2$ with respect to adsorption were examined by advanced analyses. The adsorption performance of RHA–NH$_2$ for removal of CAF was evaluated by studying the effects of types of RHA-NH$_2$ adsorbents, pH, adsorbent dose (M/V(g/l)), CAF concentration, adsorption time, shaking speed, and reusability.
2. Materials and methods
2.1 Preparation of adsorbents
2.1.1 Rice husk ash (RHA)
The rice husk ash (RHA) is the byproduct of utilizing rice husk (RH) as fuel, and it can be prepared by the following methods. Initially, 40 g of rice husks were washed multiple times with de-ionized (DI) water and dried at 110 °C for 2 days. For the preparation of rice husk ash, the burned residue was crushed and calcined at 700 °C for 6 h in a muffle furnace (Carbolite ELF11).
2.1.2 Amine-functionalized rice husk ash (RHA-NH$_2$)
The preparation of amine-functionalized rice husk ash was applied synthesis method reported by Imyim et al. [(Imyim & Prapalimrungsi, 2010, pp. 775-781)]. First, 40 g of rice husk was submerged for 4 h in 1M HCl. The solid was rinsed multiple times with DI water and dried in a 110 °C oven for 2 days. The material was generated into rice husk
ash by heat-treating in a muffle furnace for 6 h at 700 °C using ceramic crucibles. The rice husk treated with acid was designated as A-RHA.
A-RHA is categorized into 3 types, each amounting to 5 g. They were refluxed in toluene (100 mL) at 70 °C for 2 h, and then slowly added amino silanes by a dropper into each portion such as 4 g of (3-Aminopropyl)-triethoxysilane (APTES), 4.03 g of [3-(2-Aminoethylamino)propyl]-trimethoxysilane (AEA) and 4.80 g of 3-[2-(2-Aminoethylamino)ethylamino]propyl-trimethoxysilane (AEEA). The mixture were continually refluxed for 24 hours. The solids were then filtered, washed three times with ethanol and dichloromethane, and left to dry at room temperature. The obtained samples were designed as RHA-NH$_2$-$n$N, where $n$ was 1, 2, and 3, respectively representing APTES, AEA, and AEEA. The synthetic route for the modification of RHA with amino silanes is shown in Fig 1.
**Fig. 1** Synthetic route for the modification of RHA with amino silanes.
### 2.2 Physical Measurements of adsorbents
The physical measurements of the synthesized adsorbents were analyzed using multiple techniques according to the report of Imyim et al. [(Imyim & Prapalimrungsi, 2010, pp. 775-781)] Standard procedures were used to characterize the prepared physical and chemical properties of the adsorbents. X-ray powder diffraction (XRD) patterns were obtained on a PAN analytical Empyrean III X-ray diffractometer employing CuK$\alpha$ radiation and an X-ray power of 40 kV and 40 mA. N$_2$ adsorption-desorption measurements were carried out at 196 °C using a BEL Japan BELSORP-mini II instrument to determine the material’s textural characteristics. All samples were pretreated at 150 °C for 2 h and then measured for exact weight prior to the adsorption. The presence of functional groups was determined using Fourier-transform infrared (FTIR) spectra (Perkin Elmer spectrum two: 900–4000 cm$^{-1}$ in transmittance mode by KBr pellet technique). The number of organic contents in the silica structure was evaluated using an Elementar Vario Micro Cube CHNS elemental analyzer.
### 2.3 Adsorption study
The adsorption experiments studied the parameters according to the report of Ptaszkowska-Koniarz et al. [Ptaszkowska-Koniarz et al., 2018, pp. 13-21]. In a batch system, the adsorption studies of CAF on RHA-NH$_2$ were performed using 50-mL Erlenmeyer flasks containing CAF solution and dried absorbents. The adsorption experiments were conducted by shaking the flasks in a shaker at desired conditions. Subsequently, the adsorption performance of RHA-NH$_2$ for CAF removal was examined under varying physicochemical conditions: time: 0 – 100 min; pH: 3–9; M/V: 1–10 g/L; initial CAF concentration ($C_0$ (mg/L)): 100–150 mg/L; shaking speed: 100–150 rpm.
The concentration of CAF solution after adsorption was measured using a UV–vis spectro photometer (Jasco V-730) at 273.5 nm. The collected samples were measured three times to further UV-vis analysis. The following formula (Eq. (1)) was used to calculate the adsorption capacity ($q_e$). Six experimental points were used to plot a calibration curve. The regression equations for CAF were $y = 0.1578x - 0.1745$ ($R^2 = 0.9987$), where $x$ is the concentration (mg/L), $y$ is the absorbance values.
\[
q_e = \frac{(C_0 - C_e)V_i}{W}
\]
(1)
where $q_e$ is adsorption capacity at adsorption equilibrium (mg/g, dried adsorbent); $C_0$ and $C_e$ are the initial and equilibrium concentrations of CAF in the solutions (mg/L), respectively; $V_i$ is the volume of initial solution (mL); $W$ is the weight of dried adsorbent (g).
3. Results and discussion
3.1 Characterization of RHA-NH$_2$ adsorbents
FTIR spectra of A-RHA and RHA-NH$_2$ adsorbents in the wavenumber range of 900–4000 cm$^{-1}$ are shown in Fig. 2. The FTIR spectrum of these materials exhibited a broad band between 2800 and 3700 cm$^{-1}$ which indicated the presence of both OH groups and the Si-OH group. In addition, the band at 1100 cm$^{-1}$ is attributed to the stretching of Si–O–Si. However, the small peaks of RHA-NH$_2$ materials found at 2940 and 2866 cm$^{-1}$ were assigned to the C–H stretching of methylene groups. In addition, the FTIR spectrum of RHA-NH$_2$ observed in the range of 1465–1642 cm$^{-1}$ is attributed to the bending vibration of the N–H group. The appearance of these bands confirmed the successful functionalization of amino silanes onto the RHA surface.
Fig. 2 FTIR spectra of A-RHA and RHA-NH$_2$ adsorbents.
The RHA consists mainly of silica (>90%) and some metallic impurities such as Fe$^{3+}$, Ca$^{2+}$, Na$^+$, K$^+$, and Mg$^{2+}$ which influence the purity and color of silica [(Xu et al., 2018, pp. 1697)]. The minor metallic impurities could be eliminated by H$_2$SO$_4$ acid leaching treatments before the combustion process and designated as A-RHA [(Rafiee et al., 2012, pp. 29)]. After that, the A-RHA was functionalized with various aminosilane to modify its surface, and designated as RHA-NH$_2$. The obtained materials were characterized by the XRD technique to investigate the structural properties shown in Fig. 3. XRD patterns of A-RHA and RHA-NH$_2$ materials were similar. The broad diffused peak between 15°–35° 2$\theta$ diffraction angle indicated that amorphous silica was formed. However, the heating A-RHA at 700 °C exhibited some structure change of amorphous silicon dioxide to a crystalline structure (observed at 2$\theta$ around 22° and 26°), such as quartz, cristobalite, or tridymite [(Imyim & Prapalimrungsi, 2010, pp. 775-781)].
Fig. 3 XRD patterns of A-RHA and RHA-NH$_2$ adsorbents.
Textural properties of synthesized materials were determined by N$_2$ adsorption–desorption analysis as shown in Table 1. Based on its textural properties, A-RHA is suitable for use as an adsorbent due to its high specific surface area, pore diameter, and pore volume. After the surface of A-RHA with various amino silanes was modified, the
surface area, pore diameter, and pore volume were reduced in comparison to pristine A-RHA. Additionally, the RHA-NH$_2$ materials exhibited an increase in CHN contents (Table 1). These results suggested that the aminosilanes had been incorporated into the pore structure of A-RHA.
**Table 1** Physicochemical properties of the adsorbents
| Sample$^a$ | $S_{BET}$$^b$ (m$^2$ g$^{-1}$) | $D_p$$^c$ (nm) | $Vt$$^d$ (cm$^3$ g$^{-1}$) | CHN contents$^e$ |
|------------|-------------------------------|----------------|-----------------|------------------|
| | | | | % C | % H | % N |
| A-RHA | 136 | 3.71 | 0.34 | 0.22 | 0.22 | 0.08 |
| RHA-NH$_2$-1N | 44 | 3.28 | 0.20 | 1.63 | 0.42 | 0.55 |
| RHA-NH$_2$-2N | 45 | 3.28 | 0.19 | 3.34 | 0.76 | 1.28 |
| RHA-NH$_2$-3N | 45 | 3.28 | 0.19 | 4.36 | 1.03 | 1.86 |
$^a$ Dried samples
$^b$ BET surface area
$^c$ Pore diameter calculated using BJH method
$^d$ Total pore volume
$^e$ Determined by CHNS analyzer
### 3.2 Adsorption study
All A-RHA and RHA-NH$_2$ materials obtained were tested as adsorbents of caffeine from water solutions. The adsorption capacity and removal efficiency (%) of CAF of these samples are presented in Fig. 4. The RHA-NH$_2$ adsorbents exhibited a greater adsorption capacity and removal efficiency (%) than pristine A-RHA, suggesting that CAF was strongly adsorbed onto the RHA-NH$_2$ surface, resulting in an increase in adsorption capacity. Moreover, RHA-NH$_2$-3N with a high amount of amine group exhibited the highest adsorption capacity of CAF at 42.38 mg/g. Since the amount of amine group could enhance the H-bond interaction between CAF and surface of adsorbent, resulted in an increasing of CAF removal. Therefore, RHA-NH$_2$-3N was a suitable adsorbent for use in further studies.
**Fig. 4** Effect of type of adsorbents on CAF removal
The adsorption performance of RHA-NH$_2$-3N for removal of CAF was evaluated by studying the effects of adsorption time, CAF concentration, adsorbent dose (M/V(g/L)) and shaking speed as shown in Fig. 5. The RHA-NH$_2$-3N was used to study contact time for CAF removal as shown in Fig. 5A. It was found that high amount of CAF was absorbed on the adsorbent in the first 60 minutes. After that, the contact time required for reaching adsorption equilibrium was around 80 min.
Effects of initial concentration on the CAF removal of RHA-NH$_2$-3N were studied (Fig. 5B). The adsorption capacities were reduced from 44.69 to 27.88 mg/g when $C_0$ was enhanced from 100 mg/L to 150 mg/L. Since M/V in the aqueous solution remained constant, these results implied that the active site ($-\text{NH}_2$ group) of this adsorbent had a limited quantity. Therefore, an increase in initial concentration resulted in the competition between CAF molecules to occupy the available active sites increased.
The effect of mass of adsorbent per volume of CAF solution (M/V) on the CAF adsorption capacity of RHA-NH$_2$-3N are shown in Fig. 5C. When M/V was increased from 1 g/L to 10 g/L, the adsorption capacity of CAF increased from 42.90 to 82.25 mg/g. This was because with an increase in M/V at a fixed CAF concentration according to the concentration of CAF in the aqueous solution, the number of active sites also increased. Based on these results, 10 g/L was considered the optimum M/V for the treatment of 1 L CAF solution with a CAF concentration of 100 mg/L.
Figure 5D shows the effect of an increase in shaking speed from 100 rpm to 150 rpm on the adsorption capacities of CAF of RHA-NH$_2$-3N. The increase in shaking speed improved the adsorption capacities of RHA-NH$_2$-3N along with an increase in the shaking speed and the mixing rate of adsorbent particles in the aqueous solution. Due to the increasing adsorption rate, this enhanced the collision and contact rate between CAF molecules and adsorbent particles.
**Fig. 5** Effect of (A) contact time, (B) initial concentration, (C) adsorbent dose and (D) shaking speed on CAF removal
3.3 Reusability
In the field of wastewater treatment using adsorption systems, one of the most important economic parameters is the reusability of the employed adsorbent. Therefore, in the present study, the recyclability of RHA-NH$_2$-3N was examined for five consecutive CAF adsorption–desorption cycles under the following optimal conditions: M/V = 10 g/L; CAF concentration = 100 mg/L; t = 80 min; shaking speed = 150 rpm; and room temperature. At the end of each CAF adsorption cycle, RHA-NH$_2$-3N was separated from the aqueous solution via vacuum filtration, then, rinsed with deionized water and ethanol to desorb the adsorbed CAF molecules, dried at 110 °C, and then reused in the next adsorption cycle. This adsorbent could be repeatedly used in the adsorption at least 4 times and then the adsorption capacity loss was found in the 5th repetition. It might be due to the strong adsorption of CAF on the RHA-NH$_2$ surface.
**Fig. 6** Reusability study of RHA-NH$_2$ adsorbent for the removal of CAF from aqueous solutions.
4. Conclusion
Rice husk ash was pre-treated by HCl and thermally treated at 700 °C and chemically modified its surface with 3 types of amino silanes. It was found to be a suitable adsorbent for adsorption of CAF from water compared to pristine rice husk ash. Characterization analysis revealed that RHA-NH$_2$ possessed an amorphous silica structure with an amine group incorporated into their surface. Moreover, they possessed a high surface area and pore volume, making them an efficient adsorbent. According to the adsorption results, the RHA–NH$_2$-3N functionalized with AEEA exhibited effectiveness for CAF removal. The maximum adsorption capacity of this RHA–NH$_2$ for CAF was 82.25 mg/g. Moreover, the optimum environmental conditions for achieving the maximum CAF removal were as follows: M/V = 10 g/L; CAF concentration = 100 mg/L; t = 80 min; and shaking speed = 150 rpm. In addition, RHA–NH$_2$-3N adsorbent could be reused 4 times.
Although literature does not provide many reports on caffeine adsorption on rice husk ash, the results we obtained seem satisfactory. However, this study was necessary to study additional factors such as the effect of pH, the effect of temperature and isotherm to obtain the optimum condition for removal CAF from wastewater.
5. Acknowledgements
The authors gratefully acknowledge all staff of Industrial Chemistry Innovation Program, Faculty of Science, Maejo University for supporting the facilities to this study.
6. References
Abu Rumman, G., Al-Musawi, T. J., Sillanpaa, M., & Balarak, D. (2021). Adsorption performance of an amine-functionalized MCM–41 mesoporous silica nanoparticle system for ciprofloxacin removal. *Environmental Nanotechnology, Monitoring & Management*, 16, 100536. https://doi.org/https://doi.org/10.1016/j.enmm.2021.100536
Afonso-Olivares, C., Fernández-Rodríguez, C., Ojeda-González, R. J., Sosa-Ferrera, Z., Santana-Rodríguez, J. J., & Rodríguez, J. M. D. (2016). Estimation of kinetic parameters and UV doses necessary to remove twenty-three pharmaceuticals from pre-treated urban wastewater by UV/H2O2. *Journal of Photochemistry and Photobiology A: Chemistry*, 329, 130-138. https://doi.org/https://doi.org/10.1016/j.jphotochem.2016.06.018
Bachmann, S. A. L., Calvete, T., & Féris, L. A. (2021). Caffeine removal from aqueous media by adsorption: An overview of adsorbents evolution and the kinetic, equilibrium and thermodynamic studies. *Science of the total environment*, 767, 144229. https://doi.org/https://doi.org/10.1016/j.scitotenv.2020.144229
Chou, K.-S., Tsai, J.-C., & Lo, C.-T. (2001). The adsorption of Congo red and vacuum pump oil by rice hull ash. *Bioresource Technology*, 78(2), 217-219. https://doi.org/https://doi.org/10.1016/S0960-8524(00)00116-4
Feng, Q., Lin, Q., Gong, F., Sugita, S., & Shoya, M. (2004). Adsorption of lead and mercury by rice husk ash. *Journal of Colloid and Interface Science*, 278(1), 1-8. https://doi.org/https://doi.org/10.1016/j.jcis.2004.05.030
Imyim, A., & Prapalimrungsi, E. (2010). Humic acids removal from water by aminopropyl functionalized rice husk ash. *Journal of Hazardous Materials*, 184(1), 775-781. https://doi.org/https://doi.org/10.1016/j.jhazmat.2010.08.108
Li, S., He, B., Wang, J., Liu, J., & Hu, X. (2020). Risks of caffeine residues in the environment: Necessity for a targeted ecopharmacovigilance program. *Chemosphere*, 243, 125343. https://doi.org/https://doi.org/10.1016/j.chemosphere.2019.125343
Mahlangu, T. O., Msagati, T. A., Hoek, E., Verliefde, A., & Mamba, B. (2014). Rejection of pharmaceuticals by nanofiltration (NF) membranes: effect of fouling on rejection behaviour. *Physics and Chemistry of the Earth, Parts A/B/C*, 76, 28-34.
Ondarza, P. M., Haddad, S. P., Avigliano, E., Miglioranza, K. S. B., & Brooks, B. W. (2019). Pharmaceuticals, illicit drugs and their metabolites in fish from Argentina: Implications for protected areas influenced by urbanization. *Science of the total environment*, 649, 1029-1037. https://doi.org/https://doi.org/10.1016/j.scitotenv.2018.08.383
Ptaszkowska-Koniarz, M., Goscianska, J., & Pietrzak, R. (2018). Synthesis of carbon xerogels modified with amine groups and copper for efficient adsorption of caffeine. *Chemical Engineering Journal*, 345, 13-21. https://doi.org/https://doi.org/10.1016/j.cej.2018.03.132
Rafiee, E., Shahebrahimi, S., Feyzi, M., & Shaterzadeh, M. (2012). Optimization of synthesis and characterization of nanosilica produced from rice husk (a common waste material). *International nano letters*, 2, 1-8.
Santos-Silva, T. G., Montagner, C. C., & Martinez, C. B. R. (2018). Evaluation of caffeine effects on biochemical and genotoxic biomarkers in the neotropical freshwater teleost *Prochilodus lineatus*. *Environmental Toxicology and Pharmacology*, 58, 237-242. https://doi.org/https://doi.org/10.1016/j.etap.2018.02.002
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Adsorption of ciprofloxacin from aqueous solution by biochar prepared from longan peel
Pimpawee Phaiboonsapsin\textsuperscript{1}, Taninchot Wiwatkamonchai\textsuperscript{1}, Nathakon Sugkachiradej\textsuperscript{1}, Sasiprapa Radchatawin\textsuperscript{2}, Sakdinun Nuntang\textsuperscript{2,3,*}
\textsuperscript{1}Montfort College, Chiang Mai
\textsuperscript{2}Applied Chemistry Program, Faculty of Science, Maejo University
\textsuperscript{3}Industrial Chemistry Innovation Program, Faculty of Science, Maejo University
*Email: email@example.com
Abstract
Due to ineffective pharmaceutical wastewater treatment, the aquatic environment is exposed to antibiotic contaminants released by the pharmaceutical industries. These substances are harmful to both humans and aquatic life. This study's purpose is to evaluate the adsorption capacity of biochar from longan peel prepared in different pyrolysis temperature (BCL) as an adsorbent for removing the antibiotic ciprofloxacin (CIP) from an aqueous solution. The BCL adsorbents were prepared with pyrolysis temperature at 300, 500 and 700 °C. Surface and structural characteristics of BCL adsorbents were examined using X-ray diffraction, N\textsubscript{2} adsorption–desorption analysis and Fourier transform infrared spectroscopy. In addition, the effects of type of BCL adsorbents, pH, adsorbent dose (M/V(g/L)), CIP concentration, adsorption time, and shaking speed on the CIP removal efficiency of them were also analyzed. The biochar from longan peel pyrolyzed at 700°C (BCL-700) exhibited an effective for CIP removal when compared with other adsorbents. Moreover, the maximum adsorption capacity of this BCL-700 for CIP was 120 mg/g and it could be reused in the adsorption of CIP for at least 3 times.
Keywords: Biochar, Longan peel, Pyrolysis, Ciprofloxacin, Adsorption.
1. Introduction
Antibiotic contaminated pollutants in pharmaceutical wastewater are one of the most harmful and widespread pollutants in the environment. Currently, the pharmaceutical industries have an increased antibiotic production of about 100 thousand tons/year [(Zhao et al., 2014, pp. 19-25), (Serwecińska, 2020, pp. 3313)]. Ciprofloxacin (CIP) is a fluoroquinolone antibiotic and its chemical structure is 1-cyclopropyl-6-fluoro-1,4-dihydro-4-oxo-7-(1-piperazinyl)-3-quinoline carboxylic acid as shown in Fig.1. It is used to treat different types of bacterial infections; for example, urinary tract, and gastrointestinal infections. Whereas, antibiotics and also their by-products cause pollution that is hazardous to human health. Hence, it is important to investigate methods to remove CIP from pharmaceutical wastewater for consumption afterward [(Abu Rumman et al., 2021, pp. 100536), (Peng et al., 2016, pp. 472-481)].
The adsorption method is a potential application for the removal of pharmaceuticals since it exhibits many advantages such as low initial cost, simple and flexible design, easy operation, the possibility of effluent reuse, and insensitivity to toxic pollutants. In addition, intermediate by-products are not generated during this process [(Zhao et al., 2014, pp. 19-25)]. Over the past years, several adsorbents have been employed for antibiotics adsorption such as activated carbon, zeolite, metal-organic frameworks (MOFs), and mesoporous silica [(Zhao et al., 2014)-(Abu Rumman et al., 2021, pp. 100536)]. However, those adsorbents are expensive, which resulted in high operating costs.
Biochar is a carbonaceous compound produced under oxygen deficient condition through the process of slow and fast pyrolysis. It is produced from various carbon-based biowastes such as woody biomass, crop residues, animal carcasses, and biosolids. Biochar approaches potentially an innovative technology for as removal from the water or aqueous solution having some unique properties like porosity, large surface area and negative surface charge that makes it an efficient
means for decontaminating water (organic and inorganic pollutants) [(Mukherjee et al., 2021, pp. 111814),(Verma & Singh, 2019, pp. 109235)]. However, most of the commercial biochar is usually expensive due to their high-cost sources, regeneration, and reactivation procedures, which restricts their extensive application. Longan is an important fruit of Thailand that is produced and exported in large numbers. The longan processing for export produces a large amount of residue from it, whereas longan peel is often discarded or burned as a waste material up to hundreds of tons per year because of the lack of a comprehensive utilization. Longan peel, a high content of C, O and H, is a good precursor to produce an effective biochar due to its abundance and availability [(Vu & Do, 2021, pp. 569-588)].
This work aimed to study the feasibility of using biochar from longan peel (BCL) as adsorbents for the removal of CIP from wastewater. The textural and structural properties of BCL with respect to adsorption were examined by advanced analyses. The adsorption performance of BCL for removal of CIP was evaluated by studying the effects of types of BCL adsorbents, pH, adsorbent dose (M/V(g/l)), CIP concentration, adsorption time, shaking speed, and reusability.
**2. Materials and methods**
**2.1 Preparation of biochar**
In this experiment, the raw materials used to produce biochar were longan residue from peel. Initially, the longan residue was washed multiple times with de-ionized (DI) water and dried at 110 °C for 2 days. The dried samples were ground and sieved to obtain the particle size less than 10 mm. After that, this material was subjected to pyrolysis in various temperature at 300, 500 and 700 °C for 4 h with a heating rate of 5°C/min, using tube furnace (Sante STG-100). The resulting biochar from longan residues were labeled BCL-300, BCL-500 and BCL-700, respectively. They were then dried in a hot air oven at 105°C for 24 h and kept in the desiccator.
**2.2 Biochar characterization**
Standard procedures were used to characterize the prepared physical and chemical properties of the adsorbents. X-ray powder diffraction (XRD) patterns were obtained on a PAN analytical Empyrean III X-ray diffractometer employing CuKα radiation and an X-ray power of 40 kV and 40 mA. N₂ adsorption-desorption measurements were carried out at 196 °C using a BEL Japan BELSORP-mini II instrument to determine the material’s textural characteristics. All samples were pre-treated at 150 °C for 2 h and then measured for exact weight prior to the adsorption. The presence of functional groups was determined using Fourier-transform infrared (FTIR) spectra (Perkin Elmer spectrum two: 900–4000 cm⁻¹ in transmittance mode by KBr pellet technique).
**2.3 Adsorption study**
In a batch system, the adsorption studies of CIP on BCL samples were performed using 50-mL Erlenmeyer flasks containing CIP solution and dried absorbents. The adsorption experiments were conducted by shaking the flasks in a shaker at desired conditions. Subsequently, the adsorption performance of BCL adsorbents for CIP removal was examined under varying physicochemical conditions: time: 0 – 100 min; pH: 3–9; M/V: 1–10 g/L; initial CIP concentration ($C_0$ (mg/L)): 80–120 mg/L; shaking speed: 100–150 rpm.
The concentration of CIP solution after adsorption was measured using a UV–vis spectro photometer (Jasco V-730) at 276.5 nm. The collected samples were measured three times to further UV-vis analysis. The following formula (Eq. (1)) was used to calculate the adsorption capacity ($q_e$). Six experimental points were used to plot a calibration curve. The regression equations for CIP were $y = 0.0078x + 0.0132$ ($R^2 = 0.9981$), where $x$ is the concentration (mg/L), $y$ is the absorbance values.
\[
q_e = \frac{(C_0 - C_e)V_i}{W}
\]
(1)
Where $q_e$ is adsorption capacity at adsorption equilibrium (mg/g, dried adsorbent); $C_0$ and $C_e$ are the initial and equilibrium concentrations of CIP in the solutions (mg/L), respectively; $V_i$ is the volume of initial solution (mL); $W$ is the weight of dried adsorbent (g).
3. Results and discussion
3.1 Characterization of biochar from longan peel
The FTIR spectrums of biochar from longan peel BCL-300, BCL-500 and BCL-700 are shown in Fig. 2. In general, the FTIR analysis shows that the functional groups of biochar samples decrease with increased pyrolysis temperature. This is due to the rapid removal of volatile compounds as a result of the accelerated and intensified degree of carbonization at higher pyrolysis temperatures [(Shaikh, 2018, pp. 545-553),(Zhao et al., 2018, pp. 977-987)]. The FTIR spectra of biochar samples exhibited a broad peak at 3394 cm$^{-1}$ which corresponds to the O–H bond stretching of the alcoholic and phenolic hydroxyl groups. The intensity of this peak was found to be very strong at lower pyrolysis temperature; however, it become disappear at higher temperature. The characteristic C–H stretching vibration of alkyl structure of aliphatic group can be seen at 2927 cm$^{-1}$. The peak at 1693 cm$^{-1}$ represents the stretching of carbonyl bonds (C=O) of the carboxylic groups or conjugated ketone. The stretching vibrations of the aliphatic –C=C– appears at 1597 cm$^{-1}$ [(Zhao et al., 2018, pp. 977-987),(Elnour et al., 2019, pp. 1149)]. It can be seen from Figure 2 that the intensity of all these peaks decreased with increasing pyrolysis temperature. At higher temperatures, i.e., more than 600 °C, almost no aliphatic functional groups would be present in the biochar. These aliphatic structures were known to reform into aromatic structures, resulting in the increased presence of phenolic and ether groups. Moreover, at high temperatures many C=C bond breakages take place due to availability of adequate energy. Therefore, at higher temperature, due to extensive carbonization, formation of graphite-like structures of the biochar occurred which shows less intense peaks [(Elnour et al., 2019, pp. 1149)].
XRD analysis was done for the determination of crystalline and amorphous structure of the prepared biochar materials. Although the major component of biochar is carbonaceous compound, various inorganic minerals can be found in their structure. From the XRD spectra of BCL materials (Fig. 3) showed an amorphous peak at $2\theta$ values of $\sim10-25^\circ$ but disappeared in BCL-700. In addition, the heating BCL at 500 and 700 °C exhibited some structure change of amorphous silicon dioxide to a crystalline structure (observed at $2\theta$ around $22^\circ$, $23^\circ$ and $27^\circ$), such as quartz, cristobalite, or tridymite [(Mukherjee et al., 2021, pp. 111814),(Verma & Singh, 2019, pp. 109235)]. This result was probably from Si content as a minor component of the initial longan peel. Moreover, the other inorganic minerals were found in these biochars. A peak at $2\theta \sim 29^\circ$ was identified as sylvite (KCl), which was much prominent in BCL-700 compared to BCL-300 [(Verma & Singh, 2019, pp. 109235)]. Calcite ($\text{CaCO}_3$) was also found at $2\theta = 32.2$ in BCL-300 and BCL-500, but disappeared in BCL-700. In addition, the diffraction peaks present at $38.9^\circ$, $39.45^\circ$, $42.96^\circ$ and $43.39^\circ$ corresponds to calcium silicate ($\text{Ca}_2\text{SiO}_4$).
Fig. 3 XRD analysis of biochar from longan peel BCL-300, BCL-500 and BCL-700
The surface area and pore volume of biochar were very important factors for adsorption to remove CIP from wastewater. The BET surface area and pore volume of biochar samples are showed in Table 1. It can be seen that both the BET surface areas and pore volumes of biochars were significantly increased with pyrolytic temperature. The surface area and pore volume of biochar produced at 700 °C was found to 20.58 m²/g and 0.0408 cm³/g, respectively. On the other hand, biochar made at 300 °C exhibited a surface area of 18.81 m²/g and pore volume of 0.0337 cm³/g. This increase of surface area is due to the removal of carbon mass as volatile matters from the biomass surface which creates pores in the resulting biochars structure.
Table 1 Physicochemical properties of the adsorbents
| Sampleᵃ | $S_{BET}ᵇ$ (m² g⁻¹) | $Vtᶜ$ (cm³ g⁻¹) |
|---------|---------------------|-----------------|
| BCL-300 | 18.81 | 0.0337 |
| BCL-500 | 19.01 | 0.0371 |
| BCL-700 | 20.58 | 0.0408 |
ᵃ Dried samples
ᵇ BET surface area
ᶜ Total pore volume
3.2 Adsorption study
In the present study, the effects of the physicochemical parameters on the CIP adsorption process were studied. The biochar from longan peel BCL-300, BCL-500 and BCL-700 were examined as adsorbents in the removal of CIP from an aqueous solution. The adsorption efficiencies by function of adsorbent type are shown in Fig. 4 (conditions: M/V = 10 g/L; CIP
concentration = 120 mg/L; t = 120 min; shaking speed = 120 rpm; and room temperature). It was found that the biochar prepared with increasing pyrolysis temperature exhibited an enhancement of adsorption capacity for CIP removal (BCL-300 < BCL-500 < BCL-700), corresponding to the BET surface area and pore volume as shown in Table 1. These results suggested that the highest adsorption capacity for CIP removal depended upon the textural properties of the adsorbent. Therefore, BCL-700 was a suitable adsorbent for use in further studies.
**Fig. 4** Effect of type of adsorbents on CIP removal
The BCL-700 adsorbent was used to study the contact time and initial concentration on CIP removal as illustrated in Fig. 5 (conditions: pH = 7; M/V = 1 g/L; CIP concentration = 80-120 mg/L; t = 120 min; shaking speed = 120 rpm; and room temperature). The results revealed that the contact time required for reaching adsorption equilibrium was around 60 min in each concentration. In addition, the adsorption capacities were increased from ~ 32 to 40 mg/g when $C_0$ was enhanced from 80 mg/L to 120 mg/L. These results suggested that the capacity limit of BCL-700 was not reached in this condition. Therefore, an increasing CIP concentration, the adsorption capacity was enhanced.
**Fig. 5** Effect of contact time and initial concentration on CIP removal
The effect of mass of adsorbent per volume of CIP solution (M/V) on the CIP adsorption capacity of BCL-700 are shown in Fig. 6 (conditions: M/V = 1–10 g/L; CIP concentration = 120 mg/L; t = 60 min; shaking speed = 120 rpm; and room temperature). When M/V was increased from 1 g/L to 10 g/L, the adsorption capacity of CIP increased from 41 to 120 mg/g. This was because with an increase in M/V resulted in the amount of pore volume and functional groups (-COOH, -OH and aliphatic –C=C-) of this material were also increased. Therefore, the physicochemical adsorption capacities of this adsorbent for removal CIP was better. Based on these results, 10 g/L was considered the optimum M/V for the treatment of 1 L CIP solution with a CIP concentration of 120 mg/L.
**Fig. 6** Effect of adsorbent dose on CIP removal
The effect of pH on the CIP adsorption capacity of BCL-700 are shown in Fig. 7 (conditions: pH = 3–9; M/V = 10 g/L; CIP concentration = 120 mg/L; t = 60 min; shaking speed = 120 rpm; and room temperature). The adsorption capacity was enhanced as the pH increased from 3 to 7, and the maximum adsorption capacity achieved herein was 102.5 mg/g. In addition, the adsorption capacity of BCL-700 reduced when pH was greater than 7. These results suggested that at a higher pH, the repulsive forces occurred between the BCL-700 surface and CIP molecule which is due to the same positive charges, resulting in hampered the adsorption of CIP molecules on BCL-700. This phenomenon was similar to the case of CIP adsorbed on amine-functionalized MCM-41 mesoporous silica reported by Rumman et al. [(Abu Rumman et al., 2021, pp. 100536)].
**Fig. 7** Effect of pH on CIP removal
Figure 8 shows the effect of an increase in shaking speed from 100 rpm to 150 rpm on the adsorption capacities of CIP of BCL-700 (conditions: pH = 7; M/V = 10 g/L; CIP
concentration = 120 mg/L; t = 60 min; shaking speed = 100–150 rpm; and room temperature). The increase in shaking speed improved the adsorption capacities of BCL-700 along with an increase in the shaking speed and the mixing rate of adsorbent particles in the aqueous solution. Due to the increasing adsorption rate, this enhanced the collision and contact rate between CIP molecules and adsorbent particles. Therefore, the diffusion of CIP to the porous of biochar was improved, resulting in more adsorption at its surface.
**Fig. 8** Effect of shaking speed on CIP removal
### 3.3 Reusability
The reusability of BCL-700 adsorbent was preliminarily evaluated under the same adsorption conditions, as shown in Fig. 9. The BCL-700 adsorbent was examined for five consecutive CIP adsorption–desorption cycles under the following optimal conditions: pH = 7; M/V = 10 g/L; CIP concentration = 120 mg/L; t = 60 min; shaking speed = 150 rpm; and room temperature. At the end of each CIP adsorption cycle, BCL-700 adsorbent was separated from the mixture via filtration, then, rinsed with deionized water and ethanol to desorb the adsorbed CIP molecules, dried in an oven at 110 °C for 2 h, and then reused in the next adsorption cycle. The amount of CIP adsorbed in the 2–3 cycle were slightly smaller. This adsorbent could be repeatedly used in the adsorption at least 3 times and then the adsorption capacity loss was found in the 4–5 repetition. It might be due to the strong adsorption of CIP on the BCL-700 surface. Moreover, the spent biochar could be carbonized for further application as an adsorbent or solid fuel.
**Fig. 9** Reusability study of BCL-700 adsorbent for the removal of CIP from aqueous solutions
4. Conclusion
In this study, biochar from longan peel were prepared in different pyrolysis temperature and used as the adsorbents to remove CIP from contaminated solutions. The pyrolysis conditions were found to have significant impact on biochar structure. The inorganic minerals were found in these biochars such as KCl, CaCO₃, and Ca₂SiO₄. An increasing pyrolysis temperature to produce biochar resulted in almost no aliphatic functional groups being present in the biochar, but enhanced the BET specific surface area and pore volume. According to the adsorption results, the biochar from longan peel pyrolyzed at 700°C (BCL-700) exhibited effectiveness for CIP removal. The maximum adsorption capacity of this adsorbent for CIP was 120 mg/g. Moreover, the optimum environmental conditions for achieving the maximum CIP removal were as follows: pH = 7; M/V = 10 g/L; CIP concentration = 120 mg/L; t = 60 min; and shaking speed = 150 rpm. In addition, BCL-700 adsorbent could be reused 3 times. However, this material could be further studied in a continuous fixed bed for application in the real wastewater to remove CIP.
5. Acknowledgements
The authors gratefully acknowledge all staff of Industrial Chemistry Innovation Program, Faculty of Science, Maejo University for supporting the facilities to this study.
6. References
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Effect of carboxyl methylcellulose, carrageenan, and locust bean gum on the properties of emulsion in meat analogue patties
Thongkorn Ploypetchara, Shanitha So-choo, Waraporn Sorndech, Siriporn Butseekhot, Sincee Siricoon, Chiramet Auranwiwat, Wiriyaporn Sumsakul
Researcher of Expert Center of Innovative Health Food, Thailand Institute of Scientific and Technological Research
Email: firstname.lastname@example.org
Abstract
The effect of carboxyl methylcellulose, carrageenan, and locust bean gum on the physicochemical properties and sensory evaluation of emulsion in meat analogue patties was investigated. The all of emulsion samples appeared in pink with a pigment of beetroot addition. The syneresis after the 5th of the freeze-thaw cycle was shown that the carrageenan mixed emulsion was the highest syneresis while the CMC mixed emulsion was the lowest syneresis. The mixing of CMC showed a high level of WHC in every sample of the CMC addition to emulsion while the addition of LBG led the emulsion to lower WHC than other hydrocolloids addition. The result of cooking yield showed as 80.69-84.90% but the results could not significant difference between hydrocolloids addition. The addition of carrageenan had the highest hardness, gumminess, and chewiness while the addition of CMC could increase adhesiveness and cohesiveness when mixed with LBG and carrageenan. The percent acceptability of CMC mixed emulsion in meat analogue patties had lower than in others treatments while the carrageenan mixed emulsion in meat analogue patties had the highest percent acceptability. Thus, the carrageenan mixed emulsion in meat analogue patties was suitable for this experiment.
Keywords: Hydrocolloids, Emulsion, Meat analogue
1. Introduction
Plant-based Food (especially, vegetable meat) was considered as an alternative protein food or future food due to healthy food trends and climate change (van Vliet et al., 2020). The growth of the plant-based meat market was expected to be $30 billion by 2026 according to their ecological and health benefits compared with real meat (van Vliet et al., 2020). Textured vegetable proteins (TVP) were transformed from a flour-type material mixed with other ingredients into a structure of meat-like texture by using the extrusion technique. Extrusion is normally used to produce TVP by a mixture of ingredients forced through an opening in a die and finally cut to a specific size or shape (MacDonald & Reitmeier, 2017).
A part of the meat analogue was emulsion, especially in patties preparation. The emulsion would act as linking the matrix component in patties. Thus, the stability of the emulsion was important for the application products. Hydrocolloid was a polysaccharide used in the food industry as a thickening agent, stabilizer, and emulsifier. Hydrocolloids might be acting as cross-linkers and binding protein filaments together which could improve the textural properties (Taghian Dinani et al., 2023). Carboxymethyl cellulose (CMC), cellulose derivatives, could be used in foods as fiber additives in various dairy products, ice cream, and also fat replacer in sausages and patties (Guedes-Oliveira et al., 2019; Schuh et al., 2013). Locust bean gum (LBG), a high molecular weight non-ionic galactomannan polysaccharide, was used as an additive (E410) as a thickening, stabilizing, and gelling agent, or emulsifier in the food and beverage industry (Petitjean & Isasi, 2022). LBG was studied as an additive to reduce the syneresis of starch gel during the freeze-thaw cycle (Xu et al., 2022). Carrageenan was a high molecular weight linear polysaccharide
that could increase yield and enhance product texture, and cohesiveness while decreasing drip loss of low-fat and low-salt sausages (Majzoobi et al., 2017). Moreover, carrageenan was studied to use in plant-based patty (Tunmarut et al., 2022). Moreover, the mixing of hydrocolloids was commonly combined to achieve increased viscosity or preferable properties of food gels which depended on the blending of different polysaccharides to an alternative way to develop a new texture. (Saha & Bhattacharya, 2010). For example, the mixing of carrageenan and LBG could be got an elastic cohesive gel texture like gelatin and could apply to use for cake glazing. (Saha & Bhattacharya, 2010). However, the concentration and mixing ratio of hydrocolloids in meat patties emulsion was still restricted.
2. Objectives
The objective of this research was to study the effect of carboxyl methylcellulose, carrageenan, and locust bean gum on the physicochemical properties and sensory evaluation of emulsion in meat analogue patties.
3. Materials and methods
3.1 Materials
Texture vegetable protein (TVP) was purchased (Khun yuy, Thailand). Maltodextrin, carboxy methyl cellulose (CMC), carrageenan, and locust bean gum (LBG) (Krugthepchemi Co., Ltd., Thailand) were used in this study.
3.2 Sample preparation
Emulsion preparation of the experimental was designed by using a Mixture design (Fig. 1 and Table 1). The hydrocolloids 4% (w/w) such as CMC, carrageenan, and LBG were mixed with other ingredients such as water, canola oil, coconut oil, beetroot powder, salt, SPI, maltodextrin, and yeast extract to form an emulsion. All of the ingredients were mixed by blender for 5 min until homogeneous. The emulsion samples were kept at 4°C for 24 h before measurement.
**Figure 1** The mixture design of CMC, carrageenan, and LBG
Table 1 The ratio of CMC, carrageenan, and LBG for emulsion preparation
| Treatment | Hydrocolloids |
|--------------------|---------------|
| | CMC | LBG | Carrageenan |
| Trt1(CMC) | 4.00| - | - |
| Trt2(LBG) | - | 4.00| - |
| Trt3(Carra) | - | - | 4.00 |
| Trt4(CMC+LBG) | 2.00| 2.00| - |
| Trt5(CMC+Carra) | 2.00| - | 2.00 |
| Trt6(LBG+Carra) | - | 2.00| 2.00 |
| Trt7(CMC+LBG+Carra)| 1.35| 1.35| 1.35 |
3.3 Color
The color of the emulsion sample was measured with a Minolta colorimeter (CR-400/CR-410, Japan). Color in terms of luminosity, light versus dark ($L^*$), red versus green ($a^*$), and yellow versus blue ($b^*$) were measured.
3.4 Syneresis after freeze-thaw cycles
The syneresis was measured with a modified from Serdaroğlu et al. (2016). The weight of 7 g emulsion samples in the plastic cup was determined and the tube was sealed again. The sample cup was stored in different temperatures cycle for 20 h at $-20^\circ$C and 4 h at $25^\circ$C, repeated in 5 cycles. Then all fluid was removed from the cup by decanting of fluid and dabbing the sample with a tissue. Afterward, the weight of the cup was determined again. Finally, the sample was removed from the tube, and the empty tube was weighed. Syneresis was calculated from the equations as follows:
$$\text{Syneresis} (\%) = \frac{\text{(sample weight} - \text{sample weight after removed fluid}) \times 100}{\text{sample weight}} \quad (1)$$
3.5. Water holding capacity
Water holding capacity (WHC) were measuring modified from Panyathitipong & Puechkamut (2010). The emulsion sample was weight into a 15 ml centrifuge tube for 10 g. Then, the samples were centrifuged at 5000 rpm using Hettich MIKRO 220R (Andreas Hettich GmbH & Co. KG, Germany) for 20 min at $25^\circ$C. After that, the samples were taken in water bath (Memmert GmbH + Co. KG, Germany) at $90^\circ$C for 15 min. The supernatant was poured out and weighted the sample again. WHC was calculated from the equations as follows:
$$\text{WHC} (\%) = (1 - \left( \frac{\text{sample weight} - \text{sample weight after centrifuge}}{\text{water in the sample}} \right)) \times 100 \quad (2)$$
3.6. Cooking loss
Cooking loss of meat analogue patties was investigated during meat analogue patties cooking. The meat analogue patties 10 g were placed in a circular mold of 36 mm height 7 mm. Then the samples were heated at 120°C for 3 min on each side until the center of the samples were 70 °C. After that, the samples were set at room temperature for 10 min until cooled down at room temperature. The samples were weight before cooking and after cooking (Serdaroğlu et al., 2016). The cooking yield of samples was calculated from the equations as follows:
\[
\text{cooking yield} (\%) = \frac{\text{sample weight after cooking}}{\text{sample weight before cooking}} \times 100
\]
3.7 Texture profile analysis of meat analogue patties
The soaking TVP 60 g was mixed with a blended emulsion of 40 g to forming mincemeat patties. The patties were kept at −20°C until cooked. The frozen patties were thawed at 4°C for 24 h and then were cooked to an internal temperature of 70°C. The patties were allowed to cool to room temperature, and a 13X25 mm core sample was taken from the center of each patty for textural analysis. Texture analysis of cooked TVP- minced meat. Texture profile analysis was performed using a LLOYD TA plus Material Tester (Lloyds, England). A 45 mm anvil was used to determine 70% compression at a rate of 1mm/s. Samples were evaluated for hardness, springiness, adhesiveness, cohesiveness, gumminess, and chewiness. Eight texture analyses were repeated on each sample (Crowe & Johnson, 2001).
3.8 Sensory evaluation
Meat analogue patties samples were cooked and served to thirty semi-trained member panelists aged between 23 – 55 years old for sensory evaluation in terms of appearance, glossy, taste, texture, and like using a 9-point hedonic scale, and percent of overall acceptability. The scores were assigned from liked extremely (9) to disliked extremely (1). The samples were served to the panelists after coding with three digits of randomly selected numbers.
3.9 Statistical analysis
All the samples were analyzed statistically using SPSS version 22. Different means were investigated by ANOVA and Duncan’s multiple range tests at a level of significance of 0.05.
4. Results
4.1. Color of emulsion
The color of emulsion samples was identified using CIE L*a*b* coordinates. The color parameters were defined in the terms of light versus dark (L*), red versus green (a*), and yellow versus blue (b*). The color of the emulsion sample was shown in Table 2. The emulsion samples appeared pink with a pigment of beetroot addition. The mixture of hydrocolloids showed different effects on color as the L* value of CMC mixed emulsion
was higher than that of other mixed emulsions while carrageenan mixed emulsion showed the highest of $a^*$.
**Table 2 Color of emulsion samples**
| Treatment | $L^*$ | $a^*$ | $b^*$ |
|--------------------|-----------|----------|---------|
| Trt1(CMC) | 69.30±0.33$^e$ | 22.38±0.41$^a$ | 9.44±0.48$^d$ |
| Trt2(LBG) | 53.91±3.26$^{ab}$ | 23.00±0.40$^b$ | 8.42±0.25$^b$ |
| Trt3(Carra) | 52.65±1.37$^a$ | 25.14±0.34$^d$ | 9.07±0.52$^{cd}$ |
| Trt4(CMC+LBG) | 62.06±0.80$^c$ | 23.59±0.25$^b$ | 7.93±0.26$^a$ |
| Trt5(CMC+Carra) | 64.31±0.35$^d$ | 24.43±0.35$^c$ | 8.73±0.36$^{bc}$ |
| Trt6(LBG+Carra) | 54.85±1.14$^b$ | 23.03±1.28$^b$ | 8.53±0.60$^b$ |
| Trt7(CMC+LBG+Carra)| 64.39±1.23$^d$ | 22.12±0.84$^a$ | 7.80±0.40$^a$ |
*Different letters significant difference at p.0.05 ≥
**4.2. Syneresis and water holding capacity (WHC) of emulsion**
Syneresis was an important parameter for emulsions and affected other characteristics of product such as stability and cooking yield (Serdaroğlu et al., 2017). Freeze–thaw stability was an important property to evaluate the ability of a product that resist unsatisfied physical changes occurring during freezing and thawing (Muadklay & Charoenrein, 2008). Thus, the syneresis during freezing and thawing was an interesting parameter that would affect frozen meat analogue patties. The emulsion after preparation was investigated syneresis after 5 cycles of the freeze-thaw cycle, the results were shown in Table 3. The carrageenan mixed emulsion was the highest syneresis while the CMC mixed emulsion was the lowest syneresis. The mixing of CMC showed high WHC in every sample of the CMC addition to emulsion while the addition of LBG led the emulsion to lower WHC than other hydrocolloids addition.
**Table 3 Syneresis and water holding capacity**
| Treatment | Syneresis (%) | WHC (%) |
|--------------------|---------------|---------|
| Trt1(CMC) | 3.36±0.38$^a$ | 98.98±0.61$^c$ |
| Trt2(LBG) | 19.55±0.81$^c$ | 74.85±2.07$^a$ |
| Trt3(Carra) | 27.23±1.47$^e$ | 84.96±2.87$^b$ |
| Trt4(CMC+LBG) | 3.99±0.28$^{ab}$ | 99.45±0.11$^c$ |
| Trt5(CMC+Carra) | 3.56±0.45$^a$ | 99.36±0.1$^c$ |
| Trt6(LBG+Carra) | 22.46±1.08$^d$ | 74.97±1.94$^a$ |
| Trt7(CMC+LBG+Carra)| 5.12±0.56$^b$ | 99.33±0.06$^c$ |
*Different letters significant difference at p.0.05 ≥
4.3. Cooking loss of meat analogue patties
The prepared emulsion was mixed with TVP to produce meat analogue patties. The meat analogue patties before and after cooking were shown in Fig.2. The meat analogue patties using CMC mixed emulsion tended to have higher cooking yield than those using LBG and carrageenan mixed emulsion. However, the result of cooking yield could not significantly differ between hydrocolloids addition (Table 4).
**Figure 2** The meat analogue patties before and after cooking
**Table 4** Cooking yield of meat analogue patties
| Treatment | Cooking Yield |
|----------------------------|---------------|
| Trt1(CMC) | 84.90±1.24<sup>a</sup> |
| Trt2(LBG) | 81.53±1.40<sup>a</sup> |
| Trt3(Carra) | 81.20±6.14<sup>a</sup> |
| Trt4(CMC+LBG) | 82.83±2.26<sup>a</sup> |
| Trt5(CMC+Carra) | 84.41±2.41<sup>a</sup> |
| Trt6(LBG+Carra) | 81.13±3.51<sup>a</sup> |
| Trt7(CMC+LBG+Carra) | 80.69±2.58<sup>a</sup> |
*Different letters significant difference at p.0.05 ≥
4.4. The texture analysis of meat analogue patties
The texture profile analysis (TPA) of meat analogue patties was shown in Table 6. The addition of carrageenan had the highest hardness at 76.46±8.76 N. The results were similar trends with a springiness that the carrageenan, and carrageenan and LBG addition had the highest springiness. However, the addition of CMC could increase adhesiveness and cohesiveness when mixed with LBG and carrageenan (CMC+LBG+Carra).
Table 5 Texture properties of meat analogue patties
| Treatment | Hardness (N) | Adhesiveness (Nmm) | Cohesiveness | Springiness (mm) | Gumminess (N) | Chewiness (N) |
|----------------------------|--------------|--------------------|--------------|------------------|---------------|---------------|
| Trt1(CMC) | 47.55±9.52<sup>ab</sup> | 4.80±0.54<sup>cd</sup> | 5.87±1.13<sup>bc</sup> | 0.46±0.04<sup>ab</sup> | 8.32±2.10<sup>ab</sup> | 3.81±1.06<sup>ab</sup> |
| Trt2(LBG) | 67.17±16.20<sup>c</sup> | 2.73±0.91<sup>abc</sup> | 6.22±0.78<sup>c</sup> | 0.46±0.05<sup>ab</sup> | 11.71±2.19<sup>d</sup> | 5.02±1.33<sup>bc</sup> |
| Trt3(Carra) | 76.46±8.76<sup>c</sup> | 2.57±0.54<sup>ab</sup> | 3.79±0.35<sup>a</sup> | 0.48±0.04<sup>b</sup> | 20.80±3.86<sup>c</sup> | 10.10±2.30<sup>d</sup> |
| Trt4(CMC+LBG) | 64.09±6.30<sup>c</sup> | 1.24±0.56<sup>a</sup> | 6.52±1.34<sup>c</sup> | 0.45±0.05<sup>ab</sup> | 10.14±1.76<sup>bcd</sup> | 4.60±1.24<sup>bc</sup> |
| Trt5(CMC+Carra) | 61.62±18.78<sup>bc</sup> | 5.41±1.83<sup>dc</sup> | 6.73±0.76<sup>c</sup> | 0.43±0.01<sup>ab</sup> | 9.05±2.10<sup>bc</sup> | 3.89±0.93<sup>ab</sup> |
| Trt6(LBG+Carra) | 64.00±18.52<sup>c</sup> | 3.51±1.03<sup>bcd</sup> | 4.98±0.63<sup>b</sup> | 0.48±0.07<sup>b</sup> | 12.96±3.70<sup>d</sup> | 6.25±182.<sup>c</sup> |
| Trt7(CMC+LBG+Carra) | 40.21±10.53<sup>a</sup> | 6.97±1.13<sup>c</sup> | 6.34±1.01<sup>c</sup> | 0.42±0.01<sup>a</sup> | 5.89±1.38<sup>a</sup> | 2.33±0.64<sup>a</sup> |
*Different letters significant difference at p.0.05 ≥
4.5. The sensory test of meat analogue patties
The sensory score of meat analogue patties was shown in Fig 3. The CMC mixed emulsion in meat analogue patties would be less sensory score than others treatments. The percent acceptability of CMC mixed emulsion in meat analogue patties also had lower than in others treatments while the carrageenan mixed emulsion in meat analogue patties had the highest percent acceptability (75%). However, only the carrageenan mixed emulsion, and LBC and carrageenan mixed emulsion had a percent acceptability of more than 70%.
Figure 3 The sensory test of meat analogue patties
The CMC addition to emulsion could show better properties in syneresis, WHC, and cooking loss while the sensory evaluation showed the lowest score, especially the liked glossy test. The good emulsion stability of CMC might retain oil in composition when cooking, and be affected as greasy after eating.
5. Discussions
The color of the emulsion samples appeared pink with a pigment of beetroot addition. The different color results might relate to particle size and distribution of the matrix due to refractive index, concentration, size, and chromophoric materials would appear the different lightness to each of the dressing emulsion samples (Quintana et al., 2022). However, Tunnarut et al. (2022) reported the color of cooked plant-based patties was not significantly different with the addition of different hydrocolloids (methylcellulose, carrageenan, and xanthan) and had no visual impact.
The lowest syneresis of CMC addition results might be due to the interaction between starch (modified starch in composition) and CMC would decrease starch-starch interaction, CMC acted as a water binder to retain water and contributed to low syneresis in the sample (Veronese et al., 2018). The trends of low syneresis in the sample would have high WHC, especially with CMC addition. CMC could be soluble in either cold or hot water according to concentration, and molecular weight to emerging the aqueous dispersion behavior (Saha & Bhattacharya, 2010).
Bakhsh et al. (2021) reported that increasing methylcellulose in meat analogues would decrease water release and cooking loss due to the binding moisture in product formulation and gel-forming upon heating. The higher cooking yield with CMC addition might be due to the higher WHC of emulsion. These results were similar to Basati & Hosseini (2018) that report the reduction in cooking loss might be attributed to the increase in water holding capacity. However, the result of cooking yield could not significant difference between hydrocolloids addition.
The texture properties might be the multi-molecule junction zones of κ-carrageenan that would be more rigid and less easily restructure even disturbed by shearing force (Saha & Bhattacharya, 2010). However, the addition of CMC could increase adhesiveness and cohesiveness when mixed with LBG and carrageenan (CMC+LBG+Carra). Moreover, the addition of carrageenan showed the highest gumminess and chewiness. The hydrocolloid addition affected meat analogue patties in different behavior due to the type of hydrocolloids and composition in the matrix. Tunnarut et al. (2022) reported that plant-based patties containing methylcellulose would have the highest hardness, springiness, cohesiveness, and chewiness followed by carrageenan and xanthan, respectively. During the gelation of hydrocolloids, junction zones formed a three-dimensional network by aggregation of inter-chain linkages, and the physical arrangement would be according to many factors such as temperature, presence of ions, and inherent structure of hydrocolloid to setting gel in a different way of mechanisms as ionotropic gelation, cold-set gelation, and heat-set gelation (Saha & Bhattacharya, 2010).
The taste was the main reason for consumers’ choice. The key drive for plant-based meat development as an alternative product would be produced to equal nutrition, taste, and texture, among them convenience products (Osen & Schweiggert-Weisz, 2016). The CMC addition might be good properties for syneresis, WHC, and cooking loss. However, the carrageenan addition was higher hardness, gumminess, and chewiness in the texture properties, and more acceptability from sensory results.
6. Conclusion
The physicochemical properties and sensory evaluation of emulsion in meat analogue patties were affected by hydrocolloids addition such as carboxyl methylcellulose, carrageenan, and locust bean gum. The syneresis after the 5th freeze-thaw cycle was
shown that the carrageenan mixed emulsion was the highest syneresis while the CMC mixed emulsion was the lowest syneresis. These results were related to the high WHC of the CMC mixed emulsion. The result of cooking yield could not significant difference between hydrocolloids addition. The textural properties of meat analogue patties would be different with using different hydrocolloids. The interaction of hydrocolloids would be involved many factors such as temperature, the presence of ions, the inherent structure of hydrocolloids, and composition in the matrix. The carrageenan mixed emulsion in meat analogue patties had the highest percent acceptability from sensory evaluation. Thus, the carrageenan mixed emulsion in meat analogue patties was suitable for this experiment.
7. Acknowledgement
The funding for this research was supported by Thailand Science Research and Innovation (TSRI) in the project “The innovation research of plant based protein in Thai biodiversity for health, commerce and food for future purposes (No. 180660)”.
8. References
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Matt Hill
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Matt,
You inquired as to whether you could have living quarters in a pole barn structure on your parcel at the corner of 5th and Poplar St. in Spiceland.
As we discussed yesterday the parcel is zoned Residential (R1) and the allowable primary use on the parcel is a single family dwelling.
Structures such as detached garages, pole barns or sheds are only allowable if they are accessory to the primary structure which is a single family dwelling unit.
The construction types for a single family dwelling are not spelled out beyond modular or conventional. There is nothing in the code that defines what a “conventional home” is and there is nothing in the code that forbids the use of a converted pole barn as a single family dwelling.
So to answer your question can living quarters be constructed in a portion of a pole barn, the answer is yes. As to the point of could a pole barn with living quarters be considered a single family conventional home and allowable under R1 zoning the answer would also be yes.
However those living quarters must meet all state building code which may include requirements on room sizes, ceiling heights, fire rated materials, insulation, and a certain number of ingress and egress points. In essences this would be the construction of a new home with a large attached garage. We would treat it like a new home construction.
If you wish to apply for a building permit to build a new home, you will submit your application into my office care of firstname.lastname@example.org
The setbacks for a new home in R1 are 40 feet from the center of the road on both 5th and polar St., 20 feet from the side property line on the west side of the parcel, and 30 feet from the rear property line on the south side of your parcel. With your application we would need a site plan showing the proposed location of the new home on the parcel and that it meets all setback requirements.
The site plan does not need to be professionally done and can be drawn over a google earth image or the image that can be found on the county Beacon website.
We will also need a floor plan drawn that shows the number and size of the rooms and indicates where windows will be located.
These will be reviewed by the Building Inspector to make sure they comply with state building code.
Building permits issued on the basis of plans and Applications approved by the Building Inspector authorize only the construction, alteration, repair or demolition set forth in such approved plans and Applications or amendments thereto, and no other construction, alteration, repair or demolition. Any construction, alteration, repair or demolition contrary to that authorized shall be deemed a violation of this Code and shall be punishable under the provisions of Section 14.10, Enforcement.
We will also need a letter from the Sewer District and water and electric utility stating that they can and will provide service to the new home. You will have to work with those entities to establish costs for connections. Approval will also need to be given in writing by either the Highway Superintendent or the Town Superintendent (depending on jurisdiction) for a new driveway.
Once the application is approved we will notify the County Assessor of the construction of a new home who will assess the parcel accordingly after construction is complete. A minimum of 5 inspections will need to be performed by the building inspector during construction and he will have to be satisfied that all building code has been followed before he will issue a certificate of occupancy. The new home cannot be occupied until the building inspector has issued a certificate of occupancy.
I have attached the building permit application once you are ready to submit contact Katie the Permit Clerk to get started. email@example.com
Building and Planning permit fees will be determined once an application has been reviewed and must be paid prior to the issuance of the permit.
Thank you
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
firstname.lastname@example.org
(765) 529-7408
A dwelling is a building or part of a building that is used primarily as a place of abode (living quarters). The minimum ground floor area requirements for a dwelling (living quarters) One-Family, One Story is 1,200 sq ft. If you are still considering a dwelling inside a pole barn, the following came from the Building Inspector.
The kitchen must be at least 150 sq ft.
The bathroom must be separate from the rest of the living quarters.
There must be at least one door that leads directly from the living quarters outside.
The windows must be at least 5.7 sq ft in size.
The wall separating the living quarters from the non-living quarters must have 5/8 drywall from floor to ceiling. Other building codes may apply.
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
email@example.com
(765) 529-7408
WARNING TICKET NO.2018-015
FOR VIOLATION OF THE HENRY COUNTY DEVELOPMENT CODE
Date issued and Observed: October 8, 2018
Warning issued to: Name: Matt & Lisa Hill
Address: PO Box 59 and 2510 Poplar St.
Spiceland, IN 47385
Section and Name of Code in Violation: Title 1, Section 14.6 D
Nature of Violation: Failure to obtain a Building Permit
Place of Violation: Poplar and North 5th St. Spiceland Parcel # 026-04504-00
Time allowed to bring the violation into compliance: Be advised that you are to cease construction immediately and that you have 14 days from the date of this Warning Ticket to correct the above violation by obtaining a Building Permit in order to come into compliance with the provisions of the Henry County Development Code or a Citation will be issued against you without further notice.
Warning ticket issued by: Signature: [Signature]
Typed Name: Darrin Jacobs
Title: Henry County Zoning Administrator
Address: 1201 Race Street, New Castle, IN 47362
Phone: (765) 529-7408
Please be further advised that you have the option to appear before the Henry County Board of Zoning Appeals to challenge this warning ticket or file a Land Use petition if you indicate your intent to do so in the space provided below and deliver it to the Henry County Zoning Administrator within 10 days of your receipt of this Warning Ticket.
NOTICE OF INTENT TO CHALLENGE WARNING TICKET OR FILE A LAND USE PETITION
The undersigned hereby gives notice of intent to challenge Warning Ticket or File a Land Use Petition within 14 days of the issuance of this Warning Ticket.
Dated this ______ day of ______, 2018
Signature: ___________________________
WARNING TICKET NO.2018-016
FOR VIOLATION OF THE HENRY COUNTY DEVELOPMENT CODE
Date issued and Observed: October 8, 2018
Warning issued to: Name: Matt & Lisa Hill
Address: PO Box 59 and 2510 Poplar St.
Spiceland, IN 47385
Section and Name of Code in Violation: Title 1, Section 14.6 A
Nature of Violation: Failure to obtain a Building Permit
Place of Violation: Poplar and North 5th St. Spiceland Parcel # 026-04504-00
Time allowed to bring the violation into compliance: Be advised that you are to cease construction immediately and that you have 14 days from the date of this Warning Ticket to correct the above violation by obtaining an Improvement Location Permit in order to come into compliance with the provisions of the Henry County Development Code or a Citation will be issued against you without further notice.
Warning ticket issued by: Signature: [Signature]
Typed Name: Darrin Jacobs
Title: Henry County Zoning Administrator
Address: 1201 Race Street, New Castle, IN 47362
Phone: (765) 529-7408
Please be further advised that you have the option to appear before the Henry County Board of Zoning Appeals to challenge this warning ticket or file a Land Use petition if you indicate your intent to do so in the space provided below and deliver it to the Henry County Zoning Administrator within 10 days of your receipt of this Warning Ticket.
NOTICE OF INTENT TO CHALLENGE WARNING TICKET OR FILE A LAND USE PETITION
The undersigned hereby gives notice of intent to challenge Warning Ticket or File a Land Use Petition within 14 days of the issuance of this Warning Ticket.
Dated this ______day of ________, 2018
Signature: ____________________________
PERMIT APPLICATION
Please Print
ALL applications are subject to a minimum 24 hour review.
OWNER: Matt Hill
PHONE: 765-524-0520
ADDRESS: 2510 Poplar St
EMAIL: firstname.lastname@example.org
CONTRACTOR: Jason Boyd / Matt Hill
PHONE: 765-524-3768
ADDRESS: New Lisbow
EMAIL:
SITE ADDRESS OF PROJECT: Corner of N 5th St & Poplar St, Spiceland, IN 47385
ESTIMATED COST OF CONSTRUCTION: $25,000
(includes cost of material and labor)
SIGNATURE OF APPLICANT: [Signature]
DATE: 10/9/2018
NOTE: Per State and County Code, this office has up to ten (10) days to issue a permit.
All building permits are non-refundable.
NOTICE OF ASSESSMENT REGISTRATION
INSTRUCTIONS: An owner of real property is required to file with the State Board of Tax Commissioners an assessment registration for each item subject to this notice. The assessment registration must be filed within 30 days after the date of this notice.
AMONG THE ITEMS SUBJECT TO THIS NOTICE ARE:
- Construction
- Demolition
- Structural Modification
- Improvement
BASIC INFORMATION
- Matthew Hill
- 765-524-0520
- 2510 Poplar St Spiceland IN 47385
- Matthew Hill
- 2510 Poplar St Spiceland, IN 47385
LOCATION OF REAL PROPERTY
DESCRIPTION OF DEMOLITION, STRUCTURAL MODIFICATION, OR IMPROVEMENT
- New Pole barn & Living Quarters
ESTIMATED COST INFORMATION IS CONFIDENTIAL PER IC 6-1-1-35(a)
ESTIMATE
- 25,000.-
- Matthew Hill
HENRY COUNTY
DEPARTMENT OF BUILDING
1201 Race Street, Suite 210
New Castle, IN 47362
765-529-7408
Fax 765-521-7072
email@example.com
NOTICE TO HOMEOWNER AND/OR BUILDER
Be advised that failure to have a “footer” and or “hole” inspected before pouring concrete will result in homeowner or builder tearing out the cement for inspection.
Date: 10/9/2018
Signature of Homeowner/Builder: [Signature]
N 5 1/2 S
Palm St
South line
West line
60'
30'
24'
24'
80'
40'
What do you think???
On Wed, Oct 10, 2018 at 10:00 AM Darrin Jacobs <firstname.lastname@example.org> wrote:
Received.
We will review it.
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
email@example.com
(765) 529-7408
From: Matt Hill [mailto:firstname.lastname@example.org]
Sent: Wednesday, October 10, 2018 9:59 AM
To: Darrin Jacobs <email@example.com>
Subject: Fwd: Scanned document from HP ePrint user
--------- Forwarded message --------
From: <firstname.lastname@example.org>
Date: Tue, Oct 9, 2018 at 8:46 PM
Subject: Scanned document from HP ePrint user
To: <email@example.com>
30'
5'
30'
Mr. Hill
Please find attached the letter denial for your application for planning and building permits.
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
firstname.lastname@example.org
(765) 529-7408
Mr. Hill
Please find attached the letter denial for your application for planning and building permits.
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
email@example.com
(765) 529-7408
The application you filed on October 9th 2018 for an Improvement Location and Building Permit has been denied for insufficient information and concerns about the intended use on a parcel zoned (R1) Single Family Residential.
The proposed construction site, parcel #026-04504-00, is zoned (R1) Single Family Residential. The primary use in this zoning district is the location and occupancy of single family dwellings. Through conversations and the limited information submitted with your application it is unclear that you intend to use this proposed building and parcel for single family dwelling. In particular you have expressed your intent to use this building as a commercial wood working shop. Commercial woodworking would not be an allowable use under the current zoning. Also in our experience, the estimated cost of construction of $25,000 you submitted on your application is inconsistent with cost of construction of a single family dwelling and creates doubt that this building will be finished to be used as a dwelling.
In addition to the concerns about the intended use, there is information that must be submitted with the application for it to be considered complete. The following items need to be submitted or addressed for review:
1. A letter from the Sewer District and water and electric utility stating that they can and will provide service to the new home.
2. A driveway permit from the Henry County Highway Department or relevant jurisdiction.
3. The drawings of the structure you submitted do not indicate what part of the structure will be dedicated to living space.
4. The drawings do not indicate the intended use and size of the rooms.
5. We will need a set of blue prints for the building inspector to review. The blue prints will need to be detailed enough to indicate where plumbing and electrical fixtures will be located. If the plans do not contain sufficient information the Building Inspector may reject them.
6. Due to the concerns about the estimated cost indicated on your application we will require a more detailed breakdown of the cost of material and labor, and reserve the right to ask that receipts be produced for inspection at any time during the construction process.
7. The minimum square footage for a dwelling (living quarters) One-Family, One Story is 1,200 sq ft., your application appears to be proposing only 900 sq ft.
8. We would also need a signed and notarized affidavit stating that the property and building are going to be used for a single residence and not for a commercial or business use.
9. Other additional data, information or documentation may be required for approval.
10. Any deviation from approved plans or falsified information on the application will result in enforcement action being taken including revoking of construction permits, occupancy permits, fines, and possible legal action.
The Building Inspector, Planning Commission Attorney and President, as well as the County Assessor will be given a copy of this letter of denial.
If you have any questions about this letter you may contact our office.
Respectfully,
Darrin Jacobs
Zoning Administrator
Henry County Planning Commission
(765) 529-7408
firstname.lastname@example.org
Matt,
Please find attached the letter to Darrin Jacobs at the Henry County Planning Commission per your request.
Sincerely,
Jerry Libby
District Superintendent
--
South Henry Regional Waste District
301 S Williams St
PO Box 147
Lewisville, IN 47352
Ph: 765-987-8432
Fax: 765-987-8352
This email and any files transmitted with it are confidential and intended solely for the use of the individual or entity to whom they are addressed. If you have received this email in error please notify the system manager. This message contains confidential information and is intended only for the individual named. If you are not the named addressee you should not disseminate, distribute or copy this e-mail. Please notify the sender immediately by e-mail if you have received this e-mail by mistake and delete this e-mail from your system. If you are not the intended recipient you are notified that disclosing, copying, distributing or taking any action in reliance on the contents of this information is strictly prohibited.
October 15, 2018
Darrin Jacobs, Zoning Administrator
Henry County Planning Commission
2101 Race Street, Ste 210
New Castle, Indiana 47362
Dear Mr. Jacobs,
The purpose of this letter is to inform you that there is a sanitary sewer line on the east side of parcel #026-04504-00 owned by Matt Hill. This line is on 5th Street in Spiceland. There can only be one connection made to the 6” lateral line that he previously installed.
If further clarification is needed or you have additional questions concerning this matter, please do not hesitate to contact me at this office or the telephone number above.
Sincerely,
Jerry Libby
District Superintendent
From what he just told me the 30x40 is the living space rest is barn
-----Original Message-----
From: Darrin Jacobs
Sent: Wednesday, October 17, 2018 7:50 AM
To: Larry Toy
Subject: RE:
He has not provided that information
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
email@example.com
(765) 529-7408
-----Original Message-----
From: Larry Toy
Sent: Wednesday, October 17, 2018 6:57 AM
To: Matt Hill <firstname.lastname@example.org>
Cc: Darrin Jacobs <email@example.com>
Subject: RE:
What is the total sq.ft. of the living quarters in the pole barn?
-----Original Message-----
From: Matt Hill [mailto:firstname.lastname@example.org]
Sent: Tuesday, October 16, 2018 10:44 AM
To: Larry Toy
Subject:
ROBBER ST
N
10'X 40'
30'
10' x 40'
30' x 10'
10' x 1
30' x 10'
80' x 10'
Drive
Just dropped off the application for the permit on the pole building in living quarters type together. I think I have all the information you requested the highway department permit is ready to be picked up, it has been OK.
There is a 30 x 40 living quarters which I will move into as of right now.
Thanks for all your help.
Matt
PERMIT APPLICATION
Please Print
ALL applications are subject to a minimum 24 hour review
OWNER: Matt Hill
PHONE#: 765-521-0520
ADDRESS: 2510 Poplar St Spiceland IN 47385
EMAIL: email@example.com
CONTRACTOR: Matt Hill / Jason Boyd
PHONE#: 765-521-3768
ADDRESS: New Lisbon Indiana
SITE ADDRESS OF PROJECT: CORNER OF N 5th ST & Poplar St Spiceland IN
ESTIMATED COST OF CONSTRUCTION: $60,000.00
(Includes cost of material and labor)
SIGNATURE OF APPLICANT:
DATE: 10/16/2018
NOTE: Per State and County Code, this office has up to ten (10) days to issue a permit.
All building permits are non-refundable.
INSTRUCTIONS: An owner of real property, or the owner's agent, is required to file this notice with the County Assessor before demolishing, structurally modifying, or improving the property, unless the demolition, structural modification, or improvement: (1) requires a permit from the state or a political subdivision, or (2) costs $500 or less for materials or labor, or both. Any owner who fails to file this notice when required is subject to a civil penalty of $100 (see IC 6-1.1-5-15).
AMONG THE ITEMS SUBJECT TO THIS NOTICE ARE:
- Construction or placement of building, swimming pool, or other yard structure.
- Horizontal or vertical extension of building, including extensions such as patios.
- Major remodeling, including finishing of attic or basement.
- Addition (not replacement) of fireplace, central air conditioning, central heating, commercial paving, bath tub, sink, toilet, water heater.
BASIC INFORMATION
Name of Registrant: Matt Hill
Address of Registrant (Street, city, state, ZIP code): 2510 Pohina St, South Bend, IN 47385
Telephone Number: 765-524-0520
Name of Landowner: Matt Hill
Address of Landowner (Street, city, state, ZIP code): Same
Telephone Number: Same
LOCATION OF REAL PROPERTY
Section | Township | Range | Lot | Block | Subdivision or Addition
County Road or Street | City | Parcel Number
DESCRIPTION OF DEMOLITION, STRUCTURAL MODIFICATION, OR IMPROVEMENT
30'x80'x10' pole barn with drive way
30'x40'x10' attached home
My plan is to work & run my custom wood shop at internet business
Will use FedEx for shipping no other traffic
ESTIMATED COST INFORMATION IS CONFIDENTIAL PER IC 6-1.1-35-9
ESTIMATE
Cost of Materials and Labor: $60,000.00
Commencement Date:
Completion Date:
Signature of Registrant: Matt Hill
Date Signed:
HENRY COUNTY
DEPARTMENT OF BUILDING
1201 Race Street, Suite 210
New Castle, IN 47362
765-529-7408
Fax 765-521-7072
firstname.lastname@example.org
NOTICE TO HOMEOWNER AND/OR BUILDER
Be advised that failure to have a “footer” and/or “hole” inspected before pouring concrete will result in homeowner or builder tearing out the cement for inspection.
Date: 10/16/2018
Signature of Homeowner/Builder: [Signature]
October 15, 2018
Darrin Jacobs, Zoning Administrator
Henry County Planning Commission
2101 Race Street, Ste 210
New Castle, Indiana 47362
Dear Mr. Jacobs,
The purpose of this letter is to inform you that there is a sanitary sewer line on the east side of parcel #026-04504-00 owned by Matt Hill. This line is on 5th Street in Spiceland. There can only be one connection made to the 6” lateral line that he previously installed.
If further clarification is needed or you have additional questions concerning this matter, please do not hesitate to contact me at this office or the telephone number above.
Sincerely,
Jerry Libby
District Superintendent
Planning Commission
Darrin Jacobs
October 15, 2018
The property at the corner of N. Fifth Street and Poplar Street, which is owned by Matt Hill, has access to electric and water from the Town of Spiceland. All expenses are incurred by the property owner as hookup fees.
If any further information is required please contact me at the above number.
Thank You,
Dawn Mogg
Utility Office Mgr.
Living quarters and pole barn
Concrete cost 9000
Framing lumber cost 9500
Roof and siding metal cost 7500
Labor for building 7500
Cost of shell building 33,500
Insulation cost for living area 1400
Insulation cost pole barn 3600
Drywall cost 1200
Electrical cost 1500
Door and window cost living area 600
Total of 8300
Combined total of 41,800
Allowing for heating and air-conditioning cost and miscellaneous cost this building should not exceed $60,000.00
N
POPLAR ST
Drive
30' x 10'
10' x 1
40'
10' x 1
30' x 10'
S
D=4
Electric
Sewer
Water
Door 3'0"
(2) Window 2'x3'
double hung
10' x 1' - 40'
1' x 10'
D=2
Permit Number ______________________
Henry County, Indiana
Highway Department
Phone (765) 529-4100
Type of Permit:
(check below)
☑ Private Driveway 1 year
Class __________
☐ Major Commercial Driveway 45 days
Class __________
☐ Minor Commercial Driveway 45 days
Class __________
☐ Utility 1 year
☐ Open cut within right-of-way 1 year
(Non-Utility)
☐ Borings or pushes under
County roads (Non-Utility)
☐ Overweight/Oversize/
House Moving
Name of Applicant: Matt Hill Phone Number 765-524-0520
Address: 2510 Pooler St
City: Spiceland State: IN ZIP: 47385
Contractor Matt Hill Phone Number __________
Project Location: (Describe location by Lot No. in subdivision or direction and distance from nearest intersection and side of road.)
From the corner of N. 5th St & Pooler St west on Pooler St
West 150' on South Side of Rd. 20' wide & 60' Deep (Stone)
Nature of work to be done in Right of way (Attach plans or drawings of work to be done)
Remove sod put in stone drive 20' x 40'
Bond Required:
☐ Yes, Penal Sum $ __________, Bond Number __________
☐ Waived, category for Bond waiver is __________
APPLICATION FEE: $ __________ Check or Bank Draft Payable to "Henry County Treasurer".
RECEIPT NUMBER __________
THE APPLICANT AGREES TO INDEMNIFY, DEFEND, EXCULPATE, AND HOLD HARMLESS HENRY COUNTY, INDIANA, ITS OFFICIALS AND EMPLOYEES FROM ANY LIABILITY DUE TO LOSS, DAMAGE, INJURIES, OR OTHER CASUALTIES OF WHATSOEVER KIND, OR BY WHOMSOEVER CAUSED, TO THE PERSON OR PROPERTY OF ANYONE ON OR OFF THE RIGHT-OF-WAY ARISING OUT OF, OR RESULTING FROM THE ISSUANCE OF THIS PERMIT OR THE WORK CONNECTED THEREWITH, OR FROM THE INSTALLATION, EXISTENCE, USE MAINTENANCE CONDITION, REPAIRS, ALTERATION, OR REMOVAL OF ANY EQUIPMENT OR MATERIAL, WHETHER DUE IN WHOLE OR IN PART TO THE NEGLIGENT ACTS OR OMISSIONS (1) OF THE COUNTY, ITS OFFICIALS, AGENTS, OR EMPLOYEES; OR (2) OF THE APPLICANT, HIS AGENTS OR EMPLOYEES, OR OTHER PERSONS ENGAGED IN THE PERFORMANCE OF THE WORK, OR (3) THE JOINT NEGLIGENCE OF ANY OF THEM; INCLUDING ANY CLAIMS ARISING OUT OF THE WORKMEN'S COMPENSATION ACT OR ANY LAW, ORDINANCE, ORDER, OR DECREE. THE APPLICANT FURTHER CERTIFIES THAT APPLICANT IS FAMILIAR WITH ANY AND ALL RULES, REGULATIONS, INSPECTIONS REQUIRED AND ORDINANCES THAT APPLY TO THE WORK BEING DONE WITH THIS PERMIT. THE APPLICANT FURTHER AGREES TO RENEW THIS PERMIT ON OR BEFORE THE EXPIRATION DATE WHEN NECESSARY TO CONTINUE WORKING IN RIGHT OF WAY. THE APPLICANT ALSO AGREES TO PAY ALL REASONABLE EXPENSES AND ATTORNEYS FEES INCURRED BY OR IMPOSED ON THE COUNTY IN CONNECTION HEREWITH IN THE EVENT THAT THE APPLICANT SHALL DEFAULT UNDER THE PROVISIONS OF THIS PARAGRAPH.
THE APPLICANT FURTHER AGREES TO ABIDE BY THE CONDITIONS ON PAGE TWO (2) OF THIS APPLICATION.
Signature of Applicant: Matthew Hill Date: 10/15/2018
Permit is not valid without proper signatures on page 2.
If this application to construct a driveway entrance and approach is granted, the applicant agrees to the following applicable provisions:
(1) All driveways and approaches shall be constructed so that they shall not interfere with the drainage of the road or highway.
(2) A culvert pipe shall be installed unless a waiver is issued in writing.
(3) No entrance or approach shall be located or constructed so as to interfere with or prevent the proper location of necessary highway signs.
(4) The Permittee shall assume responsibility for all maintenance of such approaches from the right of way line to the edge of the traveled roadway. The driveway surface, from the right-of-way line to the edge of the traveled way, shall be paved or compacted aggregate.
(5) No such entrance or approach shall be relocated or its dimensions altered without written permission of the County Highway Engineer.
(6) The Permittee shall remove or relocate any such entrance or approach when requested to do so by the Board of County Commissioners in the interest of safety to highway traffic.
(7) The Right-of-way area adjacent to or between the approaches shall be graded so as to remove storm water. Such areas shall be finished in a manner that will prevent vehicular encroachment if necessary.
(8) Drainage pipes shall be metal or concrete, unless a variance is granted in writing.
(9) An application under these regulations shall be made on this form and, if requested, drawings shall be submitted with and become a part of the permit agreement. When proposed driveway and approach are clearly defined by filling in dimensions on typical standard drawings, applicants may do so in lieu of submitted drawings.
(10) On Class II and Class IV driveways, the centerline grade of all driveway approaches shall slope downward from the edge of the road pavement to a point directly above the driveway culvert; or, in cases where no culvert is required, to a point in line with the center of the roadside ditch. The centerline grade of the driveway at this point shall not be less than four (4) inches below the centerline elevation of the County Road at the intersection of the centerlines of the County Road and the driveway approach. On Class I and Class III driveways, the driveway grade shall meet the gutter grade.
(11) The mailbox shall be in accordance with the Henry County Mailbox requirements.
(12) Items such as trees, rough rock cuts, boulders, headwalls, landscaping, foundations, “invisible” pet fencing, irrigation systems, fences, and any other items that could interfere with the safe operation and maintenance of the county highway shall not be permitted to remain in the county right-of-way. The county shall not be held responsible for damage to such items while performing routine maintenance and construction work within the right-of-way.
Copies to:
Henry County Highway Department
Applicant
Mr. Hill,
Section 14.5 of the Henry County Development Code titled *Applications and Hearings* gives the Zoning Administrator the ability to designate such other official or body where an application shall be filed.
Due to concerns about whether your application, including requested land use, meets the minimum requirements of the Henry County Code your application for an Improvement Location Permit will be reviewed by the full Planning Commission at their December 20th public meeting at 5PM.
This meeting will focus solely on your Improvement Location Permit application. Rezones, Variances, and Home Occupation Permits are separate matters.
You and your neighbors will receive notice of the public meeting at least 10 day prior to the meeting.
The Planning Commission may or may not take action at that time.
Please submit any further questions, information, or correspondence via email or first class mail:
Henry County Planning Commission
Henry County Office Building
1201 Race St., 212
New Castle, IN 47362
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
email@example.com
(765) 529-7408
From: Matt Hill [mailto:firstname.lastname@example.org]
Sent: Thursday, October 25, 2018 3:52 PM
To: Darrin Jacobs <email@example.com>
Subject:
Just dropped off the application for the permit on the pole building in living quarters type together I think I have all the information you requested the highway department permit is ready to be picked up it has been OK
There is a 30 x 40 living quarters which I will move into as of right now
Thanks for all your help
Matt
Mr. Hill,
As I stated in my October 26th email (attached)
Section 14.5 of the Henry County Development Code titled Applications and Hearings gives the Zoning Administrator the ability to designate such other official or body where an application shall be filed.
Due to concerns about whether your application, including requested land use, meets the minimum requirements of the Henry County Code your application for an Improvement Location Permit will be reviewed by the full Planning Commission at their December 20th public meeting at 5PM.
You and your neighbors will receive notice of the public meeting at least 10 day prior to the meeting.
The Planning Commission may or may not take action at that time.
I will ask again that you submit any further questions, information, or correspondence via email or first class mail:
Darrin Jacobs, CFM
Zoning Administrator
Henry County Planning Commission
firstname.lastname@example.org
(765) 529-7408
From: Matt Hill [mailto:email@example.com]
Sent: Tuesday, November 06, 2018 3:14 PM
To: Darrin Jacobs <firstname.lastname@example.org>
Subject:
I would like an explanation their reasoning why I cannot get a permit when I have met the stipulations you have given IV my house in building
TOWN OF SPICELAND
RESOLUTION 2018-
We the Town Council of the Town of Spiceland are opposed to parcel #026-04412-00 owned by Matt and Lisa Hill and located at the South West corner of N 5th Street and Poplar being used for business or commercial purposes. The property is currently zoned for single family residential use, as are the neighboring properties, and the use of the property should comply with the current zoning.
We also feel that the construction of a pole barn or “pole barn dwelling” on this parcel is not appropriate for the current zoning and would be detrimental to the neighboring properties.
We would strongly urge the Planning Commission to deny any applications that would lead to this property being used for a business or a home based business. We would also strongly urge the Planning Commission to deny any application that would allow for the construction of living quarters inside a pole barn.
Hello Katie
Forwarding you current permits.
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A Fault-Tolerant Reconfiguration Scheme In the Faulty Star Graph*
YUH-SHYAN CHEN AND JANG-PING SHEU*
Department of Computer Science and Information Engineering
Chung Hua University
Hsinchu, Taiwan 300, R.O.C.
E-mail: email@example.com
*Department of Computer Science and Information Engineering
National Central University
Chungli, Taiwan 320, R.O.C.
E-mail: firstname.lastname@example.org
In this paper, we propose a scheme to identify the maximal fault-free substar-ring. This is the first attempt to derive a reconfiguration scheme with high processor utilization in the faulty $n$-star graph. The maximal fault-free substar-ring is connected by a ring of fault-free virtual substars and the maximal length of the ring is $n(n - 1)(n - 2)$. Our proposed scheme can tolerate $n - 3$ faults such that the processor utilization is $\frac{n^2 - 2n + 3}{n}$. This is a near optimal result since the maximal fault-free substar-ring is constructed using all of the possible fault-free $(n - 2)$-substars. Moreover, our algorithm can still work when the number of faults exceeds $n - 3$. The simulation results also show that the processor utilization is more than 50% if the number of faults is less than $\frac{n^2 - n - 1}{2}$ in the $n$-star graph.
Keywords: fault tolerance, interconnection network, parallel processing, reconfiguration, star graph
1. INTRODUCTION
Recently, one new interconnection network that has attracted lots of attention is the star graph [5]. The star graph [5], being a member of the class of Cayley graphs, has been shown to possess appealing features, including low degree of the node, small diameter, partitionability, symmetry, and high degree of fault tolerance. Especially when the size of the star graph system increases, fault tolerance is an important issue for such a large system to continue operation after failure of one or more processors/links. In this paper, we study how algorithms that are originally designed for the fault-free star graph can be implemented on star graphs containing faults with high processor utilization. To measure the efficiency
Received October 23, 1997; revised March 27, 1998; accepted May 13, 1998.
Communicated by Shing-Tean Huang.
*A preliminary version of this paper appeared in the Proceedings of the IEEE Second International Conference on Algorithms & Architectures for Parallel Processing (ICA3PP '96).
*This research was supported in part by the National Science Council, R.O.C., under Grant number NSC86-2213-E-216-022.
of the fault-tolerant approach, we use \textit{processor utilization ratio} or PUR, which is the total number of fault-free processors used by our reconfiguration scheme divided by the total number of processors of an $n$-star graph.
Much research recently has been directed toward studying the aspects of fault-tolerant computing on the hypercube and star graph [9, 11, 12, 19, 22-25]. The hierarchy of both the hypercube and star graph allow assignment of their special subgraphs, subcubes and substrs, which have the same topological features as the original graph. Most of the fault-tolerant strategies address the issue of \textit{reconfiguration} once the faulty processors/links are identified. One effective approach used in the reconfiguration strategies in hypercubes is to identify the largest fault-free subcube and use the subcube to emulate the entire hypercube [11]. An $n$-star graph can be recursively decomposed into $n(n - 1)$-substars. The largest fault-free substar can be easily identified and used to emulate the entire star graph. It is unreasonable to use the largest fault-free substar approach as a reconfiguration scheme since its PUR becomes at most $1/n$ even when an $n$-star graph contains only one fault. A different but related research topic is how to allocate tasks in the complete star graph [15]. Note that this approach can better accommodate multiple jobs on substars of different sizes. Therefore, the purpose of this paper is to provide a novel fault-tolerant reconfiguration scheme in a $n$-star graph so that higher PUR and lower diameter can be obtained.
The major contribution of this paper is that we propose an efficient reconfiguration scheme, which can tolerate $f \leq n - 3$ faults in $n$-star graph, such that PUR is $\frac{n^2 - 2n + 3}{n^2 - n}$ and the diameter is $O(n^3)$. Furthermore, our scheme with reasonable PUR can still work when number of faults exceeds $n - 3$. Based on our simulation results, our algorithm keeps more than 50% PUR if the number of faults is less than $\frac{n^2 - n - 1}{n^2 - n}$ in an $n$-star graph. In addition, a novel communication pattern with constant time cost will be presented in this paper for the sake of easily performing algorithm on the maximal fault-free substar-ring. In this paper, we only consider node faults, and in an edge fault, it is assumed that one of the nodes incident upon it is faulty. We also assume that faulty nodes can neither perform calculations nor route data.
The rest of this paper is organized as follows. The primary properties of the maximal fault-free substar-ring are introduced in section 2. A systematic technique for identifying the maximal fault-free substar-ring is addressed in section 3. The performance of our approach is analyzed in section 4. Finally, conclusions are drawn in section 5.
\section{PRELIMINARIES}
An $n$-dimensional star graph, also referred to as $n$-star or $S_n$, is an undirected graph consisting of $n!$ nodes (or vertices) and $(n - 1)n!/2$ edges. Each node is uniquely assigned a label $x_1x_1...x_n$, which is the concatenation of a permutation of $n$ distinct symbols $\{x_1, x_2, ..., x_n\}$. Without loss of generality, let these $n$ symbols be $\{1, 2, ..., n\}$. Given any node label $x_1...x_i...x_i...x_n$, let the permutation function $g_i$, $2 \leq i \leq n$, be such that $g_i(x_1...x_i...x_i...x_n) = x_i...x_i...x_i$ (i.e., swap $x_i$ and $x_i$ and keep the rest of the symbols unchanged). In $S_n$, for any node $x$, there is an edge joining $x$ and node $g_i(x)$, and this edge is said the dimension $i$. Each node in
$S_n$ is connected to $n - 1$ adjacent nodes by $n - 1$ edges. Let $F$ denote a set of faulty nodes in a faulty $S_n$. An $S_n$ with set $F$ is denoted as $S_n^F$. For instance, a star graph $S_5$ with set $F = \{52341, 43152\}$, or $S_5^{[52341, 43152]}$, is shown in Fig. 1.
Each $S_n$ contains $n$ disjoint $S_{n-1}$’s. Let $\Gamma = \{1, 2, ..., n, *\}$, where * denotes a don’t care symbol. Every substar of $S_n$ can be uniquely labeled by a string of symbols in $\Gamma$ such that the only repeated symbol is *. Formally, a $k$-dimensional substar, $S_k$ or $k$-substar, is denoted as a string $G = x_1x_2...x_n$, and number of * symbols in string $G$ is $k$, where $x_i = *$ and $x_i \in \Gamma$,
$2 \leq i \leq n$. The substar represented by $G$ is a subgraph of $S_n$ containing all the vertices obtained from $G$ by replacing each * with the digits [1, 2, ..., n]. These vertices are connected by the original links in $S_n$. For instance, the **3*1 is a 3-dimensional substar and contains the set of nodes {54321, 45321, 52341, 25341, 42351, 24351}. Throughout this paper, a $k$-substar is said to be faulty if there exists at least one faulty node in the $k$-substar, where $1 \leq k \leq n$. Otherwise, the $k$-substar is said as fault-free. For example, in Fig. 1, the substars ***41 and ***52 are faulty substars.
**Definition 1: j-split and D-split**
Let $G = x_1x_2...x_j...x_n$ be a $k$-substar with $x_i = *$. The $j$-split on $G$, $1 \leq j \leq n$, partitions $G$ along the $j$-dimension into $k$ number of $(k - 1)$-substars, each obtained from $G$ by replacing $x_j$ with a legal non-* symbol. Let $D = \{d_1, d_2, ..., d_m, 1\}$, $m \leq k$, be a set of dimensions such that $x_{d_i} = *$, $i = 1...m$. Then, the $D$-split on $G$ is used to first apply a $d_1$-split on $G$, whose result is then applied to a $d_2$-split, whose result is then applied to a $d_3$-split, etc., until there is $k(k - 1)...(k - m + 1)$ number of $(k - m)$-substars. The final result of the $D$-split on $G$ is obtained by applying a 1-split on each of the $(k - m)$-substars. □
In the above definition, if $j = 1$, then the partitioning result does not remain substars, which is defined as a virtual substar in the following. An $S_i$ can be decomposed into $(n - 1)...(k + 1)$ copies of $k$-substar after applying $D^*$-split on $S_i$, where $D^* = \{d_1, d_2, ..., d_i, ..., d_{n-k}\}$, for all $d_i \neq 1$, $1 \leq i \leq n - k$, and $k \leq n$. Given a $k$-substar $S_i$, 1-split on $S_i$ is used to decompose $S_i$ into $k$ virtual substars represented as $X_i$, $1 \leq i \leq k$. The virtual substar $X_i = x_1x_2...x_k$, is a subgraph of $S_i$ containing all the vertices obtained from $S_i$, where $x_1$ is a non-* symbol and the number of * symbols of $X_i$ is $k - 1$. These vertices are connected as follows. Assume that $d'_1 < d'_2 < d'_3,..., < d'_{n-k} \in \{1, 2, ..., n\} - \{d_1, d_2, ..., d_{n-k}\}$, where $\lambda_{d'_j} = x_{d'_j}, ..., x_{d'_{n-k}} = *$. For any node $x$ in $X_i$, there is a virtual edge joining $x$ and $g_{d'_j}(g_{d'_j}(x))$, $2 \leq j \leq k - 1$, and this virtual edge is called the virtual dimension $j$. Each node in $X_i$ is connected to $k - 2$ virtual adjacent nodes by $k - 2$ virtual edges. For a fixed virtual dimension $j$, $1 \leq j \leq k$, each disjoint node of $X_i$ in parallel, performs the same permutation functions $g_{d'_j}, g_{d'_j}$, and $g_{d'_j}$ simultaneously. Under the assumption of the bidirectional link, all paths from nodes of $X_i$, $1 \leq i \leq k$, to one of its virtual adjacent nodes are edge-disjoint. Moreover, each node of $X_i$, $1 \leq i \leq k$, sending data to one of its virtual adjacent nodes needs 3 time steps.
Consider any pair of virtual substars $X_i$ and $X_j$ obtained from 1-split on $S_n$, where $i \neq j$. Each node $rx_1x_2...x_u$ of $X_i$ has a direct link to node $sy_1...y_u$ of $X_j$ along the dimension $u$ such that $x_v = s$ and $y_v = r$, where $r$ and $s$ are non-* symbols. That is, if we say the relation of the direct link is represented by line connecting virtual substar, then, each virtual substar $X_i$ of $S_i$ is fully connected with every other $X_j$ of $S_j$.
For instance, given an $S_n$, a 5-split on $G$ is done to partition $G$ into six 5-substars: ****1*, ****2*, ****3, ****4, ****5, and ****6*. Consider that substar ****56 is one of substars after applying $D^*$-split on $G$, where $D^* = \{5, 6\}$. The 1-split on ****56 is done to decompose ****56 into virtual substars, 1****56, 2****56, 3****56, and 4****56, as shown in Fig. 2. Therefore, $d'_1 = 2, d'_2 = 3$, and $d'_3 = 4$. Fig. 2 indicates that virtual edges joining $x$ and $g_5(g_5(g_5(x)))$ along virtual dimension 2, where $x$ in virtual substars, 1****56, 2****56, 3****56, and 4****56. After performing the permutation function, the number of nodes with different colors is always equal to 6, so all paths from $x$ to $g_5(g_5(g_5(x)))$ are edge-disjoint. Node 123456 of virtual substar 1****56 has direct links to 213456, 321456, and 423156 of virtual substars 2****56, 3****56, and 4****56, respectively. The other nodes of
1***56 also have links to nodes in 2***56, 3***56, and 4***56. Therefore, virtual substar 1***56 is fully connected to 2***56, 3***56, and 4***56. Similarly, virtual substars 2***56, 3***56, and 4***56 are fully connected to each other.
**Definition 2:** Adjacent substars
Given any two $k$-substars, $G = x_1x_2...x_i...x_n$ and $H = y_1y_2...y_i...y_n$ are said to be adjacent if and only if the labels of $G$ and $H$ differ in exactly one dimension, where $1 \leq i \leq n$.
For instance, the 3-substar $G = ***31$ is adjacent to $H = ***41$ but not adjacent to $H' = ***13$. In the following, we will describe the adjacent relation when the $j$-split operation is applied. For two given adjacent $k$-substars, $G = x_1x_2...x_i...x_n$ and $H = y_1y_2...y_i...y_n$, such that $x_i = y_i = *$. If we apply the $j$-split on $G$ and $H$, we will obtain $k$ substars (dimension $k - 1$) from each of $G$ and $H$. One can easily see that all the $k$ substars in $G$ are adjacent to each other, and so are those in $H$. If the adjacent relations are represented by of the lines connecting substars, each $(k - 1)$-substars of $G$ (or in $H$) are fully connected to each of the other substars of $G$ (or in $H$). Furthermore, among these substars, $k - 1$ substars in $G$ are adjacent to $k - 1$ substars in $H$ in a one-to-one manner. For example, if we apply 5-split on $G = 3$, as shown in Fig. 1, ****1 is fully connected to ****2, ****3, ****4, and ****5. If $G = ****13$, ****23, ****43, and ****53 is fully connected to the others. Similarly, substars ****14, ****24, ****34, and ****54 are also fully connected. Moreover, 3 pairs of substars (**1*13, ****14), (**2*23, ****24), and (**5*53, ****54) are adjacent. Given a sequence of $k$-substars $\{G_0, G_1, ..., G_{i-1}\}$, a $(k, i)$-ring will be defined below before we construct our reconfiguration scheme.
**Definition 3:** \((k, t)\)-ring
A sequence of \(k\)-substars \([G_0, G_1, ..., G_{t-1}]\) is denoted as an \((k, t)\)-ring if substars \(G_i\) is adjacent to its neighboring \(G_{(i+1) \mod t}\) and \(G_{(i+1) \mod t}\), for any \(i = 0..t - 1\). \(\square\)
Before defining our final reconfiguration, we give the following lemma.
**Lemma 1:** Given a \((k, t)\)-ring \([G_0, G_1, ..., G_{t-1}]\), a feasible \((k - 1, kt)\)-ring can be constructed from the \((k, t)\)-ring.
**Proof:** Let \(j\) be an integer such that the \(j\)-th symbol of all \(G_i, 0 \leq i \leq t - 1\), in the \((k, t)\)-ring is *, each \(G_i\) is applied the \(j\)-split to obtain \(k(k - 1)\)-substars. All the \((k - 1)\)-substars are fully connected by the adjacent relation, and there are \(k - 1\) connections between \(G_i\) and \(G_{i+1}\) (and \(G_{i-1}\)). We can easily derive a feasible \((k - 1, kt)\)-ring by visiting all \((k - 1)\)-substars of \(G_i\) and one of the \(k - 1\) connections between \(G_i\) and \(G_{i+1}\) (and \(G_{i-1}\)). \(\square\)
The 1-split operation is performed on each \(G_i\) of a \((k, t)\)-ring \([G_0, G_1, ..., G_t, ..., G_{t-1}]\) to obtain a sequence of virtual substars \([X_0, X_1, ..., X_n, ..., X_{n-1}]\). As mentioned earlier, each \(X_i\) is a virtual substar. Based on Lemma 1, our final reconfiguration scheme, namely the fault-free substar-ring \(R_f(k - 1, h)\), is defined as follows.
**Definition 4:** Fault-free substar-ring \(R_f(k - 1, h)\)
Let \(R_f(k - 1, h) = [X_0, X_1, ..., X_n, ..., X_{h-1}]\) denote a feasible fault-free substar-ring, where \([X_0, X_1, ..., X_n, ..., X_{h-1}]\) is a sequence of disjoint fault-free virtual substars of dimension \(k - 1\). \(R_f(k - 1, h)\) is constructed by each node in \(X_i\) connected to a node in \(X_{(i-1) \mod h}\) and \(X_{(i+1) \mod h}\) with at most dilation 3, for all \(0 \leq i \leq h - 1\). Therefore, \(R_f(k - 1, h)\) is
\[X_0 \leftrightarrow X_1 \leftrightarrow X_2 \leftrightarrow ... \ X_{n-2} \leftrightarrow X_{n-1} \leftrightarrow X_0.\] \(\square\)
If the connection \(X_{n-1} \leftrightarrow X_0\) does not exist, then a fault-free substar-chain, denoted by \(C_f(k - 1, h)\), is constructed. Obviously, a fault-free substar-ring \(R_f(k - 1, h)\) can be treated as a fault-free substar-chain \(C_f(k - 1, h)\) with the same size of virtual substars. The processor utilization of \(R_f(k - 1, h)\) and \(C_f(k - 1, h)\) is \((k - 1)! \times h\). We can describe the diameter of \(R_f(k - 1, h)\) and \(C_f(k - 1, h)\) as follows. First, if each virtual substar is seen as a unit, then there are \(h\) virtual substars \(X\) which form a ring, so \(\left\lfloor \frac{h}{2} \right\rfloor\) is the diameter of the ring of virtual substars. In each \(X_{k+1}\) of \(R_f(k - 1, h)\), we can only use 3 steps to jump to the next virtual substar since all of the edges of \(G_i\) are nonfaulty if \(X_{k+1}\) is obtained by 1-split on \(G_i\), so \(\left\lfloor \frac{3h}{2} \right\rfloor\) is needed. When we arrive at the final virtual substar \(X_{h-1}\), we still need at most \(3 \times \left\lfloor \frac{3}{2}(k - 2) \right\rfloor\) steps to arrive at any nodes in \(X_{k+1}\) since \(\left\lfloor \frac{3}{2}(k - 2) \right\rfloor\) is the diameter of \(S_{k-1}\). Therefore, the diameters of \(R_f(k - 1, h)\) and \(C_f(k - 1, h)\) are at most \(\left\lfloor \frac{9}{2}(k - 2) \right\rfloor + \left\lfloor \frac{3h}{2} \right\rfloor\) and \(\left\lfloor \frac{9}{2}(k - 2) \right\rfloor + 3h\), where \(h = n(n - 1) ... (k - 1)\). In this paper, we will only focus on constructing a feasible fault-free substar-ring \(R_f(n - 3, h)\) in a faulty star graph.
3. CENTRALIZED ALGORITHM FOR IDENTIFYING MAXIMAL FAULT-FREE SUBSTAR-RING
In section 3.1, an efficient algorithm will be proposed to identify the $R_t(n - 3, h)$ that can tolerate at most $n - 3$ faults. To show the applicability of this scheme, we will explain how to apply the ASCEND/DESCEND algorithms on $R_t(n - 3, h)$. To tolerate more than $n - 3$ faults, a modified algorithm is given in section 3.2.
3.1 Construction of $R_t(n - 3, h)$ With $n - 3$ Faults
In the following, we will describe a centralized algorithm to identify the maximal fault-free substar-ring $R_t(n - 3, h)$ (IMSR) in order to tolerate $n - 3$ faults in a faulty $n$-star graph. Furthermore, we also will explain how to apply the ASCEND/DESCEND algorithms on $R_t(n - 3, h)$.
The IMSR algorithm is divided into three steps. First, we recognize all maximal fault-free $S_{n-2}$ substars from an $S_n^F$. Second, a $(n - 2, t)$-ring is constructed from the $S_{n-2}$ substars, where $n(n - 1) - (n - 3) \leq t \leq n(n - 1) - 1$. Third, the maximal fault-free substar-ring $R_t(n - 3, h)$, $h \leq (n - 2)t$, is constructed by applying 1-split on each $S_{n-2}$ substar of $(n - 2, t)$-ring. The steps in the IMSR algorithm are described in detail in the following.
First, we apply $D$-split on $S_n^F$ to obtain $m(n - 1)$ $S_{n-2}$ substars based on the best selection of set $D$. Different values of set $D$ will produce different sets of fault-free and faulty substars. If possible, all faulty nodes may be located in one $S_{n-2}$ under the best selection of a set $D$. Then, at most $n^2 - n - 1$ fault-free $S_{n-2}$ substars can be used. Finding the best set $D$ is done by recognizing the maximal number of $S_{n-2}$ substars. Our best set $D$ produces the maximum number of fault-free $S_{n-2}$. This can be easily justified since all faulty nodes are possibly collected to the same substars by our selected set $D$, so the maximum number of fault-free $S_{n-2}$ will be obtained. This task is carried out as follows. Given a set of faulty nodes $F$, $f = |F|$, in an $n$-star, consider a node or substar $x = x_1x_2...x_n$, $x_i \in \{+, 1, 2, ..., n\}$ and $i = 1..n$. An extraction function is defined by $e_i(x_1x_2...x_n...x_n) = x_i$. A predicate function [2] is defined by
$$P(x) = \begin{cases}
1 & \text{if } x = \text{TRUE} \\
0 & \text{if } x = \text{FALSE}.
\end{cases}$$
Let $t^d$ be the occurrences of $e_d(y_j) = i$ under a fixed value $d$, $1 \leq i \leq n$ and $y_j \in F$. That is, $t^d_i = \sum_{j=1}^{f} P(e_d(y_j) = i)$, where "$e_d(y_j) = i$" is a boolean expression. Let $m_d$ denote $\max_{i=1}^{n}(t^d_i)$. The best set $D$ is obtained by finding the dimensions $k$ and $k'$ such that $m_k$ and $m_{k'}$ are the first and second largest values among $m_d$, where $d = 1..n$. For example, assume a faulty star $S_5$ with $F = \{12435, 32451, 52134\}$; since $e_5(12435) = e_5(32451) = e_5(52134) = 2$, we have $t^5_2 = 3$ and $t^5_1 = t^5_3 = t^5_4 = t^5_5 = 0$. Therefore, $m_2 = \max_{i=1}^{n}(t^5_i) = 3$. Similarly, we can also obtain $m_1 = 1$, $m_3 = 2$, $m_4 = 2$, and $m_5 = 1$. Thus, set $D$ is $\{2, 3\}$ or $\{2, 4\}$ since both $m_1$ and $m_5$ are equal to 2. If we choose $D = \{2, 3\}$, the minimal number of faulty substars is 2. That is, *24** and *21** are faulty substars, and *13**, *13**, *14**, *15**, *23**, *25**, *31**, *32**, *34**, *35**, *41**, *42**, *43**, and *45** are fault-free substars.
The next step is to construct a $(n - 2, t)$-ring from $S_n^F$ under set $D = \{k, k'\}$. Intuitively, $k$-split on the faulty $S_n$ is performed to partition $S_n^F$ into $n$ copies of $S_{n-1}$ substars so that we can construct a $(n - 1, n)$-ring. Each $(n - 1)$-substar of the $(n - 1, n)$-ring is fault-free or not.
We then apply $k'$-split on all the $S_{n-1}$ substars of the $(n - 1, n)$-ring to obtain $n(n - 1) S_{n-2}$ substars. In our scheme, we withdraw all the faulty substars from $n(n - 1) S_{n-2}$ substars. Therefore, a $(n - 2, n)$-ring is constructed from all the non-faulty $S_{n-2}$ substars, where $t \leq n(n - 1) - f$.
**Lemma 2:** Given a $(n - 1, n)$-ring, if $f \leq n - 3$, it is possible to construct a $(n - 2, t)$-ring from the $(n - 1, n)$-ring, where $n^2 - 2n + 3 \leq t \leq n^2 - n - 1$.
**Proof:** Given a set $D = \{k, k'\}$, we apply the $D$-split on the $S_i^F$. A $(n - 1, n)$-ring is first obtained by applying the $k$-split on the $S_i^F$. If the $k'$-th symbol of $G_i$, $0 \leq i \leq n - 1$, in $(n - 1, n)$-ring is *, then to each $G_i$ is applied the $k'$-split operation to obtain $n - 1 S_{n-2}$ substars. As mentioned earlier, all the $S_{n-2}$ substars are fully connected (by the adjacent relation), and there are $n - 2$ connections between $G_i$ and $G_{i+1}$ and $G_{i-1}$. Since $n - 3 S_{n-2}$ substars of $G_i$ at most are faulty, there exists at least one connection between $G_{i+1}$ and $G_{i-1}$. For the similar reason given in Lemma 1, it is trivial to derive a feasible $(n - 2, t)$-ring by visiting all non-faulty substars of $G_i$ even when there are at most $(n - 3)$ faulty substars in $G_i$, where $n(n - 1) - (n - 3) \leq t \leq n(n - 1) - 1$.
Therefore, a $(n - 2, t)$-ring is constructed, where $n^2 - 2n + 3 \leq t \leq n^2 - n - 1$. There are $m(n - 1) S_{n-2}$ substars, and $n - 3$ of them are faulty at most. In this case, the $(n - 2, t)$-ring uses $n(n - 1) - (n - 3) S_{n-2}$ substars if $f \leq n - 3$; therefore, the PUR is $\frac{n^2 - 2n + 3}{n^2 - n}$, and the diameter is $\left\lfloor \frac{9}{2}(n - 4) \right\rfloor + \left\lceil \frac{3n(n - 1)(n - 3)}{2} \right\rceil$. The reason is similar to that mentioned in section 2. For example, if set $D = \{4, 5\}$, then ****1 $\leftrightarrow$ ***2 $\leftrightarrow$ ****4 $\leftrightarrow$ ***3 $\leftrightarrow$ ****5 $\leftrightarrow$ ****1 is a $(4, 5)$-ring as indicated in Fig. 3. Note that substars **41 and **52 are faulty. Therefore, a $(3, 18)$-ring results as shown in Fig. 3.
Given a \((n - 2, t)\)-ring \(= [G_0, G_1, ..., G_{t-1}]\), all the \((n - 2)^t\) nodes of \(G_i\) exchange their contents with the corresponding nodes of adjacent substrs \(G_{(i-1)mod\,t}\) or \(G_{(i+1)mod\,t}\). Using the GROUP-COPY procedure [20], this task is carried out in 3 time steps if there are no faults. But if faults exist, the GROUP-COPY procedure won’t work, so the task costs \(O(n - 2)\) time using only \((n - 3)!\) direct links. A scheme to reduce the communication cost is proposed here. Our scheme is to apply 1-split on each \(S_{n-2}\) substring \(G_i\) of a \((n - 2, t)\)-ring to obtain virtual substrs \(X_j\), where \(0 \leq j \leq (n - 2)t\). Each \(X_j\) is worked as a processing unit. These \(X_j\) can finally construct a ring with 3-dilation links as shown in Theorem 1.
**Theorem 1:** Given a \((n - 2, t)\)-ring \(= [G_0, G_1, ..., G_t, ..., G_{t-1}]\), it is possible to construct a \(R_r(n - 3, h) = [X_0, X_1, ..., X_t, ..., X_{t-1}]\) such that each pair of neighboring \(X_j\) and \(X_{j+1}\) is connected at most 3-dilation links, where \(h = (n - 2)t\).
**Proof:** First, if \(X_j\) and \(X_{j+1}\) are located in the same \(G_i\) of the \((n - 2, t)\)-ring, \(1 \leq i \leq t\), then \(X_j\) is directly linked to \(X_{j+1}\). Second, if \(X_j\) and \(X_{j+1}\) are, respectively, located in the neighboring \(G_i\) and \(G_{i+1}\) of the \((n - 2, t)\)-ring, then there exists a pair of \(X'\) (in \(G_i\)) and \(X''\) (in \(G_{i+1}\)) such that \(X'\) is direct linked to \(X''\). The 3-dilation links are \(X_j \leftrightarrow X' \leftrightarrow X'' \leftrightarrow X_{j+1}\). Furthermore, if \(X' = X_{j+1}\), then there are only 2-dilation links between \(X_j\) and \(X_{j+1}\). As a result, each pair of neighboring \(X_j\) and \(X_{j+1}\) of \(R_r(n - 3, h)\) is connected by most 3-dilation links. □
Recall the above example; Fig. 3 shows a feasible \(R_r(2, 54) = [5**21, 4**21, 3**21, 2**51, 4**51, 3**51, ..., 1**35, 4**35, 2**35, 3**25, 4**25, 1**25]. Note that virtual substrs 3**12 and 2**14 are, respectively, located in ***12 and ***14, and that the edges between 3**12 and 2**14 are 3**12 \(\leftrightarrow\) 4**12 \(\leftrightarrow\) 2**14.
The IMSR algorithm is outlined as follows.
**Algorithm: Identifying maximal fault-free substring-ring (IMSR)**
**Input:** An \(S_n\) with faulty node set \(F\), where \(1 \leq f \leq n - 3\).
**Output:** Substring sequence \([X_0, X_1, ..., X_{n-1}]\) is obtained, where \((n - 2)(n^2 - 2n + 3) \leq h \leq (n - 2)(n^2 - n - 1)\).
**Step 1:** Find the best set \(D = \{k, k'\}\). The maximal number of fault-free substrs is obtained by partitioning \(S_n^f\) into disjoint \(S_{n-2}\) substrs along dimensions \(k\) and \(k'\).
**Step 2:** Identify a \((n - 2, t)\)-ring based on Lemma 2 among all the fault-free \(S_{n-2}\) substrs, where \(n^2 - 2n + 3 \leq t \leq n^2 - n - 1\).
**Step 3:** Construct the maximal fault-free substring-ring \(R_r(n - 3, h)\) according to Theorem 1, where \((n - 2)(n^2 - 2n + 3) \leq h \leq (n - 2)(n^2 - n - 1)\)
The total time cost \(T_{IMSR}\) of the IMSR algorithm is analyzed as follows. In step 1, the time cost \(O(nf)\) can be obtained by using a linear-time integer sort [1] to determine the value of set \(D\). When \(f = n - 3\), the time cost is \(O(n^2)\). Step 2 only costs \(O(n)\) time to construct the \((n - 2, t)\)-ring. In step 3, a time cost of \(O(n^3)\) is needed to split each \(S_{n-2}\) of \((n - 2, t)\)-ring to obtain \(R_r(n - 3, h)\), where \(h \leq (n - 2)t\). Consequently, the total time cost of \(T_{IMSR}\) can be obtained using the following equation:
\[ T_{IMSR} = O(n^2) + O(n) + O(n^3) = O(n^3). \]
To demonstrate the application capability, we will show how to execute the sorting operation on $R_i(n - 3, h) = [X_0, X_1, ..., X_p, ..., X_{h-1}]$. First, an efficient sorting algorithm for a star graph [17] can be performed on each virtual substring $X_i$ of $R_i(n - 3, h)$ such that the unsorted elements on each $X_i$ are sorted. Second, if each virtual substring $X_i$ of $R_i(n - 3, h)$ is worked as a processing unit, then the Odd-Even Transposition Sort algorithm [1] can be performed on a ring of these processing units. After performing the above operations, data elements in all virtual substrings will be sorted. The detail algorithm can refer the similar sorting operations on the maximal fault-free subcube-ring in faulty hypercubes [23]. Furthermore, using the similar matrix-multiplication operations on the maximal fault-free subcube-ring [23], we can also perform the matrix-multiplication algorithm on $R_i(n - 3, h)$. Similarly, many scientific algorithms on star graphs [8, 20] can be tailored onto our $R_i(n - 3, h)$.
### 3.2 Construction $R_i(n - 3, h')$ With More Than $n - 3$ Faults
In section 3.1, it was shown that a $(n - 2, t)$-ring and its $R_i(n - 3, h)$ can not be constructed when $t > n - 3$. In this subsection, we will describe how to construct $R_i(n - 3, h')$ when $n - 3 < f < n^2 - n$. It is known that an $N$-node ring can be one-to-one embedded with dilation 3 in any connected $N$-node network [4]. Given a $S_n^d$ and its best set $D = \{k, k'\}$, initially, we construct a tree, namely substring-tree $T$, among $n S_{n-1}$'s, which are obtained by performing $k$-split on $S_n^d$. Each node of substring-tree $T$ is an $S_{n-1}$. Then, all possible fault-free virtual substrings can be obtained by performing $k'$-split and 1-split operations on each node of substring-tree $T$. These fault-free virtual substrings can still form a connected network. Therefore, a ring of the virtual substrings with 3-dilation links is obtained. The ring is denoted as $R_i(n - 3, h')$. In the following, we will describe the modified IMSR* algorithm used to construct substring-tree $T$ and to then obtain the final $R_i(n - 3, h')$.
The detail algorithm of modified IMSR* algorithm is described below. We apply $k$-split on $S_n^d$ to produce $n S_{n-1}$'s and collect them into set $\Psi$, where $D = \{k, k'\}$. The substring-tree $T$ is constructed based on set $\Psi$. As we stated earlier, each node of substring-tree $T$ is an $S_{n-1}$ substring. The total number of nodes of substring-tree $T$ is at most $n$. Before we describe how to construct substring-tree $T$, we will define a function AD($G, G'$) to represent the adjacent relation of a pair of $S_{n-1}$'s $G$ and $G'$, where $G$ and $G'$ belong to set $\Psi$. $k'$-split is performed on $G$ and $G'$ to decompose $G$ and $G'$ into $2(n - 1) S_{n-2}$'s, each of which is fault-free or not. Let function AD($G, G'$) denote the number of pairs of adjacent fault-free $S_{n-2}$ substrings $x$ and $y$, where $x$ and $y$ are located in $G$ and $G'$, respectively. If AD($G, G') > 0$, then there exists at least one pair of adjacent fault-free $S_{n-2}$'s between $G$ and $G'$. Otherwise, no fault-free $S_{n-2}$'s are adjacent if AD($G, G') = 0$. For example, if set $D = \{4, 5\}$, then substrings ***41, ***51, and ***52 are faulty substrings as shown in Fig. 4, and there is no fault-free adjacent substring $S_n$'s between ***1 and ***2, so AD(***1, ***2) = 0. Equation AD (****1, ****3) = 1 holds because ***21 and ***23 are the only pair of fault-free adjacent substrings. Similarly, equations AD(****1, ****4) = 2, AD(****1, ****5) = 2, and AD (****3, ****2) = 2 can be obtained.
Continually, substring-tree $T$ can be constructed as follows. First, the root of tree $T$ is a substring selected from set $\Psi$ randomly. Using the Breadth-First-Searching method, we can expand the branches of substring-tree $T$ as follows. Branches of tree $T$ represent the possible connecting substrings. Each node $u$ of substring-tree $T$ probes each remaining substring $v$ from
set $\Psi$. If the condition $\text{AD}(u, v) > 0$ exists, then node $u$ is connected to substring $v$, and we can eliminate $v$ from set $\Psi$. By repeatedly performing the above probing operations until set $\Psi$ is empty or no further connecting substring can be found, substring-tree $T$ is constructed. Since there exists at least one branch of each node of substring-tree $T$, substring-tree $T$ is a connected network. The 1-split operation is performed on each $S_{n-2}$ substring of substring-tree $T$ to obtain all possible virtual substrings. Each virtual substring is treated as a processing unit, and these virtual substrings still form a connected network. Therefore, a maximal fault-free substring-ring $R(n - 3, h')$ with 3-dilation links can be obtained [4], where $h' \leq n(n - 1)(n - 2) - 1$. Recalling the above example, let the root of substring-tree $T$ be ****1, the branches of root be ****3, ****4, and ****5, and the branch of ****3 be ****2. The substring-tree $T$ is shown in Fig. 4. After applying 1-split on all the $S_i$’s of substring-tree $T$, an $R(2, 17 = 3) = R(2, 51)$ with 3-dilation links is obtained.
Finally, we will analyze the total time cost $T_{IMSR}$ of the modified IMSR algorithm. In step 1 of identifying all $S_{n-2}$, a time cost of $O(nf)$ is needed if we use a linear-time integer sort [1]. When $f = n^2 - n - 1$, the time cost is $O(n^3)$. During construction of substring-tree $T$, the AD operation is performed $O(n^2)$ times, and each time, $O(n)$ time is needed. It takes $O(n^3)$ time to construct substring-tree $T$. A time cost of $O(n^3)$ is needed to split $n(n - 1)$ $S_{n-2}$’s into $m(n - 1)(n - 2)$ virtual substrings. Consequently, the total time complexity of $T_{IMSR}$ can be measured by the following equation:
$$T_{IMSR} = O(n^3) + O(n^3) + O(n^3) = O(n^3).$$
4. PERFORMANCE ANALYSIS
In this section, we will analyze the distributed percentage of the processor utilization of the maximal fault-free substar-ring under two cases in which the number of faulty processors is assumed. First, if $f$ is not larger than $n - 3$, then the PUR is at least $\frac{n^2 - 2n + 3}{n^2 - n}$.
Second, we will find the PUR of our reconfiguration scheme even when $n - 3 < f \leq n^2 - n - 1$.
The percentage of the processor utilization of $R_r(n - 3, h)$ is analyzed as follows. In our simulation, the addresses of faulty processors are randomly generated in each of 10000 simulations for fixed $n$ and $f$. To illustrate the fault tolerance capability, we will consider the worst case of simulating the PUR. An $S_n$ is partitioned into $n(n - 1)S_{n-2}$ by step 1 of the IMSR algorithm. Here, we denote the number of faulty $S_{n-2}$ by $r$. The factor of the value of $r$ presents the degree of occurring faults. The larger the value of $r$ is, the more faults there will be. The factor of the value of $r$ is used to analyze the PUR. If the percentage of the processor utilization of $R_r(n - 3, h)$ is larger than 50%, then the slowdown factor of computation has a better chance of reducing to less than 2. In the case of $f \leq n - 3$, the PUR is at least $\frac{n^2 - 2n + 3}{n^2 - n}$ and is always larger than 50%. All possible maximal fault-free substar-rings $R_r(n - 3, h)$ and the percentage distribution of processor utilization in a faulty $S_n$, where $1 \leq r \leq 5^2 - 5 - 1 (= 19)$ and $3 \leq n \leq 57$, are shown in Table 1. For instance, when $n = 5$ and $r = 1, 2,$ and $3$, 100% of the cases of $S_3$ can be identified as $R_r(2, 57)$ with 95% processor utilization, 100% of the cases can be identified as $R_r(2, 54)$ with 90% processor utilization, and 100% of the cases can be identified as $R_r(2, 51)$ with 85% processor utilization, respectively. When $n = 5$ and $r = 4$, 99.57% of the cases of $S_3$ can be identified as $R_r(2, 48)$ with 80% processor utilization, and 0.43% of the cases can be identified into $R_r(2, 45)$ with 75% processor utilization. This indicates that the smaller the value of $r$ is, the maximal fault-free substar-ring with high PUR generally be determined. As shown in Table 1, all more than 73% cases to exploit the more than 50% processor utilization in an faulty $S_n$ when $1 \leq r \leq 8$. This shows that the percentage of the processor utilization of maximal fault-free substar-ring $R_r(n - 3, h)$ is always greater than 50% when $r < n(n - 1)/2$.
The average PUR is discussed in the following. The average PUR is defined as the sum of the percentage of the processor utilization of each $R_r(n - 3, h) * \text{PUR of } R_r(n - 3, h)$. For instance, in Table 1, when $n = 5$ and $r = 4$, 99.57% of $R_r(2, 48)$ with PUR = 80% and 0.43% of $R_r(2, 45)$ with PUR = 75% are identified, so the average PUR is 99.57% * 80% + 0.43% * 75% = 79.9785%. In our simulation, we estimate the average PUR under the case of $5 \leq n \leq 12$. The simulation results of the average PUR with different value of $r$ are depicted in Fig. 5. The average PUR with a value of $r$ larger than $n(n - 1)/2$ is always larger than 50% as depicted in Fig. 5. The average PUR is inversely proportional to the value of $r$; i.e., the larger the value of $r$ is, the lower the average PUR will be. For instance, when the number of faulty $S_{n-2}$ substras is $n(n - 1)/10$, $2n(n - 1)/10$, and $3n(n - 1)/10$, the average PUR is about 90%, 80%, and 70%, respectively. Consequently, the smaller the number of faulty $S_{n-2}$ substras is, the high the average PUR is.
In a conclusion, when the number of faulty $S_{n-2}$ is smaller than $n(n - 1)/2$, more than 50% of average PUR are obtained by our simulation results. This indicates that our scheme can obtain a reasonable average PUR, so our scheme is a truly effective reconfiguration method.
Table 1. Percentage distribution of the processor utilization of maximal fault-free substar-ring $R_s(2, h)$ in an $S_n$, where the number of faulty 3-substars is from 1 to 19 and $3 \leq h \leq 57$.
| PUR | h | The number of faulty 3-substars |
|-----|---|---------------------------------|
| | | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 |
| 5% | 3 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 10% | 6 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 15% | 9 | 0 | 0 | 0 | 0 | 0 | 24 | .65 | 2.73 | 7.24 | 15.05 | 23.79 | 33.35 | 57.05 | 32.85 | 24.85 | 15.05 | 6.14 | 1.68 | 0 |
| 20% | 12| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | .65 | 1.23 | 2.63 | 4.67 | 5.61 | 5.18 | 3.51 | 2.14 | .64 | 0 | 0 |
| 25% | 15| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 4 | 1.9 | 4.35 | 8.36 | 9.47 | 8.7 | 6.65 | 4.19 | 1.54 | 0 | 0 |
| 30% | 18| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 37 | 6 | 2.12 | 5.69 | 10.29 | 11.62 | 10.20 | 6.68 | 2.37 | 0 | 0 |
| 35% | 21| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1.10 | 3.33 | 8.07 | 11.09 | 12.12 | 7.82 | 2.96 | 0 | 0 | 0 | 0 |
| 40% | 24| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1.58 | 2.12 | 5.26 | 8.19 | 12.39 | 9.61 | 4.24 | 0 | 0 | 0 | 0 |
| 45% | 27| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | .40 | .12 | 1.26 | 5.57 | 12.17 | 12.09 | 7.71 | 0 | 0 | 0 | 0 |
| 50% | 30| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | .06 | 6.21 | 10.02 | 16.29 | 15.35 | 0 | 0 | 0 | 0 | 0 | 0 |
| 55% | 33| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 4.70 | 4.56 | 15.14 | 28.96 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 60% | 36| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1.52 | .87 | 9.88 | 48.79 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 65% | 39| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0.45 | 5.43 | 70.73 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 70% | 42| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2.07 | 86.21 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 75% | 45| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | .45 | 95.32 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 80% | 48| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 99.57 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 85% | 51| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 100 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 90% | 54| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| 95% | 57| 100| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Fig. 5. The average PUR of $R_s(n-3, h)$ of $S_n$, for $5 \leq n \leq 12$.
5. CONCLUSIONS
In this paper, we have proposed a reconfiguration scheme to identify the maximal fault-free substar-ring for tolerating faults in faulty $n$-dimensional star graphs. The fault-free substar-ring is connected by a ring of fault-free virtual substars with dilation 3. This is the first result to propose a reconfiguration scheme in the faulty star graph. Our proposed scheme can tolerate $n - 3$ faults so that the processor utilization is $\frac{n^2 - 2n + 3}{n^2 - n}$ and the diameter is $\left\lfloor \frac{9}{2}(n - 4) \right\rfloor + \left\lfloor \frac{3n(n - 1)(n - 3)}{2} \right\rfloor$. This is a near optimal result since the maximal fault-free substar-ring is constructed by using all of the possible fault-free $(n - 2)$-substars. To demonstrate the applicability of our scheme, we have described how to apply a sorting algorithm to our reconfiguration scheme. Moreover, our reconfiguration scheme can work when the number of faults exceeds $n - 3$. We have also simulated the algorithm to show that the reconfiguration scheme has high processor utilization.
In order to preserve a low diameter and obtain better processor utilization, identifying the maximal fault-free substar-ring $R_i(k - 1, h)$ has been the main objective of this study. Determining the maximal fault-free substar-ring $R_i(k - 1, h)$ is controlled by what values of $k$ and $h$ being are the best selection. It is possible to construct a $R_i(k - 1, h)$, $k \leq n - 2$, to obtain a large diameter and greater processor utilization. If $k - 1 = 1$, our scheme becomes a simple problem of ring embedding on a faulty star graph [25]. However, in this paper, we have only focused on identifying the maximal fault-free substar-ring $R_i(n - 3, h)$ to keep a smaller diameter and obtain reasonable processor utilization.
ACKNOWLEDGMENTS
We appreciate the constructive comments received from reviewers, which have helped to improve the correctness and presentation of this article.
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**Yuh-Shyan Chen (陳裕醫)** received the B.S. degree in computer science from Tamkang University, Taiwan, Republic of China, in June 1988, and the M.S. and Ph.D. degrees in Computer Science and Information Engineering from National Central University, Taiwan, Republic of China, in June 1991 and January 1996, respectively. He joined the faculty of the Department of Computer Science and Information Engineering at Chung-Hua University, Taiwan, Republic of China, as an associate professor in February 1996. His current research interests include parallel and distributed processing, interconnection network, wireless communication and mobile computing.
Dr. Chen is a member of the IEEE Computer Society and the Phi Tau Phi Society.
**Jang-Ping Sheu (許健平)** received the B.S. degree in computer science from Tamkang University, Taiwan, Republic of China, in 1981, and the M.S. and Ph.D. degrees in computer science from National Tsing Hua University, Taiwan, Republic of China, in 1983 and 1987, respectively.
He joined the faculty of the Department of Electrical Engineering, National Central University, Taiwan, Republic of China, as an Associate Professor in 1987. He is currently a Professor and Chair of the Department of Computer Science and Information Engineering, National Central University. From March to June of 1995, he was a visiting researcher at the IBM Thomas J. Watson Research Center, New York. His current research interests include parallelizing compilers, interconnection networks, and mobile computing.
Dr. Sheu is a member of IEEE, ACM, and the Phi Tau Phi Society. He is an associate editor of the Journal of Information Science and Engineering and the Journal of the Chinese Institute of Electrical Engineering. He received the Distinguished Research Awards of the National Science Council of the Republic of China in 1993-1994, 1995-1996, and 1997-1998. |
COMMONWEALTH OF KENTUCKY
BEFORE THE PUBLIC SERVICE COMMISSION OF KENTUCKY
In the Matter of:
APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN, FOR APPROVAL OF ITS AMENDED ENVIRONMENTAL COST RECOVERY SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
Case No. 2012-00063
Response to the Sierra Club’s Third Request for Information Dated June 27, 2012
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July 6, 2012
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Re: In the Matter of: Application of Big Rivers Electric Corporation for Approval of its 2012 Environmental Compliance Plan, for Approval of its Amended Environmental Cost Recovery Surcharge Tariff, for Certificates of Public Convenience and Necessity, and for Authority to Establish a Regulatory Account, P.S.C. Case No. 2012-00063
Dear Mr. DeRouen:
Enclosed for filing are an original and ten copies of Big Rivers Electric Corporation's (i) response to the Public Service Commission's second request for information, (ii) response to the Attorney General's second request for information, (iii) response to Kentucky Industrial Utility Customers' second request for information, (iv) response to Sierra Club's second request for information, (v) response to Kentucky Industrial Utility Customers' third request for information, (vi) response to Sierra Club's third request for information, (vii) a petition for confidential treatment for certain documents being filed with the responses, and (viii) a motion to deviate from the requirement that all documents filed in response to requests for information be furnished in paper form. Copies of this letter and all enclosures have been served on each of the persons listed on the attached service list. A copy of the information for which confidential treatment is sought has also been served on each party that has entered into Big Rivers' confidentiality agreement.
Sincerely yours,
Tyson Kamuf
TAK/ej
Enclosures
cc: Mark A. Bailey
Albert Yockey
Service List
PSC Case No. 2012-00063
Jennifer B. Hans, Esq.
Dennis G. Howard, II, Esq
Lawrence W. Cook, Esq.
Matt James, Esq.
Assistant Attorneys General
1024 Capital Center Drive
Suite 200
Frankfort, KY 40601-8204
Michael L. Kurtz, Esq.
Kurt J. Boehm, Esq.
Boehm, Kurtz and Lowry
36 East Seventh Street, Suite 1510
Cincinnati, OH 45202
David C. Brown, Esq.
Stites & Harbison PLLC
1800 Providian Center
400 West Market Street
Louisville, KY 40202
Joe Childers, Esq.
Joe F. Childers & Associates
300 Lexington Building
201 West Short Street
Lexington, Kentucky 40507
Kristin Henry
Staff Attorney
Sierra Club
85 Second Street
San Francisco, CA 94105
Shannon Fisk
745 N. 24th St.
Philadelphia, PA 19130
Christopher Leung
Earthjustice
156 William Street
Suite 800
New York, New York 10038
Walt Drabinski
Vantage Energy Consulting, LLC
24160 Overseas Highway
Cudjoe Key, Florida 33042
Chuck Buechel
10 Eagleview Lane
Fort Thomas, KY 41075
Mike Boismenu
3 Lotus Bay Estate Drive
Irving, NY 14081
BIG RIVERS ELECTRIC CORPORATION
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, Robert W. Berry, verify, state, and affirm that I prepared or supervised the preparation of the data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Robert W. Berry
COMMONWEALTH OF KENTUCKY )
COUNTY OF HENDERSON )
SUBSCRIBED AND SWORN TO before me by Robert W. Berry on this the 3rd day of July, 2012.
Joy P. Wright
Notary Public, Ky State at Large
My Commission Expires_______
Notary Public, Kentucky State-At-Large
My Commission Expires: July 3, 2014
ID 421951
BIG RIVERS ELECTRIC CORPORATION
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, David G. Crockett, verify, state, and affirm that I prepared or supervised the preparation of my data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
David G. Crockett
COMMONWEALTH OF KENTUCKY )
COUNTY OF HENDERSON )
SUBSCRIBED AND SWORN TO before me by David G. Crockett on this the 3rd day of July, 2012.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1-12-13
BIG RIVERS ELECTRIC CORPORATION
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, Mark A. Hite, verify, state, and affirm that I prepared or supervised the preparation of the data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Mark A. Hite
COMMONWEALTH OF KENTUCKY )
COUNTY OF HENDERSON )
SUBSCRIBED AND SWORN TO before me by Mark A. Hite on this the 3rd day of July, 2012.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1/12/13
BIG RIVERS ELECTRIC CORPORATION
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, Thomas L. Shaw, verify, state, and affirm that I prepared or supervised the preparation of the data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Thomas L. Shaw
COMMONWEALTH OF KENTUCKY )
COUNTY OF HENDERSON )
SUBSCRIBED AND SWORN TO before me by Thomas L. Shaw on this the 3rd day of July, 2012.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1-12-13
BIG RIVERS ELECTRIC CORPORATION
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, Patrick N. Augustine, verify, state, and affirm that I prepared or supervised the preparation of the data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
[Signature]
Patrick N. Augustine
COMMONWEALTH OF VIRGINIA )
COUNTY OF FAIRFAX )
SUBSCRIBED AND SWORN TO before me by Patrick N. Augustine on this the 2 day of July, 2012.
[Signature]
Notary Public, Commonwealth of Virginia
My Commission Expires June 30, 2013
#7251149
BIG RIVERS ELECTRIC CORPORATION
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, Brian J. Azman, verify, state, and affirm that I prepared or supervised the preparation of the data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
Brian J. Azman
STATE OF INDIANA
COUNTY OF HAMILTON
SUBSCRIBED AND SWORN TO before me by Brian J. Azman on this the 2nd day of July, 2012.
Beth A. Burrows, Notary Public
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, William DePriest, verify, state, and affirm that I prepared or supervised the preparation of the data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
[Signature]
William DePriest
STATE OF ILLINOIS
COUNTY OF COOK
SUBSCRIBED AND SWORN TO before me by William DePriest on this the 28th day of July, 2012.
[Notary Seal]
Notary Public,
State of Illinois
My Commission Expires 5/4/2015
BIG RIVERS ELECTRIC CORPORATION
THE APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN AND REVISIONS TO ITS ENVIRONMENTAL SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
VERIFICATION
I, John Wolfram, verify, state, and affirm that I prepared or supervised the preparation of the data responses filed with this Verification, and that those data responses are true and accurate to the best of my knowledge, information, and belief formed after a reasonable inquiry.
John Wolfram
COMMONWEALTH OF KENTUCKY )
COUNTY OF HENDERSON )
SUBSCRIBED AND SWORN TO before me by John Wolfram on this the 3rd day of July, 2012.
Paula Mitchell
Notary Public, Ky. State at Large
My Commission Expires 1/12/13
Item 1) Refer to your response to SC 1-3, which gives annual capital and O&M expenditures by plant:
a. Please provide the annual non-environmental capital expenditures expected or projected to be made by year, by unit, and by expenditure type for each of the years listed in your response.
b. Please provide annual fixed O&M costs by year, by unit for the environmental controls requested in this CPCN.
c. Please provide annual fixed O&M costs by year, by unit for all other equipment.
d. Please provide annual variable O&M costs by year, by unit for the environmental controls requested in this CPCN.
e. Please provide annual variable O&M costs by year, by unit for all other equipment.
Response)
a. Please see the CONFIDENTIAL table which Big Rivers is providing with a Petition for Confidential Treatment.
b. Please see the CONFIDENTIAL table which Big Rivers is providing with a Petition for Confidential Treatment.
c. Please see the CONFIDENTIAL table which Big Rivers is providing with a Petition for Confidential Treatment.
d. Please see the CONFIDENTIAL table which Big Rivers is providing with a Petition for Confidential Treatment.
e. Please see the CONFIDENTIAL table which Big Rivers is providing with a Petition for Confidential Treatment.
Witness) Robert W. Berry
Item 2) Please confirm or deny the following:
a. BREC is requesting environmental surcharge and CPCN for environmental retrofits with capital and O&M estimates developed only by Sargent & Lundy and presented in Exhibit Berry-2.
i. If environmental surcharge and/or CPCN capital and/or O&M estimates have been developed or vetted by any other party aside from Sargent & Lundy, please provide such estimates and the source documentation and work papers from which those estimates are derived.
b. To date, BREC has not contracted for engineering services for any of the environmental retrofits.
i. If BREC has contracted for engineering services, please provide the name of each engineering services contractor, the date engineering services were contracted, the specific services and retrofits for which BREC has contracted, and any reports or files delivered to date by each such contractor.
c. The estimated environmental retrofit capital costs do not include owner’s costs.
d. The estimated environmental retrofit capital costs do not include AFUDC.
e. To date, BREC has not contracted for procurement services for any of the environmental retrofits.
i. If BREC has contracted for procurement services, please provide the name of each procurement services contractor, the date procurement services were contracted, the specific retrofits for which services were contracted, and any reports or files delivered to date by each such contractor.
Response)
a. Sargent & Lundy developed the capital and O&M estimates used in the filing.
b. Big Rivers entered into a contract with Burns and McDonnell for engineering services to develop an RFP for the replacement Wilson FGD. There have been no reports or files delivered at this time.
c. Big Rivers interprets owner’s cost to include the following:
- Permit modification
- Specification development
- Bid review and evaluation assistance
Although S&L states these costs were not included in its estimates, Big Rivers considers this to be part of project contingency included in the estimate. As such, Big Rivers believes these costs are included in the $283.49 million capital estimate of its ECP filing. Please see Item 18a of these responses for more details.
d. These estimated capital costs do not include AFUDC. However, capitalized interest is included in the financial model calculations.
e. Other than as stated in part b above, Big Rivers has not contracted for procurement services of any of the environmental retrofits.
Witness) Robert W. Berry
Item 3) Regarding the estimated capital expenditures for each environmental control contemplated in this proceeding:
a. Please define the error range (in %+/- or $+/-) of the estimates for each of the environmental controls;
b. State whether BREC considers each of these estimates preliminary, developing, or final (i.e. contractually certain)? If BREC uses other terminology to define this stage of estimate development, please provide the appropriate terminology.
c. Please provide the estimated annual capital outlay for each of the environmental controls, without AFUDC, in nominal dollars. Please provide in electronic spreadsheet form.
d. Please provide the estimated annual AFUDC for each of the environmental controls. Please provide in electronic spreadsheet form.
e. Will BREC return to this Commission for an environmental surcharge adjustment if the capital and/or
O&M costs of the environmental retrofit projects are higher than predicted by S&L? If so, when?
f. Will BREC return to this Commission for an environmental surcharge adjustment if the capital and/or O&M costs of the environmental retrofit projects are lower than predicted by S&L? If so, when?
Response)
a. Please see Exhibit DePriest-2 to the Direct Testimony of William DePriest (Application Exhibit 5), at page 5-1, section 5.1.1.
b. Big Rivers considers each of the estimates preliminary.
c. Please see the Excel file on the USB drive accompanying these responses. Note that this cash flow differs from the one cited in AG 1-84. The original cash flow was based on receiving a 4th year for the Mercury and Air Toxics Standard (“MATS”) compliance from the state environmental regulatory authorities. The current cash flow is based on the 3 year compliance timeframe.
d. The estimated 2012 Environmental Compliance Plan capital cost of $283.49 million does not include AFUDC or Interest Charged to Construction (i.e., capitalized interest). Capitalized interest is estimated to be $18.30 million, resulting in total environmental compliance plan capitalized cost of $301.79 million. The estimated environmental compliance plan capital expenditures and the associated capitalized interest is found on the ECP tab, lines 5 through 41, of the Build Case financial model.
e. and f.
No. If the Commission approves Big Rivers’ 2012 Environmental Compliance Plan and proposed changes to Big Rivers’ environmental surcharge tariff (“ES Tariff”), the actual capital and O&M costs incurred by Big Rivers for the approved projects will be included in Big Rivers’ determination of the monthly environmental surcharge factor filed with the Commission and included on member billings, on a monthly basis, pursuant to the ES Tariff. Historically, when approving projects of this sort, the Commission has not prohibited applicants from incurring costs that vary from the estimated
amounts. Instead, the Commission reviews the reasonableness of the actual costs included in the ES Tariff pursuant to the procedure set forth in KRS 278.183(3), which provides:
The amount of the monthly environmental surcharge shall be filed with the commission ten (10) days before it is scheduled to go into effect, along with supporting data to justify the amount of the surcharge which shall include data and information as may be required by the commission. At six (6) month intervals, the commission shall review past operations of the environmental surcharge of each utility, and after hearing, as ordered, shall, by temporary adjustment in the surcharge, disallow any surcharge amounts found not just and reasonable and reconcile past surcharges with actual costs recoverable pursuant to subsection (1) of this section. Every two (2) years the commission shall review and evaluate past operation of the surcharge, and after hearing, as ordered, shall disallow improper...
expenses, and to the extent appropriate, incorporate surcharge amounts found just and reasonable into the existing base rates of each utility.
Witnesses) William DePriest (a., b., c., and d.),
Robert W. Berry (b.), and
John Wolfram (e. and f.)
Item 4) Please provide a record of each major capital project (i.e., individual projects over $20 million) at each of BREC’s coal-fired generating units from 2000-2012, inclusive. For each project, please provide the year, descriptive title, unit or units applicable, the estimated capital cost at this stage of development (as defined in request 3b, above), the final capital cost, and the capital amount approved for recovery from Kentucky ratepayers (exclusive of returns on investment). Please provide in electronic spreadsheet form.
Response) Please see the table on the following page, which identifies the Big Rivers individual projects in excess of $20 million from 2000-2012.
| Year | Description | Units | Final Capital Costs |
|------|------------------------------|----------------|---------------------|
| 2004 | HMP&L Station Two SCR* | HMP&L 1, HMP&L 2 | 30,579,829.58 |
| 2003 | Wilson SCR | Wilson 1 | 65,348,330.70 |
| 2004 | Green Over Fired Air | Green 1, Green 2 | 22,643,561.23 |
| 2007 | Coleman Scrubber | Coleman 1, Coleman 2, Coleman 3 | 98,500,000.00 |
* Amount reflects only Big Rivers' Share of the Capital Costs
Note: The "Final Capital Costs" shown above were approved by the PSC to be recovered through Big Rivers' base rates (as depreciation expense) in Case No. 2011-00036 (Order issued November 17, 2011)
Witness) Robert W. Berry
Item 5) With respect to BREC unit equivalent availability, forced outage rates, and heat rates:
a. State whether BREC expects constant, increasing, or decreasing unit availability for each of the environmental retrofit units.
b. Please provide an annual forecast for unit availability for each of the environmental retrofit units through 2026. Please provide in electronic spreadsheet form.
c. State whether BREC expects constant, increasing, or decreasing forced outage rates for each of the environmental retrofit units.
d. Please provide an annual forecast for forced outage rates each of the environmental retrofit units through 2026. Please provide in electronic spreadsheet form.
e. State whether BREC expects constant, increasing, or decreasing heat rates for each of the environmental retrofit units.
f. Provide an annual forecast for heat rates for each of the environmental retrofit units through 2026.
g. Please provide any work papers or studies documenting expected future unit availability, equivalent forced outage rates, or heat rates at the BREC units through 2026.
Response)
a. Big Rivers expects constant unit availability for each of the environmental retrofit units.
b. Please see the Excel file provided on the CONFIDENTIAL USB accompanying these responses, and which is submitted with a Petition for Confidential Treatment. The spreadsheet within this file displays unit availability, forced outage rates, and unit net heat rates for all Big Rivers units.
c. Big Rivers expects constant forced outage rates for each of the environmental retrofit units.
d. Please see Excel file referenced in response b., above.
e. Big Rivers expects constant heat rates for each of the environmental retrofit units.
f. Please see Excel file referenced in response b., above.
g. There are no studies documenting expected unit availability, equivalent forced outage rates or heat rates on the Big Rivers units through 2026. The work papers are the unit inputs used
for the model runs that have been summarized in the Excel file referenced in part b., above.
Witness) Robert W. Berry
Item 6) Refer to Exhibit Berry-2:
a. State whether BREC expects that the emission control projects shown in Exhibit Berry-2 will have any impact on unit heat rates.
b. Please identify any changes in unit heat rates that might be expected as a result of emissions control projects.
c. Please provide the work papers detailing expected changes in unit heat rates with the addition of emissions control projects.
Response)
a. No material heat rate impacts are expected on any units.
b. No material heat rate impacts are expected on any units.
c. There are no work papers detailing expected changes in unit heat rates with the addition of emission control projects.
Witness) Robert W. Berry
The following is a list of the most important and frequently used terms in the field of computer science. It is intended to provide a quick reference for those who need to understand these concepts.
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: A collection of data organized in a structured manner so that it can be accessed, managed, and updated efficiently.
4. Encryption: The process of converting information into a coded form to prevent unauthorized access.
5. Hashing: A method of converting data into a fixed-size string of characters, typically used for data integrity checks.
6. Interface: A boundary between two systems or components that allows them to communicate with each other.
7. Protocol: A set of rules and procedures that govern the interaction between different systems or components.
8. Security: The measures taken to protect data and systems from unauthorized access, modification, or destruction.
9. Software: A collection of instructions and data that directs a computer to perform specific tasks.
10. System: A collection of hardware and software components that work together to achieve a common goal.
These terms are fundamental to understanding the principles and practices of computer science, and they are widely used in various fields such as programming, networking, and cybersecurity.
Item 7) Refer to p. 27 line 18 to p. 28 line 3 of the testimony of Robert Berry.
a. State whether the Company is aware of the President’s statement dated September 2011 on the delay of the ozone NAAQS to 2013?
b. Please explain, in detail, the discrepancy between the President’s commitment to reconsider the ozone standard in 2013 and the Company’s assertion that “potential NAAQS reductions are not expected to be published until 2016.”
c. State whether the Company is aware of the “Draft Regulatory Impact Analysis Final National Ambient Air Quality Standard for Ozone” issued by the EPA, dated July 2011 (http://www.epa.gov/airquality/ozonepollution/pdfs/201107OMBdraft-OzoneRIA.pdf)?
d. At what level does the Company expect new primary ozone NAAQS, if issued, to be set (in parts per million)?
Response to the Sierra Club’s Second Request for Information Dated June 22, 2012
July 6, 2012
Response)
a. Big Rivers is aware of the President’s statement regarding delay of the ozone National Ambient Air Quality Standard (“NAAQS”) to 2013.
b. States have up to 3 years after the promulgation of a national primary or secondary air quality standard to adopt the standard in a state implementation plan under Title 42 §7410. Thus, if the ozone NAAQS is finalized during 2013 and the full 3 years are available to the state, it is reasonable to expect a compliance date after 2016.
c. Big Rivers is aware of the Regulatory Impact Analysis.
d. It is expected that the 8-hour primary ozone NAAQS, if issued, will be set between 60 to 70 ppb as indicated in Section 3.5.2 of Appendix 4 of Exhibit DePriest-2 of the Direct Testimony of William DePriest (Application Exhibit 5), consistent with what the United States Environmental Protection Agency (“EPA”) proposed in January 2010.
Witnesses) Thomas L. Shaw (a., b., and c.) and William DePriest (d.)
Item 8) Refer to p. 27 line 18 to p. 28 line 3 of the testimony of Robert Berry, and to the responses to SC 1-19 and SC 1-20:
a. If more stringent ozone NAAQS reductions are indeed promulgated in 2016 and require compliance by 2018, would BREC apply for a CPCN from the Commission for any required emissions control projects?
b. If so, when does the Company expect it would need to file its application?
c. Would BREC expect to recover capital cost expenditures incurred as a result of ozone NAAQS compliance?
d. Has BREC quantified the rate increase that might be expected if advanced low NOx burners are installed at the Coleman units? If so, please identify the expected rate increase resulting from installation advanced low NOx burners at the Coleman units.
e. Please provide any work papers that detail the calculations behind the expected rate increase associated with the advanced low NOx burners at the Coleman units.
f. Has BREC quantified the rate increase that might be expected if an SCR is installed at Green Unit 1? If so,
g. Please provide any work papers that detail the calculations behind the expected rate increase associated with the installation of an SCR at Green Unit 1.
Response)
a. The need to apply for a Certificate of Public Convenience and Necessity (“CPCN”) would be contingent upon the details of the final NAAQS ozone limits, which are unknown at this time.
b. If a CPCN is required, Big Rivers would file its application once it has more certainty as to the requirements of the new regulation.
c. Yes.
d. Big Rivers has not quantified the rate increase associated with installing low NO\textsubscript{x} burners at its Coleman Plant.
e. Not applicable.
f. Big Rivers has not quantified the rate increase associated with installing an SCR on its Green Unit 1.
g. Not applicable.
Witness) Robert W. Berry
Item 9) Refer to the Company’s response to SC 1-35:
a. For what purpose did the Company choose to retrofit the burners at HMP&L 1 & 2 and Wilson? Please provide a detailed description.
b. Please provide citations to regulatory requirements or other decisions requiring such retrofits.
c. Please provide air and construction permits issued by the Kentucky Department for Environmental Protection (KY DEP).
d. Please provide applications or notices provided by the Company to the KY DEP requesting such permits.
e. Please provide documentation and/or workpapers supporting the decision to retrofit the burners at HMP&L 1 & 2, and Wilson. Provide any spreadsheets in original, electronic format.
f. Please provide the schedule associated with the capital expenditures for the low NOx burner (LNB) upgrades at the HMP&L and Wilson units, by year and by unit, which gives a timeline detailing capital that has already been
spent, as well as capital that has yet to be spent. Please provide schedule in electronic spreadsheet form.
g. Please provide a schedule of cancellation fees for the LNB projects.
h. What percentage of capital expenditures could be avoided if the HMP&L and/or Wilson LNB projects were to be canceled as of July 1st, 2012?
i. What percentage of capital expenditures could be avoided if the HMP&L and/or Wilson units were to retire in 2013?
j. What percentage of capital expenditures could be avoided if the HMP&L and/or Wilson units were to retire in 2015?
Response)
a. At HMP&L (“Station Two”) Units 1 and 2, Big Rivers is currently firing higher BTU coal mixtures (12,200 btu/lb) with primary air supply pressure set higher than normal in order to achieve full net rated capacity. In this situation, the boilers are not operating optimally from an energy efficiency standpoint. The existing low NO\textsubscript{x} burners (“LNBs”) create high air flow velocities within the furnace resulting in flame impingement on the waterwalls and superheater elements of the boiler. This
flame impingement causes undue tube wear and reduces the life of the furnace. The high velocities also contribute to poor or incomplete combustion, which results in high loss of ignition ("LOI"), heavy slagging, and opacity issues. To solve this issue, Big Rivers plans to replace the existing LNBs with ones that have a better, more efficient design, which will allow Big Rivers to fire lower BTU coal mixture (~11,400 Btu/lb) with lower primary air supply pressure in order to achieve the same energy output while decreasing combustion byproducts (CO, HCs, NOx, etc.).
At Wilson, the existing LNBs in the Wilson boiler are very high maintenance equipment and need to be replaced every four years, whereas the normal life expectancy of typical LNBs is at least fifteen years. The Wilson boiler is currently operating with two burners out of service due to premature failure, awaiting the next maintenance outage to replace them. Operating the boiler at full net rated capacity with two burners out of service produces some efficiency loss. Big Rivers plans to replace the existing burners at the next normal cycle with LNBs that have a better, more efficient design in an effort to reduce future maintenance cost and improve boiler efficiency.
Case No. 2012-00063
Response to SC 2-9
Witnesses: Robert W. Berry (a., e. through j.) and Thomas L. Shaw (b., c., and d.)
b. There were no regulatory requirements requiring Big Rivers to replace the burners. It was a financial decision.
c. There are none. No such permits were required for the retrofit.
d. See part c, above.
e. Please see the files provided in the folder labeled “SC 2-9e – LNB WPs” provided on the CONFIDENTIAL USB drive accompanying these responses, and submitted with a Petition for Confidential Treatment, for the Business Case, Financial Analysis, New Source Review Routine Maintenance Repair and Replacement Analysis, and the Authorization for Investment Proposal for the HMP&L LNB project. These documents have not yet been prepared for the Wilson project.
f. The new LNBs were installed in HMP&L Unit 1 in May 2012 at a cost of approximately $1.5 million. The new LNBs are scheduled to be installed in HMP&L Unit 2 in April 2013 and are also budgeted at $1.5 million. The new LNBs are scheduled to be installed in the Wilson boiler in October 2015 at a budgeted cost of $8 million. A $2 million milestone payment is due in October 2014, and the final payment of $6 million is budgeted for October 2015.
g. There are currently no burners on order, and as such, there currently are no cancellation fees that Big Rivers is subject to for the LNB projects.
h. 82.4% ($7 million) of the capital expenditures budgeted for the LNB projects could be avoided if the HMP&L Unit 2 and Wilson LNB projects were cancelled as of July 1, 2012. ($1.5 million has already been spent.)
i. If the decision to retire HMP&L Unit 2 and Wilson is made before September 2012, 82.4% of the capital expenditures budgeted for the LNB projects can be avoided. After September 2012, Big Rivers may be committed to spend up to $1.5 million depending on the terms of the purchase contract for the HMP&L Unit 2 LNBs. Thus, depending on the terms of the purchase agreement, somewhere between 82.4% and 64.8% of the capital expenditures budgeted for the LNB projects can be avoided if HMP&L Unit 2 and Wilson are retired in 2013.
j. If the decision to retire Wilson Unit 1 is made before October 2014 and HMP&L Unit 2 is not retired, 64.8% of the capital expenditures budgeted for the LNB projects can be avoided. After October 2014 but before October 2015, Big Rivers may be committed to spend up to $2.5 million depending on the terms of
the purchase contract for the Wilson Unit 1 LNBs. Thus, depending on the terms of the purchase agreement somewhere between 64.8% and 35.3% of the capital expenditures budgeted for the LNB projects can be avoided if the decision to retire Wilson is made prior to October 2015. If the decision to retire Wilson Unit 1 is made after October 2015, 0.0% of the capital expenditures can be avoided.
Witnesses) Robert W. Berry (a., e. through j.) and Thomas L. Shaw (b., c., and d.)
Item 10) Refer to Company’s response to SC 1-40:
a. With respect to ESP upgrades:
i. When does BREC expect to test the effect of dry sorbent injection on ESP performance? If BREC does not expect to conduct such a test, explain why not.
ii. If ESP upgrades are in fact required at any of BREC’s units, does the Company expect to apply for a CPCN from the Commission for these projects?
iii. If BREC expects to apply for a CPCN for such ESP upgrades, when does the Company expect it would need to file its application?
iv. Would BREC expect to recover capital cost expenditures incurred as a result of ESP upgrades?
v. Has BREC quantified the rate increase that might be expected if ESP upgrades are necessary?
vi. Please identify the expected rate increase resulting from any ESP upgrades.
vii. Please provide any work papers that detail the calculations behind the expected rate increase associated with the ESP upgrades.
b. With respect to polishing baghouse technology:
i. If BREC determines that ESP upgrades are still not sufficient for MATS compliance at one or more units, does the Company plan to evaluate polishing baghouse technology?
ii. If BREC determines that a polishing baghouse is necessary at one or more units, does the Company expect to apply for a CPCN from the Commission?
iii. If BREC expects to apply for a CPCN for such polishing baghouse upgrades, when does the Company expect it would need to file its application?
iv. Would BREC expect to recover capital cost expenditures incurred as a result of polishing baghouse upgrades?
v. Would BREC expect to recover capital cost expenditures incurred as a result of polishing baghouse installation?
vi. Has BREC quantified the rate increase that might be expected if a polishing baghouse is necessary at one or more units?
vii. Please identify the expected rate increase resulting from any polishing baghouse installations.
viii. Please provide any work papers that detail the calculations behind the expected rate increase associated with a polishing baghouse at one or more units.
c. With respect to full baghouse technology:
i. If BREC determines that ESP upgrades are still not sufficient for MATS compliance at one or more units, does the Company plan to evaluate full baghouse technology?
ii. If BREC determines that a full baghouse is necessary at one or more units, does the Company expect to apply for a CPCN from the Commission?
iii. If BREC expects to apply for a CPCN for such full baghouse upgrades, when does the Company expect it would need to file its application?
iv. Would BREC expect to recover capital cost expenditures incurred as a result of full baghouse upgrades?
v. Would BREC expect to recover capital cost expenditures incurred as a result of full baghouse installation?
vi. Has BREC quantified the rate increase that might be expected if a full baghouse is necessary at one or more units?
vii. Please identify the expected rate increase resulting from any full baghouse installations.
viii. Please provide any work papers that detail the calculations behind the expected rate increase associated with a full baghouse at one or more units.
Response)
a. i. Big Rivers expects to test the effect of dry sorbent injection systems during the 4th quarter of 2012.
ii. Yes.
iii. Any filing would come after Big Rivers tests the effect of dry sorbent systems and determines there is a need for such a system. If required, the filing is not anticipated to occur until early 2013.
iv. Yes.
v. No.
vi. Not applicable.
vii. Not applicable.
b.
i. Yes.
ii. Yes.
iii. Any filing would come after Big Rivers determines there is a need for such a system. If required, the filing is not anticipated to occur until early 2013.
iv. Yes.
v. Yes.
vi. No.
vii. Not applicable.
viii. Not applicable.
c.
i. Yes.
ii. Yes.
iii. Any filing would come after Big Rivers determines there is a need for such a system. If required, the filing is not anticipated to occur until early 2013.
iv. Yes.
v. Yes.
vi. No.
vii. Not applicable.
viii. Not applicable.
Witness) Robert W. Berry
Item 11) Refer to your response to Staff 1-3:
a. Are the market energy purchases that will be made during the time Wilson is offline taken into account in BREC’s calculations of revenue requirements and NPVRR?
b. Please provide the quantities of market purchases and associated prices that are expected to occur while Wilson is offline.
Response)
a. Yes. All of the planned outages at Wilson are included in the data input into the ACES Power Marketing (“APM”) Planning and Risk (“PaR”) model, along with the conventional inclusion of a forced outage rate for modeling unplanned outages at Wilson. The PaR model then incorporates any Wilson outages into the dispatch. The PaR model reflects the fact that Big Rivers sells all of its generation into the Midwest Independent Transmission System Operator, Inc. (“MISO”) market and purchases all of the energy needed to meet its load from the MISO market. All of the costs from the PaR runs are then included in the cost-effectiveness evaluations referenced in the direct testimony of
Mark A. Hite and provided electronically on April 26, 2012, with Big Rivers’ response to KIUC’s Motion to Dismiss. Thus, because (i) any Wilson outages are included in the model runs, (ii) Big Rivers purchases all of its energy requirements from MISO, and (iii) the costs determined in the PaR model are incorporated into Big Rivers’ cost-effectiveness evaluation, then any market energy purchases made during any Wilson outages are included in Big Rivers’ determination of revenue requirements and NPVRR. Note that Wilson is not expected to be offline any additional time for the new scrubber retrofit. Big Rivers will make the necessary Wilson scrubber tie-ins during the normal planned outage cycle and during opportunities while Wilson may be offline for a forced outage or poor market conditions.
b. As noted above, Big Rivers purchases all of the energy needed to meet its load from the MISO energy market. The PaR model reflects this by dispatching Big Rivers’ units against the wholesale energy price and by purchasing energy at market prices up to the amount needed to serve Big Rivers’ load. Because Big Rivers purchases all of its load every hour from
MISO, unit outages have no impact on the amount of energy purchased.
Witnesses) Robert W. Berry and Mark A. Hite
Item 12) Refer to your response to Staff 1-37:
a. Are the market energy purchases that will be made during the time the BREC units are offline taken into account in BREC’s modeling and calculations of revenue requirements and NPVRR?
b. Please provide the quantities of market purchases and associated prices that are expected to occur while the BREC units are offline.
Response)
a. and b.
Please see Big Rivers’ response to Item 11 of these responses.
Witnesses) Robert W. Berry and Mark A. Hite
Item 13) Refer to your response to Staff I-19, which states that “there is no capital cost component associated with increasing the limestone quality”:
a. State whether there is an O&M cost component associated with increasing the limestone quality.
b. If so, is that included in the O&M cost estimate shown in Exhibit Berry-2?
c. Please provide an estimate of the O&M cost of increasing the limestone quality, by year.
d. State whether limestone of better quality has been tested in the Coleman units to ensure that it does in fact improve the performance of the scrubber.
e. If so, please provide the results of those tests.
f. If not, explain why not.
Response)
a. Yes.
b. No.
c. The estimated O&M cost increases, from utilizing higher quality limestone at Coleman, are included in the model runs that have been previously provided.
d. Yes.
e. Tests of different limestone quality and suppliers are currently being conducted at Coleman. Final results are not available but preliminary results have shown about a 1% improvement in SO₂ removal efficiency. During the first three - four years of operation, higher quality limestone was blended with lower quality stone for the Coleman scrubber. Due to economics, the higher quality stone was phased out and 100% of the lower quality limestone was utilized. There were no formal tests performed, but the table below displays the last five years of Coleman scrubber SO₂ removal efficiency (figures do not include any scrubber bypass emissions).
| Year | 2007 | 2008 | 2009 | 2010 | 2011 |
|------|------|------|------|------|------|
| FGD SO₂ Removal Efficiency (%) | 98.7 | 97.7 | 97.5 | 95.9 | 96.1 |
f. Not applicable.
Witness) Robert W. Berry
Item 14) Refer to p. 8 lines 4-11 of the testimony of William DePriest, which describes the types and quantities of projects for which S&L has provided, or is providing, engineering services.
a. State whether S&L is providing or has provided engineering services for any projects relating to the Coal Combustion Residuals rule.
b. If so, how many?
c. If not, how many utilities have asked S&L for estimates of the expected cost of compliance with the CCR rule?
d. State whether S&L is providing or has provided engineering services for any projects relating to the 316(b) rule?
e. If so, how many?
f. If not, how many utilities have asked S&L for estimates of the expected cost of compliance with the 316(b) rule?
Response)
a. Yes.
b. Twenty-four.
c. Not applicable.
d. Yes.
e. Twenty.
f. Not applicable.
Witness) William DePriest
Item 15) Refer to p. 15 lines 11-22 of the testimony of William DePriest, which recommends low NOx burners at the Coleman units in order to reduce the burden of purchasing allowances to comply with CSAPR, but states that “future allowance pricing will play a role in whether this recommendation is exercised.”
a. When does BREC expect to make a decision as to whether low NOx burners will be installed at the Coleman units?
b. What is the allowance price at which BREC believes low NOx burners on the Coleman units become the more economic choice for NOx compliance?
Response)
a. All three Coleman units have low NOx burners with overfire air (OFA) systems installed. Mr. DePriest was referring to advanced low NOx burners where NOx emit rates would be lower. In Coleman’s case, the NOx emit rates would improve 10% from the current NOx emit rate of 0.33 lb/MMBtu to 0.30 lb/MMBtu. Big Rivers currently has no plans to install advanced NOx burners at Coleman.
Big Rivers will be compliant in NO\textsubscript{x} emissions after the Green 2 SCR is in operation. A 10% reduction in NO\textsubscript{x} emit rate from Coleman will lower emissions by 550 NO\textsubscript{x} tons per year. The budget estimate to install advanced low NO\textsubscript{x} burners at Coleman is $4.5 million. In order to achieve a two year pay back, the NO\textsubscript{x} allowance prices would need to average over $4,000 per ton ($4,500,000 / 2 years / 550 tons = $4,090 per NO\textsubscript{x} ton).
b. See also “Break Even Credit Cost” on tab “NPV (Tech)” of S&L Excel spreadsheet “Capital & O&M.xls” and Tables 5-4 and 5-5 in Exhibit DePriest-2 attached to the Direct Testimony of William DePriest (Application Exhibit 5).
Witnesses) Robert W. Berry (a. and b.) and William DePriest (b.)
Item 16) Refer to p. 20 lines 13-16 of the testimony of William DePriest, which states that BREC will have the option of purchasing NOx compliance allowances in lieu of using low NOx burners at the Coleman units. Are these NOx allowance purchases taken into account in BREC’s modeling and calculations of revenue requirements and NPVRR?
Response) Yes.
Witness) Mark A. Hite
Item 17) Refer to p. 21 lines 12-23 of the testimony of William DePriest, which states that the Wilson FGD and Green 2 SCR projects will not be completed in time to meet current CSAPR requirements in 2014.
a. Has BREC quantified and modeled the SO2 and NOx allowances that it expects to have banked in 2014?
b. Has BREC quantified and modeled the SO2 and NOx allowances that it expects to need to purchase from 2014 until the time these projects are completed?
c. Does BREC expect that the emissions control projects necessary to comply with the MATS rule will be completed by the compliance deadline?
d. If not, how does BREC expect to comply with the MATS rule?
Response)
a. Yes, the SO2 and NOx allowance surplus and deficits are identified in the Production Cost Model (Big Rivers 2012-2026 (CAIR) Base Case exhibits determin (2-2-12).xlsx). Plant emissions, allowances allocated, and emission pricing from the
Production Cost Model are fed into the PCM tab lines 81 through 94 of the financial model net of the City of Henderson’s share of HMP&L Station 2. Tracking of allowances banked, purchased, and sold can be found on lines 98 through 117 of the PCM tab of the financial model. An effort was made to maintain the same allowance bank at the end of the 15-year period as existed in the beginning in each scenario so that the scenarios are comparable. The current delay in the CSAPR regulation has created uncertainty as to the actual implementation date of Phase I and Phase II of the CSAPR regulations.
b. Please see part a, above.
c. Yes. Big Rivers fully expects to have MATS emission control projects completed in time to meet the MATS compliance deadline.
d. Not applicable.
Witnesses) Robert W. Berry,
Mark A. Hite, and
Brian J. Azman
Item 18) Refer to Exhibit DePriest-2, page 5-1, which states that capital cost estimates for emission control projects do not include owner costs or AFUDC.
a. Please provide estimates of owner costs for each of the emission control projects examined by Sargent & Lundy in this study, including those not selected by BREC for installation.
b. Please provide estimates of AFUDC for each of the emission control projects examined by Sargent & Lundy in this study, including those not selected by BREC for installation.
Response)
a. Estimates of owner’s cost for the capital projects are shown in the table on the following page. These amounts were considered to be part of the contingency included in the S&L estimates.
The total amount represents 2.9% of the overall cost estimate. Big Rivers has not calculated Owners Costs for those projects not selected for the 2012 ECP.
b. Please see Big Rivers’ response to Item 3 of these responses for total Interest Charged to Construction (i.e., capitalized interest) on the 2012 Environmental Compliance Plan projects selected by Big Rivers for installation. Big Rivers has not calculated...
capitalized interest on the environmental compliance plan projects not selected for installation.
Witnesses) Robert W. Berry and William DePriest
Item 19) Refer to p. 9 line 18 of the testimony of John Wolfram, which lists “emissions allowance expense” as one of the cost components to be included in BREC’s proposed ES tariff rider.
a. Please provide all work papers that demonstrate how BREC quantified the amount of emissions allowances it expects to purchase and the associated cost.
b. What does BREC plan to do if the emissions allowance expense is much higher than anticipated?
c. What does BREC plan to do if the emissions allowance expense is much lower than anticipated?
Response)
a. The assumption in the APM planning models was that Big Rivers would not bank allowances. In other words, emissions would comply with the SO₂ and NOₓ limits, either through added control equipment or by capping generation at emission allowances allocated plus allowances purchased up to the variability limit.
b. and c.
From an operations perspective, Big Rivers actively manages its allowances as part of its Energy Services operation. As the cost
of emission allowances varies, Big Rivers will manage its dispatch and its allowance inventory in an effort to optimize the economics of its allowance portfolio. From a planning perspective, Big Rivers will continue to monitor allowance costs, both actual and forecast, and will incorporate any changes into its planning processes.
Witness) Robert W. Berry
Item 20) Refer to the December 11, 2011 Financial Statement of Big Rivers, provided as an attachment to response AG 1-37: Please explain why the fuel cost seen in the Statements of Operations increases by over 250% from 2009 to 2010.
Response) In Case No. 2007-00455, the Commission granted approval of the “Unwind Transaction,” whereby Big Rivers resumed operational control of its owned and leased generating facilities, and which became effective at midnight on July 16, 2009. Upon the closing of the Unwind Transaction and up until Big Rivers integrated into MISO in December 2010, Big Rivers began generating the majority of its own power requirements. Prior thereto, during the term of E.ON lease agreements, Big Rivers purchased all its power requirements, primarily from Western Kentucky Energy Corp., an E.ON affiliate. At the close of the Unwind Transaction, Big Rivers assumed the power supply obligation for Kenergy's two large aluminum smelter loads, Century and Rio-Tinto Alcan, the majority of which had been provided by E.ON parties. Accordingly, Big Rivers’ fuel for electric generation in 2009 reflects only 168 days, whereas the amount for 2010 represents the entire year, or 365 days. Also due to the closing of the Unwind Transaction, 2010 sales of surplus power to non-members increased over 2009. Additionally, non-smelter member MWh sales in 2010 increased over 2009 due to the hot summer weather.
Witness) Mark A. Hite
Item 21) Refer to your response to AG 1-55. Please explain why there was the need for a 3% rate increase in “buy” scenario, but not in the “build” scenario to meet the TIER requirement.
Response) The Build Case and the Buy Case have comparable off-system sales prices. However, off-system sales volume is much lower in each year (2012 through 2026) in the Buy Case, resulting in lower off-system sales revenue. Because off-system sales revenue is lower in the Buy Case, a 3% member base rate increase was made effective August 1, 2012, to maintain a 1.24 TIER.
Witnesses) Mark A. Hite
The 2016-2017 school year was a very successful one for the students and staff at the University of Maryland Eastern Shore. The University continued to grow in enrollment, research, and service to the community. The University also continued to receive national recognition for its academic programs and student success.
The University of Maryland Eastern Shore is committed to providing a high-quality education that prepares students for success in their chosen fields. The University offers a wide range of academic programs, including undergraduate and graduate degrees, as well as certificate programs. The University also has a strong focus on research and innovation, with many faculty members engaged in cutting-edge research projects.
The University of Maryland Eastern Shore is located in Princess Anne, Maryland, and is part of the University System of Maryland. The University has a rich history dating back to 1896, when it was founded as a land-grant institution. Today, the University is home to over 3,500 students and employs more than 400 faculty and staff members.
The University of Maryland Eastern Shore is dedicated to providing a supportive and inclusive environment for all students. The University offers a variety of resources and services to help students succeed, including academic advising, career counseling, and financial aid. The University also has a strong commitment to diversity and inclusion, and is committed to creating an environment where all students feel welcome and valued.
The University of Maryland Eastern Shore is proud of its accomplishments and looks forward to continuing to provide a high-quality education to its students. The University is committed to preparing students for success in their chosen fields and to making a positive impact on the community.
Item 22) Refer to your response to Staff 1-31. Please comment on how a 1.1 TIER would affect the results of the 2012 Compliance Plan, instead of the 1.24 TIER currently being used.
Response) Using a 1.10 TIER rather than the proposed 1.24 TIER would reduce the RORB component of the Environmental Surcharge by $2.3 million in 2016 (this difference decreases slightly each year thereafter as environmental compliance plan net utility plant balance decreases). In the Build Case, the smelters are not projected to be at the ceiling of the TIER Adjustment Charge in 2016 and beyond. Therefore, any portion of the $2.3 million that is not allocated to the members via the environmental surcharge (e.g., $2.0 million in 2016) would be collected entirely from the smelters via an increase in the TIER Adjustment Charge, allowing Big Rivers to achieve the 1.24 contract TIER. In the event the smelters were at the ceiling of the TIER Adjustment Charge and Big Rivers’ earnings were projected to fall below the 1.10 MFIR requirement in its loan documents, Big Rivers’ would seek a base rate increase to achieve the overall 1.24 TIER.
Witness) Mark A. Hite
Item 23) Refer to your response to KIUC 1-33, which mentions three different sets of forward power prices. Please state which power prices were used and in which section of the analysis, referencing any specific spreadsheet workbooks that have already been provided, and producing any spreadsheet workbooks that have not yet been provided.
Response) The APM planning model cases that utilized the Pace Global (“Pace”) energy price forecast and the APM planning model cases that utilized the APM energy price forecast are both listed in Big Rivers’ response to Item 6 of Kentucky Industrial Utility Customers, Inc.’s Second Request for Information. There were no production cost or financial model sensitivity runs using the IHS energy price forecast. Copies of all sensitivity runs inputs and output files have been provided previously on the USB drives Big Rivers filed in this proceeding.
Witness) Robert W. Berry
Item 24) Refer to Table 5-8 of Exhibit DePriest-2. Please provide any spreadsheets, modeling and calculations associated with the analysis behind the “Break Even” natural gas price for conversion of the Reid 1 or Green 1 & 2 units.
Response) Excel’s “Goal Seek” function was used to determine the natural gas price at which the net present value, including CSAPR allocation costs, reached $0. The function was executed using data provided in “NPV (Tech)” and “Fuel Cost” tabs of the Excel file named “Capital & O&M,” which is contained in the “Sargent & Lundy Production to Big Rivers” folder on the USB drive Big Rivers filed confidentially on June 14, 2012, in this proceeding.
Witness) William DePriest
Item 25) Please describe the treatment of off-system sales and purchases in the analyses of both ACES Power Marketing and Sargent & Lundy. Specifically, give the tie line capacity limit for economy energy sales and purchases between Big Rivers and the MISO external market by month and year that was used to help determine off-system sales.
Response) APM modeled Big Rivers’ portfolio as part of MISO. As such, all generation is sold at its LMP to MISO, and all load is purchased at its LMP from MISO. There were no limits (except for capacity of the generation and peak load) on these purchases or sales.
The ability to sell outside of MISO was not considered, as this transaction would be priced at the MISO-export LMP vs the outside market’s price. As such, generation cost is not a factor in whether this transaction would add margin.
Witness) Brian J. Azman
Item 26) Does Big Rivers currently have an interruptible agreement with the smelters or any other large commercial or industrial customers to reduce load in event of an emergency or at times of high peak demand?
a. If not, has Big Rivers ever considered such a program that would allow it to avoid some built capacity of electric generating facilities? Produce any analysis of such a program.
b. If so, please provide the current or expected impacts of those agreements in energy reductions, peak demand reductions and cost savings, both annual and monthly throughout the time period analyzed during the study.
Response) While the agreements with the smelters have a provision for interruptible energy, the associated terms and conditions do not provide a reliable method for reduction in smelter load. Big Rivers’ tariff has a Voluntary Price Curtailable Service Rider (“CSR”) for customers of Big Rivers’ members capable of curtailing at least 1,000 kW of load. Use of the CSR is subject to Big Rivers and the customer agreeing to terms and conditions for curtailment.
a. Not applicable.
Currently, no impact is expected from the CSR. Current and projected power prices are insufficient to compel a customer to curtail its load.
Witness) Robert W. Berry
Item 27) With regards to the load forecast used in your application and supporting analyses:
a. Please provide the BREC load forecast, by month and year for both peak and energy requirements relied upon by ACES in its modeling analysis of the BREC units.
b. State whether any other BREC load forecast was used in any portion of your application or supporting analyses.
i. If so, identify and explain the differences between the load forecasts that were used.
c. For each load forecast used in your application or supporting analyses:
i. State what month and year the load forecast was developed.
ii. Produce the load forecast and any supporting analyses, worksheets, and modeling files.
iii. Please provide a description of the models, methods, data and key assumptions used to develop the load forecast.
iv. State whether the load forecast reflects the projected impacts of any DSM programs? If so, please identify each specific DSM program, the quantity of
reductions from DSM embedded in the load forecast, and the basis for the quantity of reductions assumed, and produce any work papers regarding such reductions.
v. State whether the load forecast reflects the projected impact of any federal efficiency standards or programs. If so, please identify each specific federal efficiency standard or program, the quantity of reductions in forecasted load resulting from those standards and programs, and the basis for the quantity of reductions assumed, and produce any work papers regarding such reductions.
d. Produce Big Rivers’ most recent load forecast, along with any supporting analyses, work papers, or modeling files.
Response)
a. The Big Rivers load forecast that was used for the APM modeling has already been provided. See the Excel file “BRECMISOmonthlyLoadForecast2012-01.xlsm” on the CONFIDENTIAL USB drive Big Rivers filed on June 21, 2012.
b. No other load forecast data was used.
c.
i. The load forecast was updated in January 2012. The forecast that the January 2012 update is based on was developed in 2011 and finalized in August 2011.
ii. The August 2011 Load Forecast documents for Big Rivers and the City of Henderson, associated underlying work/modeling files and the January 2012 spreadsheet update are being provided on two separate USB drives. One USB drive is accompanying these responses. The second USB drive is CONFIDENTIAL and Big Rivers is submitted it with a Petition for Confidential Treatment. Note the underlying work work/modeling files are included under a petition for confidentiality.
iii. Please see the August 2011 Big Rivers Load Forecast document provided in part c. subpart ii. of this response. The January 2012 load forecast used for the ACES modeling is an update of the biennial load forecast required by the United States Department of Agriculture Rural Utilities Service (“RUS”). Monthly updates are typically made to reflect changes in projected large industrial or smelter load. This is done because each month MISO
requires Big Rivers to submit a monthly load forecast for the next three years in addition to meeting the MISO resource adequacy requirement on a monthly basis.
iv. Section 6.5 of the August 2011 Load Forecast reflects projected impacts from energy efficiency programs that were being contemplated at the time the load forecast was being prepared in 2011, but were not reflected in forecasted load data values. These programs are only now being implemented in 2012, and as such, the level of participation and actual impacts are not presently known to a degree that would be prudent to reflect in load forecast values.
v. The load forecast does not explicitly include projected impacts of federal efficiency standards or programs. These impacts are reflected indirectly to the extent they impact historical load data and economic forecast data.
d. See the data supplied in part c. subpart ii. of this response.
Witness) Robert W. Berry
Item 28) Refer to your response to SC 1-2 and KIUC 1-26:
a. Identify the current unamortized plant balance for each of Big Rivers’ coal-fired generating units.
b. Identify the projected unamortized plant balance as of January 1, 2016 for each of Big Rivers’ coal-fired generating units.
c. Identify the estimated salvage value for each of Big Rivers’ coal-fired generating units.
Response)
a. Please see the attached schedule. Note that Big Rivers does not account for plant balances by generating unit, only by generating station.
b. Please see the attached schedule. Note that the values therein do not assume any additions or retirements after May 31, 2012.
c. Big Rivers has not determined an estimated salvage value for its generating units, and it is not aware of a universally-accepted method for doing so. Typically the salvage value is less than or equal to the demolition cost.
Witnesses) Mark A. Hite (a. and b.) and Robert W. Berry (c.)
## Net Book Value (Undepreciated/Unamortized Plant Balance)
May 31, 2012
| Account | Reid | Coleman | Green | Wilson | HMPL | Common |
|---------|---------------|---------------|---------------|---------------|---------------|---------------|
| | | | | | | Reid/HMPL |
| | | | | | | Reid/Green/HMPL |
| 311 | $ (103,737.83)| $ 2,573,638.72| $ 6,100,697.67| $ 31,707,039.44| $ 460,983.90 | $ 482,864.92 |
| 312 | 1,174,854.30 | 41,116,381.88 | 53,730,083.35 | 179,102,822.72| 16,005,239.38 | 2,353,536.11 |
| 312-Env | 3,012,307.28 | 107,829,217.93| 42,783,131.49 | 132,207,252.80| 48,168,273.22 | 1,794,115.77 |
| 312-EnV | - | 613,788.23 | - | 5,852,843.60 | 3,901,916.28 | - |
| 312-SL | 21,945.95 | 370,932.46 | 149,540.91 | - | 105,404.29 | - |
| 314 | 434,020.73 | 13,044,512.20 | 17,264,888.99 | 58,728,412.33 | 3,988,579.00 | 243,548.68 |
| 315 | 430,414.31 | 3,017,011.83 | 3,896,027.44 | 15,980,265.90 | 164,437.07 | - |
| 316 | 1,151.51 | 1,133,022.30 | 1,077,654.08 | 1,192,288.71 | 381,757.30 | 391,006.30 |
| **Total** | **$ 4,970,956.25** | **$ 169,084,716.82** | **$ 125,615,812.16** | **$ 424,770,925.50** | **$ 73,176,590.44** | **$ 5,265,071.78** |
Grand Total: $ 804,070,734.09
| Account | Reid | Coleman | Green | Wilson | HMPL | Reid/HMPL | Reid/Green/HMPL |
|---------|---------------|---------------|---------------|---------------|---------------|---------------|-----------------|
| 311 | $ (263,782.54)| $ 1,616,312.02| $ 4,776,079.66| $ 28,080,849.01| $ 433,972.59 | $ 453,000.13 | $ 657,528.86 |
| 312 | 676,407.33 | 35,687,798.29 | 42,515,158.32 | 151,951,268.65| 14,746,435.88 | 2,172,309.60 | 286,404.80 |
| 312-Env | 2,588,788.32 | 97,769,021.35 | 33,380,197.50 | 110,649,527.88| 42,586,397.21 | 1,634,294.23 | 9,445.32 |
| 312-SL Env | - | - | - | 88,501.09 | 554,569.36 | 281,667.59 | - |
| 312-SL | 9,693.10 | 158,157.71 | 63,012.01 | - | 44,898.99 | - | - |
| 314 | 139,915.35 | 10,775,811.99 | 13,276,066.23 | 49,905,946.67 | 3,600,611.50 | 225,779.48 | 19,789.02 |
| 315 | 323,854.29 | 2,399,122.47 | 2,748,667.90 | 13,477,570.01 | 150,828.00 | - | - |
| 316 | 985.10 | 971,340.58 | 923,460.38 | 1,022,287.35 | 326,863.07 | 335,018.15 | 84,755.68 |
| **Total** | $ 3,485,860.95 | $ 149,377,564.41 | $ 97,771,743.09 | $ 355,642,018.93 | $ 62,171,674.83 | $ 4,820,351.59 | $ 1,087,923.68 |
Grand Total: $ 674,357,137.48
Item 29) Refer to your response to SC 1-16a. For each year through 2026, identify the size in kWh of the energy shortfall that would need to be filled if Big Rivers’ coal fleet operated at a capacity factor of 62%.
Response) At a capacity factor of 62%, Big Rivers’ coal fleet would generate 9,150,000,000 kWh. Please see the table below displaying the energy shortfall in kWh for each year through 2026.
| Year | Energy Shortfall, kWh |
|--------|-----------------------|
| 2013 | 1,861,069,770 |
| 2014 | 1,899,782,140 |
| 2015 | 2,053,166,790 |
| 2016 | 2,116,384,110 |
| 2017 | 2,134,770,770 |
| 2018 | 2,162,734,410 |
| 2019 | 2,191,477,520 |
| 2020 | 2,249,921,990 |
| 2021 | 2,266,175,090 |
| 2022 | 2,305,877,530 |
| 2023 | 2,347,919,430 |
| 2024 | 2,406,153,890 |
| 2025 | 2,427,561,570 |
| 2026 | 2,465,681,730 |
Witness) Robert W. Berry
Item 30) Refer to your response to SC 1-17.
a. Identify any coal-fired electric generating units that have achieved an average SO2 removal of at least 99% over a 30-day or 12-month period through the use of a wet FGD.
b. Produce any continuous emissions monitoring (“CEMs”) data demonstrating achievement of at least 99% SO2 removal at a coal-fired electric generating unit through use of a wet FGD.
c. Produce any wet FGD vendor guarantees of at least 99% SO2 removal for a coal-fired electric generating unit.
d. Identify the annual estimated cost of additional SO2 allowance purchases if the wet FGD proposed for the Wilson plant achieves an annual average of 98% SO2 removal, rather than 99%.
Response)
a. Sargent & Lundy (“S&L”) is not aware of any emissions data that include “uncontrolled” SO2 emissions on a 30-day or 12-month basis. Without this data, percent removal of SO2 for an existing coal-fired power plant cannot be calculated.
b. To the best of S&L’s knowledge, continuous emissions monitoring (“CEMs”) data represents stack emissions and does not include “uncontrolled” FGD system inlet SO₂ data. Therefore, the information requested is not available.
c. Guarantees are offered by FGD vendors. Per Big Rivers’ response to Item 17 of the Sierra Club’s Initial Request for Information, information regarding 99% SO₂ removal can be found at the internet addresses provided in that response. Note that any guarantees from FGD system suppliers are typically very limited and subject to specific conditions and remedies.
d. As indicated in Table 5-9 of Exhibit DePriest-2 of the Direct Testimony of William DePriest, the FGD system at Wilson would generate a surplus of 2565 tpy of SO₂ allowances if operated at the design removal rate of 99% and given the assumptions made in the study. At 98% SO₂ removal, the Wilson FGD system would generate a surplus of approximately 1516 tpy of SO₂ allowances.
Because CSAPR is a cap-and-trade program, Big Rivers has the flexibility of operating its units such that system-wide emissions remain at or below available system-wide CSAPR allowance allocations, or it can either apply banked allowances from previous years or purchase additional allowances if the
system-wide emissions exceed the available CSAPR allowance allocations. In addition to the SO₂ removal efficiency achieved at the Wilson plant, several other operating variables go into this evaluation, including dispatch of all of Big Rivers’ units, projected annual capacity factors, SO₂ emissions from each unit and system-wide SO₂ emissions, as well as the availability of banked allowances. Therefore, additional SO₂ allowance purchases would not be required simply because the Wilson scrubber achieves an annual average SO₂ removal efficiency of 98% rather than its design removal efficiency of 99%.
Witness) William DePriest
Item 31) Refer to your response to SC 1-25(b). Produce the proposals “from Sargent & Lundy and other engineering firms for assistance on the projects listed in the Environmental Compliance Plan filing,” and describe the status of Big Rivers’ review of those proposals including when you plan to make a final decision on such proposals.
Response) Please see the proposals from Burns & McDonnell and Sargent & Lundy which are being submitted with a Petition for Confidential Treatment. Black & Veatch also submitted a proposal, but they have not given Big Rivers permission to release it, even under a Petition for Confidential Treatment. Also, please see Big Rivers’ response to Item 17 of the Kentucky Industrial Utility Customers’ Second Request for Information for an update on the status of the A/E selection.
Witness) Robert W. Berry
Item 32) Refer to your response to SC 1-33. For each year of 2012 through 2033, identify the projected level in MWh of off-system sales.
Response) This information can be found on the “monthly net market position” tab for each APM planning model exhibits file that has already been provided on the flash drives Big Rivers has filed in this proceeding. These off-system sales by year vary with each model run and its associated assumptions and inputs.
Witness) Robert W. Berry
Item 33) Refer to your responses to SC 1-36 and KIUC 1-7. For each of SO2, HCl, and mercury:
a. State whether the results from each stack test are reflective of the average 30-day emissions of each pollutant from each coal unit.
i. If so, explain how they are reflective.
ii. If not, explain why not.
b. State whether the results from each stack test are reflective of the average annual emissions of each pollutant from each coal unit.
i. If so, explain how they are reflective.
ii. If not, explain why not.
c. Produce the results of any other stack test for any of those pollutants that has been carried out at any of the Big Rivers coal units since 2005.
d. State whether information regarding the emissions of any of those pollutants has been provided to U.S. EPA in response to any Information Collection Request.
i. If so, produce all such information.
Response to the Sierra Club’s Second Request for Information Dated June 22, 2012
July 6, 2012
Response)
a. The results are expected to be representative of a 30-day average.
i. The coal utilized during the testing was of the same general quality that has been used in the past and is expected to be utilized in the future. Additionally, the units were operated as they have been in the past and as they are expected to be operated in the future.
ii. Not applicable.
b. The results are expected to be representative of the average annual emissions of SO₂, HCl, and mercury given the fact that the fuel used during the test was similar in quality to the fuel used in the past and the same quality that is expected to be used in the future.
i. See the response to part b, above.
ii. See the response to part b, above.
c. There are no additional stack tests for SO₂ or HCl.
d. Big Rivers provided test results for HCl for Green Unit 2 and HMP&L Units 1 and 2 to EPA.
i. The test results are attached.
Witness) Thomas L. Shaw
| Location: Stack Exit - Method 26A | Compound: Hydrogen Chloride |
|---------------------------------|-----------------------------|
| RunNumber | Mass_mg | Elb/hr | lb/mmBtuO2 | mg/dscm | mg/dscm@7%O2 |
|--------------------------------|-----------------------------|----------------------------|------------|---------|--------------|
| 1 | 0.418 | 3.80E-01 | 1.42E-04 | 1.53E-01| 1.49E-01 |
| 2 | 0.602 | 5.61E-01 | 2.12E-04 | 2.30E-01| 2.23E-01 |
| 3 | 0.909 | 8.22E-01 | 3.14E-04 | 3.39E-01| 3.29E-01 |
| Average | 0.643 | 0.588 | 0.000 | 0.241 | 0.234 |
## Emissions Summary
| Location: | Stack Exit - Method 26A |
|-----------|-------------------------|
| Compound: | Hydrogen Chloride |
| RunNumber | Mass_mg | Elb/hr | lb/mmBtuO2 | mg/dscm | mg/dscm@7%O2 |
|-----------|---------|--------|------------|---------|--------------|
| 1 | 0.332 | 1.83E-01 | 1.38E-04 | 1.16E-01 | 1.47E-01 |
| 2 | 0.321 | 1.79E-01 | 1.34E-04 | 1.11E-01 | 1.40E-01 |
| 3 | 1.14 | 6.42E-01 | 4.84E-04 | 4.01E-01 | 5.07E-01 |
| Average | 0.598 | 0.335 | 0.000 | 0.209 | 0.265 |
## Emissions Summary
| Location: | Stack Exit - Method 26A |
|-----------|------------------------|
| Compound: | Hydrogen Chloride |
| RunNumber | Mass_mg | Elb/hr | lb/mmBtuO2 | mg/dscm | mg/dscm@7%O2 |
|-----------|---------|--------|------------|---------|--------------|
| 1 | 0.628 | 3.63E-01 | 2.36E-04 | 2.48E-01 | 2.48E-01 |
| 2 | 0.766 | 4.37E-01 | 2.82E-04 | 2.96E-01 | 2.96E-01 |
| 3 | 1.07 | 6.17E-01 | 3.97E-04 | 4.16E-01 | 4.16E-01 |
| Average | 0.821 | 0.472 | 0.000 | 0.320 | 0.320 |
Item 34) Refer to your response to SC 1-37. Identify the basis for your belief that “estimated emission rates accurately characterize HCl emissions.” Produce any documents supporting that belief.
Response) The stack testing that was performed on all of the Big Rivers units considered except Reid, was compared to the data developed for the Information Collection Request that supported the development of EPA’s MATS. For wall-fired units burning a bituminous fuel and with FGD controls installed, the range of HCl emissions is approximately 0.00001 to 0.013 lb/MBtu. All of the Big Rivers units considered except for Reid, which does not have FGD controls installed, fall within this range. Therefore, the estimated emission rates based on stack test data are believed to accurately characterize HCl emissions compared to other similar units. For wall-fired units that do not have FGD controls installed, the range of HCl emissions is approximately 0.012 to 0.14 lb/MBtu. Because the Reid emissions were estimated to be within this range, the estimated emission rates for Reid are believed to accurately characterize HCl emissions when compared to other, similar units. Big Rivers is planning to convert the Reid unit to natural gas, which will effectively remove it from the requirement to control and monitor HCl.
Witnesses) Thomas L. Shaw and William DePriest
Item 35) Refer to your response to SC 1-39. Identify over what period of time and at what emission sources “limestone based, vertical wet FGD systems with forced oxidation have been proven to achieve SO2 removal efficiency of 99%.” Produce any documents supporting that contention.
Response) Please see Big Rivers’ response to Item 30 of these responses.
Witness) William DePriest
Item 36) Refer to your response to SC 1-31.c. i and ii.
a. Identify in dollars per mmBtu the “available U.S. Energy Information Administration pricing” referenced therein for coal for each year of 2012 through 2033.
b. Identify in dollars per mmBtu the “available U.S. Energy Information Administration pricing” referenced therein for natural gas for each year of 2012 through 2033.
c. State specifically what document or documents contain the “available U.S. Energy Information Administration pricing at the time of the study” are referenced therein, and produce such document or documents.
Response)
a. Dollars per mmBtu pricing for coal was determined from publicly available market pricing during the S&L Environmental Compliance Study on the U.S. Energy Information Administration web site. (http://www.eia.gov/coal/news_markets/)
b. Dollars per mmBtu pricing for natural gas was determined from publicly available market pricing during the S&L Environmental Compliance Study on the U.S. Energy
Information Administration web site.
(http://www.eia.gov/dnav/ng/ng_pri_fut_s1_d.htm).
c. Documents used during the study are publicly available at http://www.eia.gov/.
Witness) William DePriest
Item 37) Refer to your response to SC 1-45.c. Identify and produce any documents upon which your reasons identified therein for rejecting the use of lower sulfur Central Appalachian coal are based.
Response) Big Rivers’ responses in SC 1-45.c are all based on Sargent & Lundy’s experience and engineering judgment. There are no supporting documents to provide.
Witness) William DePriest
Item 38) Compare your response to SC 1-45.c. with your response to SC 1-47.
a. Explain why in the former response you state that the use of Central Appalachian coal would require “modifications to units,” while in the latter you state that “it is not expected” that the burning of “lower sulfur bituminous coals would result in capital changes” at the HMP&L, Wilson, or Green Units.
b. Identify any modifications that would be needed to burn lower sulfur bituminous coals at the HMP&L, Wilson, or Green Units, and the capital and O&M costs of such modifications.
Response)
a. Most Central Appalachian coal has a lower Hardgrove Grindability Index (“HGI”) than the Illinois Basin coal that the units were designed to burn. If lower HGI coal is utilized, upgrades to the milling capacity could be required. To accurately determine if upgrades would be required, specific fuel characteristics would need to be known.
b. Typically, modifications would not be required to burn lower sulfur bituminous coals for boilers that are designed to burn higher sulfur bituminous fuels. Therefore, Big Rivers’ response in SC 1-47 stands with respect to capital expenditure. The primary cost impact would be to O&M costs. It should be noted that a detailed analysis of the HMP&L boilers was not conducted to confirm that no modifications would be required, although, in Sargent & Lundy’s engineering judgment, any modifications would be minor and would not affect the recommendations of its study.
Witnesses) Robert W. Berry (a.) and William DePriest (b.)
Item 39) Refer to your response to KIUC 1-14.
a. Identify the “670MW bituminous coal-fired power plant” that the cost of replacing the Wilson FGD was based on, the year in which the scrubber on that plant occurred, and the cost of such scrubber. Produce any documents regarding that scrubber project.
b. Identify the “similarly sized bituminous coal-fired units” upon which the SCR costs were based, the years in which SCRs were installed on those units, and the cost of installing each such SCR. Produce the “recent project cost data” for such units.
c. Produce the “similar sized unit co-firing study” upon which the costs for the Green and Reid natural gas conversions were developed, and identify the unit in such study.
d. Identify the “460MW coal-fired plant in the Southwest” upon which the costs for the Green and Reid natural gas conversions were developed, the cost of the conversion project for such plant, and the year in which that conversion occurred.
e. Identify the “similarly sized coal-fired plants” from which CCR modification costs were developed, the cost of the CCR modifications at such plants, and the years in which the CCR modifications took place. Produce the “recent conversion studies” and “recent past project data” referenced therein.
Response)
a. For the Wilson FGD, a detailed line-item cost estimate that originated from a similar template for a 670MW bituminous coal-fired unit was modified for Wilson. Engineering judgment was used to replace costs shown in the original estimate so that the numbers were specific to the Wilson FGD. This estimate was provided electronically in an Excel file titled “Wilson FGD Estimate.xls.”
b. The project date, sizes and $/kw installation costs that were used as a basis for the SCR are provided in the table on the next page. Previous costs were adjusted for inflation, plant size and an engineering judgment retrofit factor to address the intricacies of the Big Rivers units.
c. The costs for the natural gas conversions at Green and Reid were developed from past project cost estimates. Specifically, a prior cost estimate from a natural gas co-firing study was used as the basis for this study and adjusted based on inflation, plant size and engineering judgment to satisfy the specifics of the Big Rivers plants including plant gross MW output. This reference gas conversion cost estimate was for a nominally rated 450 MW coal burning power station in the Southwest.
d. Please see the response to part c., above.
e. CCR costs were developed using data compiled for previous environmental studies and cost estimates. The estimated costs associated with CCR are not based on actual installed costs from previous projects but on estimates developed to support related
compliance studies similar to compliance requirements faced by the Big Rivers plants. The cost estimates from previous studies were adjusted for inflation, plant size and a retrofit factor to address the intricacies of the Big Rivers units. Input data is provided on page 2 of 5 of the attachment in Big Rivers’ response to Item 36 of the Kentucky Industrial Utility Customers’ Second Request for Information.
Witness) William DePriest
Item 40) Refer to your response to Staff 1-9. Produce any assessment or document regarding the impact that potential CCR and/or 316(b) regulations could have on the economics of Big Rivers’ 2012 Plan or on the economic feasibility of the continued operation of any of Big Rivers’ coal-fired generating units.
Response) Please see Big Rivers’ response to Item 4 of the Commission Staff’s Second Request for Information.
Witnesses) Robert W. Berry and Thomas L. Shaw
Item 41) Refer to the table attached to your response to Staff 1-16.
a. Identify and produce each “quotation[] received from other projects during study” referenced therein.
b. Identify and produce each “similar compliance stud[y]” referenced therein.
c. Produce the “2012 Budget Input e-mail” and any documents supporting the information contained in that e-mail.
d. Identify and produce the “U.S. Department of Energy, Energy Information Administration” document or documents referenced therein.
Response)
a. Commodity quotations are typically obtained verbally via phone conversations. Vendors do not submit written quotations; therefore, this data is not available.
b. S&L does not have permission from the owners of these reports to release this information.
c. The “2012 Budget Input e-mail” was previously provided on a CONFIDENTIAL CD which Big Rivers’ provided in its response to Item 36 of the Kentucky Industrial Utility Customers’ Initial
Request for Information. This e-mail was from DeAnna McCormick Speed to Eric Robeson, dated November 16, 2011.
d. Referenced coal pricing data can be found at: http://www.eia.gov/coal/news_markets/ and referenced natural gas pricing data can be found at: http://www.eia.gov/dnav/ng/ng_pri_fut_s1_d.htm. Data was collected from these locations during S&L's Environmental Compliance Study.
Witness) William DePriest
Item 42) Refer to your response to Staff 1-39. Identify the basis for the PACE Global projections of CO₂ costs that were used in the ACES planning models, and produce any documents or work papers regarding such projections.
Response) Pace incorporates a CO₂ price in its power simulations beginning in 2018. Pace’s forecasts are based on its belief that the U.S. will eventually adopt policies causing there to be a CO₂ price associated with emissions from power plants, and on Pace’s experience observing and studying existing CO₂ cap-and-trade programs, as well as its detailed tracking of major CO₂ legislative proposals in the U.S. Pace’s CO₂ price forecast is consistent with current pricing in other countries in which CO₂ policies are operational. For example, the CO₂ price in the European Emission Trading System on November 15, 2011, was about US$13.47/tonne.
Witness) Patrick N. Augustine
The following is a list of the most common types of software that are used in the field of computer science:
1. Operating Systems: These are the programs that manage the hardware and software resources of a computer system.
2. Programming Languages: These are the languages used to write computer programs.
3. Database Management Systems: These are the programs that manage the storage, retrieval, and manipulation of data.
4. Web Development Tools: These are the tools used to create websites and web applications.
5. Graphics Software: These are the programs used to create and edit digital images.
6. Video Editing Software: These are the programs used to edit video footage.
7. Audio Editing Software: These are the programs used to edit audio recordings.
8. CAD (Computer-Aided Design) Software: These are the programs used to create technical drawings and designs.
9. Animation Software: These are the programs used to create animated graphics and videos.
10. Game Development Tools: These are the tools used to create video games.
11. Data Analysis Software: These are the programs used to analyze large amounts of data.
12. Project Management Software: These are the programs used to manage projects and tasks.
13. Collaboration Software: These are the programs used to collaborate with others on projects and tasks.
14. Security Software: These are the programs used to protect computers and networks from cyber attacks.
15. Virtual Reality Software: These are the programs used to create virtual environments for gaming and other purposes.
Item 43) Refer to your response to AG 1-20.
a. Identify any SO₂ emission limit that you included in your Title V permit renewal application for the Wilson plant if the new FGD scrubber is installed.
b. Identify the assumed SO₂ removal efficiency for the new FGD scrubber upon which that emission limit is based.
c. Produce the Title V permit renewal application referenced therein.
Response)
a. Big Rivers projected an emission rate for SO₂ at 0.134 lbs/MMBtu, or an overall control efficiency of 98%.
b. 98 to 99%.
c. The Title V permit renewal application for Wilson is attached.
Witness) Thomas L. Shaw
December 6, 2011
Mr. James Morse, Supervisor
Kentucky Division for Air Quality
Department of Environmental Protection
200 Fair Oaks Lane
First Floor
Frankfort, KY 40601
RE: Big Rivers Electric Corporation, Wilson Station Title V Renewal;
Source ID# 21-183-00069; Current Permit # V-05-002 R1; AI# 3319
Dear Mr. Morse,
The current Title V operating permit for the Wilson Station electric generating station was issued with an effective date of June 19, 2007 and an expiration date of June 19, 2012. In accordance with 401 KAR 52:020, Section 12, this is to submit information and forms necessary for renewal of this facility’s Title V permit.
Included in this renewal application are the following forms and information in accordance with 401 KAR 52:020, Section 4(2)(c).
1) DEP7007AI Administrative Information
2) DEP7007DD Insignificant Activities
3) DEP7007V Applicable Requirements and Compliance Activities
4) Acid Rain Permitting Fact Sheet
5) Acid Rain Permit Renewal Application
6) NOx Compliance Plan
7) NOx Averaging Plan
8) Potential To Emit (PTE) calculations for the Wilson Station Indirect Heat Exchanger
9) Suggested Draft Permit for the addition of Reciprocating Engines as Source Points
10) Typical and Potential To Emit (PTE) calculations for the Reciprocating Engines
The Acid Rain Permitting Fact Sheet states that “Renewal acid rain permit applications and NOx compliance plans are submitted to the permitting authority at the same time as the associated Title V permit renewal applications”. Attached are the Acid Rain Permitting Fact Sheet, Acid Rain Permit Application, NOx Compliance Plan and NOx Averaging Plan.
The Wilson Station has existing stationary reciprocating internal combustion engines (RICE); an emergency diesel generator and an emergency diesel fire pump. The stationary RICE were constructed in 1980 and are subject to the regulations in 40 CFR 63, Subpart ZZZZ. The emergency diesel generator is greater than 500 HP, thus only subject to the operating limitations in 40 CFR 63.6640(f). Information regarding the existing stationary RICE is attached as listed above.
The current permit Section C - Insignificant Activities needs the following revisions;
1) Removal of Description Item # 2. Diesel Fire Pump Engines: This will become Emission Unit 6.
2) Removal of Description Item # 17. Emergency Diesel Generator: This will become Emission Unit 7.
3) Change of Description Item # 16. Diesel UST for Emergency Diesel Generator to Diesel fuel storage tank for Emergency Diesel Generator: UST underwent closure, diesel now stored in AST.
4) Removal of Description Item # 19. Space Heater, W69 (propane): The heater was removed.
5) The addition of Pressure Washer, Maintenance (propane).
6) The addition of Pressure Washer, Coal Handling (diesel).
The pressure washers added to the insignificant activities list are stationary and combust fuel to heat water thus subject to the mandatory Green House Gas Reporting Rule.
If you have any questions or require further information, please contact Mike Galbraith (270-844-6030) or myself (270-844-6176) at any time.
Sincerely,
Mark W. Bertram
Manager, Environmental Services - Air
Big Rivers Electric Corporation
Cc: Mac Cann
Steve Sanders
Ron Gregory
Tom Shaw
DEP7007AI Form
Administrative Information
Case No. 2012-00063
Attachment for Response to SC 2-43c
Witness: Thomas L. Shaw
Page 3 of 38
PERMIT APPLICATION
The completion of this form is required under Regulations 401 KAR 52:020, 52:030, and 52:040 pursuant to KRS 224. Applications are incomplete unless accompanied by copies of all plans, specifications, and drawings requested herein. Failure to supply information required or deemed necessary by the division to enable it to act upon the application shall result in denial of the permit and ensuing administrative and legal action. Applications shall be submitted in triplicate.
1) APPLICATION INFORMATION
Note: The applicant must be the owner or operator. (The owner/operator may be individual(s) or a corporation.)
Name: Big Rivers Electric Corporation
Title: ___________________________ Phone: (270) 827-2561
(If applicant is an individual)
Mailing Address: 201 Third Street
Company
Street or P.O. Box: P.O. Box 24
City: Henderson State: KY Zip Code: 42420
Is the applicant (check one): □ Owner □ Operator ☒ Owner & Operator □ Corporation/LLC* □ LP**
* If the applicant is a Corporation or a Limited Liability Corporation, submit a copy of the current Certificate of Authority from the Kentucky Secretary of State.
** If the applicant is a Limited Partnership, submit a copy of the current Certificate of Limited Partnership from the Kentucky Secretary of State.
Person to contact for technical information relating to application:
Name: Mark W. Bertram
Title: Manager, Environmental Services - Air Phone: (270) 844-6176
2) OPERATOR INFORMATION
Note: The applicant must be the owner or operator. (The owner/operator may be individual(s) or a corporation.)
Name: same as above
Title: ___________________________ Phone: ___________________________
Mailing Address: ___________________________
Company
Street or P.O. Box: ___________________________
City: ___________________________ State: ______ Zip Code: ___________________________
3) TYPE OF PERMIT APPLICATION
For new sources that currently do not hold any air quality permits in Kentucky and are required to obtain a permit prior to construction pursuant to 401 KAR 52:020, 52:030, or 52:040.
☐ Initial Operating Permit (the permit will authorize both construction and operation of the new source)
Type of Source (Check all that apply): ☐ Major ☐ Conditional Major ☐ Synthetic Minor ☐ Minor
For existing sources that do not have a source-wide Operating Permit required by 401 KAR 52:020, 52:030, or 52:040.
Type of Source (Check all that apply): ☐ Major ☐ Conditional Major ☐ Synthetic Minor ☐ Minor
(Check one only)
☐ Initial Source-wide Operating Permit ☐ Modification of Existing Facilities at Existing Plant
☐ Construction of New Facilities at Existing Plant
☐ Other (explain) ____________________________________________________________
For existing sources that currently have a source-wide Operating Permit.
Type of Source (Check all that apply): ☒ Major ☐ Conditional Major ☐ Synthetic Minor ☐ Minor
Current Operating Permit # V-05-002 R1
☐ Administrative Revision (describe type of revision requested, e.g. name change): ____________________________________________________________
☒ Permit Renewal ☐ Significant Revision ☐ Minor Revision
☐ Addition of New Facilities ☐ Modification of Existing Facilities
For all construction and modification requiring a permit pursuant to 401 KAR 52:020, 52:030, or 52:040.
Proposed Date for Start of Construction or Modification: _________________________ Proposed date for Operation Start-up: _______________________________
4) SOURCE INFORMATION
Source Name: D. B. Wilson Station
Source Street Address: State Hwy. 85
City: Island Zip Code: 42350 County: Ohio
Primary Standard Industrial Classification (SIC) Category: Generation of Electrical Power Primary SIC #: 4911
Property Area (Acres or Square Feet): 2,034 Acres Number of Employees: 102
Description of Area Surrounding Source (check one):
☐ Commercial Area ☐ Residential Area ☐ Industrial Area ☐ Industrial Park ☒ Rural Area ☐ Urban Area
Approximate Distance to Nearest Residence or Commercial Property: ____________________________________________________________
UTM or Standard Location Coordinates: (Include topographical map showing property boundaries)
UTM Coordinates:
Zone 16 Horizontal (km) 492.97635 Vertical (km) 4,144.55651
Standard Coordinates:
Latitude 37 Degrees 26 Minutes 58.818 Seconds
Longitude 87 Degrees 04 Minutes 49.934 Seconds
4) SOURCE INFORMATION (CONTINUED)
Is any part of the source located on federal land? □ Yes ☒ No
What other environmental permits or registrations does this source currently hold in Kentucky?
Same as original Title V
What other environmental permits or registrations does this source need to obtain in Kentucky?
None
5) OTHER REQUIRED INFORMATION
Indicate the type(s) and number of forms attached as part of this application.
- DEP7007A Indirect Heat Exchanger, Turbine, Internal Combustion Engine
- DEP7007B Manufacturing or Processing Operations
- DEP7007C Incinerators & Waste Burners
- DEP7007F Episode Standby Plan
- DEP7007J Volatile Liquid Storage
- DEP7007K Surface Coating or Printing Operations
- DEP7007L Concrete, Asphalt, Coal, Aggregate, Feed, Corn, Flour, Grain, & Fertilizer
- DEP7007M Metal Cleaning Degreasers
- DEP7007N Emissions, Stacks, and Controls Information
- DEP7007P Perchloroethylene Dry Cleaning Systems
- DEP7007R Emission Reduction Credit
- DEP7007S Service Stations
- DEP7007T Metal Plating & Surface Treatment Operations
- DEP7007V Applicable Requirements & Compliance Activities
- DEP7007Y Good Engineering Practice (GEP) Stack Height Determination
- DEP7007AA Compliance Schedule for Noncomplying Emission Units
- DEP7007BB Certified Progress Report
- DEP7007CC Compliance Certification
- DEP7007DD Insignificant Activities
Check other attachments that are part of this application.
**Required Data**
- ☒ Map or Drawing Showing Location
- ☐ Process Flow Diagram and Description
- ☐ Site Plan Showing Stack Data and Locations
- ☒ Emission Calculation Sheets
- ☐ Material Safety Data Sheets (MSDS)
**Supplemental Data**
- ☐ Stack Test Report
- ☐ Certificate of Authority from the Secretary of State (for Corporations and Limited Liability Companies)
- ☐ Certificate of Limited Partnership from the Secretary of State (for Limited Partnerships)
- ☐ Claim of Confidentiality (Sec 400 KAR 1:060)
- ☒ Other (Specify) Acid Rain Permit Renewal
Indicate if you expect to emit, in any amount, hazardous or toxic materials or compounds or such materials into the atmosphere from any operation or process at this location.
- ☐ Pollutants regulated under 401 KAR 57:002 (NESHAP)
- ☒ Pollutants listed in 401 KAR 63:060 (HAPS)
- ☒ Pollutants listed in 40 CFR 68 Subpart F [112(r) pollutants]
- ☐ Other:
Has your company filed an emergency response plan with local and/or state and federal officials outlining the measures that would be implemented to mitigate an emergency release?
- ☒ Yes ☐ No
Check whether your company is seeking coverage under a permit shield. If “Yes” is checked, applicable requirements must be identified on Form DEP7007V. Identify any non-applicable requirements for which you are seeking permit shield coverage on a separate attachment to the application.
- ☒ Yes ☐ No ☒ A list of non-applicable requirements is attached
6) OWNER INFORMATION
Note: If the applicant is the owner, write "same as applicant" on the name line.
Name: same as applicant
Title: ___________________________ Phone: _______________________
Mailing Address: ________________________________________________
Company
Street or P.O. Box: __________________________
City: __________________________ State: ______ Zip Code: _____________
List names of owners and officers of your company who have an interest in the company of 5% or more.
| Name | Position (owner, partner, president, CEO, treasurer, etc.) |
|------|----------------------------------------------------------|
(attach another sheet if necessary)
7) SIGNATURE BLOCK
I, the undersigned, hereby certify under penalty of law, that I am a responsible official, and that I have personally examined, and am familiar with, the information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the information is on knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false or incomplete information, including the possibility of fine or imprisonment.
BY: ___________________________ 12/2/11
(Authorized Signature) (Date)
Ron Gregory Plant Manager, Wilson Station
(Typed or Printed Name of Signatory) (Title of Signatory)
DEP7007DD Form
Insignificant Activities
Case No. 2012-00063
Attachment for Response to SC 2-43c
Witness: Thomas L. Shaw
Page 8 of 38
INSIGNIFICANT ACTIVITY CRITERIA
1. Emissions from insignificant activities shall be counted toward the source’s potential to emit;
2. Emissions from the activity shall not be subject to a federally enforceable requirement other than generally applicable requirements that apply to all activities and affected facilities such as 401 KAR 59:010, 61:020, 63:010, and others deemed generally applicable by the Cabinet;
3. The potential to emit a regulated air pollutant from the activity or affected facility shall not exceed 5 tons/yr.
4. The potential to emit of a hazardous air pollutant from the activity or affected facility shall not exceed 1,000 pounds/yr., or the deminimis level established under Section 112(g) of the Act, whichever is less;
5. The activity shall be included in the permit application, identifying generally applicable and state origin requirements.
| Description of Activity Including Rated Capacity | Generally Applicable Regulations Or State Origin Requirements | Does the Activity meet the Insignificant Activity Criteria Listed Above? |
|-------------------------------------------------|-------------------------------------------------------------|---------------------------------------------------------------------|
| Space Heater, W64 | 40 CFR 98, Subpart C | Yes |
| Space Heater, W65 | 40 CFR 98, Subpart C | Yes |
| Pressure Washer, Maintenance | 40 CFR 98, Subpart C | Yes |
| Pressure Washer, Coal Handling | 40 CFR 98, Subpart C | Yes |
SIGNATURE BLOCK
I, THE UNDERSIGNED, HEREBY CERTIFY UNDER PENALTY OF LAW, THAT I AM A RESPONSIBLE OFFICIAL, AND THAT I HAVE PERSONALLY EXAMINED, AND AM FAMILIAR WITH, THE INFORMATION SUBMITTED IN THIS DOCUMENT AND ALL ITS ATTACHMENTS. BASED ON MY INQUIRY OF THOSE INDIVIDUALS WITH PRIMARY RESPONSIBILITY FOR OBTAINING THE INFORMATION, I CERTIFY THAT THE INFORMATION IS ON KNOWLEDGE AND BELIEF, TRUE, ACCURATE, AND COMPLETE. I AM AWARE THAT THERE ARE SIGNIFICANT PENALTIES FOR SUBMITTING FALSE OR INCOMPLETE INFORMATION, INCLUDING THE POSSIBILITY OF FINE OR IMPRISONMENT.
BY ____________________________
Ron Gregory
Authorized Signature
Date 12/6/11
Plant Manager, D. B. Wilson Station
Title of Signatory
Typed or Printed Name of Signatory
DEP7007V Form
Applicable Requirements and Compliance Activities
Case No. 2012-00063
Attachment for Response to SC 2-43c
Witness: Thomas L. Shaw
Page 10 of 38
| KYEIS No. | Emission Unit Description | Contaminant | Origin of Requirement or Standard | Applicable Requirement, Standard, Restriction, Limitation, or Exemption | Method of Determining Compliance with the Emission and Operating Requirements |
|----------|---------------------------|-------------|-----------------------------------|------------------------------------------------------------------------|--------------------------------------------------------------------------------|
| 1 | Indirect Heat Exchanger | CO2e | 40 CFR 98, Subpart C and 40 CFR 98, Subpart D | Mandatory Greenhouse Gas Reporting | Fuel Usage Records |
| | Space Heater, W64 | CO2e | 40 CFR 98, Subpart C | Mandatory Greenhouse Gas Reporting | Fuel Usage Records |
| | Space Heater, W65 | CO2e | 40 CFR 98, Subpart C | Mandatory Greenhouse Gas Reporting | Fuel Usage Records |
| | Pressure Washer, Maintenance | CO2e | 40 CFR 98, Subpart C | Mandatory Greenhouse Gas Reporting | Fuel Usage Records |
| | Pressure Washer, Coal Handling | CO2e | 40 CFR 98, Subpart C | Mandatory Greenhouse Gas Reporting | Fuel Usage Records |
| 6 | Emergency Diesel Generator | | 40 CFR 63, Subpart ZZZZ | | |
| 7 | Emergency Diesel Fire Pump | | 40 CFR 63, Subpart ZZZZ | | |
Acid Rain Permitting Fact Sheet
Every emissions source affected by the Acid Rain Program must have a permit. Each acid rain permit specifies the Title IV requirements that apply to each affected unit at the affected source. All affected sources must submit acid rain permit applications to an EPA-approved state or local Title IV permitting authority, which in turn issues and administers the permit. Every acid rain permit is a portion of a larger Title V permit.
The acid rain permit specifies each unit's allowance allocation and NOx limitation (if applicable), and also specifies compliance plan(s) for the affected source.
Frequently Asked Questions about Acid Rain Permitting
- Which Affected Sources Must Obtain Permits?
- Who Represents Affected Sources in Acid Rain Permitting Matters?
- What Information Must Be Included in Acid Rain Permit Applications?
- What are Compliance Plans?
- SO₂ Compliance Plans
- NOₓ Compliance Plans
- What Does the Permitting Authority Do with the Acid Rain Permit Application?
- When Are the Acid Rain Permit Applications and NOₓ Compliance Plans Due?
- How is an Acid Rain Permit Revised?
Which Affected Sources Must Obtain Permits?
Every affected source must obtain an Acid Rain Permit. However, two types of affected utility units that are not required to be covered by an acid rain permit are small new units burning clean fuels and retired units. These types of units are automatically exempted from the requirement to be covered by an acid rain permit, but must submit an exemption notice to the permitting authority & EPA headquarters.
them in matters pertaining to the Acid Rain Program and may select a second person to act as an alternate for the first. These people are known as the Designated Representative and Alternate Designated Representative, respectively. Both people must be identified in a Certificate of Representation, submitted to EPA headquarters, as having been selected by an agreement binding on the owners and operators of a source.
The Designated Representative is responsible for submitting to EPA and permitting authorities all Acid Rain Program submissions for the source, including allowance transfers, emission monitoring reports, compliance certifications, Excess Emissions Offset Plans, permit applications, and permit revisions. The Designated Representative must sign and attest to the truth and accuracy of each submission. Permits are only issued to a source if EPA has received a Certificate of Representation for the designated representative. The Designated Representative may be changed at any time by the source's owners and operators by submitting a revised Certificate of Representation to EPA.
What Information Must Be Included in Acid Rain Permit Applications?
The source must submit a complete acid rain permit application to apply for an acid rain permit. Simple and standardized acid rain permitting forms request information about the affected source & affected units, and provide for the selection of compliance plan(s) for each affected unit.
What are Compliance Plans?
Each affected source must have a compliance plan covering each affected unit. For every affected unit, the plan indicates that the unit will hold enough allowances to cover its annual $\text{SO}_2$ emissions and that it will be operated in compliance with the its $\text{NO}_x$ emissions limits, if applicable.
$\text{SO}_2$ Compliance Plans
Beginning January 1, 2000, all affected units must hold sufficient $\text{SO}_2$ allowances by the allowance transfer deadline to account for $\text{SO}_2$ emissions for each calendar year. This is the only $\text{SO}_2$ compliance option in Phase II of the Acid Rain Program, & is automatically denoted in the acid rain permit application.
$\text{NO}_x$ Compliance Plans
For affected units subject to an acid rain $\text{NO}_x$ emission limitation, there are four compliance options:
**Standard Emission Limitations:** Each boiler subject to a $\text{NO}_x$ emissions limitation may choose to individually meet the standard annual $\text{NO}_x$ emission limitation for that boiler type. The boiler types and their respective $\text{NO}_x$ limits are as follows: Phase I Group 1 dry bottom wall-fired boilers; 0.50 lb/mmBtu, Phase I Group 1
tangentially fired boilers; 0.45 lb/mmBtu, Phase II Group 1 dry bottom wall-fired boilers; 0.46 lb/mmBtu, Phase II Group 1 tangentially fired boilers; 0.40 lb/mmBtu, cell burner boilers; 0.68 lb/mmBtu, cyclone boilers; 0.86 lb/mmBtu, vertically fired boilers; 0.80 lb/mmBtu, and for wet bottom boilers, 0.84 lb/mmBtu.
**NO\textsubscript{x} Emissions Averaging:** Any boilers subject to a NO\textsubscript{x} emissions limitation that are under the control of the same owner or operator and that have a common designated representative may average their NO\textsubscript{x} emissions with an approved NO\textsubscript{x} averaging plan. Every unit in an averaging plan is deemed to be in compliance with its NO\textsubscript{x} emissions limitation if, as a group, the actual Btu-weighted NO\textsubscript{x} emissions rate for a calendar year is less than or equal to the rate the group would have had if each unit had emitted at its standard limit rate.
**Alternative Emission Limitations:** If a boiler is unable to meet its standard limit after properly installing and operating the appropriate NO\textsubscript{x} emissions reduction technology for that boiler type, the owners and operators may petition EPA and the permitting authority for a less stringent NO\textsubscript{x} emissions limitation that is referred to as an AEL. Approval of an AEL is contingent upon a demonstration by the owners and operators that the NO\textsubscript{x} emissions control equipment was properly designed, installed, and operated during a designated demonstration period.
**Early Election:** A Phase II affected unit with a Group 1 boiler that complied with the appropriate Phase I NO\textsubscript{x} emission limit by January 1, 1997 is exempt from the more stringent Phase II Group 1 limit until 2008. By encouraging affected sources to comply early with the Phase I limits, emission reductions are achieved early and the utilities can ensure themselves of greater certainty in their long-range planning and electric grid system reliability.
---
**What Does the Permitting Authority Do with the Acid Rain Permit Application?**
State or local title IV permitting authorities administer acid rain permitting programs under both Titles IV and V of the Clean Air Act. States process acid rain permit applications, issue draft acid rain permits for public comment, and submit proposed acid rain permits to EPA for review. Final acid rain permits are then issued by the permitting authorities.
---
**When Are the Acid Rain Permit Applications and NO\textsubscript{x} Compliance Plans Due?**
- Initial acid rain permit applications were due by January 1, 1996
- Initial NO\textsubscript{x} compliance plans were due by January 1, 1998
- Acid rain permit applications for new units are due 24 months before the unit commences operation
Acid Rain Permit Renewal Application
Case No. 2012-00063
Attachment for Response to SC 2-43c
Witness: Thomas L. Shaw
Page 15 of 38
Permit Requirements
STEP 3
(1) The designated representative of each affected source and each affected unit at the source shall:
(i) Submit a complete Acid Rain permit application (including a compliance plan) under 40 CFR part 72 in accordance with the deadlines specified in 40 CFR 72.30; and
(ii) Submit in a timely manner any supplemental information that the permitting authority determines is necessary in order to review an Acid Rain permit application and issue or deny an Acid Rain permit;
(2) The owners and operators of each affected source and each affected unit at the source shall:
(i) Operate the unit in compliance with a complete Acid Rain permit application or a superseding Acid Rain permit issued by the permitting authority; and
(ii) Have an Acid Rain Permit.
Monitoring Requirements
(1) The owners and operators and, to the extent applicable, designated representative of each affected source and each affected unit at the source shall comply with the monitoring requirements as provided in 40 CFR part 75.
(2) The emissions measurements recorded and reported in accordance with 40 CFR part 75 shall be used to determine compliance by the source or unit, as appropriate, with the Acid Rain emissions limitations and emissions reduction requirements for sulfur dioxide and nitrogen oxides under the Acid Rain Program.
(3) The requirements of 40 CFR part 75 shall not affect the responsibility of the owners and operators to monitor emissions of other pollutants or other emissions characteristics at the unit under other applicable requirements of the Act and other provisions of the operating permit for the source.
Sulfur Dioxide Requirements
(1) The owners and operators of each source and each affected unit at the source shall:
(i) Hold allowances, as of the allowance transfer deadline, in the source’s compliance account (after deductions under 40 CFR 73.34(c)), not less than the total annual emissions of sulfur dioxide for the previous calendar year from the affected units at the source; and
(ii) Comply with the applicable Acid Rain emissions limitations for sulfur dioxide.
(2) Each ton of sulfur dioxide emitted in excess of the Acid Rain emissions limitations for sulfur dioxide shall constitute a separate violation of the Act.
(3) An affected unit shall be subject to the requirements under paragraph (1) of the sulfur dioxide requirements as follows:
(i) Starting January 1, 2000, an affected unit under 40 CFR 72.6(a)(2); or
(ii) Starting on the later of January 1, 2000 or the deadline for monitor certification under 40 CFR part 75, an affected unit under 40 CFR 72.6(a)(3).
Sulfur Dioxide Requirements, Cont’d.
STEP 3, Cont’d.
(4) Allowances shall be held in, deducted from, or transferred among Allowance Tracking System accounts in accordance with the Acid Rain Program.
(5) An allowance shall not be deducted in order to comply with the requirements under paragraph (1) of the sulfur dioxide requirements prior to the calendar year for which the allowance was allocated.
(6) An allowance allocated by the Administrator under the Acid Rain Program is a limited authorization to emit sulfur dioxide in accordance with the Acid Rain Program. No provision of the Acid Rain Program, the Acid Rain permit application, the Acid Rain permit, or an exemption under 40 CFR 72.7 or 72.8 and no provision of law shall be construed to limit the authority of the United States to terminate or limit such authorization.
(7) An allowance allocated by the Administrator under the Acid Rain Program does not constitute a property right.
Nitrogen Oxides Requirements
The owners and operators of the source and each affected unit at the source shall comply with the applicable Acid Rain emissions limitation for nitrogen oxides.
Excess Emissions Requirements
(1) The designated representative of an affected source that has excess emissions in any calendar year shall submit a proposed offset plan, as required under 40 CFR part 77.
(2) The owners and operators of an affected source that has excess emissions in any calendar year shall:
(i) Pay without demand the penalty required, and pay upon demand the interest on that penalty, as required by 40 CFR part 77; and
(ii) Comply with the terms of an approved offset plan, as required by 40 CFR part 77.
Recordkeeping and Reporting Requirements
(1) Unless otherwise provided, the owners and operators of the source and each affected unit at the source shall keep on site at the source each of the following documents for a period of 5 years from the date the document is created. This period may be extended for cause, at any time prior to the end of 5 years, in writing by the Administrator or permitting authority:
(i) The certificate of representation for the designated representative for the source and each affected unit at the source and all documents that demonstrate the truth of the statements in the certificate of representation, in accordance with 40 CFR 72.24; provided that the certificate and documents shall be retained on site at the source beyond such 5-year period until such documents are superseded because of the submission of a new certificate of representation changing the designated representative;
Recordkeeping and Reporting Requirements, Cont’d.
STEP 3, Cont’d. (ii) All emissions monitoring information, in accordance with 40 CFR part 75, provided that to the extent that 40 CFR part 75 provides for a 3-year period for recordkeeping, the 3-year period shall apply.
(iii) Copies of all reports, compliance certifications, and other submissions and all records made or required under the Acid Rain Program; and,
(iv) Copies of all documents used to complete an Acid Rain permit application and any other submission under the Acid Rain Program or to demonstrate compliance with the requirements of the Acid Rain Program.
(2) The designated representative of an affected source and each affected unit at the source shall submit the reports and compliance certifications required under the Acid Rain Program, including those under 40 CFR part 72 subpart I and 40 CFR part 75.
Liability
(1) Any person who knowingly violates any requirement or prohibition of the Acid Rain Program, a complete Acid Rain permit application, an Acid Rain permit, or an exemption under 40 CFR 72.7 or 72.8, including any requirement for the payment of any penalty owed to the United States, shall be subject to enforcement pursuant to section 113(c) of the Act.
(2) Any person who knowingly makes a false, material statement in any record, submission, or report under the Acid Rain Program shall be subject to criminal enforcement pursuant to section 113(c) of the Act and 18 U.S.C. 1001.
(3) No permit revision shall excuse any violation of the requirements of the Acid Rain Program that occurs prior to the date that the revision takes effect.
(4) Each affected source and each affected unit shall meet the requirements of the Acid Rain Program.
(5) Any provision of the Acid Rain Program that applies to an affected source (including a provision applicable to the designated representative of an affected source) shall also apply to the owners and operators of such source and of the affected units at the source.
(6) Any provision of the Acid Rain Program that applies to an affected unit (including a provision applicable to the designated representative of an affected unit) shall also apply to the owners and operators of such unit.
(7) Each violation of a provision of 40 CFR parts 72, 73, 74, 75, 76, 77, and 78 by an affected source or affected unit, or by an owner or operator or designated representative of such source or unit, shall be a separate violation of the Act.
Effect on Other Authorities
No provision of the Acid Rain Program, an Acid Rain permit application, an Acid Rain permit, or an exemption under 40 CFR 72.7 or 72.8 shall be construed as:
(1) Except as expressly provided in title IV of the Act, exempting or excluding the owners and operators and, to the extent applicable, the designated representative of an affected source or affected unit from compliance with any other provision of the Act, including the provisions of title I of the Act relating
Effect on Other Authorities, Cont’d.
to applicable National Ambient Air Quality Standards or State Implementation Plans;
STEP 3, Cont’d.
(2) Limiting the number of allowances a source can hold; provided, that the number of allowances held by the source shall not affect the source’s obligation to comply with any other provisions of the Act;
(3) Requiring a change of any kind in any State law regulating electric utility rates and charges, affecting any State law regarding such State regulation, or limiting such State regulation, including any prudence review requirements under such State law;
(4) Modifying the Federal Power Act or affecting the authority of the Federal Energy Regulatory Commission under the Federal Power Act; or,
(5) Interfering with or impairing any program for competitive bidding for power supply in a State in which such program is established.
Certification
I am authorized to make this submission on behalf of the owners and operators of the affected source or affected units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.
| Name | Mark W. Bertram (Designated Representative) |
|------|---------------------------------------------|
| Signature | Mark W. Bertram | Date | 12-05-11 |
EPA Form 7610-16 (Revised 12-2009)
Case No. 2012-00063
Attachment for Response to SC 2-43c
Witness: Thomas L. Shaw
Page 20 of 38
NOx Compliance Plan
Case No. 2012-00063
Attachment for Response to SC 2-43c
Witness: Thomas L. Shaw
Page 21 of 38
Phase II NO\textsubscript{x} Compliance Plan
For more information, see Instructions and refer to 40 CFR 76.9
This submission is: \[ \square \] New \[ \times \] Revised
Plant Name D.B. Wilson Station
KY State 006823 ORIS Code
Identify each affected Group 1 and Group 2 boiler using the boiler ID# from NADB, if applicable. Indicate boiler type: "CB" for cell burner, "CY" for cyclone, "DBW" for dry bottom wall-fired, "T" for tangentially fired, "V" for vertically fired, and "WB" for wet bottom. Indicate the compliance option selected for each unit.
| ID# | W1 | Type DBW |
|-----|----|----------|
| | | |
(a) Standard annual average emission limitation of 0.50 lb/mmBtu (for Phase I dry bottom wall-fired boilers)
(b) Standard annual average emission limitation of 0.45 lb/mmBtu (for Phase I tangentially fired boilers)
(c) EPA-approved early election plan under 40 CFR 76.8 through 12/31/07 (also indicate above emission limit specified in plan)
(d) Standard annual average emission limitation of 0.46 lb/mmBtu (for Phase II dry bottom wall-fired boilers)
(e) Standard annual average emission limitation of 0.40 lb/mmBtu (for Phase II tangentially fired boilers)
(f) Standard annual average emission limitation of 0.68 lb/mmBtu (for cell burner boilers)
(g) Standard annual average emission limitation of 0.86 lb/mmBtu (for cyclone boilers)
(h) Standard annual average emission limitation of 0.80 lb/mmBtu (for vertically fired boilers)
(i) Standard annual average emission limitation of 0.84 lb/mmBtu (for wet bottom boilers)
(j) NO\textsubscript{x} Averaging Plan (include NO\textsubscript{x} Averaging form)
(k) Common stack pursuant to 40 CFR 75.17(a)(2)(i)(A) [check the standard emission limitation box above for most stringent limitation applicable to any unit utilizing stack]
(l) Common stack pursuant to 40 CFR 75.17(a)(2)(i)(B) with NO\textsubscript{x} Averaging (check the NO\textsubscript{x} Averaging Plan box and include NO\textsubscript{x} Averaging form)
STEP 2, cont'd.
(m) EPA-approved common stack apportionment method pursuant to 40 CFR 76.17(a)(2)(i)(C), (a)(2)(iii)(B), or (b)(2)
(n) AEL (include Phase II AEL Demonstration Period, Final AEL Petition, or AEL Renewal form as appropriate)
(o) Petition for AEL demonstration period or final AEL under review by U.S. EPA or demonstration period ongoing
(p) Repowering extension plan approved or under review
STEP 3
Read the standard requirements and certification, enter the name of the designated representative, sign &
Standard Requirements
General. This source is subject to the standard requirements in 40 CFR 72.9 (consistent with 40 CFR 76.8(e)(1)(i)). These requirements are listed in this source's Acid Rain Permit.
Special Provisions for Early Election Units
Nitrogen Oxides. A unit that is governed by an approved early election plan shall be subject to an emissions limitation for NO\textsubscript{x} as provided under 40 CFR 76.8(a)(2) except as provided under 40 CFR 76.8(e)(3)(iii)
Liability. The owners and operators of a unit governed by an approved early election plan shall be liable for any violation of the plan or 40 CFR 76.8 at that unit. The owners and operators shall be liable, beginning January 1, 2000, for fulfilling the obligations specified in 40 CFR Part 77.
Termination. An approved early election plan shall be in effect only until the earlier of January 1, 2008 or January 1 of the calendar year for which a termination of the plan takes effect. If the designated representative of the unit under an approved early election plan fails to demonstrate compliance with the applicable emissions limitation under 40 CFR 76.5 for any month during the period beginning January 1 of the first year the early election takes effect and ending December 31, 2007, the permitting authority may terminate the plan. The termination will take effect beginning January 1 of the year after the year for which there is a failure to demonstrate compliance, and the designated representative may not submit a new early election plan. The designated representative of the unit under an approved early election plan may terminate the plan any year prior to 2008 but may not submit a new early election plan. In order to terminate the plan, the designated representative must submit a notice under 40 CFR 72.40(d) by January 1 of the year for which the termination is to take effect. If an early election plan is terminated any year prior to 2000, the unit shall meet, beginning January 1, 2000, the applicable emissions limitation for NO\textsubscript{x} for Phase II units with Group 1 boilers under 40 CFR 76.7. If an early election plan is terminated on or after 2000, the unit shall meet, beginning on the effective date of the termination, the applicable emissions limitation for NO\textsubscript{x} for Phase II units with Group 1 boilers under 40 CFR 76.7.
Certification
I am authorized to make this submission on behalf of the owners and operators of the affected source or affected units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.
Manager, Environmental Services – Air
Name Mark W. Bertram Designated Representative
Signature Mark W. Bertram Date 12-05-11
NOx Averaging Plan
### Phase II NO\textsubscript{x} Averaging Plan
For more information, see instructions and refer to 40 CFR 76.11
This submission is: □ New ☑ Revised
**STEP 1**
Identify the units participating in this averaging plan by plant name, State, and boiler ID# from NADB. In column (a), fill in each unit's applicable emission limitation from 40 CFR 76.6, 76.6, or 76.7. In column (b), assign an alternative contemporaneous annual emissions limitation (ACEL) in lb/mmBtu to each unit. In column (c), assign an annual heat input limitation in mmBtu to each unit. Continue to page 3 if necessary.
| Plant Name | State | ID# | (a) Emission Limitation | (b) ACEL | (c) Annual Heat Input Limit |
|---------------------|-------|-----|-------------------------|----------|----------------------------|
| Coleman Station | KY | C1 | 0.50 | 0.45 | 6,854,700 |
| Coleman Station | KY | C2 | 0.50 | 0.45 | 6,854,700 |
| Coleman Station | KY | C3 | 0.50 | 0.45 | 6,946,680 |
| Green Station | KY | G1 | 0.50 | 0.45 | 11,650,800 |
| Green Station | KY | G2 | 0.50 | 0.45 | 11,650,800 |
| HMP&L Station Two | KY | H1 | 0.50 | 0.40 | 6,867,840 |
| HMP&L Station Two | KY | H2 | 0.50 | 0.40 | 6,867,840 |
| Robert Reid | KY | R1 | 0.46 | 0.90 | 7,305,840 |
| D.B. Wilson | KY | W1 | 0.46 | 0.40 | 20,082,300 |
**STEP 2**
Use the formula to enter the Btu-weighted annual emission rate averaged over the units if they are operated in accordance with the proposed averaging plan and the Btu-weighted annual average emission rate for the same units if they are operated in compliance with 40 CFR 76.5, 76.6, or 76.7. The former must be less than or equal to the latter.
\[ \frac{\sum_{i=1}^{n} (R_{ai} \times HI_i)}{\sum_{i=1}^{n} HI_i} \leq \frac{\sum_{i=1}^{n} [R_{ai} \times HI_i]}{\sum_{i=1}^{n} HI_i} \]
Where,
- \( R_{ai} \) = Alternative contemporaneous annual emission limitation for unit i, in lb/mmBtu, as specified in column (b) of Step 1;
- \( R_{ai} \) = Applicable emission limitation for unit i, in lb/mmBtu, as specified in column (a) of Step 1;
- \( HI_i \) = Annual heat input for unit i, in mmBtu, as specified in column (c) of Step 1;
- \( n \) = Number of units in the averaging plan.
STEP 3
Mark one of the two options and enter dates.
[X] This plan is effective for calendar year 2012 through calendar year 2017 unless notification to terminate the plan is given.
☐ Treat this plan as ☐ identical plans, each effective for one calendar year for the following calendar years: ______, ______, ______, ______ and ______ unless notification to terminate one or more of these plans is given.
STEP 4
Read the special provisions and certification, enter the name of the designated representative, and sign and date.
Special Provisions
Emission Limitations
Each affected unit in an approved averaging plan is in compliance with the Acid Rain emission limitation for NOx under the plan only if the following requirements are met:
(i) For each unit, the unit's actual annual average emission rate for the calendar year, in lb/mmBtu, is less than or equal to its alternative contemporaneous annual emission limitation in the averaging plan, and
(a) For each unit with an alternative contemporaneous emission limitation less stringent than the applicable emission limitation in 40 CFR 76.5, 76.6, or 76.7, the actual annual heat input for the calendar year does not exceed the annual heat input limit in the averaging plan,
(b) For each unit with an alternative contemporaneous emission limitation more stringent than the applicable emission limitation in 40 CFR 76.5, 76.6, or 76.7, the actual annual heat input for the calendar year is not less than the annual heat input limit in the averaging plan, or
(ii) If one or more of the units does not meet the requirements of (i), the designated representative shall demonstrate, in accordance with 40 CFR 76.11(d)(1)(i)(A) and (B), that the actual Btu-weighted annual average emission rate for the units in the plan is less than or equal to the Btu-weighted annual average rate for the same units had they each been operated, during the same period of time, in compliance with the applicable emission limitations in 40 CFR 76.5, 76.6, or 76.7
(iii) If there is a successful group showing of compliance under 40 CFR 76.11(d)(1)(i)(A) and (B) for a calendar year, then all units in the averaging plan shall be deemed to be in compliance for that year with their alternative contemporaneous emission limitations and annual heat input limits under (i).
Liability
The owners and operators of a unit governed by an approved averaging plan shall be liable for any violation of the plan or this section at that unit or any other unit in the plan, including liability for fulfilling the obligations specified in part 77 of this chapter and sections 113 and 411 of the Act.
Termination
The designated representative may submit a notification to terminate an approved averaging plan, in accordance with 40 CFR 72.40(d), no later than October 1 of the calendar year for which the plan is to be terminated.
Certification
I am authorized to make this submission on behalf of the owners and operators of the affected source or affected units for which the submission is made. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.
Manager, Environmental Services – Air
Name Mark W. Bertram Designated Representative
Signature [Signature]
Date 12-05-11
Potential To Emit (PTE) calculations for the Wilson Station Indirect Heat Exchanger
## Wilson Station Indirect Heat Exchanger Emissions Calculations
### Potential to Emit
**Description:** Wilson Station Unit One
| Assumptions: | Operating Hours | Conversion |
|--------------|-----------------|------------|
| | 8760 | 2,000 lb/ton |
| Maximum Hourly Operation Rate | 199.348 tons/hour |
|------------------------------|-------------------|
| Emissions calculations: Emission Rate x operation rate x operating hours x conversions | lb/hr | Tons/yr |
|----------------------------------------------------------------------------------------|------|---------|
| Arsenic | 4.1E-04 | 0.0817 | 715.9783 |
| Chromium | 2.6E-04 | 0.0518 | 454.0350 |
| Cobalt | 1.0E-04 | 0.0199 | 174.6288 |
| Manganese | 4.9E-04 | 0.0977 | 855.6814 |
| CO2 | 6250 | 1245225.0 | 10914303000.0 |
| N2O | 0.03 | 5.9604 | 52988.5644 |
| Lead | 4.2E-04 | 0.0837 | 753.4412 |
| Antimony | 1.8E-05 | 0.0036 | 31.4332 |
| HF | 0.15 | 29.9022 | 261943.2720 |
| HCl | 1.20 | 239.2176 | 209546.1760 |
| Mercury | 8.3E-05 | 0.0165 | 144.9419 |
**Notes:**
Emissions Rates based on; AP-42 1.1-18 controlled EF for Trace Metals, AP-42 1.1-19 EF for N2O, AP-42 1.1-15 EF for HF and HCl, and AP-42 1.1-20 EF for CO2.
Suggested Draft Permit for the addition of Reciprocating Engines as Source Points
### Emission Unit 6: Existing CI Emergency RICE <500 HP
| Emission Unit | Description | Model Year | Maximum Engine Rating | Fuel | Control Equipment |
|---------------|--------------------------------------------------|------------|-----------------------|------|-------------------|
| 6 | Cummins Model NT-855-F2, Serial 48247 (Emergency Fire Pump) | 1980 | 380 HP | Diesel | None |
### APPLICABLE REGULATIONS:
40 CFR 63, Subpart ZZZZ – National Emissions Standards for Hazardous Air Pollutants for Stationary Reciprocating Internal Combustion Engines (ICE).
#### 1. Operating Limitations:
(a) Beginning no later than May 3, 2013, for each unit the permittee shall
i. Change oil and filter every 500 hours of operation or annually, whichever comes first, or change oil utilizing an oil analysis program according to the methods and requirements in order to extend the specified oil change requirements;
ii. Inspect air cleaner every 1,000 hours of operation or annually, whichever comes first; and
iii. Inspect all hoses and belts every 500 hours of operation or annually, whichever comes first, and replace as necessary.
iv. Minimize the engine's time spent at idle and minimize the engine's startup time at startup to a period needed for appropriate and safe loading of the engine, not to exceed 30 minutes, after which time the non-startup emission limitations apply.
[40 CFR 63.6602, 40 CFR 63.6625(e), 40 CFR 63.6595(a), and 40 CFR 63.6625(i)]
(b) The permittee must install a non-resettable hour meter if one is not already installed. [40 CFR 63.6625(f)]
Compliance Demonstration:
1. The permittee must operate and maintain the engine according to the manufacturer's emission-related operating and maintenance instructions, or develop and follow your own maintenance plan which must provide, to the extent practicable, for the maintenance and operation of the engine in a manner consistent with good air pollution control practice for minimizing emissions. [40 CFR 63.6625(e)]
2. Any operation other than emergency operation, maintenance and testing, and operation in non-emergency situations for fifty (50) hours per year is prohibited. There is no limit on the use of emergency stationary RICE in emergency situations. Maintenance checks and readiness testing of this unit is limited to 100 hours per year. Operation of the unit in non-emergency situations is counted towards the 100 hours per year provided for maintenance and testing, including, as provided in 40 CFR 63.6640(f)(1)(i), 40 CFR 63.6640(f)(1)(ii), for demand response 40 CFR 63.6640(f)(1)(iii).
3. The permittee must be in compliance with the emission limitations and operating limitations in this subpart that apply at all times. [40 CFR 63.6605(a)]
2. Emission Limitations:
None
3. Testing Requirements:
None
4. Specific Monitoring Requirements:
(a) Pursuant to 401 KAR 52:020, Section 10, the permittee shall monitor the amount of fuel usage on a monthly basis.
5. Specific Recordkeeping Requirements:
(a) The permittee must keep records of each notification and report that is submitted, the occurrence and duration of each malfunction of operation or the air pollution control and monitoring equipment, records of performance tests and performance evaluations as required in 40 CFR 63.10(b)(2)(viii), records of all required maintenance performed on the air pollution control and monitoring equipment, and records of action taken during periods of malfunction to minimize emissions in accordance with 40 CFR 63.6605(b), including corrective actions to restore malfunctioning process and air pollution control and monitoring equipment to its normal or usual manner of operation. [40 CFR 63.6655(a)]
(b) The permittee shall maintain records of the maintenance conducted on the engine in order to demonstrate that the engine was operated and maintained, including any after-treatment control device, according to the maintenance plan for the engine.
[40 CFR 63.6655(e)]
(c) If the engine is not certified to the standards applicable to non-emergency engines (see Table 2d to 40 CFR 63 Subpart ZZZZ), then the permittee must keep records of the hours of operation of the engine that is recorded through the non-resettable hour meter. The permittee must document how many hours are spent for emergency operation; including what classified the operation as emergency and how many hours are spent for non-emergency operation. If the engine is used for demand response, records must be kept of the notification of the emergency situation, and the time the engine was operated as part of demand response. [40 CFR 63.6655(f)(1)]
6. Specific Reporting Requirements:
(a) The permittee must report each instance in which the operating limitations in Subsection 1 have not been met. These instances are deviations from the emission and operating limitation in 40 CFR 63 Subpart ZZZZ and must be reported according to 40 CFR 63.6650. [40 CFR 63.6640(b)]
(b) The permittee must report each instance in which the requirements of Table 8 to 40 CFR 63 Subpart ZZZZ, that apply, have not been met. The notifications listed 40 CFR 63.7(b) and (c), 40 CFR 63.8(e), (f)(4) and (f)(6), 40 CFR 63.9(b) through (e) and (g) are not required. [40 CFR 63.6645(a)(5)]
(c) See Section F.
### Emission Unit 7: Existing CI Emergency RICE >500 HP
| Emission Unit | Description | Model Year | Maximum Engine Rating | Fuel | Control Equipment |
|---------------|--------------------------------------------------|------------|-----------------------|------|-------------------|
| 7 | Detroit Model 91237305, Serial AB91393DM (Emergency Generator) | 1980 | 380 HP | Diesel | None |
### APPLICABLE REGULATIONS:
40 CFR 63, Subpart ZZZZ – National Emissions Standards for Hazardous Air Pollutants for Stationary Reciprocating Internal Combustion Engines (ICE).
#### 1. Operating Limitations:
The emergency engine must be operated according to the following conditions;
1. Any operation other than emergency operation, maintenance and testing, and operation in non-emergency situations for fifty (50) hours per year is prohibited. There is no limit on the use of emergency stationary RICE in emergency situations and for routine testing and maintenance.
[40 CFR 63.6640(f)(2)(i), 40 CFR 63.6640(f)(2)(ii), 40 CFR 63.6640(f)(2)(iii)]
#### 2. Emission Limitations:
None
#### 3. Testing Requirements:
None
#### 4. Specific Monitoring Requirements:
Pursuant to 401 KAR 52:020, Section 10, the permittee shall monitor the hours of operation in non-emergency situations other than maintenance and testing.
#### 5. Specific Recordkeeping Requirements:
None
#### 6. Specific Reporting Requirements:
None
Typical and Potential To Emit (PTE) calculations for the Reciprocating Engines
## Wilson Station Emergency Diesel Emissions Calculations
### Typical Emissions
**Description:** Cummins Subpart 2222 Diesel Engine, 380 HP (full standby)
| Assumptions: | Operating Hours Conversion |
|--------------|-----------------------------|
| | 2,000 lb/yr |
| | 7,000 Btu/hp-hr |
| | 138.69 MMBtu/100gal |
| Engine rating | Emissions calculations: Emission rate x engine rating x operating hours x conversions |
|---------------|-------------------------------------------------------------------------------------|
| | Pollutant | Emission Factor lb/MMBtu | Source | Emission Factor lb/100gal | lb/hr | Tons/yr |
| PM | 0.31 | AP-42 33-1 | 4.30E+01 | 0.82 | 4.95 | 0.00247 |
| PM10 | 0.31 | AP-42 33-1 | 4.30E+01 | 0.82 | 4.95 | 0.00247 |
| PM2.5 | 0.31 | AP-42 33-1 | 4.30E+01 | 0.82 | 4.95 | 0.00247 |
| NOx | 4.41 | AP-42 33-1 | 6.12E+02 | 11.73 | 70.38 | 0.03519 |
| SO2 | 0.29 | AP-42 33-1 | 4.02E+01 | 0.77 | 4.63 | 0.00231 |
| CO | 0.95 | AP-42 33-1 | 1.32E+02 | 2.53 | 15.16 | 0.00758 |
| TOC | 0.55 | AP-42 33-1 | 4.86E+01 | 0.93 | 5.59 | 0.00279 |
| Benzene | 9.33E-04 | AP-42 33-2 | 1.29E+01 | 0.0025 | 0.0149 | 0.000007 |
| Toluene | 4.09E-04 | AP-42 33-2 | 5.67E+02 | 0.0011 | 0.0055 | 0.000003 |
| Xylene | 2.86E-04 | AP-42 33-2 | 3.98E+02 | 0.0008 | 0.0045 | 0.000002 |
| CO2 | 1.64E+02 | AP-42 33-1 | 2.27E+04 | 436.24 | 2817.44 | 1.309 |
Notes:
*No available AP-42 emissions factor for VOC. VOC concentration assumed as TOC.
Case No. 2012-00063
Attachment for Response to SC 2-43c
Witness: Thomas L. Shaw
Page 35 of 38
## Wilson Station Emergency Diesel Emissions Calculations
### Potential to Emit
**Description:** Cummins Subpart ZZZZ Diesel Engine, 380 HP (full standby)
### Assumptions:
- Operating Hours: 500 PTE, from EPA Guidance document dated January 25, 1995
- Conversion: 2,000 lb/ton
- 7,000 Btu/lb/hr
- 138.69 MMBtu/1000gal
| Engine rating | Emissions calculations: Emission rate x engine rating x operating hours x conversions |
|---------------|----------------------------------------------------------------------------------------|
| | Pollutant | Emission Factor | Emission Factor Source | Emission Factor lb/1000gal | lb/hr | Tons/yr |
| PM | 0.31 | AP-42 3.3-1 | 4.30E+01 | 0.82 | 412.30 | 0.20615 |
| PM10 | 0.31 | AP-42 3.3-1 | 4.30E+01 | 0.82 | 412.30 | 0.20615 |
| PM2.5 | 0.31 | AP-42 3.3-1 | 4.30E+01 | 0.82 | 412.30 | 0.20615 |
| NOx | 4.41 | AP-42 3.3-1 | 6.12E+02 | 11.73 | 5965.30 | 2.93265 |
| SO2 | 0.29 | AP-42 3.3-1 | 4.02E+01 | 0.77 | 385.70 | 0.19265 |
| CO | 0.95 | AP-42 3.3-1 | 1.32E+02 | 2.53 | 1263.50 | 0.63175 |
| TOC | 0.35 | AP-42 3.3-1 | 4.85E+01 | 0.93 | 465.50 | 0.23275 |
| Benzene | 9.33E-04 | AP-42 3.3-2 | 1.29E-01 | 0.0025 | 1.2409 | 0.000620 |
| Toluene | 4.09E-04 | AP-42 3.3-2 | 5.67E-02 | 0.0011 | 0.5440 | 0.000272 |
| Xylene | 2.85E-04 | AP-42 3.3-2 | 3.95E-02 | 0.0008 | 0.3791 | 0.000190 |
| CO2 | 1.64E+02 | AP-42 3.3-1 | 2.27E+04 | -436.24 | 218120.00 | 105.060 |
**Notes:**
No available AP-42 emissions factor for VOC. VOC concentration assumed as TOC.
## Wilson Station Emergency Diesel Emissions Calculations
### Typical Emissions
**Description:** Detroit Standpart 7ZZZ Diesel Engine, 1130 HP (full standby)
**Assumptions:**
- Operating Hours: 1 hr/day
- Conversion: Estimate based on 0.5 hr/month
| Pollutant | Emission Factor lb/MMBtu | Emission Factor Source | Emission Factor lb/1000gal | lb/hr | Tons/yr |
|-----------|--------------------------|------------------------|----------------------------|-------|---------|
| PM | 0.31 | AP-42 3.3-1 | 4.30E-01 | 2.45 | 14.71 |
| PM10 | 0.31 | AP-42 3.3-1 | 4.30E-01 | 2.45 | 14.71 |
| PM2.5 | 0.31 | AP-42 3.3-1 | 4.30E-01 | 2.45 | 14.71 |
| NOx | 4.41 | AP-42 3.3-1 | 6.12E-02 | 34.88 | 209.30 |
| SO2 | 0.29 | AP-42 3.3-1 | 4.02E-01 | 2.29 | 13.76 |
| CO | 0.95 | AP-42 3.3-1 | 1.32E-02 | 7.51 | 45.09 |
| TOC | 0.35 | AP-42 3.3-1 | 4.85E-01 | 2.77 | 16.61 |
| Benzene | 9.33E-04 | AP-42 3.3-2 | 1.29E-01 | 0.007 | 0.044 |
| Toluene | 4.09E-04 | AP-42 3.3-2 | 5.67E-02 | 0.003 | 0.019 |
| Xylene | 2.88E-04 | AP-42 3.3-2 | 3.85E-02 | 0.002 | 0.014 |
| CO2 | 1.6E-02 | AP-42 3.3-1 | 2.27E+04 | 1297.24 | 7783.44 |
**Notes:**
No available AP-42 emissions factor for VOC. VOC concentration assumed as TOC.
Engine rating: 1130 hp
MMBtu/hr: 7.91 MMBtu/hr
gal/hr: 57.03367 gal/hr
## Wilson Station Emergency Diesel Emissions Calculations
### Potential to Emit
**Emergency Diesel Generator, Potential to Emit:**
- **Description:** Detroit Subpart ZZZZ Diesel Engine, 1130 HP (full standby)
### Assumptions:
- Operating Hours: 2,000 hr/yr
- Conversion: 7,000 Btu/hr-hr
- 138.69 MM Btu/1000gal
### Engine rating
- 1130 hp
- 7.91 MMBtu/hr
- 57.03367 gal/hr
### Emissions calculations: Emission rate x engine rating x operating hours x conversions
| Pollutant | Emission Factor lb/MMBtu | Emission Factor Source | Emission Factor lb/1000gal | lb/hr | Tons/yr |
|-----------|--------------------------|------------------------|----------------------------|-------|---------|
| PM | 0.31 | AP-42 3.3-1 | 4.30E+01 | 2.45 | 1226.05 | 0.61303 |
| PM10 | 0.31 | AP-42 3.3-1 | 4.30E+01 | 2.45 | 1226.05 | 0.61303 |
| PM2.5 | 0.31 | AP-42 3.3-1 | 4.30E+01 | 2.45 | 1226.05 | 0.61303 |
| NOx | 4.41 | AP-42 3.3-1 | 6.12E+02 | 34.88 | 17441.55| 8720.78 |
| SO2 | 0.29 | AP-42 3.3-1 | 4.02E+01 | 2.29 | 1148.95 | 0.57348 |
| CO | 0.36 | AP-42 3.3-1 | 1.32E+02 | 7.51 | 3757.25 | 1878.63 |
| TOC | 0.36 | AP-42 3.3-1 | 4.88E+01 | 2.77 | 1384.25 | 692.13 |
| Benzene | 9.33E-04 | AP-42 3.3-2 | 1.28E+01 | 0.007 | 3.690 | 0.00185 |
| Toluene | 4.09E-04 | AP-42 3.3-2 | 5.67E-02 | 0.003 | 1.618 | 0.00081 |
| Xylene | 2.85E-04 | AP-42 3.3-2 | 3.98E-02 | 0.002 | 1.127 | 0.00056 |
| CO2 | 1.64E+02 | AP-42 3.3-1 | 2.27E+04 | 1297.24 | 64620.00 | 324.310 |
**Notes:**
- No available AP-42 emissions factor for VOC. VOC concentration assumed as TOC.
Item 44) Refer to the November 11, 2011 Budget Letter from Siemens regarding SESS Budget Proposal No. 4296.
a. Identify the SO₂ removal percentage being achieved by the wet FGD at the Coleman facility.
b. Given that SESS Budget Proposal No. 4296 is proposing a “design which is expected to provide Wilson Unit 1 with SO₂ removal levels similar to the Coleman facility,” if the wet FGD at the Coleman facility is achieving less than 99% removal, identify the additional capital and O&M costs over those in the SESS Budget Proposal that would be needed for the wet FGD at Wilson Unit 1 to achieve an average annual SO₂ removal of 99%.
Response)
a. Please see the table below displaying the SO₂ removal percentage by the Coleman FGD for the last 5 years (2007 – 2011). The listed percentages are for SO₂ removal of flue gas that flows through the Coleman FGD and does not include any bypass emissions.
Note that Big Rivers made an economic decision to use lower grade limestone, which resulted in lower removal efficiency than achievable. This economic decision was made due to the declining value of SO₂ allowances versus the cost savings of the lower quality limestone.
b. As shown above, the Coleman FGD system is capable of near 99% removal efficiency (98.7%). The SESS proposal was increased slightly to cover any minimal design change (maximizing liquid/gas contact) needed to achieve 99% removal efficiency. Please see Big Rivers’ response to Item 13 of these responses (SC 2-13) for the O&M cost increase for utilizing a higher quality limestone.
Witness) Robert W. Berry
Item 45) Refer to page 7 of the Big Rivers 2010 IRP, Appendix B.
a. Explain the basis for limiting the Big Rivers energy efficiency program budget to $11.2 million from 2011-2020.
b. State what level of annual energy efficiency program budget would be needed to achieve the level of energy savings and peak demand reduction identified for the achievable potential scenario.
c. Identify the basis for assuming a 30% market penetration by 2020 for achievable cost effective energy efficiency programs, rather than a higher market penetration level. Produce any documents supporting or regarding that 30% market penetration assumption.
Response)
a. The $11.2 million from 2011-2020 is based on a projected budget of $1 million in 2011, followed by an increase of 2.5% annually from 2012-2020. The projected 2011 budget of $1 million is approximately 1% of rural system sales in 2011.
b. The achievable potential scenario was estimated to result in an approximate cost of $48 million over the 10 year study period.
(2011-2020). This results in an average annual cost of $4.8 million dollars.
c. Estimates of achievable potential can vary widely depending on the assumed level of penetration and incentives. Maximum achievable potential is typically represented by an unconstrained budget with 100% incentives, aggressive and sustained marketing and program designs, and high levels of market penetration. For example, the Northwest Power and Conservation Council assumes maximum achievable penetration at 85%. This is based on the widely-referenced “Hood River Project” that performed a community-wide direct install, primarily weatherization effort. There was no cost to customers, and the 85% represents the portion of measures installed.
However, the National Energy Efficiency Best Practices Study concluded that use of an incentive level of 100% of measure costs is not recommended or realistic as a program strategy. This best practices report notes that if incentives are set too high, free-ridership rates will increase and dilute the market impact of program dollars. Big Rivers opted to set the achievable potential estimate incentive levels at a more conservative 35% of incremental measure cost in an effort to encourage potential participants (in an effort not to overpay.
participants and simultaneously allow a more constrained budget to impact additional participants). The study then linearly estimated the achievable potential long-term participation at 30% based on a ratio of (Achievable Incentive % / Max. Achievable Incentive % : Achievable Penetration Rate / Max. Achievable Penetration Rate, or 35%/100%: X/85% = 30%).
Witness) Robert W. Berry
Item 46) Refer to p. 29 of the Big Rivers 2010 IRP, Appendix B.
a. State how the annual avoided energy costs identified in Table 5.1 compare to the annual energy costs assumed in the 2012 Plan.
b. State how the annual avoided capacity costs identified in Table 5.2 compare to the annual capacity costs assumed in the 2012 Plan.
c. Identify the levels of economic, achievable, and program potential energy and capacity savings using the annual energy and capacity costs assumed in the 2012 Plan rather than the annual energy and capacity costs assumed in the 2010 IRP.
Response)
a. The avoided costs for energy used in the 2010 IRP analysis were the same as those used in the 2012 Plan.
b. The avoided costs for capacity used in the 2010 IRP analysis were the same as those used in the 2012 Plan.
c. Due to no changes in the assumed avoided cost of energy and capacity between the 2012 Plan and 2010 IRP, there would be
no resulting change in the levels of economic, achievable, and program potential energy and capacity savings.
Witness) Robert W. Berry
Item 47) With regards to either of Big Rivers’ two smelter customers, identify:
a. Any energy efficiency, demand side management, or demand response programs that Big Rivers has evaluated to achieve energy savings or reduce peak demand for either of the two smelters.
b. Any energy efficiency, demand side management, or demand response programs that Big Rivers has offered to either of the two smelters.
c. Any energy efficiency, demand side management, or demand response program that either of the two smelters is currently implementing
Response)
a. Please see Big Rivers’ response to Item 26 of these responses.
b. Current demand side management offerings are available to members under the Rural Deliver Service tariff only.
c. Please see Big Rivers’ response to Item 26 of these responses.
Witness) Robert W. Berry
Item 48)
Response to the Sierra Club’s Second Request for Information Dated June 22, 2012
July 6, 2012
Response)
APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN, FOR APPROVAL OF ITS AMENDED ENVIRONMENTAL COST RECOVERY SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
Response to the Sierra Club’s Second Request for Information Dated June 22, 2012
July 6, 2012
APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN, FOR APPROVAL OF ITS AMENDED ENVIRONMENTAL COST RECOVERY SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
Response to the Sierra Club’s Second Request for Information Dated June 22, 2012
July 6, 2012
APPLICATION OF BIG RIVERS ELECTRIC CORPORATION FOR APPROVAL OF ITS 2012 ENVIRONMENTAL COMPLIANCE PLAN, FOR APPROVAL OF ITS AMENDED ENVIRONMENTAL COST RECOVERY SURCHARGE TARIFF, FOR CERTIFICATES OF PUBLIC CONVENIENCE AND NECESSITY, AND FOR AUTHORITY TO ESTABLISH A REGULATORY ACCOUNT
CASE NO. 2012-00063
Response to the Sierra Club’s Second Request for Information Dated June 22, 2012
July 6, 2012
Witness) Patrick N. Augustine |
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The Parish of St. James is central to the economic activities of Western Jamaica and is therefore poised to pivot collaborative initiatives for the economic development of the western parishes. Montego Bay Community College branded as the “University College of Western Jamaica” is the only community college in Western Jamaica. Driven by its Workforce Development and Continuing Education Division the college continues to contribute to the development of the workforce of western Jamaica and its environs thereby enhancing the human capital productive capacity. This vision is driven by the growing demands of the global market and is in keeping with the principles of a knowledge based economy.
Montego Bay Community College through its Workforce Development and Continuing Education Division in collaboration with the St. James Parish Council will be hosting the inaugural Western Jamaica Economic Forum, on Wednesday November 26, 2014, at the Montego Bay Convention Centre. This event will be held under the theme “IMPROVING CAPACITY FOR SUSTAINABLE GROWTH AND DEVELOPMENT”.
The forum aims to empower local groups within the Western Parishes, to develop and implement an economic model to improve their way of life. It is therefore significant that this assembly is being held during Local Government and Community Development Month as the forum aims to stimulate discussions through plenaries and concurrent participatory sessions by engaging major stakeholders from Trelawny, St. James, Hanover and Westmoreland.
Specifically, the Forum’s objectives include:
- To stimulate the culture of local patronage among stakeholders from the parishes of Trelawny, St. James, Westmoreland, and Hanover, towards building the western economy.
- To identify opportunities for socio-economic development within Western Jamaica
- To create a synergy between community groups and business enterprises of Western Jamaica
- To identify industries in Western Jamaica with the potential of fostering sustainable economic growth in the short term, medium term and long term
- To allow partners and exhibitors within Western Jamaica to promote and develop their brand
- To develop an Economic Model for Western Jamaica
- To prepare “Forum document” inclusive of all presentations
Stakeholders expected to participate in the event include but are not limited to leaders from various agencies and non-government organisations including the offices of the Custodes, Parish Councils, Social Development Commission, Chambers of Commerce, Parish Development Committees, The University of the West Indies, Tertiary Educational intuitions, Rural Agricultural Development Authority, Jamaica Agricultural Society, Jamaica Hotel Tourism Association, National Youth Council, Jamaica Cultural Development Commission, Jamaica Constabulary Force, Lay Magistrates, Ministry of Labour, National Housing Trust, and the media.
MESSAGE FROM MINISTER OF LOCAL GOVERNMENT & COMMUNITY DEVELOPMENT
I salute the St. James Parish Council and the Montego Bay Community College on the initiative to host the inaugural Western Jamaica Economic Forum. I am also pleased to note that this important and timely event is being held as a part of the observance of Local Government and Community Month which is being celebrated this year, under the theme “Serving People, Empowering Communities”. This theme reflects our commitment, as well as our mandate, to serve the people of Jamaica by making their places of business and residence cleaner, safer and economically viable.
The role of Local Government in providing services at the local level is often highlighted. Traditionally, less emphasis has been placed on its role in stimulating local economic development. This Administration is committed to changing that. It is the mantra of my Ministry. However, this mission cannot be achieved by Central Government alone. I am therefore impressed with the vision displayed by the St. James Parish Council, and other stakeholders, in staging this event. It is my fervent hope that the ideas exchanged, challenges identified, and solutions outlined will lead to tangible opportunities for investment and development in the region. I look forward to being a part of the launching of the economic development blueprint for Western Jamaica that must be a natural outcome from this exercise.
Centrally, the Ministry is also strongly emphasizing Local Economic Development, to ensure that economic development is experienced by our citizens at the community level. The Caribbean Local Economic Development Project (CARILED), which is a partnership between the Government of Jamaica and the Government of Canada, is transforming the lives of individuals and whole communities through entrepreneurship. There are more than 12 Local Economic Development projects at various stages of implementation island-wide, currently providing opportunities for over 500 people, and covering a range of interests including recycling, banana cultivation, juice production, irrigation systems and crop storage.
The role of Local Government in the national development process is being tangibly felt. Jamaica’s hugely improved ranking from 94 to 58 of 189 countries, in the World Bank Doing Business 2015 report, reflects in part the efforts being made to improve service to our people. Jamaica’s ranking for the category “Dealing with Construction Permits” is 26, up from a rank of 52 in the 2014 Report. I want to thank the staff of the Ministry and Local Authorities for their hard work, which is being recognized at the highest levels worldwide.
This Administration is also committed to completing the transformation of Local Government thereby giving legal recognition to community groups, and greater autonomy to Local Authorities. The Ministry of Local Government and Community Development has advanced this process in a number of important ways.
The first is that of giving special recognition and protection to Local Government in our ultimate law, the Constitution of Jamaica. We started this process by tabling the Constitution (Amendment Local Government) Bill, 2014, in Parliament in September. This will ensure that no future Administration will be able to arbitrarily disband Local Government. Very soon, I will be tabling three (3) strategic laws in Parliament which will form the basis of Local Government Reform. The proposed laws will allow for the recognition and outline the functions of Local Government; establish defined guidelines for holding Local Government elections; provide legal recognition for Community Development and Parish Development Committees; and also establish a Local Government Services Commission.
Local Government and Community Development touches the lives of every Jamaican, every day. We commit to continuing the progress, conscious of current challenges, and determined to overcome them to provide the best service possible.
Once again, I salute the St. James Parish Council on this initiative.
Noel Arscott
Minister of Local Government and Community Development
MONTEGO BAY’S ESCI EXPERIENCE
The City of Montego Bay is a beneficiary of the Emerging and Sustainable Cities Initiative (ESCI) – a two-year programme by the Inter-American Development Bank (IDB).
The ESCI is a programme developed by the IDB to help cities in Latin America and the Caribbean better plan for their growth and solve key issues such as urban sustainability, environmental sustainability, climate change, fiscal sustainability and governance.
The initiative provides a methodology for sustainability assessment, technical assistance from IDB specialists and financing for key studies and pre-investment projects. This programme is expected to be completed by 2015.
The St. James Parish Council along with the Planning Institute of Jamaica, the Ministry of Local Government & Community Development, the Urban Development Corporation, National Environment and Planning Agency, the St. James Parish Development Committee among other agencies and stakeholder groups have worked tirelessly with the various mission teams who frequently visited the island.
In Montego Bay, the ESCI’s diagnostic assessment revealed critical issues in the topics of land use and urban planning, mobility and transportation, employment, connectivity, education, crime, water, wastewater and drainage, solid waste management, mitigation of climate change, vulnerability to natural disasters, modern public management practices, and taxes and financial autonomy.
With consideration for the economic, environmental and citizen importance of each topic, as well as the suitability of local-level intervention; urban development and planning (including land use and transportation), reduction of vulnerability to natural and man-made disasters, sanitation (including solid waste and wastewater management), public safety and crime, and employment and training were selected for priority action.
The ESCI action plan is currently being revised and will be presented to the stakeholders in January 2015.
Smart City Initiative
The IDB also collaborated with the Korean Government to assist with its Smart City Initiative aimed at promoting “the long-term sustainability of Montego Bay and to improve the quality of life of the city’s inhabitants”.
It is the pilot project for the Smart City model in Jamaica and will involve the installation of closed circuit cameras with functions for traffic management, crime as well as disaster management.
The Korean Government through KRIS Korean Research Institute sponsored the design of the Montego Bay Integrated Operation Control Centre (IOCC), which was completed in February 2014 and is awaiting implementation.
I laud this initiative that has been spearheaded by the St. James Parish Council and the Montego Bay Community College. Trelawny Parish Council is indeed honoured to be a stakeholder in such a well-thought venture. Over the past years we have seen major developments taking place in Trelawny. The development of the cruise ship pier has impacted tremendously on the Town of Falmouth. We have seen a boom in the housing industry with the construction of gated communities like Florence Hall, Stone Brook, Holland Estate and Coral Springs. We have also seen an influx of Chinese businesses in the form of supermarkets and haberdasheries in our commercial industry; however the people of Trelawny need and deserve more. The Trelawny Multi-Purpose Stadium, which was built to encourage sports tourism in the parish, is still underutilised. While our hotel sector is on the rise with the opening of Royalton White Sands, the Braco Hotel is currently under repair and Harmony Cove is still on the books. Our participation in the Western Jamaica Economic Forum is to ensure the following objectives are met for the parish of Trelawny:
- To create an environment that will facilitate wealth creation in terms of attracting local and international investors.
- To improve our workforce through continuing education in order to ensure a well educated and internationally competitive environment.
- To identify business opportunities in order to build our medium and micro enterprises.
- To create a synergy between Historic Town of Falmouth and the need for modernisation and continued development.
- To identify investment opportunities for our agricultural sector and develop linkages with tourism and sports industries.
- To empower community development groups to form effective business enterprises in order to improve the way of life for our communities.
Councillor Garth Wilkinson
Mayor of Trelawny
I am honoured to greet you as we participate in the inaugural Western Jamaica Economic Forum - a collaborative effort between the St. James Parish Council and the Montego Bay Community College’s Workforce Development and Continuing Education Division. This event represents a positive process that seeks to a number of workable objectives as we position the region for increased economic success. Our modern experiences teach us that the world has evolved tremendously. While empires rose in the past for the better organization of large expanses of geographical areas, economies and peoples; today, it is the small city that must become state-like, highlighting its ability to create and sustain economies that will contribute positively to the nation. It is imperative that we go beyond both visual and perceived limitations to find unique ways to innovatively restructure and improve the economies of Trelawny, St. James, Hanover and Westmoreland. This is our opportunity to renew possibilities and improve the quality of lives for our residents. It is being held during Local Government and Community Development Month, for we also hope to empower local groups within the western parishes, to develop and implement an economic model for the improvement of their standard of life. As we combine our efforts for a better Jamaica, we must commit ourselves to the idea that we can make a great difference in how we structure our economy for sustained viability.
*Councillor Glendon Harris, BH(M), JP*
*Mayor of Montego Bay*
It is with great pleasure that I welcome this initiative to spur the economic development of our communities in this region of the Island; a region that has been a sleeping giant. A region that has so much to offer in terms of physical assets such as sea and airports, a convention centre, new stadia and some of the best hotels to name a few. It is obvious that our major universities have seen the potential of the western region and are heavily investing to take advantage of our many and varied assets. Those institutions along with the Montego Bay Community College will therefore provide for the development of our resources which is fundamental for economic improvement. The Western Jamaica Economic Forum can determine the goals, formulate policies and with other stakeholders provide guidelines necessary for a coordinated and focused thrust to unlock our potential as an economic giant to the benefit of our people and indeed to Jamaica. It is my sincere wish that we can work together with a determination to seize that initiative that would redound to the benefit of us all. May God bless us all as we pursue this development.
*Councillor Bertel Moore, OD, JP*
*Mayor of Savanna-la-Mar*
MESSAGES
It gives me great pleasure, on behalf of the Hanover Parish Council to be associated with the Western Jamaica Economic Forum. I would like to extend sincere appreciation and thanks to the event hosts, the Montego Bay Community College through its Workforce Development and Continuing Education Division, and the St. James Parish Council in collaboration with the Westmoreland and Trelawny Parish Councils for organizing this forum. This month is celebrated as Local Government and Community Development Month. A main focus of the Hanover Parish Council, like other Councils in the region, has been public health, because the advance of the Chikungunya virus has highlighted how important health is to our individual, community, social and economic well-being. The Disaster Committee of the Hanover Parish Council has been and will continue to be working closely with the Hanover Health Department in identifying and treating affected areas. As part of the month’s programme of activities the Council has now identified new areas for development for both the local community and the tourism product including Fort Charlotte and the Old Steamer Beach in Hopewell. The first phase of upgrading works at Fort Charlotte has been completed and we are now embarking on the second phase. These projects will require extensive financial support and we look forward for an input from TEF. Hanover is a parish ripe for agricultural development and entrepreneurship, and to further the goals of sustainable growth and development we are planning to work with RADA, SDC, PDC, and the Members of Parliament for the parish in identifying and initiating new projects. It is my hope that this initial gathering will provide a firm foundation for future discussion on sustainable growth and development in Hanover and across the western region.
Councilor Wynter McIntosh
Mayor of Lucea
Densil A. Williams is Professor of International Business and Executive Director of the Mona School of Business and Management at UWI, Mona Campus. He obtained a BSc degree with first class honours in Economics and, a MSc degree in International Business from the UWI. In 2006, he obtained a Ph.D. in International Business and Strategy from the Manchester Business School, University of Manchester, in the UK. Since his first academic appointment in 2006, he has published over 50 refereed papers on economic development, small firm’s strategy and economic competitiveness in academic journals and conference proceedings. He is also the author of two books, both of which have won outstanding research awards at the UWI. In 2013, he was awarded the prize for the most outstanding researcher in the Faculty of Social Sciences at the UWI, Mona Campus.
Densil serves on a number of Boards as Chairman, Deputy Chairman and, Director in the public and private sectors in Jamaica and the wider Caribbean region. Before joining academia in 2006, he worked as a Business Analyst in Strategy and Transformation at Cable and Wireless Jamaica. He was a Jamaica Government Exhibition Scholar, A Jamaica Flour Mills Scholar, a Lome IV Scholar and, A Commonwealth Scholar.
Colin Bullock attended the University of the West Indies from 1969 to 1974 earning BSc. and MSc. degrees in Economics. He has lectured in the Department of Economics at UWI Mona from 1974 to 1986 and from September 2008 to April 2013. His teaching has included Macroeconomic Theory, Monetary Economics, Public Finance and Public Policy. He joined the Research and Economic Programming Division at Bank of Jamaica in 1986 as Director of Macroeconomic Programming and progressed through being Senior Director for Research and Economic Information to Deputy Governor, Research and Economic Programming by 1996. He served in that capacity from 1996 to 2005 and concurrently as Deputy Governor with responsibility for Banking and Market Operations from 1998 to 2005. He was seconded from Bank of Jamaica to Ministry of Finance to serve as Financial Secretary from 2005 to 2008. He served as a member of the Government of Jamaica’s team for external economic negotiations from 1986 to 2008 and on several occasions acted as team leader. His external interface included the IMF and other multilateral financial institutions. Having served on boards including Bank of Jamaica, the Planning Institute of Jamaica and the Statistical Institute of Jamaica, he was appointed by the Minister of Finance as Chairman of the Board of Commissioners of the Financial Services Commission effective March 2012. He serves as an economic advisor to the Minister of Finance and has recently been appointed as Chairman and Director General of the Planning Institute of Jamaica and Chairman of the Jamaica Social Investment Fund.
PROGRAMME
REGISTRATION 8.00 - 9.00AM
NATIONAL ANTHEM 9:00AM
CHAIRMAN’S OPENING REMARKS: Dr. Asburn Pinnock
Principal, Sam Sharpe Teachers College
INVOCATION: Custos of Westmoreland, The Very Rev. Canon Hartley Perrin
WELCOME & OVERVIEW: Mayor of Montego Bay, Councillor Glendon Harris 9.10 – 9.20
GREETINGS: Mayor of Savanna-la-Mar, Councillor Bertel Moore 9.20 – 9.25
Mayor of Lucea, Councillor Wynter McIntosh 9.25 – 9.30
Mayor of Falmouth, Councillor Garth Wilkinson 9.30 – 9.35
REMARKS: Honourable Noel Arscott,
Minister of Local Government & Community Development 9.35 – 9.45
INTRODUCTION OF GUEST SPEAKER: Stascia Gordon, UWI, Mona- WJC 9.45 – 10.30
KEYNOTE ADDRESS: Professor Densil Williams, Executive Director
Mona School of Business & Management
Agglomeration Economies: A Model for the West
COFFEE BREAK 10.30 – 10.45
PRESENTATION: St. James Parish Council 10.45 – 11.00
Presenters: Mr. Trevion Manning & Mr. Ricardo Rohden
Emerging Sustainable City Initiative
PLENARY 1: Mr. Collin Bullock, Director General- Planning Institute of Jamaica 11.00 - 11.30
Moderator: Dr. Asburn Pinnock
Positioning Western Jamaica for Vision 2030
PLENARY 2: PANEL DISCUSSION 11.30 – 12.30PM
Moderator: Professor Sir Kenneth Hall
A Collaborative Approach to Workforce Development
Dr. Desmond Wilson:
Using Tertiary Education to Drive Development; The Nottingham Experience
Mrs. Patricia Bidart:
CARICOM TVET Strategy for Workforce Development and Economic Competitiveness
Dr. Luz Longsworth- Director, UWI Mona- WJC
*The Knowledge Economy: Implications for Western Jamaica*
Dr. Angela Samuels Harris- Principal, Montego Bay Community College
*Collaborating for Development: Western Jamaica Tertiary Institutions*
**SETTING THE CONTEXT FOR CONCURRENT SESSIONS:** 12.30 – 1.00PM
Moderator: Mr. Rodcliffe Robertson
*Agriculture:* JAS St. James President, Mayor Mr. Glendon Harris
*Tourism:* Mr. Joseph Forstmayr
*Trade & Investment:* Minister of State, Sharon Ffolkes Abrahams, Ministry of Industry, Investment and Commerce
*Factors Affecting Development:* Member of Parliament, North West St. James- Dr. Horace Chang
*Housing, Safety & Security, Health*
**LUNCH** 1.00 – 2.30
**INTRODUCTION OF GUEST SPEAKER:** Nagra Plunkett, St. James Parish Council
**GUEST SPEAKER:** Dr. Christopher Tufton
*Improving Capacity for Sustainable Growth & Development*
**CONCURRENT SESSIONS:** 2.30 – 3.30
*Agriculture:* Dr. Derrick Deslandes
*Tourism:* Mr. Joseph Forstmayr
*Trade & Investment:* Ms. Gloria Henry
*Factors Affecting Development:*
Moderator: Rev. Sonia Seivwright
*Housing:* Ms. Lorna Bernard, Branch Manager, St. James Regional Office
*Safety & Security:* ACP Devon Watkis, Head of the Criminal Investigation Branch Jamaica Constabulary Force
*Health:* Dr. Delroy Fray, Senior Medical Officer- Cornwall Regional Hospital
**COFFEE BREAK** 3.30 – 3.45
**SUMMARY OF PRESENTATIONS: THE WAY FORWARD** 3.45 – 4.20
**CLOSING REMARKS/VOTE OF THANKS:** Mr. Pius Lacan 4.20 – 4.30
Dr. Tufton is a former Government Minister and business strategist whose expertise includes International Business & Marketing Strategy, specializing in Foreign Direct Investment facilitation and the impact of public policy on industry. He has also served on several corporate boards including the West Indies Trust Company Limited, CARIMED (the Caribbean’s largest pharmaceutical distributor) and NCB Insurance Company Limited. Dr Tufton is a graduate of the University of the West Indies, Jamaica, and Georgia State University, Atlanta, USA, where he received degrees in Management Studies and Marketing respectively. He completed his Doctorate in Business Administration at the Manchester Business School, University of Manchester in the United Kingdom in 2002. He is Jamaica’s former Minister of Industry, Investment & Commerce, having served with distinction as Minister of Agriculture and Fisheries from September 2007 to June 2011. Since January 2012 Dr. Tufton has focused on his business advisory services as chairman of CNT Global Limited. He is also Chairman of Greenfield Investments and Bahama Traders, both family controlled retail businesses, Barnett Limited, Institute of Technological and Educational Research (ITER), and Executive Director of the Caribbean Policy Research Institute (CAPRI), an economic policy think tank based at the University of the West Indies Mona, Jamaica. Dr. Tufton is married and has three children.
Des Wilson as he is affectionately known was born in the parish of Hanover, November 1957, where he attended Middlesex Corner School until the age of seventeen. When he immigrated to the United Kingdom to join relatives, he landed in Nottingham in the middle of the race riots of the late fifties, he immediately made one self very active amongst his elders, working in various jobs until the early seventies when he opened a Cafe Bar in central Nottingham. At this point he was engaged in various organisations based on addressing the needs of the Minority communities. He has always been an active Trade Union member and a member of the British Labour Party. Through these involvements he was elected to serve as a Labour Councillor in 1991 whereby he was able to use his vast experience to develop services for the Black and Minority Communities. In 1992 he was elected as Vice Chair of the Employment and Economic Development Committee, and then Chairing that said Committee for another four years. In 2001, Des Wilson was elected as Lord mayor of Nottingham the first Afro-Caribbean to hold that office in its 672 years history, a fete to be repeated in 2006/7, in 2009 he was awarded as an Alderman of the City of Nottingham, and in 2012 The University of Nottingham bestowed upon him a Doctor of Laws degree for his service to the City.
Patricia Bidart, is passionate about post-secondary education and building and developing new programming to fit labour market needs. Pat has been a high school teacher, guidance counsellor, college instructor, Coordinator, Dean, Director of International and Associate Vice-President Academic and International. She was worked with rural and urban colleges and with three school districts. She also served as a sessional instructor with City University and the University of Alberta teaching graduate students in educational administration and higher education and held the position of Adjunct Professor in the Faculty of Education at the University of Alberta. Pat has had the good fortune to have led projects in Asia and Africa and to have travelled to many countries for international student recruitment. In her committee work she was involved in many local, regional and national committees. She participated on the “Central Alberta Regional Economic Development Committee” which involved business, industry, government and colleges coming together to discuss opportunities and challenges in economic development in Central Alberta. Pat holds a Bachelor of Education from the University of Alberta, a Masters of Education from the University of Lethbridge and completed some studies towards a Education Doctorate with the University of Calgary. Pat joined Colleges and Institutes Canada as Senior Technical Advisor Belize/Jamaica in 2014 as part of the CARICOM Education for Employment Program and is pleased to be living and working in Jamaica with her husband Richard.
Dr. Angela Samuels Harris is the Principal of the Montego Bay Community College. She has had a distinguished career as an educator at the Secondary and Tertiary levels, with extensive knowledge and experience in the systems of education of the United States, Canada, Bermuda and the wider Caribbean. Dr. Samuels Harris holds a Bachelor of Science Degree and a Post Graduate Diploma in Education from the University of the West Indies; a Master of Education Degree in Human Development from the University of Maryland; and a Master of Education and a Doctorate in Mathematics Education from Columbia University, New York. She is a former Chairman of Jamaica’s Joint Committee for Tertiary Education and has provided educational leadership to the Caribbean. Currently, Dr. Samuels Harris is the President of the Association of Caribbean Tertiary Institutions (ACTI) which has membership of over ninety (90) universities and colleges across the region. She is the Academic Committee Chairman of the Council of Community Colleges of Jamaica (CCCJ) and represents the regional tertiary institutions on the councils of the University of the West Indies and the University of Technology. She also serves on several local committees and boards in the region; including the Scotia Jamaica Life Insurance Company, where she is a Director. Dr. Samuels Harris has a keen interest in Drama and other cultural activities. She is a Justice of Peace, and is married to His Worship, Councillor Glendon Harris, Mayor of Montego Bay, and businessman.
Dr. Luz Longsworth is the Director of the University of the West Indies, Mona Western Jamaica Campus. She holds a Doctorate in Business Administration in Higher Education Management from the University of Bath in the United Kingdom. She is a graduate of the University of the West Indies where she earned her B.A. (First Class Hons.) and MBA (Marketing) degrees and also holds a Master of Arts degree in Hispanic Studies from Queen’s University, Ontario, Canada. Dr. Longsworth has over 25 years of experience in both academia and business in Jamaica, the British Virgin Islands (BVI) and Belize. She has held the posts of General Manager of La Moda Export Limited, a garment manufacturing company in Jamaica and General Manager of Amicorp BVI, a financial services company in the BVI. Her academic career has included lecturing in Spanish Language and Literature as well as in Business Administration subjects at the undergraduate and postgraduate levels both online and face-to-face at the University of the West Indies, Mona and Cave Hill campuses and the University of Belize.
FORUM ORGANISING COMMITTEE
FORUM CO-CHAIRMAN
His Worship, Councillor Glendon Harris
Mayor of Montego Bay
FORUM CO-CHAIRMAN
Mr. Pius Lacan
Dean, Workforce Development and Continuing Education Division,
Montego Bay Community College
• Councillor Wynter McIntosh
• Dr. Luz Longsworth
• Stascia Gordon
• Dr. Angela Samuels Harris
• Dr. Joan Dove
• Randy Hayle
• Deroux Jones
• Gloria Henry
• Lisa Golding
• Nagra Plunkett
• Shamor Hines
Magazine design and layout: Noel Falcao Roberts
* Providing infrastructural and social support services
* Ensuring sustainable and orderly development
* Enhancing the economic wellbeing of St. James
Planning & Disaster Management
Roads & Works
Poor Relief
Commercial Services
Public Health & Sanitation
Community Relations
"Working With The Community In Developing Practical Solutions"
St. James Parish Council, 19a Union St., Montego Bay, Saint James
Telephone: 876-952-5500-2; Email: firstname.lastname@example.org
Montego Bay Community College
"The University College of Western Jamaica"
Montego Bay Campus
Alice Eldemire Drive
Montego Bay, St. James
Tel: 979-8150, 979-8164, 953-6850/6851
Fax: 979-8776
Email: email@example.com
Website: www.mbcc.edu.jm
Westmoreland Campus:
Frome, Westmoreland
Tel: 955-6340; Fax: 955-6710
Email: firstname.lastname@example.org |
THE ARCHAEOLOGICAL INVESTIGATION OF THE FORMER PRESTON PLANTATION AND ALEXANDRIA CANAL AT POTOMAC YARD
ALEXANDRIA, VIRGINIA
Submitted to:
Alexandria Archaeology
105 North Union Street
Alexandria, Virginia 22314
Prepared for:
R,F & P Corporation
66 Canal Center Place
Suite 700
Alexandria, Virginia 22314
Prepared by:
Robert M. Adams
International Archaeological Consultants
3778 Briggs Cove Road
Hayes, Virginia 23072
May 1996
ABSTRACT
The archaeological investigation of the former Preston Plantation and Alexandria Canal was undertaken by International Archaeological Consultants in late 1995 and the spring of 1996. The Preston Plantation and associated cemetery was established in the early 1700's by the Alexander family. The Alexandria Canal was completed in 1843 and served to connect Alexandria with the Maryland coalfields and as a major transportation link. The canal was usurped by the growing use of railroads to transport freight and was obsolete and out of business by the 1880's.
A section of the former Alexandria Canal and the Preston Plantation was located at the northern end of Potomac Yard, just south of National Airport (Figure 1). The investigation was principally focused to locate cultural remains and to determine the level of known disturbance in the area through various means. Among these were the use of the historic records, field testing and the comparison of a historic topographic map with the current Potomac Yard topographic map.
A total of six backhoe trenches were excavated to determine if intact cultural features were present. A principal focus was to determine if any remains of the Preston Plantation cemetery had been left undiscovered or undisturbed. The results showed that the historic topographic features had been removed and that no historic cultural features remained. No further work was recommended.
Figure 1. Location of the project area at Potomac Yards in Alexandria, Virginia.
ACKNOWLEDGEMENTS
There are a number of individuals who I would like to thank for their help and assistance. Particularly, I must thank Mr. Dave Sittler, not only for the opportunity, but for his swift and professional manner. Also for his providing all necessary equipment personnel and graphics that made my job considerably easier.
As always, thank you to Alexandria Archaeology and their staff. Particularly, Dr. Steve Shephard and Ms. Francine Bromberg for their active participation, availability and professional guidance. Thanks for the hard hat Fran!
Also, Mr. Ernie Hollsworth and Mr. Steve Thompson of Christopher Consultants, Ltd. who provided numerous maps, measurements and documents on short notice.
PUBLIC SUMMARY
A portion of the Potomac Yard area that is scheduled for development for a retail center was investigated by International Archaeological Consultants. The investigation had three cultural features as the principal focus of the study. The three features were the remains of the former Alexandria Canal, the remains of the former Preston Plantation and associated structures and the remains of the Preston Plantation cemetery. The purpose was to determine if these features still remained or if they had been eliminated or seriously disturbed by the extensive grading that occurred in the area to construct the former railyard.
Preston Plantation was established by the Alexander family in early 18th century and the associated family cemetery. The Alexandria Canal was completed in 1843 and connected with the Chesapeake and Ohio Canal. This gave Alexandria access to a broader market and to the important coal fields of Maryland. Unfortunately, the ever increasing use of rail transport made the canal obsolete and it ceased to function by the 1880's.
Historic records indicate that in 1922 the Preston Plantation cemetery had been excavated as a condition of the sale of the property to the Richmond, Fredericksburg and Potomac railroad. This work was supervised by a family relative and the remains of those that were exumed were re-entered at a local cemetery. Sometime after 1933 the area was graded and the original ground is estimated to have been lowered substantially over the area where the former plantation once stood.
The use of a Civil War period topographic map compared to the current topographic contours of the Potomac Yard area was used to determine the amount of soil that had been removed to form the railyard. This historic map was digitized and overlain on the current topographic map for precise comparison. This showed that a significant amount of soil, 11-23 feet had been removed to reduce the knolls or bluff area known from historic records to accommodate the needs of a flat railyard with little or no relief. Because the former plantation and cemetery were believed to have been constructed on areas of relief above the floodplain, a common sense practice, these may have been the first features that would have been leveled.
The results of the backhoe excavations showed that the angular gravel used to stabilize and bed the railroad ties was underlain with a layer of cinder ballast. This cinder ballast is the remains of the combustion of coal in the locomotives and vast quantities blanket almost all of the Potomac Yard area. This deposit of cinders varies from less than one foot to as much as 15 feet thick with most of the property having 2 or more feet of cinders. In the areas tested this layer was followed by undisturbed orange to gray clay subsoil. In a few areas some small amount of fill was noted resting atop this clay subsoil but no cultural feature or historic artifacts were identified associated within this fill layer.
Despite flooding of several of the test trenches from surface water flowing through the porous gravel, a clear understanding of the stratigraphy was gained and the conclusion was made that the area had been disturbed to a level that was below the cultural level.
The results of the excavation indicated that the original historic ground surface had been removed and that those features that may have been deeper in the ground, such as building foundations and burial shafts, were also gone or un-identifiable.
The recommendation that no further work be undertaken was based on the historic map comparison, historic research and field testing that did not show any intact cultural features or artifacts were present.
# TABLE OF CONTENTS
| Section | Page |
|----------------------------------------------|------|
| Abstract | i |
| Acknowledgements | ii |
| Public Summary | iii |
| Table of Contents | iv |
| List of Figures | v |
| Historic Background Review | 1 |
| Methodology | 4 |
| Results and Analysis | 13 |
| Conclusions | 27 |
| Management Recommendations | 28 |
| Bibliography | |
| Appendices | |
| A. Helen Chapman Calvert Article 1933 | |
| B. Relevant Communications | |
| C. Archaeological Preservation Certificates | |
| D. Supplemental Approvals for Archaeological Excavation | |
| E. Resume/ Author | |
| F. Deeds describing Preston cemetery | |
| G. Surveyor certification of Preston cemetery trench locations (Trenches 5 & 6) | |
| H. Profiles and plan views, Trenches 1-4 | |
LIST of FIGURES
Figure 1 Location of the project area at Potomac Yard in the City of Alexandria, Virginia.
Figure 2 Map prepared by Christopher Consultants, Ltd. showing the historic and current contours of the project area.
Figure 3 Map of project area showing trench locations, sea level elevations and elevations of the ground surface under the gravel and cinders.
Figure 4 Trench #5 flooding with water (Note high winds indicated by flagging tape on survey stake)
Figure 5 Trackhoe equipped with "duckbill" bucket.
Figure 6 Plan view and profiles of trench #5.
Figure 7 Trench #5, north wall at 5 foot profile.
Figure 8 Trench #5, north wall at 52 foot profile showing timbers and fill.
Figure 9 Trench #5, south wall at 96 foot profile.
Figure 10 Plan view and profiles of Trench #6.
Figure 11 North wall of Trench #6 showing erosion of walls from water flowing through the sediment.
Figure 12 Trench #6, north wall at 4 foot profile.
Figure 13 Trench #6, north wall at 50 foot profile.
HISTORIC BACKGROUND
The Potomac Yard and the location of the Preston Plantation were part of land granted by King Charles II while in exile. This property was granted to seven of his loyal followers and when he returned to the throne in 1660, the grants were renewed as six 21 year leases. Over the next decade, Thomas Lord Culpepper, the son of one of the original grantees, acquired four of the six leases. In 1688, he obtained a grant to the Northern Neck in perpetuity. Thomas, fifth Lord Fairfax, acquired the grant through marriage to Lord Culpepper's daughter, Catherine, in 1690.
Within the Proprietary, Potomac Yard is situated within the Howson (or Howsing) Patent, a 6000 acre tract granted to Robert Howson in 1669 by William Beverly, Governor of Virginia. At 50 acres per head, this was Howson's payment for transporting 120 settlers to Virginia. Not a settler, Howson sold the land to John Alexander for 6000 lbs. of tobacco. John Alexander died in 1677 and his son Robert inherited all but 500 acres of the tract.
Robert died in 1704, leaving the land to his sons Robert and Charles. Charles died intestate, leaving Robert the sole owner. After Robert's death in 1735, the tract was divided between his sons, John and Gerrard, at Four Mile Run, John inheriting the land south of the Run.
Until John and Gerrard moved into the area, only tenants of the Alexanders lived on this part of the Howson Patent, probably engaged in growing tobacco and maybe corn. Tenants may have lived in this area before 1719, but definitely by 1731. John Alexander dies in 1764. Whether it was his son Charles who built Preston, an Alexander family plantation house believed to be within the project area, is uncertain.
The City of Alexandria was incorporated in 1749. Prior to this, a tobacco inspection warehouse has been built in 1732 at the foot of what is now Oronoco Street. With the establishment of Georgetown in 1752 and Washington in 1790, the project area came to be a significant transportation corridor. A road between Alexandria and Georgetown is depicted on the 1794 Ellicott map of the Territory of Columbia. It is probably the same road that is noted as the "Chemin a Georgetown" on the 1782 map of French army encampments drawn by the Comte de Rochambeau.
After the founding of Washington, the Potomac Yard project area played an important role in the ultimately unsuccessful, struggle of Alexandria to compete economically. It was part of a transportation corridor enabling Alexandria merchants to tap into the flow of goods into Washington, which was establishing itself as the primary transportation center for the region. In 1808, the Washington and Alexandria Turnpike Company was organized, providing a turnpike between the two cities, with a bridge and a tollgate, across Four Mile Run.
In 1843, The Alexandria Canal was completed, linking Alexandria to the Chesapeake and Ohio Canal and giving Alexandria access to the Maryland coal fields. Although initially successful, the Canal was a financial failure in the long run. Unable to compete with the railroads, it ceased operations in the 1880's.
The first rail line in the area of the present Potomac Yard was the Alexandria and Washington Railroad, which ran from Old Town to the Virginia side of Long (now the 14th St.) Bridge. This line was completed in 1857. A year later the Alexandria, Loudoun & Hampshire Railroad began operation, running between Alexandria and Leesburg.
By the end of the century, the area from Old Town to Four Mile Run was divided into estates owned by the Swann, Chapman, Barbour and Daingerfield families, and a small suburban neighborhood had grown up in the vicinity of St. Asaphs Junction.
Although Alexandria had, by the turn of the century, lost its primary role, the project area retained its importance as a transportation corridor, becoming the site of what is probably the largest railway classification yard at the time in the United States.
Potomac Yard, opened in 1906, was built for the purpose of interchanging and classifying freight for five, and later six, different railroads, the first such yard in the United States. In 1901 the Pennsylvania Railroad, Atlantic Coast Line Railroad, Southern Railway, Chesapeake and Ohio Railway, Seaboard Air Line Railway and Baltimore and Ohio Railroad signed an agreement forming the "Richmond Washington Company" to handle all traffic between these two cities. The agreement, which assured each of the parties equal treatment, was intended to end the fierce competition in which the
participating railroads and their subsidiaries had been engaged throughout the latter part of the nineteenth century.
The Richmond and Washington Company took over control of the right of way of the Richmond, Fredericksburg and Potomac Railroad (RF & P) and the Washington Southern Railway (itself taken over by RF & P in 1920). Under the terms of the 1901 agreement, work began on relocating and double-tracking the entire route from Richmond to Washington, on building a new Union passenger station just west of Alexandria, and on creating a large freight yard between Alexandria and the Long Bridge to provide rail access to Washington.
When the yard opened for business August 1, 1906, it was reportedly the largest classification yard in the United States. The original installation included about 450 acres, with 52 miles of track and capacity for over 3,000 cars. The main yard was divided into northbound and southbound receiving, classifying and dispatching yard, but also included facilities for coaling, for the inspection and repairs of engines and freight cars, for transfer of small freight shipments (less-than-car-load) for local delivery, and for icing and storage of perishable commodities. The main classification areas were centered around two large artificial mounds, or "humps", which used gravity to reassign cars from incoming trains to outgoing trains intended for different destinations.
Potomac Yard expanded greatly during the first half of the twentieth century. During its enlargement in the 1930's, it absorbed the track and perhaps some of the facilities of the Washington and Old Dominion electric railway. In the early years of the second World War 11-1/2 miles of track were added, bringing the total trackage in the Yard to 95 miles. Peak years of operation were during World War II, with a high in 1943, when the RF & P handled an average of 103 trains daily. The Yard continued to grow into the 1950's, however, expanding into the north of the Four Mile Run, which had been largely filled during the construction of National Airport in the 1930's. In 1984, it covered 526 acres of land, with 136 miles of track (Griffin 1984).
The Yard evolved organically, with the new structures being built and obsolete ones being demolished as part of an almost continuous process. Most of the Yard's original facilities, such as those for coaling steam engines and cooling perishables commodities with ice, were demolished as technological changes made them obsolete. Others,
such as the less-than-car-load freight sheds, were removed as economic and social changes replaced rail with truck transport, although new piggyback facilities were added in response to these same changes.
The preceding historic background has been excerpted from Walker, M. and Harper, M. *Potomac Yard Inventory of Cultural Resources* (1989) Engineering Sciences.
METHODOLOGY
The methods used to investigate the area were discussed with Alexandria Archaeology and additional refinements were made with their approval as the project progressed.
The first method used to understand the area was the comparison of current and historic topography using a Civil War period map ("Map showing the topography of the country with the defenses in front of Alexandria (sheet 10) RG77 Dr. 171 #210-L-10") that showed the topographic contours and a current topographic map. Although the historic map contours were in 50 foot increments and did not show some of the smaller no landforms that were formerly present in the project area, it was a useful tool to understand the changes in the topography of the area. This historic map was digitized and with a Computer Assisted Design (CAD) program the two maps were overlain for direct comparison and accurate plotting of the historic features. This work undertaken by Christopher Consultants, Ltd. was very useful in determining the amount of soil that had been removed from the project area (Figure 2).
After this mapping work had been completed, four backhoe trenches were defined to investigate each of the three areas in question; the Alexandria Canal, the site of the Preston Plantation and the Preston cemetery that was located to the south of the House site. The purpose of these trench excavations was determine if an intact historic ground surface was intact or definable, to ascertain whether any intact cultural features were present and to establish the presence of artifactual material whether in-situ or disturbed.
The location of the test trenches were defined in meetings between Alexandria Archaeology and Mr. Dave Sittler of the Charles E. Smith Company acting on behalf of R,F & P Corporation. One 200 foot long trench running east-west would be excavated perpendicular to the area defined as the former Alexandria Canal (Trench #1). The length of the trench was in response to the imprecise nature of the canal location. For profiles and plan views of Trenches 1-4, See Appendix H.
Two other trenches were excavated in the area of the former plantation (Trench #3 & 4). It was hoped that artifactual material, an intact historic ground surface or structural remains from the buildings of the plantation may be encountered.
Figure 2. Map prepared by Christoper Consultants, Ltd. showing historic and current contours of the project area.
One 100 foot long trench was excavated in a north-south direction through the Preston cemetery location as defined by the 1904 Baist map (1904 Baist Exhibit, A A Map #LC CN #G 3850 1904. B3.). There is some confusion as to how this location was chosen. Subsequently, two trenches were excavated in the other cemetery location that was defined in the Engineering Sciences 1989 report "Potomac Yard Inventory of Cultural Resources" and by two property deeds.
The trenches were excavated with a Case 780 tracked hoe with a 24" wide bucket. This bucket was equipped with a flat blade at the end, which is referred to as a "duck bill", and produced a very smooth surface at the bottom of each trench. Although the bottom of these trenches were smooth, the base of the trenches were closely examined and troweled to determine if slight changes in soil color or texture, that may indicate a cultural feature, could be noted.
Photographs were taken of each trench and each profile. Profiles were taken at the end of each 100 foot trench and three along the 200 foot long trench #1. In the final two trenches (#5 & 6) three profiles were taken along each of the 100 foot long trenches. Sea level elevations were taken at each end of the trench and a calculation of the ground surface below the deposits (Figure 3).
Only one cultural feature was observed during the trench excavations, a wooden plank walkway attributed to a post-1933 date, and it was photographed and drawn (See Appendix B-Relevant Communications-IAC-AA 8/16/95, Figure 9).
It was decided that two additional trenches would be excavated across the area defined as the Preston Plantation cemetery. This is the cemetery defined in the deeds and the northernmost location on the drawing "Archaeological Exhibit for the Potomac Yard Center". The locations of the two 100 foot long trenches were noted on this map. The orientation of these trenches were northeast to southwest. The reasoning behind this orientation was to have a diagonal cross section of the cemetery that had originally been oriented north-south and east west. This orientation of the trenches increased the chances of encountering cultural features, if any remained.
An initial attempt to excavate the two trenches was made in the beginning of April but was thwarted as the trenches immediately filled with water. The source of the water was surface water that
Figure 3. Map of project area showing trench locations, sea level elevations and elevations of ground surface under the gravel and cinders.
percolates through the porous gravel and cinders and flows along the surface of the impervious clay to the lowest point. Unfortunately, the middle of the trenches is one of the lowest points in this part of the Potomac Yard. (Figure 4)
The final excavation of these trenches was assisted by the use of two 3 inch pumps to remove the water and the use of the "duck bill" blade on the backhoe bucket (Figure 5).
At the beginning of this final phase of excavation, a site visit and discussion with Dr. Steve Shephard and Ms. Francine Bromberg lead to a group decision as to the required depth of the excavation trenches. It was concluded that, because the original ground surface had been removed but to an unknown depth, that the test trenches must be at least four feet below this level to assure that any burial shafts would be encountered. As a result of this decision and because of Fran's concern over my safety, the trenches were stepped back to minimize the risk of the walls collapsing. This cut back was approximately three feet in depth and often corresponded to the depth of fill and the beginning of undisturbed subsoil.
These final two trenches were troweled at the base of trench and the side walls observed for anomalies. Three profiles were taken at the beginning, middle and end of each trench and photographs of the profile locations were taken as well. Representative soil smears were taken from each of the excavated trenches.
A small section of both trenches, near their northeastern ends, remained undisturbed because of the presence of a high pressure jet fuel line that is the primary supply line to National Airport. It is believed that these unexcavated sections, approximately 10 feet long, would have showed disturbance from the installation of the pipeline and avoiding this immediate area with the backhoe bucket seemed to be prudent.
At the completion of the fieldwork the trenches were backfilled and the ground surface returned to its original contours. The surveyors stakes with flagging at the ends of each trench were left for future reference.
The surveyed location of each end point of the trench and the veracity of these points has been acknowledged in a signed
Figure 4. Trench #5 flooding with water. (Note high winds indicated by flagging tape on survey stake)
Figure 5. Trackhoe equipped with a "duckbill" blade on the bucket.
statement by the certified surveyor. This statement is included in Appendix G.
RESULTS AND ANALYSIS
The investigation of the northern portion of the Potomac Yard was focused on the area proposed for a retail center. The three cultural features of interest in this area were the former Preston Plantation structures, the related cemetery and the Alexandria Canal.
Before this work was conducted, a previous investigation was undertaken at the location of the GSA warehouse at the southern end of Potomac Yard to locate the remains of the Alexandria Canal. Although, this is a separate project it is relevant in understanding the stratigraphy across the entire Potomac Yard.
As part of this investigation, research was conducted in Richmond to review the Richmond, Fredericksburg and Potomac railway records. These records were voluminous but of little value in defining cultural features or even the periods of construction or locations of construction that took place in the railyard. The research yielded almost no information that would assist in defining cultural features or levels of disturbance.
The letter report for these test trenches at the GSA warehouse and the review of the Richmond, Fredericksburg and Potomac archival records have been included in Appendix B-Relevant Communications. The results of this investigation showed that the profile of cinders atop a clay subsoil was present in this area as well and that no signs of the Alexandria Canal or associated turning basin could be identified.
Subsequent to this research, field work and report, Mr. Sittler asked me to review the information and site data related to the Preston Plantation area and address a letter of my analysis to Alexandria Archaeology for their information. My letter of July 29, 1995 reviews the changes in topography gleaned from the historic Civil War period map and the current digitized map prepared by Christopher Consultants, Ltd..
Additional analysis was done to determine the amount of overburden or later fill that may be present on the site and to correlate those figures with the current elevations to define the level of disturbance. This analysis used the profiles from several nearby
boring tests conducted by Schnabel Engineering and Stevens Drilling, Inc. Both my letter and copies of the relevant boring tests and site map are included in Appendix B-Relevant Communications. This analysis suggested, based on the boring profiles, that 11-13 feet of soil has been removed from the area.
With this information, the excavation of the four test trenches in the northern portion of the yard was undertaken. These four trenches were excavated with the methods required by Alexandria Archaeology and agreed upon in a meeting with Mr. Dave Sittler of the Charles E. Smith Company.
The first of these four trenches was excavated across the area of the former Alexandria Canal. The 215 foot trench was littered with numerous former water and sewer pipelines, drain pipes, electrical lines, cement piers and other obstructions. The profile, although seriously disturbed by the installation of these various pipelines and features, did not show the presence of the former Canal, associated artifacts or sediments, tow paths, or spoil that may have been associated with its construction. Photographs and profiles can be examined in the report on this phase of the work and is included in Appendix B-Relevant Communications- IAC-AA, 10/8/95.
Excavation of Trench #2 in the presumed location of the Preston cemetery, according to the 1904 Baist map, revealed the only intact cultural feature. This plank walkway consisted of two sets of paired boards resting on top of the clay subsoil. The location in the profile indicated that the boards had been placed on this graded surface, probably to avoid walking on slippery clay, after the original ground surface had been removed. This phase of the construction at the railyard occurred in the 1930s as indicated in the Calvert article:Notes. This cultural feature was the only one encountered and its age and probable use were of limited historical value.
Two 100 foot trenches were excavated in the area of the former plantation (trenches 3 & 4). It was hoped that even if the area had been disturbed that remnants of foundations or artifacts may be recovered. Unfortunately, no signs of cultural features or any artifacts were noted.
The conclusion of this report suggested that 13 feet to as much as 23 feet of soil has been removed over the area. If the cultural
features were located on areas of high topographic relief, which may not have been shown on the 50 ft. contours of the historic map, it is probable that the level of disturbance may have been even greater. Examination of all of these trenches yielded no cultural features or artifacts.
The letter report from IAC-October 8, 1995, the letter of review from Alexandria Archaeology-December 12, 1995 and the clarification and additions from IAC-February 9, 1996 fully describe and illustrate this work and these letters can be found in Appendix-B-Relevant Communications.
**Trench #5 & 6-Preston Cemetery**
During the analysis and report writing of the excavation of trenches #1-4, it came to my attention that the location of the Preston Plantation cemetery was not in the location where test Trench #2 had been excavated.
Two deeds used by the surveyors for Christopher Consultants, Ltd. clearly showed that the former cemetery location was the northernmost of the two locations found on their digitized map. It was also noted that the cemetery had been identified from historical references in the "Potomac Yard Inventory of Cultural Resources" compiled by Engineering Sciences (Walker & Harper, 1989) in the same location as noted in the deeds.
This information made it clear that test trench #2 excavated in the location of the cemetery identified on the 1904 Baist map was of little value.
A review of the construction plan for the planned retail center showed that the actual area of the former cemetery was planned as a parking lot. An analysis of the stratigraphy and a review of the original topography strongly suggested that this area had been seriously disturbed. The fact that the construction of the parking area will require very little ground disturbance for its construction meant that the area may not be impacted. It was suggested by IAC, that based on the observed level of disturbance in the immediate vicinity, that additional testing may not necessarily be required and that monitoring of the area during construction may be sufficient. Further discussions between Alexandria Archeology and IAC concluded with the consensus opinion that this valuable historic
resource should at least be identified, if present, and that it would be in the best interest of the developer to know their liabilities at the outset to avoid later delays.
The first attempt to excavate trenches 5 & 6 was stopped by the large amount of water flowing into both trenches. The area where the two trenches were located is in a slight swale and one of the lowest elevations in a large area. This feature, coupled with the stratigraphic profile that has approximately three feet of very porous angular gravel and cinder resting on top of a clay subsoil, allows most of the surface water to easily percolate through the gravel and cinders and flow to the lowest point. Unfortunately, the lowest point in the area was the mid-point of both trenches. It was also observed that lenses within the subsoil that contained higher percentages of sand also had water flowing through them and in some areas a substantial flow.
The second and final excavation of the two trenches was accomplished with the use of two 3 inch pumps to remove the water so that closer examination of the trench could be done.
Trench #5 was excavated to an average depth of 8.6 feet with a minimum depth of 6.0 feet and a maximum of 10.7 feet. The average depth of the deposits above the clay subsoil was 3.5 feet. The stratigraphy followed the pattern observed across most of the railyard with a layer of angular gravel that had been used as railroad tie bedding as the uppermost layer. Underlying this angular gravel, a layer of black cinder ballast. Beneath this level was the characteristic orange and grey clay subsoil. Within this subsoil were lenses of clay with higher levels of sand content (Figure 6).
The profile taken at five feet from the end of trench #5 showed a one foot strata of fill that was composed primarily of clay and was identifiable by its disturbed nature (Figure 7). This fill was the strata observed by Steve Shephard and Fran Bromberg during their site visit. This fill layer pinched out at 17 feet along the trench and is believed to be associated with the grading or leveling of the railyard because of the gradual disappearance over a 20 foot span. The only other feature that was encountered was a depression near the middle of the trench at 52 feet. This depression is a pit measuring 4.3 feet below the graded surface. The pit was filled with a combination of clay and cinders and portions of two railroad ties were present (Figure 8). The presence of the creosote soaked timbers
Former Preston Cemetery
Trench #5 Profiles
ELEV. 29.3 Ft.
0 Ft.
NE 5 ft. RR ties, 1 1/2" pipe H. P. Jet Fuel Line 53 ft. Flooded 96 ft. SW
5 ft.
Angular Gravel
Black Cinder
Clay Fill
Orange Clay
Grey Sandy Clay
TOTAL DEPTH 6.0 Ft.
2.1 ft.
.4 ft.
1.0 ft.
1.9 ft.
.6 ft.
53 ft.
Angular Gravel
Cinder
Brown Sandy Fill w/Grey Clay/Cinder
Orange Clay
TOTAL DEPTH 10.7 Ft.
.8 ft.
2.3 ft.
4.3 ft.
4.1 ft.
96 ft.
Pebbles w/ Cinder
Black/Brown Cinder
Grey Sandy Clay
Orange Clay
Grey Sandy Clay
TOTAL DEPTH 9.0 Ft.
Figure 6. Plan view and profiles from trench #5.
Figure 7. Trench #5, north wall at 5 foot profile.
Figure 8. Trench #5, north wall at 52 foot profile showing fill and timber.
been in operation and suggests a post 1930's construction date. No cultural features or anomalies were noted at the 96 foot profile (Figure 9).
Along the length of the trench #5 no artifactual material was recovered or noted and no cultural features were identified.
The excavation of Trench #6 began by pumping out almost three feet of water from the trench that had been previously excavated. This trench provided fewer obstruction than trench #5 with only a few railroad ties encountered at the 61 and 85 foot distance along the trench. The profiles that were encountered followed the same pattern seen across Potomac Yards in the other trenches that have been excavated. This is the angular gravel for railroad tie bedding underlain with cinder ballast and beneath this level either a small amount of fill or directly followed by a orange to grey clay (Figure 10).
During the excavation of this trench a larger amount of water was noted that flowed into the trench, not only from the surface water flowing along the top of the impervious clay, but, through sand lenses interspersed in the clay (Figure 11)
The trench was excavated to an average depth of 7.3 feet with only a few inches of variation along the trench. Only the profile at 4 feet showed any fill and no cultural association or features were identified with this fill (Figure 12) and no fill or variation from the standard profile was noted along the trench (Figure 13).
Figure 9. Trench #5, south wall at 96 feet.
Former Preston Cemetery
Trench #6 Profiles
ELEV. 29.3 Ft.
0 Ft.
7-10 Ft.
NE 4 ft. H. P. Jet Fuel Line
50 ft. profile
RR ties, 1 1/2" pipe
80 ft. profile
83-88 Ft.
96 ft. SW
Angular Gravel
Black Cinder
Fill
Orange Clay
Orange Sandy Clay
Black Cinder
Red/Orange Clay
Lt. Med Grey Sandy Clay
Med Grey Clay
Black/Brown Cinder
Red/Orange Clay
Lt. Med Grey Sandy Clay
Med Grey Clay
TOTAL DEPTH 7.5 Ft.
TOTAL DEPTH 7.1 Ft.
TOTAL DEPTH 7.4 Ft.
Figure 10. Plan view and profiles from trench #6.
Figure 11. North wall of Trench #6 showing erosion of walls from water flowing through the sediment.
Figure 12. Trench #6, north wall at 4 foot profile.
Figure 13. Trench #6, north wall at 50 foot profile.
CONCLUSIONS
After the archival records of Richmond, Fredericksburg and Potomac Railway had been reviewed and comparisons between the historic and current topographic contours were compared, it appeared that little probability of finding intact cultural features remained. In an effort to determine if the deepest of these cultural features remained or the presence of artifacts, even out of context, could be located an initial four backhoe trenches were excavated.
The results of these four trenches revealed no definable cultural features or historic artifacts and the profiles suggested that no original ground surface was left and that no features were defined in the apparent clay subsoil.
Two additional backhoe trenches were excavated because the original Trench #2 had been excavated in the presumed location of the Preston cemetery and was later found to be inaccurate. These two final trenches (#5 & 6) were excavated and they also showed no cultural features associated with the former cemetery.
The sum of these methods of investigation suggests that the cultural features of the Alexandria Canal, the Preston Plantation and the associated cemetery have been destroyed as a result of the construction of the railyard facility in the 1930's.
MANAGEMENT RECOMMENDATIONS
The results of the investigation show that the area has been severely disturbed. This conclusion was formed from the comparison between the historic and current topographic features and verified from the excavation of six backhoe trenches in the area. Based on these findings I believe it is clear that the area has been disturbed to a level that is below that of cultural occupation. This includes the depth of foundations and the depth of burials as indicated in the historic record. Therefore, it is my recommendation that no further work should be required on the site.
Although I believe the probability of encountering cultural features is extremely low, I always consider it prudent to remind workers in the situation where the former cemetery was located. In addition, they should also be made aware of the legalities and responsibilities associated with the discovery of human remains.
APPENDICES
APPENDIX A
Helen Chapman Calvert Article (1933)
Chapman, Sigismunda Mary Frances (1946) *A History of Chapman and Alexander Families*. Dietz Printing.
"Moving of the Cemetery from Preston to Pohick" Calvert, H.C., p. 248-267.
Son Charles Stuart, b. 1758, married, second, Sarah Keene Ashton.
Dau. Sarah Blair Stuart married 1824-5, Gustavus Brown Alexander.
MOVING OF THE CEMETERY FROM PRESTON TO POHICK
March 1, 1933
The moving of the cemetery at Preston was one of the biggest undertakings that has ever been the privilege of my life to attempt. When the Pennsylvania Railroad purchased from the heirs of Frances Brown Swann, daughter of William Thomas and Frances Alexander Swann, all the land comprising the Preston estate, excepting that inherited by Mary Mason and Sarah Stuart Swann, the railroad negotiated with the family to purchase the acre comprising the family burying plot, located on a knoll known as Susan's Hill, in the midst of the part inherited by Susan Pearson Alexander Swann, daughter of Thomas W. Swann, and the aforementioned Misses Swann. In it were buried several generations of the family, dating to the first Alexander, who made that property his home. The Swann family refused the offer of the Railroad to consider abandoning the burying plot, as it was considered holy ground. The family continued to use the cemetery, interring Mary Mason Swann, and three years later, Sarah Stuart Swann, who was the last of the family to be interred there. Then came the settling of their estates and the apparent necessity of removing these graves in the quickest possible time. Several years elapsed and the Railroad became more insistent in their demand to acquire this acre. Their Potomac Yard was extending nearer and nearer the fence line, and their plans of development demanded this space. Still the family remained obdurate. Mr. Gardner L. Boothe, who represents the Railroad was also the attorney for Mrs. Susan P. A. Calvert, the daughter of Thomas W. and Helen Mary Chapman Swann.
Mr. Boothe asked for a conference with Mrs. Calvert, urging her to use her influence with the other heirs so they could use the land. I went into Mr. Boothe's office with my Mother and listened to the proposition of the Railroad, which was that the Railroad would pay fifteen hundred dollars for this land. Now there are a number of heirs scattered over the United States, who are interested in this cemetery, also an entire family which has died out. There would not be enough money to divide among the larger number of heirs to insure their removal and no one to look after the graves of the extinct family. I became bold and offered this solution: that no money be given to the heirs, and that the Railroad should remove the bodies to a selected resting place in old Pohick Cemetery. The lots for this had been provided by Mrs. Calvert, who realized that sooner or later the need for burying space would be needed, so she purchased a large number of lots in the Pohick Cemetery. The proposition I made that afternoon
in Mr. Boothe's office was accepted, the consent of all the heirs was obtained, and I felt very much complimented that my humble opinion met with such favor.
In an incredible short time all the signatures were obtained and the matter made ready to go ahead with, when the World War put a stop to any further action. On her deathbed my Mother made me solemnly promise her that I would see the fulfillment of the agreement entered into between the heirs and the Railroad company. I promised her to personally be present when the bodies were removed, and not leave it to uninterested parties. That promise I fulfilled to the letter of the law—not shirking in any way. I gave two weeks to the work—one week to the digging up of the graves, and the next week working at Pohick superintending their reinterment there. I will tell you truly it was ghastly business: for days I could see those bones as the light of day revealed them, after the spade of the diggers had uncovered them after so many years. I am afraid I am making this a gruesome tale; but I do not mean to do so—only to tell you what a serious matter this was that I had in hand. The Railroad had a representative, a splendid gentleman—Mr. George A. Thomas—who directed the work and arranged for the digging. He had a gang of ten darkies and a freight car at his disposal. The actual work started September 23, 1922.
The first grave opened was that of Surgeon General William Brown, who was the son of the Reverend Richard Gustavus Brown of Port Tobacco, Maryland, a brother of Mrs. Charles Alexander, of Preston. He had rendered a distinguished service, becoming Physician-General in the Revolution from 1777 to 1780. He wrote and published at Littitz, Pennsylvania, in 1778, a Pharmacopoeia for the use of army hospitals, a copy of which is in the "Toner Collection" of the Library of Congress. Dr. William Brown died in Alexandria, Virginia, January 13, 1792. He had been buried approximately one hundred and thirty years, when his grave was opened. The coffin had rotted away leaving a mahogany strip showing it to have been a violin-shaped casket. No plate was discernible. The entire skeleton was in perfect condition, and I stood right there and saw every bone put into the new box, his sword with him. The remains were interred in a Continental uniform, with his buttons bright and shining and the buff facings of the lapels were still discernible after so many years under the sod. His white kid gloves were earth brown and a ribbon of some order had decorated his manly breast, but it crumbled away in a few moments. He had dark brown hair and an even set of splendidly preserved teeth. During life he must have been of medium height, with rather high cheek bones. I have a photograph of a portrait painted from a miniature, which carries out this description I have given fairly well.
I shall give numerous accounts of hair, for it is one of the predominating things left of our personal appearance given us in the
grave. The hair either remains just as it was dressed at the time of burial, or it grows in unruly masses, covering the frame entirely with every spare inch in the casket used to hold this volume of hair. In some cases it will show the coloring at the time of burial, with a section of the early shades between the hair at burial and the scalp.
The next grave was that of HELEN BROWN, daughter of Physician General William Brown of Alexandria. She must have been a child of about five years old, with golden hair to her shoulders; and it was straight. Her little casket was of walnut and was square. Her dress of fine muslin had little puffings on the skirt all brown with age. Her tombstone is just back of her father's.
Our next attempt was a line of the oldest graves on the west side of the burying plot containing nine graves, and I shall do my best to tell you all I can concerning those dear departed members of the family.
CHARLES ALEXANDER, born July 20, 1737, and died 1806. He was the son of John Alexander. His grave was twelve feet under ground, and a very long one, indicating him to be a very tall man with iron gray hair, a narrow scull, and a long space from nose to chin, his hands must have been well shaped and expressive. He must have been at least six feet tall; but I am inclined to think him a few inches over that height. He was buried in an elaborate suit of black satin breeches, knee buckles, and a coat of velvet, most likely black. Lace at the throat and hands, indicating more of a colonial dress than any other type. The casket was of mahogany. Some of the lid remained. There was no glass, and his head must have rested on an unusually large pillow. He was bare-handed and had no jewelry.
Miss ANNIE BROWN, sister of Mrs. Charles Alexander, was a lady of rather short stature, with auburn hair, beautifully dressed (for it remained as it was when she was interred). Her gown of blue silk, was discernible with tight bodice, and flowing full skirt, elaborate with embroidery, but so faded and molded it was scarcely discernible. It completely disintegrated during the removal. Little kid slippers, with ribbon around the ankles covered her dainty feet. She had a low forehead, with a protruding brow.
There are a number of interesting incidents told of this maiden lady, daughter of Rev. Richard Brown, and sister of Mrs. Alexander. She loved to go for a drive, and would often indulge in this pastime; but being a thrifty lady and considering time, she would carry along dainty muslins that needed to be hand-pulled into shape, so she tied strings around in the coach and dried the dainty foibles and pulled them to her heart's content as she rocked and tossed over the then good highways, while calling on the neighboring ladies.
Charles Alexander speaks of her, and complained that there was too much kittering going on in his house for his liking, as Miss Ann and Elizabeth were staying at Preston. Miss Ann must have been a very dainty type and no doubt the kittering must have been aggravated by the members of the opposite sex seeking the favor of this dainty female. Their father mentioned in his will, that he had purchased a place called Rich Hill in Charles County, Maryland which he left jointly to Ann and Elizabeth. It is near Cox's Station below La Plata.
MRS. CHARLES ALEXANDER (Frances Brown); was laid to rest in a walnut casket of unusual thickness which must have been beautifully lined. All these graves are from ten to twelve feet under ground, showing they were put there a number of years ago. She exceeded her sister in height by three or four inches and must have carried a plump body, as the dress was that of a well covered frame. I do not mean stout, but I guess about a hundred and sixty pounds. Her burial dress was a heavy black silk, with touches at the throat of lace, and a bow of white ribbon held by a little pin. On her arm had rested a hair bracelet, or ornament. Her slippers were black kid leather, rather plain. Her hair was very gray, almost white, and was adorned with a matron's cap which was tied under the chin with muslin strings with embroidered ends. Her teeth were in a splendid state of preservation. There was a certain dignity about this great lady that compelled respect, even after the grave had held her earthly remains in its vaults about a hundred years. Even the darkies remarked on the peaceful position this skeleton had assumed, and we hated to disturb the remains. I was glad that I could render service to this lady who was my grandmother on several counts. The hand bones were small, and the slippers indicated dainty feet. The skull told of a high prominent forehead, wide at the sides, tapering to a well moulded chin. As a mother she must have been of a superior type, as her frame indicated, a well balanced person mentally and physically alert.
RICHARD BROWN ALEXANDER was the giant of the family, exceeding his father by about three inches, making him about six foot three inches, powerful frame, large bones, apparently held himself erect. His hands indicated great strength, and character. His hair was dark chestnut brown, wavy and well cared for, indicating him a man of fastidious habits, it was a bit gray at the temples. Big strong teeth, and a high wide forehead, but straight in the back. I always heard he was an excellent scholar; but he must have taken some active part in out-of-doors life. He was buried in a plain black suit with the pants extending under the sole of the foot, and a sash of soft material girded his loins. The coat shoulders sloped in a quaint manner giving this splendid physique a sloop-shouldered appearance. He did not have on shoes, and his casket had the first piece of glass yet to be found so far. He must have attained the age of fifty, before the call to another world came to this member of the family.
LEE MASSIE ALEXANDER, born ——, died ——, was the youngest son of Charles Alexander. I will call him the Beau-Brummel, as he is the most elaborately interred member of the family. He was wealthy bachelor, owning property and slaves, and no doubt was
catch in his day; but he escaped the smiles of the ladies and remained single, making his home, in his latter years, with his sister, Mrs. William T. Swann, at Preston, which was one of his pieces of property.
The casket was mahogany, lined in brocaded satin with tufted buttons. On the outside was a garland of metal flowers, extending from head to foot. On the top was a large bunch of these metal flowers, extending to a name plate, the name "Massie" being the only one discernible. His coat was of velvet, rather on cut-away lines, and was lined with blue material. His trousers were buff or cream, and a wide ribbon crossed his breast. The hands were encased in kid gloves, which remained in a splendid state of preservation. The casket was practically gone, and the piece of full-length glass preserved his suit more than the casket. His hair was somewhat absent, and what remained was white and brittle. He was of short stature, with small hands and feet, and a round head, with eyes set wide apart, and a short chin. He was about sixty or seventy years old at the time of his death. There was a ring on one of his fingers with a plain green agate stone in it. There were no shoes on his feet. His grave was the first to give any indication of an outer box.
Helen Brown Alexander, a child of eight or nine years old, who had ringlets of burnished gold, tied with a ribbon. Her little frock had ribbons of blue, and her slim little feet were clad in black slippers. What a dainty little miss she must have been, and how her parents must have missed their little daughter.
Mary Brown Alexander, another daughter of Charles Alexander, was called by our Heavenly Father to her eternal rest in the years of her youth, for she was perhaps ten or twelve years old. Her little slim skeleton lay amid a mass of red brown hair, covering the entire space of the coffin. Her little skull showed her to have favored her father in the shape of her head. Her little frock of silk must have been white, with little bows of ribbon and flowers of material, all cream with age. The little hands held a small book that defied my eyes to make it out. Two little combs on either side of a part, but the part did not remain in place.
There is a locket in my possession made with the hair of these two children of Charles Alexander. It must have been presented by a friend to the bereaved parents. It pictures an angel pouring oil on an altar on which burns the sacred fire, a scroll has this inscription, "Sacred to Friendship"; on the altar are the initials, "H. B. A." and "M. B. A." It is encased in a locket of red gold, with a loop to attach it to a chain or ribbon.
At the time of removal, I did not have the slightest idea who was the occupant of the last grave in this section of nine. Now I am reasonably certain they are the remains of Miss Elizabeth Brown, another sister of Mrs. Charles Alexander.
There were no known records showing the location of any graves, and the only thing I had to go by was the fact that I had lived for a few years in a house built about 1900 on the Preston property, and my Mother would tell me, "Charles Alexander is buried here and Miss Ann Brown is buried between him and his wife," which proved reasonably certain, for one was that of a middle-aged woman, buried in a fancy dress, indicating an unmarried woman, and the third grave was that of an elderly woman in a dress of a matron of a number of years. If I have named these people wrong, it is not my fault; for I did my best under difficult circumstances to remember all the little incidents recited by my Mother in helping me to place these ancestors of mine. She did not know whose one of the graves was—that next to Lee Massie Alexander. Another grave developed later. I found myself at a loss to identify these graves. Now I shall do my best to describe the two bodies of ladies found. Perhaps, later, a description of one will fall into my hands which will enable me to identify them and tell which is which.
Now one was a lady of medium height, inclined to stoop over, with very dark hair, not at all gray. She had on a black silk dress of the period following the Revolution, square-toed slippers, and a fan of some kind of material difficult to ascertain. Her hair was dressed away from the forehead to a knot terminating in three curls. A large bone hair-pin held it securely in the back. Her features must have been of the long, narrow type, with a high forehead, and a long chin. Her hands were small, but her feet were exceedingly narrow. The underskirt of her dress was ruffled and was very elaborate in comparison to the outer garment, for it was of very fine material. There was no glass, and her grave did not seem to have the age of the others, as it was only eight feet under ground.
In removing the first of these unknown graves the second made itself apparent. This lady was of a very different type. I will call her the French doll of the family. She had hair of spun gold and a set of the prettiest teeth found to date. She was tall and incredibly slender. Her little gown of rose or deep pink silk was most elaborate, and dated to a Revolutionary period, although the skirt was nearly gone. The lace was a mere wisp, and the soft stuff of which the sleeves were made could hardly be discerned. Her underskirt was heavily padded to give the top skirt body, and the bodice was heavily boned with wooden boning, cut to fit the body, and run in slots in the lining of the bodice. The hair was dressed back from the forehead in a pompadour to a knot on the top and was beautifully preserved. Her skull indicated a roundish face with a medium high forehead, and wide space between the eyes. Her casket was of plain walnut with no decorations or any plate to help me identify my dainty relative.
We continued digging on this line in hopes of finding more graves, but were not rewarded, so we started another line.
The grave of Mrs. William B. Alexander, born May 1797; died May 10, 1838, was next opened. She was born in Kentucky, coming up to Virginia to visit her aunt, she married her first cousin and made
her home in Virginia. She died at Preston soon after the birth of a little daughter. Her resting place was marked by a flat slab. Her grave was vaulted, and constructed of native rock. The casket was in a remarkable state of preservation. We put boards under it and raised it with little difficulty into the new box. The skin had entirely disappeared from the skeleton. She had been interred in a stiff silk, indicating a gray color, with touches of cherry or bright red. Her face must have been the long type and her hair straight and of a dark reddish color, done straight back with a knot at the back of her head. Her bodice was open at the throat to show the colored trimming, and was buttoned with bone buttons up the front. She wore no shoes. A corroded plate, held in a certain light, indicated "Alex—r," and there was a hole where "Susan" should have been. The casket was violin-shaped and covered with material of black, with silver hardware. There was no glass. She is buried next to Physician-General Brown at Pohick, as they are the only flat stones left in the cemetery, which was at Preston, although there were indications of a number having been placed there. They were stolen during the Civil War for fire backs by the soldiers occupying Preston. The house was burned April 1862.
Lucy Chapman, widow of Joseph Horner of Warrenton, Va., was born April 6, 1810, died Nov. 16, 1886. She died at the home of her sister, Mrs. Thomas W. Swann. Her tombstone was toppled over, and a tree had fallen over it. She was interred in a cloth-covered casket with silver hardware and a long, full-length glass.
All these three graves, which I shall attempt to describe, had been in the ground some forty years. They were about to fall to pieces, and the long glass gave a great deal of trouble at the time of removal. Aunt Lucy was laid to rest in a black alpaca dress of tight bodice and black-covered buttons, with white material at the throat. Her skull indicated a rather long face, iron gray hair, with two curls on each side and a knot in the back. She was small of stature and her hair was coarse in texture. The fingers were greatly knotted as with gout, and were of a short, pudgy type.
Thomas William Swann, born December 1, 1822, died July 1, 1895. This was my beloved grandfather, who was laid to rest in a casket covered with material, and a half-size glass that we fortunately got up intact. Now, what I am about to state may be challenged; but I can solemnly swear it is true. This splendid man for a number of years was bald, with a light fringe of white hair around his head. When his casket was opened I found that a crop of the softest white curls had grown all over the bald portion of his head leaving the white fringe just as it was when he was interred. He had on a black broad-cloth suit, white shirt and a black string tie which was in a bow, but it did not show much as he had as a short white beard. His well developed forehead and top head was apparent. His fingers were square-ended and strong. His stature was medium, with well developed shoulders. This man, in life, was the center of the family, and they all respected his judgment, and consulted him on many occasions.
The next grave was that of my grandmother, Helen Mary Chapman Swann, born November 13, 1818, died November 15, 1895, at her home Mt. Auburn. She was the wife of Thomas W. Swann. She was a devoted wife and mother and a Christian of the highest attainment. She lived five months after her husband's death. She had snow-white hair, parted in the middle, a curl over each ear and a knot in the back. Where some of it escaped it grew falling softly over her left shoulder. Even in death the sweetness of the life she led penetrated to the grave, and the peace that passed all understanding hovered around that spot. Her hands were folded, only the bones remaining. The fingers were rather short and the hands were very small. Her frame indicated a small person, though a picture of her taken in the prime of life shows a person of pleasing plumpness. We gathered her coffin up as carefully as possible and lifted it into a new box.
She had a strange presentiment that her grave would be disturbed. She intimated to my Mother on several occasions, remarking that she wanted Mother to look after the removal of her body, and do the work carefully. Now there was no thought in the minds of any of the family that such a move would ever be made. It would have killed my Mother to have done this work, and it was a difficult task for me, as I could remember grandmother. She was buried with the basque and a full skirt gathered to a band, a deep hem, and the skirt heavily lined.
Thomas William Swann had four children:
Thomas William Swann, Jr., born February 28, 1852, and died five months and two days after birth. He was buried at Preston under a large tree, and a flat stone laid on his grave. He was interred in a strong small casket that kept the little remains in a good state of preservation. The small burial slip was very long, with numerous tucks at the bottom. Only the little skull bones remained.
Susanna Pearson Alexander Swann, born June 16, 1853, married George Edward Calvert, and was the mother of the writer. She died May 15, 1919, and was buried at Pohick, Fairfax County, Va.
Helen Mary Swann, born October 15, 1855, died in the tenth year of her age, and is buried at the old Chapman home at the Thoroughfare Gap in the Bull Run Mountains, Prince William County Virginia.
Thomas William Swann, second son to be named for his father was born October 28, 1858, and died a few months after birth, is also buried at the Thoroughfare.
This ends the record of the family of Thomas William Swann youngest son of William Thomas Swann and Frances Alexander his wife.
Before I go any further, let me tell you about a grave we could not identify. It was in two outside boxes, instead of one, so I naturall
thought it had been brought there after being interred somewhere else. I found it was the grave of Richard Brown Alexander, who was buried in Alexandria, Va. He was removed a number of years after his death to "Preston," Va. The skeleton had been greatly disturbed in the moving, so my description cannot be as clear as I would have it.
The head was large, the face wide from side to side. The teeth protruded; he was bald, and the clothes indicated a large man.
There was a great distinction between the graves of those of forty and fifty years, those of seventy-five years, or those of the hundred mark. In those of a hundred years the sides of the casket leave impressions on the surrounding earth that indicate the kind of wood of which it was constructed. The materials of the clothing are barely discernible, and the color can only be determined by examining the seams or turned-under sections. The skeletons are perfectly preserved, and the hair I have described before. The teeth remain intact. In the seventy-five-year graves the coffin-box will have the sides in different degrees of disintegration. The boxes of walnut and mahogany far surpass the present-day boxes of covered wood. They can be made of different material, beautifully covered and lined, giving the impression of security, when, as a fact, they may be full of cracks and knots. The lasting quality of these covered caskets is not up to the standard of those old solid-wood caskets of a hundred years ago, and I shall give a sad description of these of thirty and forty years standing, in comparison with those of a century age. The wood of those of seventy-five years, even though they were covered, stood the strain better than those of twenty. The silver plate corrodes and becomes worthless and those marked "Mother" and "Father" are hopeless when you try to associate names to eight or ten fond parents of either sex. Mother gave me a working knowledge of the location of the graves of the family of William T. Swann's children, and from her descriptions I am reasonably sure that they are properly placed. None of the family assisted me in locating the unmarked graves of the others.
During the entire time of the moving I had no assistance from any member of the family, although I notified several of them just when I would remove their particular progenitors. If there are any mistakes I am very sorry they occurred; but to the best of my knowledge and belief I have given the proper names to the removed graves. However, as I stated before, when I removed the line of graves of a hundred years' standing I found one I did not know, and located another; and thus I found two women in the Swann family that I could not identify. I shall give a description of them, and perhaps, by chance, it will fall into the hands of someone who can assist me to identify them. I used every fragment of family tradition, legend or clue to identify my dear departed relatives. The relatives of these dear ones had been lax in leaving a record of their burial acre. It is no light task to look on the bones of over fifty-odd relatives, for I personally handled the skeletons and did not allow the diggers to leave a grave until all the bones were accounted for—much to the disgust of the diggers. I placed their poor skulls carefully in their new boxes, with a prayer for their souls, and for my own. It is not a light matter to remove the dead, so I did this reverently and carefully, feeling sure I would have to give an account of this deed when my days here on earth were over. I want to say right here that the colored diggers were a careful and intelligent group of darkies, digging carefully, and giving all the care and consideration possible under the circumstances. Most colored men would have allowed superstition to hinder their work.
I shall next go to the daughter of Charles Alexander, who married William Thomas Swann. They were buried in about the center of the lot. His grave was lost for a number of years, but was found when his son, Edward Swann, was buried.
The daughter of Charles Alexander, was Frances Brown Alexander, who died September 12, 1856. She married William Thomas Swann. They had four sons, who left families, and two daughters, who died unmarried.
The grave of William T. Swann, Sr., as I stated, was located when his son Edward was buried. It was not a very long one, although it looked that way, as Edward was buried at the head of his Father's grave. I imagine William T. Swann was a man of medium height, with very dark hair bordering on black, with a Van Dyke beard. His forehead was very pronounced, giving evidence of a splendidly developed brain. His suit of black was well preserved, with a waist-coat of a figured silk in either white or gray; but it was more like gray than white. His teeth were very even and white, and the bones of his hands were those of a musician—long and slender. The soft, white, scarf-like neck-dress had turned to a dark cream. There were no shoes or jewelry.
Mrs. William Thomas Swann, Sr. lived for a number of years after the death of her husband, for she gave birth to a son three months after her husband's death. She reversed her husband's name and gave it to the little son—Thomas William. She was at least eighty years old when she died, and they laid her to rest in another line of the cemetery. Her dress was a silk-wrapped henrietta, basque type, with a full skirt. Her snow-white hair was parted on the exact center of her head, and a lace cap with wide ribbon strings tied under her chin. The dress had a lace collar. I have a daguerreotype of her taken after death, which helped me to identify her positively. Her small feet had square-toed button shoes, and a thick, quilted underskirt was beneath her dress. On a plate was "Blessed are the dead that die in the Lord."
Mary Mason Swann, died August 1872, daughter of William T. Swann and Frances Alexander. She passed away in the prime of life. She must have been a person beloved of her family. I have several letters in which she is mentioned in a loving manner. She was evidently a plump person, with a wide, low forehead. Her hair was
medium brown, cut with bangs, and rolled into a three-sectioned knot at the back of the head. Her dress of a soft wool material had a wrap-around skirt, not unlike a recent fashion. A long scarf of soft, white material encircled the back of the neck, laying softly over the breast, with the ends slipped under the skirt. She had lost several rear teeth. She left all her estate to her sister, Frances B. Swann.
Frances Brown Swann was a tall stately lady. She had iron-gray hair, tinged with white from the temples extending to the knot in the back. She had a shroud of a light-weight silk wrapped Henrietta, with white at the throat and wrists. She had small bones, and a rather long-faced skull. She had quite wide shoulders for a woman. She must have been thin, as her underclothes gave that impression. She had prominent front teeth of a large size. She was the mother in Israel when her mother died, for all her brothers consulted her for her acumen in business matters. She must have had a fine analytical mind. She made her home at Preston, living after the Civil War in a small house built on the place by the commander of the regiment holding this area. She had my grandfather, Thomas William, to manage the farm for her. He was devoted to her, as she helped their mother to raise him, he being the one born after his father's death. Their mother had to use all her strength to make a living for her six children and manage the Preston property. Her husband had an interest in the drygoods firm of Swann and Hawkins. When W. T. Swann died in the thirty-fifth year of his age, Mr. Hawkins attempted to remove his name (Hawkins) from the notes of the firm, making them personal obligations of my great-grandfather. The case was contested in court, and it was assuredly going against the widow, who was about to become a mother. She was frantic, for she could not find some of the important papers of her husband, as his death was so unexpected. She prayed constantly that these papers would be found in time to save the case. In a frenzy of grief she grabbed up an old secretary and shook it violently. A secret drawer flew open and there were the duplicate notes showing them to be those of the firm and not personal ones. She put her eldest son on horseback and he rode with all haste to the courtroom. The lawyer exclaimed, "And here is the son of the widow from whom you seek to take the bread—from him and his widowed mother." The notes were produced and the case settled; but it left the estate in a depleted condition. Mr. Hawkins then went to Maryland.
Two of these children, William and Edward, became lawyers, Charles a civil engineer of distinction, and the fourth, Thomas, remained on part of the Preston estate, managing three farms—one for his mother and sisters, and two for himself. His council was asked by all the ill and distressed in the community. The family sought his advice on many matters. When his sister Frances died, the cloak of responsibility fell on his shoulders. He wore it with grace and ability until the day of his death.
William Thomas Swann died in the prime of his life. He married Rosenna Moore Alexander, and had three daughters and one son. Mary Frances died in infancy, and, like most infant graves, the skull is all that remains. The soil there at Preston was wonderfully dry as it was situated on a hill. The little muslin slip was intact and so was a bit of ribbon, and a few dark ringlets were all that remained of Mary Frances.
The next of that family to depart his life was William T. Swann, Jr., who unfortunately had a desperate attack of fever, which left him mentally deficient and in time he was sent to Williamsburg, Va., where he died and was buried. The family heard from him at intervals, as he was not violently deranged. As time wore on they wondered why they did not hear from him, and upon investigation they found he had suffered another attack of fever and had died, and had been buried in Williamsburg without the family being notified. Steps were immediately taken to bring the body home. It was in the midst of summer before the final arrangements were completed. There was a little difficulty, due to the unpleasant odor connected with the removal, and the reinertment at Preston. When I went to remove this grave I found the entire lower part of his body had been encased in a molding of plaster-of-paris, showing he had been interred quite a while before the family ascertained the truth concerning his death. He had reddish brown hair and a thin narrow face, a longish chin and a set of wide, square-shaped teeth. He seemed fairly tall and robust looking from the size of the cast. He had a silver ring on his finger, which was corroded.
Mrs. William Thomas Swann (Rosena Moore Alexander), was a woman of large bones, and had attained moderate proportions judging from the clothing. She had very black hair, parted in the middle, and a goodly size knot at the back. Her basque was heavily adorned with crépe, and the skirt had a facing of crépe six inches high. Her face must have been round, the eyes set well apart, with a receding forehead, and a long neck. Her burial dress was of heavy material and the basque was split down the back.
Mary Mason Swann, born August 28, 1872, died 1912, about ten years before this moving took place so that her grave and that of her sister, Sarah Stuart Swann, were the last placed in Preston Cemetery. We poured two gallons of disinfectant in the graves before attempting to open them. They were in a state of perfect preservation. I did not have their coffins opened as I realized the transition taking place would cause trouble with the help, and a very lasting impression on the onlookers, and those who had the work in charge. Sarah Stuart Swann, who died February 17, 1915, had been in the ground about seven years, so I feel that the readers will appreciate my position. A good many remember them in life, and not in the condition that was apparent, for they were going the way of all flesh. When we are
cremated we simply put the work of disintegration ahead about three hundred years.
I failed to give any information on the condition of the grave of William Thomas Swann, Jr., son of William Thomas and Frances Alexander, who married Rosena M. Alexander. He died at about forty-five and was a man of medium size, with light brown hair, and had lost several front teeth. His hair was getting quite thin. His clothing was of a very heavy grade of broadcloth, which had withstood the ravages of the grave. His shoes were soft square-toed with insets of cloth at the sides. They were the most peculiar shoes that we found.
There is no living representative of this family.
Charles Alexander Swann.—This grave was the only one that water seemed to have seeped into, and done any damage. The box was in a sodden condition which made it heavy to handle. We did not open the casket as it held together, and we could put it in the new box without disturbing it at all. On account of the water I doubt very much that the clothing had lasted.
Mrs. Charles Alexander Swann, was Louisa Ottrick. The glass in the top held wonderfully well and only one side of the casket had started to rot, so we were very careful to place a board at the side, enabling us to make the move without much trouble. This dear lady retained some of her earthly charm even in the grave. Her hair was raven black, parted in the middle, with waves in it. She was slender, and distinguished looking in life. In death she was one of the corpses that made a lasting impression. The most remarkable thing occurred with her. The skin remained and became parchment-like, and held its shape for about three minutes after coming to the light. The hands did the same thing, enabling me to record their form, for they were shapely and very expressive. The silver plate on her coffin was discernible, and I did not have any trouble identifying her.
Their daughter, Corrine Swann, wife of William Wright Sinclair, was laid to rest in a very beautiful casket—the hardware was not even tarnished—but, as I stated before, the modern woods do not weather the strain as do the solid ones of a century before. This wood had disintegrated dreadfully, and we had difficulty in handling it. Her hair was beautifully arranged, with a very large loose knot at the back of the head. It was a reddish-golden brown, having kept its color and luster. Her skull indicated a face rather oval in appearance, with slightly high cheek bones. Her hands were very dainty.
At the foot of her grave was that of a little daughter, Lucy. This dear little infant had fine golden ringlets, and the dainty handkerchief-linen dress was not much stained. A tiny band of gold had been placed on her finger. When she was placed at Pohick, these two graves were arranged just as they were at Preston.
I hope I am not tiring you with this description of the condition of these graves. I realize that I could make this account much more brief; but, being so interested, I am giving detailed accounts.
One of the daughters of Charles Alexander Swann married her relative, Mr. Alexander Chapman Williams, whose mother was Frances Chapman, whose mother was Susanna Alexander Chapman, daughter of Charles Alexander. He had served in the War Between the States, in Mosby's Division, and was noted for his bravery and acumen of judgment. His casket must have been given a considerable jar before it was placed in the grave, as the bottom seemed loose. We found the wood well preserved, and the hardware just starting to show signs of rust. This family knew him affectionately as "Cousin Chap." He was beloved of my mother and visited us often, and his interment was from our home. He must have had unusually fine hair, for it was beautifully arranged, with its natural wave, and parted on the side. His clothes remained well preserved. We removed him as carefully as possible to the new box. It was very painful to remove those whom I remembered. After I read the notes that I had taken at the time of removal, I had the feeling that I was making a mistake in my notes, and that he was interred with a sword, so I asked the advice of Mrs. Sinclair, his niece, who told me that he was not buried with a sword. I do not know why I got the impression that he was so buried.
Now to the family of Edward Swann, another son of William Thomas Swann. He married Maria Thrift of Mt. Pleasant Ridge, Montgomery County, Maryland, on November 12, 1844. He was a lawyer of importance in Washington. They had fifteen children, but most of them died in infancy. Two grew to maturity, and a daughter, Florence, died in her early teens. Florence Swann must have been a girl of unusual beauty. She had very long hair of spun gold laying in large loose curls, with a blue ribbon tied around her head with a loose bow at the top of the head. She had a dress of fine muslin tucked and hand-embroidered, with bows on the puffed sleeves, the waist with the bow tied in front. She had a long narrow face with high cheek bones, rather short of forehead for the length of her skull, long shapely hands, and her feet were encased in white kid slippers.
The next to be laid to rest, of whom I have a record, is Edward Swann. He had several strokes of paralysis and died in the early fifties. He was laid to rest in a very expensive casket, which had a metal innerlining. This did not stop nature in her work of disintegration, and the inner lining was fast scaling away. He was of short stature, having very dark hair with extremely white patches at the temples, and a white beard. It grew in the back the natural color and, as a strange twist of fate, the front remained as it was when laid away; but the rear grew far down past the waist. His suit of black whipcord had a large collar, which gave him a stoop-shouldered appearance. A plain gold band was on the fourth finger of his left hand, gold filigree studs adorned his shirt front, with cuff links to match, and patent leather slippers were on his feet. The casket had an unusually heavy glass that gave considerable trouble when we moved.
it, as it proceeded to break. The silver plate was still discernible, for it was copper covered with silver. It was the first casket with long bar handles.
Here are the names of some of the children of Edward Swann, who are buried at Pohick, which child is which, I cannot say, as there was no way to identify them:
MARY DUCKETT BOYD SWANN, born March 30, 1851, died December 22, 1857.
JAMES ROBERT SWANN, born July 12, 1854, died August 20, 1855.
ADA THRIFT SWANN, born May 31, 1856, died December 3, 1857.
VICTORIA ALBERTA SWANN, born October 11, 1858, died January 1860. She had a twin sister who died the day she was born, October 11, 1858.
After we had come to the conclusion that we had accounted for all the children of Edward Swann that could be found, we went over to another line.
Some time after this work was completed the steam-shovel unearthed the most remarkable grave ever placed in Preston graveyard. It was the infant daughter of Edward Swann, MARIE LOUISA SWANN, born February 12, 1853, and died August 9th, 1853. This dear little lady of six months was laid to rest in a cast iron casket, made in two pieces, top and bottom. It was made like a mummy case, the head, neck, body with allowance for arms and feet upraised. It had a glass in front of the head to see the delicate face. This infant had been buried seventy years but her little features were just as they were when laid to rest. The white muslin frock fresh and white, and the dainty baby hands looked as sweet as they did the day they were laid on the little breast. Unfortunately the steam shovel cracked the cast iron casket and decomposition immediately set in. I was so sorry, for it was a most unusual sight to see this infant in such a perfect state of preservation after laying at rest in the family plot. There was a little handle attached to the top. It had been sealed, and was perfectly air-tight. There was a tiny white rose bud in the baby's hand, and it likewise was in a perfect state of preservation.
FRANCES ALEXANDER SWANN, born March 24, 1846, daughter of Edward, and Maria Thrift, married Charles M. Roberts. She died, leaving two small sons, on July 26, 1885. She was the possessor of the loveliest head of hair yet found. It was indeed a woman's crown of beauty. The gold of Ophir was a copy of this magnificent head of hair, loosely pompadoured with a huge knot on top, and an amber comb at the back of the knot. Her burial gown was a white frock of soft silk, and clasped in her hand was a prayer book, that had a rose bud between its covers. She was a woman of medium height, with a skull that indicated a full upper face, and a well moulded chin. Her teeth were well shaped and white. She had on slippers with moderately high heels, much higher than any so far found. She must have been a charming woman in life, for in death she conveyed the impression of a very lovable person. Tenderly we laid her in the new box, bound for the new resting place with the rest of her family.
MRS. EDWARD SWANN, who was Maria Thrift, departed this life in the autumn days of her life, she had been called to bear many griefs, for she lost so many of her children as infants, and her husband died in the midst of his career, leaving her to raise the family as best she could with poor advisers. She was a small old lady, greatly stooped, with snow-white hair, very thin, and parted in the middle, with a bone comb in the thin little knot. In her youth she was a woman of great beauty, having an oval face of rare contour, so serene, and composed, with straight brows, brown eyes, and hair of dark brown, loosely waved on each side of a center part. A portrait of her was in our home for a number of years, and I always admired this beautiful lady. Her lips met in a straight line, just outlining a cupid's bow, and a sensitive chin, told of a tender heart.
Their son, EDWARD SWANN, was the last of their children to depart this life. He died unmarried, about forty years of age. His skeleton led me to believe him to have been about medium height, brown hair, getting thin on the top, and small of features; but his hands were quite large for the size of the man. His shirt front had little ruffles on either side of the closing pannel and a number of tucks grouped in fives adorned the front of the shirt. His suit was of a reddish brown. There were little ruffles at the top of the cuffs, and fancy cuff buttons with blue stones in the twisted gold links. He was evidently fond of life and all the pleasures he could enjoy during his short stay on this old world of ours. This family is placed together at the end lots of the center portion of the lots at Pohick.
This concludes the graves of all the sons of William Thomas Swann and Frances Brown Alexander. There were two female graves that I have no record to show whose they are. I am under the impression that one of these is the grave of NELLY ALEXANDER. I have a letter, mentioning her burial, that was written by William T. Swann to Mrs. Matilda Chapman on August 9, 1844. This date corresponds well with the approximate date of the two other women's graves found in the Swann section of the family plot.
There is a tradition in the family that John Alexander, the father of Charles, built the house on Preston, and lived there with his wife Susanna Pearson, daughter of Simon Pearson. The story runs as follows:
"She laid down to take a nap one Summer afternoon, and dreamed that an Indian was chasing her husband and was about to scalp him. So great was her fright that she awakened, and immediately looked for her lord and master. She opened the door and there she beheld her husband being chased by an Indian Chief, named Long Tom, who headed a tribe of Oronoco Indians. He had his tomahawk raised, to
bring it down on the head of John Alexander when Susanna grabbed the blunderbus from the wall and fired. Her aim proved straight, and Long Tom fell to the ground. They wrapped him in his blanket and buried him on a knoll on the Preston estate and called the knoll Susan's Hill." There lie the remains of the Indian brave who so nearly ended the life of John Alexander, the progenitor of all the people mentioned in this account, many more not buried here, and many living. This same hill later became the family burying plot.
When we had finished removing the graves of the family, I worked this grave in among the others, but have not marked the spot, as I never inquired what the family thought of having Long Tom still among us. I felt that he belonged with the family of the man whom, so long ago, he had done his utmost to extinguish. So to Pohick went poor Long Tom. He was about six foot five or six inches tall, with high cheek bones, straight black coarse hair, and extremely wide breast bones. He must have been a giant. The quick action of this faithful wife, proved the undoing of this Indian brave.
(I am glad my great-great-grandmother's aim was true, and the blunderbus was not rusty.—Editor.)
The work was done, and the family graves had all been moved and accounted for, as near as history and tradition could assist me. We pulled out of the siding, bound for the new resting place. May the dear Father in Heaven give them rest in their new location.
May I take the liberty of making this remark, that the Railroad Company did not seem to gain very much by disturbing the graves of my ancestors. It has been ten long years since they were disturbed; but the steam-shovel is still where it was when it excavated that consecrated ground. I often wonder if it was necessary, for they who were buried there loved that spot and wanted to remain there.
Nearly a year goes by when I am notified that two new graves had been found about ten feet from where Long Tom was buried, under a large tree to the west side of the plot. They have the appearance of antedating the grave of Physician-General Brown about fifty years.
By this time I am an authority on ages of graves. These had been in the ground about two hundred years; so I am taking the liberty of calling them JOHN ALEXANDER, born July 26, 1711, married December 11, 1734; died 1763, and his faithful wife, SUSANNA PEARSON ALEXANDER. They were the first to make Preston their home, for the family had a home in King George County, called Salisbury and Boyd's Hole.
The graves were those of a man and a woman. The clothing on the woman, the knot of rich dark brown hair identified her sex. The skeleton was decidedly more parched and whiter than those of a hundred and forty years old. The boxes had entirely disappeared. The man had a long white beard, and a good covering of stiff white hair. There were both knee-buckles and shoe-buckles in his grave. I do not know who they are, and no member of the family can help me identify these last two graves; and as there is no record of John or Susanna having been buried in King George County, or in any cemetery in Alexandria—although he gave the land on which Christ Church stands—I take the liberty of calling them John and Susanna Alexander, and as such they are listed at Pohick.
Now my work is done and ten years have elapsed and no more bodies have been found, so I feel I can truthfully say, "The work is finished." The steam shovel still remains. I pray that when my last days on earth are done, and I stand before the Judgment seat of God, it will be said: "Well done, thou good and faithful servant." I am writing this account so that descendants of those buried in Pohick may know that their loved ones were faithfully and carefully removed from Preston to Pohick.
In closing, may I pray the prayers that the Easterners do: "May the peace of Allah abide with you."
(Signed) HELEN CHAPMAN CALVERT.
March 1, 1933.
DEAR RELATIONS:
My Mother, Mrs. George Edward Calvert, born Susanna Pearson Alexander Swann, more affectionately known as "Cousin Susie" purchased in 1905, nineteen lots from the Vestry of Pohick Church during the rectorship of Reverend Edward Mead. A misunderstanding arose and the lot occupied by Mr. Hill was sold.
The Vestry headed by Mr. Thompson and Mr. Brookfield gave certificates as follows: No. 23—Certificate of ownership of lots in the Cemetery of Pohick Protestant Episcopal Church of Fairfax County, Va. to Helen C. Calvert; lots 4, 6, 8, 10, 12, and 14. Sec. G. No. 23—lots 3, 5, 7, 9, 11, and 13. Sec. G. No. 24—lots 2, 4, 6, 8, 10, 12, and 14. Sec. I. Dated Sept. 18th, 1922—signed by Wm. M. Nevitt, Senior Warden and J. P. H. Mason, Junior Warden.
I deeded to Miss Alymer Gray of Fredericksburg lot No. 7, Sec. I, for the graves of Summer Hill.
I deeded lots 4, 6, 8, Sec. G to Mr. and Mrs. C. A. S. Sinclair for use of their family.
I deeded lot No. 14, Sec. G to Miss S. M. Frances Chapman.
Starting with lots in row adjoining Mr. Thos. F. Chapman's lot and ending with lots in row beginning Calvert, making three rows, minus the Hill lot. Into these were removed the "graves from Preston" and later "Summer Hill," two old homes on the banks of the Potomac.
The children of Susanna Pearson who married John Alexander living at Preston, and Constantia Pearson who married Nathaniel Chapman of Summer Hill. The love and affection of these two families whose homes on both banks of the Four-Mile Run, where it emptied into the Potomac, remains unto this day. So now they are united in their long sleep.
My Mother desired to transplant Preston Graveyard to Pohick, and invited her relatives to consider it as their own.
APPENDIX B
Relevant Communications
| Communication | Date |
|---------------|------------|
| IAC-AA | 7/29/95 |
| AA Prelim Arch. Assessment | 8/16/95 |
| IAC-AA | 10/8/95 |
| AA -IAC | 2/12/95 |
| IAC-AA | 2/9/96 |
| AA -IAC | 3/5/96 |
IAC-International Archaeological Consultants
AA-Alexandria Archaeology
Dr. Pamela Cressey
Alexandria Archaeology
105 North Union Street
Alexandria, Virginia
July 29, 1995
re: Evaluation of the disturbance at Potomac Yards (ie. Preston Plantation and canal)
Dear Pamela,
Mr. David Sittler has asked me to write a letter to you with my evaluation of the probability that the cultural resources that are known to have existed at Potomac Yards may be disturbed or no longer extant.
Recently, I have conducted archival research on behalf of Mr. Sittler on the Richmond, Fredericksburg & Potomac Railroad (R,F & P) records to determine the level of disturbance at Potomac Yards. The research indicated that no R,F & P records at the Virginia Historical Society could clearly establish any specific disturbance.
However, evidence that may establish the level of disturbance to the historic resources has been taken from an archaeological exhibit prepared by the Charles E. Smith Company. This exhibit has the existing site plan with an overlay of the Preston Plantation, the associated graveyard and the canal/aqueduct placed on the map. The primary argument for extensive disturbance is based on the "Map showing the topography of the country with the defenses in front of Alexandria (sheet #10) RG77 Dr. 171 #210-L-10". This map which is dated 186-? has been overlain on the proposed site plan and the estimated differences in the elevations suggest significant ground disturbance.
The contours from the historic map suggest that the Preston Plantation had originally been constructed on a knoll or rise of more than 40 feet in relief from the surrounding floodplain. A visit to the site area makes it clear that the elevation differences have been eliminated to permit the use of the area as a train yard. The extent of the topographic changes will be detailed by Mr. Sittler in your meeting but, there is compelling evidence to suggest that any historic features would be disturbed. This would probably include house foundations and perhaps even the foundation of an icehouse if one had existed.
In an effort to further quantify the level of disturbance, the boring tests conducted by Stevens Drilling were examined in a few areas that were closest to the historic features. Boring B-105, located
approximately 150 feet southeast of the graveyard, is currently located at a ground surface elevation of 27.9 feet. Whereas, the elevation for the same location on the 186-? map gives an elevation of 40 feet. These differences suggest that a minimum of 13 feet has been moved from the area in the formation of the train yard.
Another boring (B-48) located just west of the former canal has current ground surface of 28.2 feet. It is also noted from the boring tests that there is an additional 6 feet of fill making the current ground surface at 22.2 feet. I have been told by Mr. Sittler that a City of Alexandria publication gives the elevation of the historic canal at this area at approximately 38 feet at the surface and 34 feet at the bottom of the canal. If the elevation and depth of the canal is correct and the original topographic map is relatively accurate, the current ground surface is nearly 12 feet lower than when the canal existed. Nearly the same level of disturbance can be seen from boring #B-83, located at the eastern edge of the canal, with a current ground surface of 31.4 feet and another 6.5 feet of fill beneath the surface. This equates to a preserved ground surface at approximately 25 feet nearly 11 feet lower than the reported bottom of the canal.
I have asked as many questions as possible of Mr. Sittler and considered as many alternatives and flaws in the information as I could think of. Although, I am not as familiar with this area as you are, the information and mapping in conjunction with the boring test, along with a walkover of the area is a compelling argument that the probability of historic features being preserved in this area is very low.
I hope that my evaluation and opinion may help in your assessment. If I can be of further help, please let me know.
Sincerely,
Robert M. Adams
xc: Mr. David Sittler-Charles E. Smith Co..
SCALE 1 inch = 100 feet
DIGITIZED LOC ALEXANDRIA, ENTITLED "M" WITH THE DATED 186-.
PROPOSED ARCHAEOLOGICAL TEST TRENCHES (TYP.)
DIGITIZED LOCATION OF ALEXANDRIA CANAL TAKEN FROM
ALEXANDRIA ARCHAEOLOGY MAP #RG77 DR. 171 #210-L-10
ENTITLED "MAP SHOWING THE TOPOGRAPHY OF THE COUNTRY
WITH THE DEFENSES IN FRONT OF ALEXANDRIA, VA (SHEET #10)"
DATED 186--.
SCALE 1 inch = 100 feet
Storm Line
| Depth | Soil Strata | Time | Type | No. | Depth From | To | First 6" | Second 6" | Third 6" | Rec. |
|-------|-------------------------------------------------|------|------|-----|------------|-----|----------|------------|-----------|------|
| 0 | Stone & Cinders - Fill | | | | | | | | | |
| 1.5 | Yellow Brown & Gray Silt Fine Sand | SS | 1 | 1,53| 6 | 6 | 11 | 14 | | |
| 2 | | | | | | | | | | |
| 3 | | | | | | | | | | |
| 4 | | | | | | | | | | |
| 7 | | | | | | | | | | |
| 9 | | | | | | | | | | |
| 14 | | | | | | | | | | |
| 15 | Light Gray Clayey Silt w/s Fine Sand Layers | | | | | | | | | |
| 20.5 | | | | | | | | | | |
| 21.5 | Yellow Brown Fine to Med Sand - Tr - Iron Streak Fragments | | | | | | | | | |
| 23.5 | | | | | | | | | | |
| 24.5 | | | | | | | | | | |
| 28.5 | | | | | | | | | | |
| 29.5 | | | | | | | | | | |
| 30 | | | | | | | | | | |
B.T. 9-5-95 30'
Water Int: 1/2' 10:00
W/ Augers water 21' 10:30
W/O Augers water 5' 10:45
CAVE 6'
HOD OF DRILLING (Check One)
Auger
Size 2-1/4" FD
WASH WATER MUD
Drill Size 10"
Bit Used
Drill Size 10"
Length
Disturbed Samples: No.
Samples: No.
WEATHER
Non-Drilling Time (Hrs.)
Boring Layout Moving
Hauling Water Standby
Water Level: @ 5' Date 9/6 Time 2:35
@ Date Time
Cave-In-Depth: @ 6' Date 9/6 Time 2:35
REMARKS: All remarks should be contained on the next page.
| DEPTH (FT.) | STRATA DESCRIPTION | CLASS | ELEV (FT.) | STRATUM | SAMPLING DATA | w (%) | REMARKS |
|------------|--------------------------------------------------------|-------|------------|---------|---------------|-------|---------|
| 1.0 | gravel FILL, gray | | | | | | |
| 13.0 | sandy LEAN CLAY, moist, gray | CL | 18.3 | C | | | |
| 17.0 | POORLY GRADED SAND, moist, brown | SP | 22.3 | B | | | |
| 24.5 | clayey SAND, wet, gray | SC | 4.8 | B | | | |
| 30.0 | Bottom of Boring @ 30.0 ft. | | -7 | | | | |
Comments:
| DEPTH (FT.) | STRATA DESCRIPTION | CLASS. | ELEV. (FT.) | STRATUM | SAMPLING DATA | % (X) | REMARKS |
|------------|--------------------------------------------------------|--------|-------------|---------|---------------|-------|---------|
| .7 | gravel FILL, gray | | 29.2 | A | 8+10+13 | | |
| | gravel FILL, with wood, moist, brown | | | | | | |
| 4.0 | silty SAND, moist, brown | SM | 25.9 | B | 4+9+11 | | |
| | clay lenses, gray below 9.5 ft. | | | | | | |
| 17.0 | ELASTIC SILT, moist, gray | MH | 12.9 | C | 4+4+5 | | |
| 24.5 | POORLY GRADED SAND, trace silt, wet, orange and brown | SP | 5.4 | B | 6+11+15 | | |
| 30.0 | Bottom of Boring @ 30.0 ft. | | - | | 4+8+8 | | |
Comments:
| DEPTH (FT.) | STRATA DESCRIPTION | CLASS. | ELEV. (FT.) | STRATUM | SAMPLING DATA | N (X) | REMARKS |
|------------|--------------------------------------------------------|--------|-------------|---------|---------------|-------|---------|
| 0 | gravel FILL, gray | | | | | | |
| | gravel, sand and clay FILL, with cinders, moist, brown | | | | | | |
| 6.5 | silty SAND, moist, brown | SM | 25.0 | B | 4+4+4 | | |
| | with ironite below 9.5 ft. | | | | | | |
| 14.5 | FAT CLAY, with sand, moist, brown | CH | 17.0 | C | 3+4+5 | | |
| 17.5 | POORLY GRADED SAND, trace silt, moist, brown | SP | 14.0 | | 8+7+7 | | |
| | wet below 29.0 ft. | | | | | | |
Comments:
## Groundwater Observations
| Date | Time | Depth | Casing | Caved |
|-------|------|-------|--------|-------|
| 7-13 | 12:30| 8.0 | | |
| 7-13 | 2:30 | 20.0 | | |
| 7-13 | 3:00 | 7.5 | NONE | 22.0 |
| 7-14 | 7:50 | 5.0 | NONE | 21.5 |
## Strata Description
| Depth (FT.) | Strata Description | Class | Elev. (FT.) | Stratum | Sampling Data | W (%) | Remarks |
|-------------|---------------------------------------------------------|-------|-------------|---------|---------------|-------|---------|
| .8 | gravel FILL, gray | | | | | | |
| 6.5 | lean clay FILL, trace sand and roots, moist to wet, brown | SP | 21.4 | A | 2+3+7 | | |
| 27.0 | POORLY GRADED SAND, trace lean clay, wet, brown | | | | | | |
| 27.0 | ELASTIC SILT, trace organic, moist, gray | MH | .0 | B | 3+4+4 | | |
| | continued on next page | | | | | | |
Comments:
| DEPTH (FT.) | STRATA DESCRIPTION | CLASS | ELEV. STRATUM (FT.) | SAMPLING DATA | N (G) | REMARKS |
|------------|--------------------|-------|-------------------|---------------|-------|---------|
| 44.5 | LEAN CLAY, moist, brown with sand below 46.5 ft. | CL | -18.5 | | | |
| 50.0 | Bottom of Boring @ 60.0 ft. | | -22.1 | | | |
Comments:
The Ground Impact Maps presented by the applicant are excellent. They provide information on historical and current topographic contours which indicate that an average of 11 feet of soil has been removed across the property. Soil borings seem to confirm this finding. The result is that minimal "ground-truthing" is necessary rather than undertaking a full archaeological testing strategy. Previous projects have shown that contours on historical maps are not accurate in all cases. In order to be assured that the changes in topography did occur in the manner suspected, a few test trenches must be dug. An archaeological consultant needs to be hired to excavate 4 backhoe trenches: Two 100 foot trenches in the Preston estate area, One 100 foot trench in the Preston Graveyard, and One 200 foot trench across the site of the Alexandria Canal Turning Basin. To accurately place the trenches in the Preston areas, the Preston house footprint shown on Map RG 77 Dr. 171 #210-L-10 and the graveyard shown on the 1904 Baist map must be digitized onto an overlay sheet to the scale of the Ground Impact Maps. The trenches must be dug to sterile soil and at least two column profiles (one at each end of the trench) must be drawn and photographed in each trench. All features encountered will also be recorded and photographed. The consultant will submit a report of this work to Alexandria Archaeology and the results will determine if further archaeological work is necessary. All work will be conducted according to the City of Alexandria Archaeological Standards.
CONTACT ARCHAEOLOGIST
Signature: [Signature]
Date: 8/14/95
CITY ARCHAEOLOGIST
Signature: [Signature]
Date: 8/16/95
SUBMIT A COPY OF THIS FORM SIGNED BY THE CITY ARCHAEOLOGIST WITH YOUR PRELIMINARY SITE PLAN WHEN YOU FILE WITH THE CITY.
cc. Jean Taylor Federico, Director, Office of Historic Alexandria
Dr. Steven Shephard
Alexandria Archaeology
105 North Union Street
Alexandria, Virginia
October 8, 1995
re: Report on trench monitoring at Potomac Yards, R,F & P-Preston Plantation area.
Dear Steve,
I have recently completed the monitoring of the four trenches at the former Preston Plantation site at Potomac Yards and found no indication of cultural remains.
The work to be undertaken was detailed in a Preliminary Archaeological Assessment signed 8/16/95 completed by Alexandria Archaeology and forwarded to me by Mr. David Sittler. This document was the result of several meetings and communications with Mr. David Sittler, a representative of the Charles E. Smith Companies and in conjunction with R,F & P Corp. The principal argument that the area had been disturbed was gleaned from a Civil War period topographic map as compared to the current topographic contours. These two maps were combined or digitally overlaid and indicated that the area had been disturbed. The purpose of the backhoe trenches was to verify if the Civil War map was accurate or if any cultural remains were extant.
The locations of the trenches were selected to adequately test each area for the presence of undisturbed soils that may suggest that intact cultural remains have been preserved. All of the test trenches were surveyed, staked and plotted on the map that has been used in the discussions of the project and a fold out copy of the map is attached at the back of the text.
The excavation of the trenches was done with a Case 855 front loader/tracked hoe. The hoe bucket was equipped with a "duckbill", a flat blade, rather than the usual teeth at the edge of the bucket. This bucket left a very smooth surface at the bottom of the trench and precluded the need for troweling (Figure 1).
The first trench that was excavated was a transect across the former canal in an area indicated as a turning basin. This trench was planned to be 200 feet in length and ended up being 215 feet in order to definitively understand the stratigraphy. Trench #1 began at the west end of the trench and progressed eastward. As the excavation proceeded it became clear that numerous abandoned water, sewer, electrical lines and other obstructions were present. A
plan view of trench shows that a total of nine lines and three concrete obstructions were encountered in the 215 foot length of the trench (Figure 2). During the excavation a galvanized drain culvert was punctured causing the trench to begin flooding and complicated the interpretation of the stratigraphy.
The depth of the Trench #1 varied as different obstructions were encountered but averaged approximately eight feet in depth. The average depth to sterile soil was approximately 2.4 feet. The characteristic soil profile began with approximately one foot on angular gravel that originally formed the bedding for the railroad ties and is a post-coal burning addition to the railyard (Figure 3). Below this layer of gravel was a layer of cinder between 1.0-1.8 feet in thickness and represents the spreading of spent coal from the locomotive fireboxes. Directly below this layer a compact red orange sterile subsoil was encountered. This is an impermeable layer and water was observed draining across the clay at the base of the cinders (Figure 4 & 5). This layer of red orange clay was a minimum of 2.4 feet thick. Beneath this layer was a deposit of a light grey sand with some silt that was at least several feet deep. The deepest portion of Trench #1 was 9.6 feet and the light grey sand was still present. It should be noted that the orange sand has mottling of an iron oxide stain (Figure 6).
The excavation of Trench #2 began at the north end and progressed towards the south with no obstructions encountered over the length of the trench. At the beginning of the trench at a depth of 2.2 feet below ground surface, wooden planks were encountered that at first appearance appeared as casket remnants. Although, upon closer examination it was found that the pair of planks were laying side by side and were 15 feet in length (Figure 7). The two planks were 8 and 12 inches wide, one inch thick and were butted next to each other. These planks had another set of pine or fir planks laying directly beneath them. These stacked pair of planks ran into the side wall of the trench and were excavated out to determine their full width. At the end of the 15 foot run of planks another set of planking was butted to it and continued into the sidewall of the trench (See Figure 9). No fastenings or tool marks were noted anywhere on any surface of the planks.
It is surmised that the planking was laid on the clay surface as a walkway at the time the railyard was leveled in the late 19th or perhaps during the early 20th century. This conclusion is supported by the presence of coal cinders above the level of the walkway.
It was decided to abandon the run of planking and continue along the surveyed transect as little knowledge would be gained by following the walkway.
The stratigraphy of the trench shows the angular gravel stone over the layer of black cinders. Below the level of cinders is a thin layer of disturbed orange brown sandy loam with abundant well rounded gravels. Directly below this layer is a dense red orange clay subsoil (Figure 8 & 9).
The use of the "duckbill" blade on the backhoe bucket made for a very precise and clear view of the trench surface before the gravel or cinders would cascade into the trench. No anomalous features or staining was discerned that would indicate the presence of a burial shaft. It is strongly believed that this area has been disturbed to a level where the orange clay subsoil was exposed over a majority of the area and probably the entire area.
The excavation of trenches #3 and #4 occurred in the area identified as the location of the former Preston Plantation. Trench #3 was the northernmost trench and was excavated from east to west. The trench ran across a small swale that was apparently used as a shallow drainage channel and once it had been crossed, at the 60 foot mark, the trench began to fill with water (Figure 10). The soil stratigraphy was, once again, the same as encountered across the site. The trench depth varied from 3.7 to 5.7 feet and was excavated through the red clay layer and into the light grey sand that underlies the clay (Figure 11 & 12)). The cinder layer in this area was much thinner and may be the result of excavating thru that layer to facilitate a drainage swale. No artifacts or cultural remains were identified and the presence of cinders directly atop the red clay suggests the area has been seriously disturbed.
The surveyed location of trench #4 crossed a large pile of stacked surplus railroad ties and presented an impediment to a continuous trench. In an effort to simplify the field work, the trench was excavated in two sections separated by the pile of ties. The trench was excavated from the western side of the pile to thee west for a distance of 34 feet and was then continued on the opposite side. for 66 feet. To maintain the stipulated length of 100 feet and additional 5 feet of the trench was excavated at the western end and 10 feet at the eastern end of the trench (Figure 13).
Once more, the stratigraphy in Trench #4 was comparable to other area of the site only perhaps thinner with less gravel and cinder ballast. The average depth of three feet to subsoil was noted along the length of the trench. The variation in color of the red clay was noted and that the red clay had been removed near the western
end of the trench at the 12 foot mark can be seen in the profile (Figure 14). This area is consistent with profiles across the site. Please note that I ran out of film after one profile photograph of trench #4 and therefore a photograph of the entire trench could not be included.
In conclusion, a consistent stratigraphic profile exists across the site with notable disturbances occurring primarily in the cinder ballast stratum or above. Depths of 9 feet were excavated to assist in understanding the stratigraphy and verifying the subsoil sequence. The presence of the light grey sand layer beneath the red-orange clay suggests a migration of the river channel or perhaps a fluvial-marine transition.
Unfortunately, it appears that the construction and utilization of the area as a railyard that requires very little grade, has resulted in the disturbance of the area. It is believed that no intact cultural features representing the occupation of the former Preston Plantation are extant. It also suggests that the Civil War topographic map, although perhaps not empirically verified, accurately indicates that the area has been disturbed.
I hope that the accompanying photographs, site maps, profiles and trench plans will help you understand the level of disturbance in the area. I have included a copy of the signed Supplementary Approvals for Archaeological Excavation and the end of the figures. If you have any further questions please give me a call at (804) 642-3727.
Thank you.
Robert M. Adams
cc: Mr. David Sittler-Charles E. Smith Companies
Figure 1. Tracked loader with "duckbill" bucket at Trench #2.
Figure 2. Plan view of Trench #1
TRENCH #1 - PLAN VIEW
Figure 4. Trench #1, looking east, from the western end.
Figure 5. Trench #1, looking east, from the mid-point of the trench.
Figure 6. Profile of Trench #1 at 52 feet. Showing orange clay and light grey sand subsoil.
Figure 7. Wood planks exposed at the north end of Trench #2.
Figure 8. Profile of Trench #2 near north end of the trench.
Figure 10. View of Trench #3, looking west.
Figure 11. Profile of Trench #3, near the eastern end.
Figure 14. Profile of the western portion of Trench #4.
February 9, 1996
Ms. Pamela J. Cressey, Ph.D.
Mr. Steven J. Shephard, Ph.D.
Alexandria Archaeology
105 North Union Street 22314
re: Test Excavations at Potomac Yards-Preston Plantation
Dear Pam and Steve,
Thank you for your letter of December 12, 1995 with your request for additional information about the test trenches that were excavated at the former Preston Plantation. I am sorry it has taken so long to return your letter but it has taken some time for the engineers to produce the necessary maps to answer your questions and I have been in Texas working.
In your letter you addressed four specific areas, each with several questions. I will address each question as referenced in your letter of December 12 and I have attached a copy so that you won't have to find your copy. Also, attached is the Figure 9 from my original report showing the plan view of the plank walkway feature and an oversize map of the 1904 Baist Map of the Vicinity of Washington D.C.. In addition there is a series of six oversize maps of the area with all the combinations of historic maps, soil boring locations, planned development and elevations necessary to address any questions you may have. The following list of the oversize maps is a general description with the specific citation included on each oversize map.
1) Digitized locations of Preston Plantation from 1904 Baist Map and Engineering Sciences 1989 report.
2) As above (#1) overlain with proposed development.
3) #1 with current topographic contours.
4) #1 with "Defenses in front of Alexandria" (historic topographic contours)
5) #1 with current and historic contours and soil boring locations.
6) Current and historic contours overlain with proposed development
Question #1
The location of each trench is shown on two of the maps prepared by Christopher Consultants, Ltd. (Sheets 1 & 4). The reference to test trench #4 that was excavated in two parts and drawn as a continuous trench is better defined on Sheet 1 of 6. The trench was excavated in two parts because a large pile of railroad ties made the continuous excavation of the trench impractical. The size of the railroad ties and their placement is drawn to scale.
The trench locations were agreed upon during discussions with Mr. David Sittler and Alexandria Archaeology in a meeting in which I was not in attendance. It is my understanding that a site map with the location and orientation of the trenches was attached to the Preliminary Archaeological Assessment 8/16/95 and any variation from this plan was the result of miscommunication with the surveyors who laid out the trenches.
The explanation for the two graveyard locations can be explained by the difference in two sources. The northeastern most graveyard location was taken from the Engineering Sciences 1989 report and the other from the Baist 1904 map (See Sheet #1). The decision on the location of the test trench was made in discussions with Mr. Dave Sittler and Alexandria Archaeology and the trench to be excavated in the location indicated by the Baist 1904 map.
I have been recently informed by Dave Sittler that new information from a title search has given the location of the Preston cemetery. I have spoken with Mr. Steve Thompson of Christopher Consultants, the person responsible for the map digitizing, and he confirms that this new information fixes the location of the cemetery exactly where the Engineering Sciences had located the cemetery.
Question #2
A clarification was requested for the current sea level elevations for each trench and Sheet 3 of the oversize maps shows
the current sea level elevations noted at each end of the four trenches that were excavated.
The sea level elevations have been indicated on each of the profiles from my original report and are based on an estimate of the elevations at the end points of each trench (See Figures 3,9,12 & 13). It is believed that these estimates are within a few inches and will be sufficient for any necessary comparisons.
The location of each profile that was taken is also indicated on the site map- Sheet 1. The location of each profile is identified by the distance from the end point of each trench and this location is used to label each of my profile drawings.
The relationship of the sea level elevations from the historic contour map compared to the current elevations has been assembled on Sheet 4. The current sea level elevations are noted at both ends of the four trenches in red and the historic 20 foot contour lines can be easily identified. I have noted in black at each of the four trench location the current undisturbed ground level that has been identified as an orange clay subsoil. This figure is arrived at by subtracting the depth of the angular gravel, cinder ballast and whatever fill has been identified from the current sea level elevation. (The figure is an average taken from the profiles from each trench and subtracted from the current elevation average for a given trench). Note: If a comparison between current and historic contours is needed - See Sheet 5).
This calculation to the top of the subsoil indicates the level at which the surface of the railyard was leveled at some time after 1933. The difference between this figure and the current elevation indicates the number of feet of soil that was removed in this area to produce the required, relatively flat railyard.
In the area of test trench #1 these calculations suggest that approximately 23 feet of soil has been removed. In the area of test trench #2, 13-15 feet has been removed. The calculation for the area of test trench #3 and #4 is approximately 15-23 feet although the actual topography of a 50 foot contour is far more difficult to estimate in this area (See Sheet 4).
The profiles that have been seen in the excavated trenches concurs with these calculations and shows a clearly defined subsoil, apparently at some depth from the original historic ground surface.
Question #3
In your question #3 you asked for an explanation for the purpose of digging test trench 2. Its purpose was to verify the location of the graveyard and to identify whether intact cultural features were extant.
The soil features that would indicate the presence of the graveyard would include the identification of an actual ground surface and any disturbance to that soil surface. These disturbances would include any mixing of soil as a result of the excavation. We know from the historical record that the 1922 excavation was undertaken with the use of a steam shovel and the use of shovels to exhume each of the caskets or burials. It was hoped that evidence of this soil disturbance would be discernible if it had not been removed from later topographic changes to the railyard.
If the actual ground surface were removed in the past, it was hoped that remains of burial shafts or disturbance of those features could be discerned. This would also include the remnants of the burial shafts, if portions of it remained undisturbed, and the possibility of soil alteration or discoloration from the decomposition of the bodies and the subsequent addition of organic material to the surrounding soil.
What was found is trench #2 was the clear identification of an orange/red clay subsoil ground surface located at 2.6 - 2.8 feet below the existing ground surface. This surface is assumed to be associated with the ground surface that was formed by the blading of the ground surface that removed the cemetery and formed the grade level for the railyard. This exposed level of red/orange clay subsoil is where the run of wood planking was located.
The relationship of this plank feature to that of the burial removals that occurred in 1922 is based on the historic and current topographic elevations. The best estimate of the change in elevation, in the area of test trench 2 is 13-15 feet. The historic accounts by H.C. Calvert indicate that the oldest graves from the Preston Plantation cemetery were excavated from a depth of 10-12 feet (page 251) with other graves of less age being located at a depth of eight feet or less. The discrepancy in the depths of burial and the extreme depth of the older graves suggests a general accretion of
sediment that may be the result of periodic flooding along the Potomac. It is clear that even with this accretion that the probability of discovering intact graves is remote.
It can be concluded that test trench #2 showed no sign of a graveyard and, if this were the former location of the cemetery, it is estimated that it had been removed in the leveling process to form the railyard.
**Question #4**
The plank walkway was not indicated in the column profile as the profile was taken off the western wall of the trench and the plank walkway was located on the eastern side. It should be noted that the planking was resting on the orange clay subsoil at a depth of 2.6 - 2.8 feet below the ground surface.
A plan view of the planking feature, that also shows the outline of the surveyed trench and the actual shape of the trench that was necessary to verify the plank walkway, is included in my original report as Figure 9 (Attached).
The question whether the railroad has records that would show this plank walkway and what its function may be has been briefly explored. The archival research that was undertaken as part of the research for the test trenches excavated at the GSA warehouse site at Potomac Yards yielded no maps, photographs or information that would shed light on associated buildings. It is believed that this plank walkway is simple solution to a muddy and slippery ground surface. Whether it was used as a walkway from one building to another or as a pathway to a rail switch is anyone's guess.
The age of the plank walkway is believed to be at least after 1933. In the 1933 article a complaint is made by the author as to the necessity of moving the cemetery (11 years earlier) as the area was yet to developed at the time of the writing. It is a logical assumption that the planks would have been laid after the time that the clay subsoil surface had been exposed and the railyard was in full operation. Therefore, the significance of this walkway that dates to post-1933 appears to have little historic value.
In your concluding remarks you have asked for the current sea level elevations for the two test trenches excavated at the GSA
warehouse site. The northern most trench for the gas line has an elevation at the east end of 35.4 feet and 35.9 at the west end. The southern trench for the water main has an elevation at both the east and west end of 34.7 feet.
The new information from the title search that confirms the location of the Preston Plantation cemetery suggests that the location of test trench #2 was of limited value. The question whether additional testing should be undertaken in the area that has been recently confirmed is debatable. The site plan of the proposed development shows that the area will be covered with a parking lot that will require minimal ground disturbance.(See Sheet #6). The removal of the burials in 1922 appears to have been fairly thorough and it is believed that additional testing to locate any burials, if they exist, would be a difficult undertaking.
I hope that this additional information has given you a clearer picture of the topography both now and in the past and how it relates to the former Preston Plantation and cemetery. If I can be of further assistance or if you have additional questions please let me know.
Thanks again for your patience.
Sincerely,
Robert M. Adams
cc: Mr. David Sittler-Charles E. Smith Co.
December 12, 1995
Robert M. Adams
3778 Briggs Cove Road
Hayes, VA 23072
Dear Bob,
We received your report on excavating four trenches in the former Potomac Yard property where a proposed retail center is to be built. The report lacks the following information or discussions which are necessary for the document to be complete:
1. The locations of the excavated trenches must be shown to scale on the site plan map prepared by Christopher Consultants, Ltd. Trench 4 is shown as continuous on the map and is described as being two separate sections. The map must show where the parts of the trench were actually dug. The trench locations shown on the map attached to the report do not seem to match the required trench locations as specified on the map accompanying our Preliminary Archaeological Assessment of 8/16/95. This must be explained. There also needs to be an explanation of why there are two Preston Graveyard Sites shown on your map.
2. Sea level elevations of the various soil layers in the soil profiles in the report must be indicated. Locations where the column profiles were made in each trench must be marked on the site map. In addition, the report needs to include a discussion of the relationship between the historic and current topographic elevations shown on the set of overlay maps produced by Christopher Consultants, Ltd., and the elevations of the soil layers recorded in the excavated trenches.
3. You must make reference to and discuss what was found in Trench 2 in relationship to the account by H. C. Calvert (enclosed) of the removal of burials from the Preston cemetery in 1933. There should be an explanation of the purpose of digging Trench 2 and what soil stains/features you were looking for.
4. The plank walkway is not shown in a column profile; at what depth was it found? There is no plan drawing of the feature; where was it located in the trench? Does the railroad have records or does a map show what the plank walkway was for or what buildings it was related to? Why isn't this feature significant?
Office of Historic Alexandria
City of Alexandria, Virginia
Attached to the letter accompanying the report were two column profiles from trenches dug at the GSA warehouse property. You mention that if sea level elevations are required on these you would contact David Sittler about them. We do need these elevations in order to compare the soil strata across the Potomac Yard area.
We appreciate your work on this project, Bob, and hope it will not take too much effort to revise the report as requested above. Please call if you need further explanation or clarification.
Sincerely,
Pamela J. Cressey
City Archaeologist
Steven J. Shephard, Ph.D.
Assistant City Archaeologist
TRENCH #1
PROFILES
Figure 3. Profiles of Trench #1.
Figure 9. Plan view and profiles of Trench #2.
TRENCH #3
PROFILES
Figure 12. Profiles of Trench #3.
Figure 13. Plan view and profiles of Trench #4.
December 12, 1995
Robert M. Adams
3778 Briggs Cove Road
Hayes, VA 23072
Dear Bob,
We received your report on excavating four trenches in the former Potomac Yard property where a proposed retail center is to be built. The report lacks the following information or discussions which are necessary for the document to be complete:
1. The locations of the excavated trenches must be shown to scale on the site plan map prepared by Christopher Consultants, Ltd. Trench 4 is shown as continuous on the map and is described as being two separate sections. The map must show where the parts of the trench were actually dug. The trench locations shown on the map attached to the report do not seem to match the required trench locations as specified on the map accompanying our Preliminary Archaeological Assessment of 8/16/95. This must be explained. There also needs to be an explanation of why there are two Preston Graveyard Sites shown on your map.
2. Sea level elevations of the various soil layers in the soil profiles in the report must be indicated. Locations where the column profiles were made in each trench must be marked on the site map. In addition, the report needs to include a discussion of the relationship between the historic and current topographic elevations shown on the set of overlay maps produced by Christopher Consultants, Ltd., and the elevations of the soil layers recorded in the excavated trenches.
3. You must make reference to and discuss what was found in Trench 2 in relationship to the account by H. C. Calvert (enclosed) of the removal of burials from the Preston cemetery in 1933. There should be an explanation of the purpose of digging Trench 2 and what soil stains/features you were looking for.
4. The plank walkway is not shown in a column profile; at what depth was it found? There is no plan drawing of the feature; where was it located in the trench? Does the railroad have records or does a map show what the plank walkway was for or what buildings it was related to? Why isn't this feature significant?
Office of Historic Alexandria
City of Alexandria, Virginia
Attached to the letter accompanying the report were two column profiles from trenches dug at the GSA warehouse property. You mention that if sea level elevations are required on these you would contact David Sittler about them. We do need these elevations in order to compare the soil strata across the Potomac Yard area.
We appreciate your work on this project, Bob, and hope it will not take too much effort to revise the report as requested above. Please call if you need further explanation or clarification.
Sincerely,
Pamela J. Cressey
City Archaeologist
Steven J. Shephard
Assistant City Archaeologist
DIGITIZED LOCATION OF ALEXANDRIA CARAVAN TAKEN FROM ALEXANDRIA ARCHAEOLOGY MAP #85/77 DR. 127, #19-1-10 CARAVAN AND CAMPING SITE (SEE ALSO EXHIBIT WITH THE DEFENSES IN FRONT OF ALEXANDRIA, VA. (SHEET #10) DATED 1861.
DIGITIZED LOCATIONS OF ALEXANDRIA CARAVAN TAKEN FROM EXHIBITS FROM THE REPORT, DATED OCTOBER 1989, TITLED "EXCAVATION REPORT: POTOMAC YARD CENTER", PREPARED BY ENGINEERING SCIENCE, INC., WASHINGTON D.C.
DIGITIZED LOCATIONS OF PRESIDENT HOUSE AND CAMPING SITE TAKEN FROM EXHIBIT, DATED 1989, ENHANCED ALEXANDRIA ARCHAEOLOGY MAP #12 ON "A" 1920 A.D. CO.
POTOMAC RIVER
- CURRENT GROUND SURFACE ELEVATION
- ELEVATION OF GROUND SURFACE BELOW FILL (MEASUR)
DIGITIZED LOCATION OF ALEXANDRIA CEMETERY TAKEN FROM ALEXANDRIA ARCHAEOLOGY REPORT NO. 171 #210-1-10 ENTITLED "MAP SHOWING THE TOPOGRAPHY OF THE COUNTRY WITH THE BURIALS IN FRONT OF ALEXANDRIA, VA. (SHEET #10)" DATED 1985.
DIGITIZED LOCATION OF ARCHAEOLOGICAL SITES TAKEN FROM EXHIBITS FROM THE REPORT, DATED OCTOBER 1985, ENTITLED "REPORT ON THE POTOMAC YARD ARCHAEOLOGIES", PREPARED BY ENGINEERING SCIENCE, INC., WASHINGTON D.C.
DIGITIZED LOCATION OF ARCHAEOLOGICAL SITES AND GRAVEYARD SHOWN TAKEN FROM "ARCHAEOLOGY REPORT NO. 171 #210-1-10 ENTITLED "MAP SHOWING THE TOPOGRAPHY OF THE COUNTRY WITH THE BURIALS IN FRONT OF ALEXANDRIA, VA. (SHEET #10)".
NOTE: THE TOPOGRAPHY IS TAKEN FROM ALEXANDRIA ARCHAEOLOGY MAP REPORT NO. 171 #210-1-10 ENTITLED "MAP SHOWING THE TOPOGRAPHY OF THE COUNTRY WITH THE BURIALS IN FRONT OF ALEXANDRIA, VA. (SHEET #10)".
SCALE: 1" = 100'
DATE: JULY 5, 1995
DESIGN: 139
CHECKED: 51
SHEET: 4 of 6
C-2786
ARCHAEOLOGICAL EXHIBIT
POTOMAC YARD CENTER
CITY OF ALEXANDRIA, VIRGINIA
NOTE:
THE TOPOGRAPHY IS TAKEN FROM ALEXANDRIA ARCHAEOLOGY DOT MAP
NO. 1975-031 & 212-032 (EXHIBIT "B") AND THE TOPOGRAPHY OF THE COUNTRY WITH THE DEFENCES IN FRONT
OF ALEXANDRIA, VA (EXHIBIT # 10).
SCALE:
1" = 100'
DATE:
JULY 8, 1980
DESIGN: FSA
CHECKED: G
WEST
6 of 6
C-4786
March 5, 1996
Mr. Robert M. Adams
International Archaeological Consultants
3778 Briggs Cove Road
Hayes, Virginia 23072
Subject: Archaeological Testing at Potomac Yard-Retail Center
Dear Bob,
We received your response to our letter of December 12, 1995, and appreciate that you made an effort to provide the information we requested for your report to be complete. Please incorporate this information, i.e. the answers to the questions we asked, into your final report. This includes the following:
1. Add a brief discussion to the text on the historic versus current ground surface sea level elevations and a discussion of the stratigraphic layers observed in the trenches you monitored.
2. Include all information that Sittler has on the location of Preston cemetery and any other structures or features on this property.
3. Add References Cited with all references: Sittler materials, Calvert article and all map references; include these documents as appendices to the report.
4. Note comments written on your response letter and site plan map and make changes as indicated.
5. Produce final site maps (add new trench location-see below) on 11 x 17 inch sheets to fold into the report.
In addition, a trench minimally 100 feet long needs to be dug on the Preston cemetery location and laid out in the manner originally indicated by this office, that is: running NE to SW, diagonally to the presumed east-west orientation of the graves. You must check this trench to see that it is laid-out as specified. When the natural soil surface is reached, the floor of the trench must be troweled to check for variations in soil color and texture that indicate the presence of grave shafts. This may require shoring or stepping back of trench walls. Visual examination of the surface scraped by a smooth-edged backhoe bucket is not an effective way to locate grave shafts in the soils of Alexandria. If one or more grave shafts are located, they are to be recorded and then hand dug down to the point where the coffin outline (top edge of coffin sides) or the coffin lid is located. Records should be made at this level and no more digging should be done--a court order is required for further
work. The location(s) should be carefully recorded, the trench backfilled and the grave location(s) marked by wooden survey stakes above the head and foot ends. The trench must be recorded with photographs and three column profiles (at ends and middle of trench) and additional records made if other features are found. Sea level elevations must be recorded and reported for the current ground surface and the buried ground surface in each column profile and at the locations of any features encountered. This trench should be dug before revisions of the report are completed, so that information concerning this trench is presented in the final report.
Please contact us if you need more information or clarification on completing this project. We want to make very sure that the development of this property, even if it does not involve deep foundations, does not disturb human burials.
Sincerely,
Pamela J. Cressey, Ph.D.
City Archaeologist
Steven J. Shephard, Ph.D.
Assistant City Archaeologist
6) Current and historic contours overlain with proposed development
Question #1
The location of each trench is shown on two of the maps prepared by Christopher Consultants, Ltd. (Sheets 1 & 4). The reference to test trench #4 that was excavated in two parts and drawn as a continuous trench is better defined on Sheet 1 of 6. The trench was excavated in two parts because a large pile of railroad ties made the continuous excavation of the trench impractical. The size of the railroad ties and their placement is drawn to scale.
The trench locations were agreed upon during discussions with Mr. David Sittler and Alexandria Archaeology in a meeting in which I was not in attendance. It is my understanding that a site map with the location and orientation of the trenches was attached to the Preliminary Archaeological Assessment 8/16/95 and any variation from this plan was the result of miscommunication with the surveyors who laid out the trenches.
The explanation for the two graveyard locations can be explained by the difference in two sources. The northeastern most graveyard location was taken from the Engineering Sciences 1989 report and the other from the Baist 1904 map (See Sheet #1). The decision on the location of the test trench was made in discussions with Mr. Dave Sittler and Alexandria Archaeology and the trench to be excavated in the location indicated by the Baist 1904 map.
I have been recently informed by Dave Sittler that new information from a title search has given the location of the Preston cemetery. I have spoken with Mr. Steve Thompson of Christopher Consultants, the person responsible for the map digitizing, and he confirms that this new information fixes the location of the cemetery exactly where the Engineering Sciences had located the cemetery.
Question #2
A clarification was requested for the current sea level elevations for each trench and Sheet 3 of the oversize maps shows
the current sea level elevations noted at each end of the four trenches that were excavated.
The sea level elevations have been indicated on each of the profiles from my original report and are based on an estimate of the elevations at the end points of each trench (See Figures 3,9,12 & 13). It is believed that these estimates are within a few inches and will be sufficient for any necessary comparisons.
The location of each profile that was taken is also indicated on the site map- Sheet 1. The location of each profile is identified by the distance from the end point of each trench and this location is used to label each of my profile drawings.
The relationship of the sea level elevations from the historic contour map compared to the current elevations has been assembled on Sheet 4. The current sea level elevations are noted at both ends of the four trenches in red and the historic 20 foot contour lines can be easily identified. I have noted in black at each of the four trench location the current undisturbed ground level that has been identified as an orange clay subsoil. This figure is arrived at by subtracting the depth of the angular gravel, cinder ballast and whatever fill has been identified from the current sea level elevation. (The figure is an average taken from the profiles from each trench and subtracted from the current elevation average for a given trench). Note: If a comparison between current and historic contours is needed - See Sheet 5).
This calculation to the top of the subsoil indicates the level at which the surface of the railyard was leveled at some time after 1933. The difference between this figure and the current elevation indicates the number of feet of soil that was removed in this area to produce the required, relatively flat railyard.
In the area of test trench #1 these calculations suggest that approximately 23 feet of soil has been removed. In the area of test trench #2, 13-15 feet has been removed. The calculation for the area of test trench #3 and #4 is approximately 15-23 feet although the actual topography of a 50 foot contour is far more difficult to estimate in this area (See Sheet 4).
The profiles that have been seen in the excavated trenches concurs with these calculations and shows a clearly defined subsoil, apparently at some depth from the original historic ground surface.
Question #3
In your question #3 you asked for an explanation for the purpose of digging test trench 2. Its purpose was to verify the location of the graveyard and to identify whether intact cultural features were extant.
The soil features that would indicate the presence of the graveyard would include the identification of an actual ground surface and any disturbance to that soil surface. These disturbances would include any mixing of soil as a result of the excavation. We know from the historical record that the 1922 excavation was undertaken with the use of a steam shovel and the use of shovels to exhume each of the caskets or burials. It was hoped that evidence of this soil disturbance would be discernible if it had not been removed from later topographic changes to the railyard.
If the actual ground surface were removed in the past, it was hoped that remains of burial shafts or disturbance of those features could be discerned. This would also include the remnants of the burial shafts, if portions of it remained undisturbed, and the possibility of soil alteration or discoloration from the decomposition of the bodies and the subsequent addition of organic material to the surrounding soil.
What was found in trench #2 was the clear identification of an orange/red clay subsoil ground surface located at 2.6 - 2.8 feet below the existing ground surface. This surface is assumed to be associated with the ground surface that was formed by the blading of the ground surface that removed the cemetery and formed the grade level for the railyard. This exposed level of red/orange clay subsoil is where the run of wood planking was located.
The relationship of this plank feature to that of the burial removals that occurred in 1922 is based on the historic and current topographic elevations. The best estimate of the change in elevation, in the area of test trench 2 is 13-15 feet. The historic accounts by H.C. Calvert indicate that the oldest graves from the Preston Plantation cemetery were excavated from a depth of 10-12 feet (page 251) with other graves of less age being located at a depth of eight feet or less. The discrepancy in the depths of burial and the extreme depth of the older graves suggests a general accretion of
sediment that may be the result of periodic flooding along the Potomac. It is clear that even with this accretion that the probability of discovering intact graves is remote.
It can be concluded that test trench #2 showed no sign of a graveyard and, if this were the former location of the cemetery, it is estimated that it had been removed in the leveling process to form the railyard.
**Question #4**
The plank walkway was not indicated in the column profile as the profile was taken off the western wall of the trench and the plank walkway was located on the eastern side. It should be noted that the planking was resting on the orange clay subsoil at a depth of 2.6 - 2.8 feet below the ground surface.
A plan view of the planking feature, that also shows the outline of the surveyed trench and the actual shape of the trench that was necessary to verify the plank walkway, is included in my original report as Figure 9 (Attached).
The question whether the railroad has records that would show this plank walkway and what its function may be has been briefly explored. The archival research that was undertaken as part of the research for the test trenches excavated at the GSA warehouse site at Potomac Yards yielded no maps, photographs or information that would shed light on associated buildings. It is believed that this plank walkway is simple solution to a muddy and slippery ground surface. Whether it was used as a walkway from one building to another or as a pathway to a rail switch is anyone's guess.
The age of the plank walkway is believed to be at least after 1933. In the 1933 article a complaint is made by the author as to the necessity of moving the cemetery (11 years earlier) as the area was yet to developed at the time of the writing. It is a logical assumption that the planks would have been laid after the time that the clay subsoil surface had been exposed and the railyard was in full operation. Therefore, the significance of this walkway that dates to post-1933 appears to have little historic value.
In your concluding remarks you have asked for the current sea level elevations for the two test trenches excavated at the GSA
PRESTON GRAVEYARD SITE
30° 30°
28.5 ft.
TRENCH #2
CURRENT GROUND SURFACE ELEVATION
ELEVATION OF GROUND SURFACE BELOW FILL (AVERAGE)
27.1 ft.
TURNING BASIN
TRENCH #1
APPENDIX C
Archaeological Preservation Certifications
3/26/96
Alexandria Archaeology
105 North Union Street
Alexandria, Virginia 22314
(703) 838-4399
ARCHAEOLOGICAL PRESERVATION CERTIFICATION
Project: R,F&P - Potomac Yards - Preston II
Date: 3/24/94
Address: Potomac Yards
Contact: Robert Adams
Phone Number(s): 809-612-3727
Address:
ATTACH MAP:
impact areas: red
resource areas: blue
archaeological excavation areas: green
1. Proposed Action(s):
Expected Date:
□ Demolition
□ Construction
□ Grading
□ Filling
□ Utility Trenches
☒ Other (specify) Archaeological Test Trenches (2) x 100'
2. Statement of Archaeological Significance:
□ Determined Significant
☒ Potentially Significant
□ No Significance
Discussion: possible Preston Plantation cemetery
3. Archaeological Impact:
□ Proposed action will alter or destroy significant resources.
□ Proposed action will not affect significant resources.
☒ Unknown until testing occurs.
Discussion:
Office of Historic Alexandria
City of Alexandria, Virginia
4. Proposed Archaeological Preservation Action:
- [X] Test and then conduct data recovery, if warranted
- [ ] Data Recovery (attach methods and design)
- [ ] Sampling (attach strategy)
- [ ] Recordation (attach methods)
- [ ] No preservation actions
Discussion:
5. Coordination and Scheduling of Archaeological Work in Relation to Proposed Action:
6. Dates of Fieldwork: From 3/28, 1996 to 2/25, 1996.
I certify to the best of my knowledge that the above information is accurate and that the proposed actions will not endanger archaeological resources which may be significant for our understanding of Alexandria's heritage.
Date: 3/26/96
Name: Robert M. Adams
Position and Company: President - International Archaeological Consultant
Address: 3778 Buggs Cave Rd.
Hayes, VA 23072
Telephone: (804) 642-3727
APPROVED BY CITY ARCHAEOLOGIST:
Date: 3/28/96
City Archaeologist: Pamela A. Kelley
THIS CERTIFICATION IS IN EFFECT
FROM 3/28, 1996, TO 5/4, 1996.
APPENDIX D
Supplemental Approvals for Archaeological Excavation-City of Alexandria
9/19/96
3/26/96
City of Alexandria
Supplemental Approvals for Archaeological Excavation
Project Name: POTOMAC KIDS - R.F. - Preston Plantation Date: 9/21/95
1. Who signs?: John Noelle, City Arborist, 1108 Jefferson Street, 703-838-4999.
Impact of ground disturbance on existing trees: The applicant has obtained my approval of excavation strategy and submitted an acceptable tree protection plan (copy attached), if necessary.
Signature: B. Brenstein for John Noelle Date: 9/21/95
2-5A. Who signs?: Geoff Byrd, Site Plan Coordinator, T&ES, City Hall, Room 4130.
Soil Erosion Control: An approved erosion control plan is on file with the Department of Transportation and Environmental Services.
Signature: Geoff Byrd Date: 9/21/95
Chesapeake Bay Preservation Act: A letter of exemption from the provisions of this act is attached.
Signature: Geoff Byrd Date: 9/21/95
Deep Trenching or Marine Clay: An approved plan for shoring or stepping back the trenches is attached.
Signature: Geoff Byrd Date: 9/21/95
Contaminated Soil: An approved plan for protecting ground water and natural soil is attached.
Signature: Geoff Byrd Date: 9/21/95
5B. Who signs? William Skrabak, Environmental Quality Division, Health Department, 517 N. St. Asaph Street, 703-838-4850.
Contaminated Soil: An approved plan for protecting workers' health and safety is attached, or is part of the approved erosion control plan.
Signature: William J. Skrabak Date: 9/21/95
6. Who signs? Pamela J. Cressey, City Archaeologist, 105 N. Union Street 703-838-4399.
Burials: Appropriate court orders and Virginia Department of Historic Resources permits are attached.
Signature: Pamela J. Cressey Date: 9/19/95
1. Who signs?: John-Noelle, City Arborist, 1108 Jefferson Street, 703-838-4999.
Impact of ground disturbance on existing trees: The applicant has obtained my approval of the excavation strategy and submitted an acceptable tree protection plan (copy attached), if necessary.
Signature: John Noelle
Date: 3/26/96
2-5A. Who signs?: Geoff Byrd, Site Plan Coordinator, T&ES, City Hall, Room 4130.
Soil Erosion Control: An approved erosion control plan is on file with the Department of Transportation and Environmental Services.
Signature: Geoff Byrd
Date: 3/26/96
Chesapeake Bay Preservation Act: A letter of exemption from the provisions of this act is attached.
Signature: Geoff Byrd
Date: 3/26/96
Deep Trenching or Marine Clay: An approved plan for shoring or stepping back the trenches is attached.
Signature: Geoff Byrd
Date: 3/26/96
Contaminated Soil: An approved plan for protecting ground water and natural soil is attached.
Signature: Geoff Byrd
Date: 3/26/96
5B. Who signs? William Skrabak, Environmental Quality Division, Health Department, 517 N. St. Asaph Street, 703-838-4850.
Contaminated Soil: An approved plan for protecting workers' health and safety is attached, or is part of the approved erosion control plan.
Signature: William Skrabak
Date: 3-27-96
6. Who signs? Pamela J. Cressey, City Archaeologist, 105 N. Union Street 703-838-4399.
Burials: Appropriate court orders and Virginia Department of Historic Resources permits are attached.
Signature: Pamela J. Cressey
Date: 3/28/96
1. Will you be excavating within 30 feet of a tree that is 6 or more inches in diameter at breast height?
☑ NO - Go to Question 2.
☐ YES - All trees that are 6 or more inches in diameter at breast height must be accurately located and identified on the testing strategy map, including species and size information [trunk diameter and DBH]. Also, include a statement of how trees will be protected (Tree Protection Plan) in the archaeological Scope of Work. Submit a copy of the testing strategy map and Tree Protection Plan to the City Arborist for his review, and obtain his signature.
2. Will the archaeological activities governed by your Site Plan disturb 2500 or more square feet of soil?
Total Length 200 feet x Total Width 6 feet = 1200 square feet of Test Units Machine Trenches
Depth of Excavation ~4 feet.
☑ NO - Go to Question 3.
☐ YES - You must provide the City of Alexandria Department of Transportation and Environmental Services (T&ES) with an erosion control plan. Indicate the ground disturbance locations, the depth of disturbance, and the placement of erosion control devices (e.g. siltation fences). This plan must be approved by the Site Plan Coordinator.
3. Will you be digging in a Resource Protection Area designated by the Chesapeake Bay Preservation Act? Chesapeake Bay Preservation Act Regulations, with maps, are available at Alexandria Archaeology, and in City Hall, Room 4130.
☑ NO - Go to Question 4.
☐ YES - If you will be digging any amount of soil in a RPA, you come under provisions of the Chesapeake Bay Preservation Act. However, archaeology may be exempted from the provisions of this act. To receive an exemption, write a letter of request to Thomas F. O’Kane, Director of T&ES, Box 178, City Hall, Alexandria, VA 22313.
4. Will you be digging trenches deeper than 5 feet, or into Marine Clay?
☑ NO - Go to Question 6.
☐ YES - OSHA regulations require all trenches deeper than 5 feet to be shored, or stepped back. Trenches in Marine Clay must also be shored or stepped back. Present a summary of which method(s) you will use in the excavation to the Site Plan Coordinator, or his representative, for his approval.
5. Do the historic land uses on your property indicate that contaminated soils may be present? If your historical data is inconclusive, consult the map of suspected contamination sites and the 1945 aerial photograph series in Room 4130 of City Hall.
☑ NO - Go to Question 5.
___ YES - If contaminated soils are found, appropriate steps must be taken to preserve the health of the excavators, and to protect the ground water. Do not backfill contaminated soil into non-contaminated soil strata.
A. Ground water protection measures should be included in the Soil Erosion Plan. If you do not need to file a Soil Erosion Plan, present a statement of how you plan to contain the toxic excavated material to the Site Plan Coordinator, for his approval.
B. Excavators must have the proper training and equipment to protect them from harmful pollutants present on some industrial and landfill sites. Present a written summary of your planned Health and Safety measures to the Environmental Quality Manager (Health Department) or his representative, for his approval.
6. Are there known or suspected burials on your site? Do you plan to excavate the burials?
☑ NO
___ YES - A court order must be obtained to exhume human remains. You must also obtain a permit from the Virginia Department of Historic Resources, in accordance with VR 390-01-02. Copies of VR 390-01-02 are available at Alexandria Archaeology. The Virginia Department of Historic Resources is a legally interested party in any request for a court order to remove an historic cemetery.
REMINDERS
Don’t forget to call Miss Utility (703-559-0100) to clear your excavations.
Proper protection (e.g. hard hats, gloves, etc.) should be worn by all field personnel working with heavy machinery and/or contaminated soil.
I certify to the best of my knowledge that the above information is accurate.
Date: 3/26/96
Name: Robert W. Clark
Position and Company: President - International Archaeological Consultants
Address & Telephone Number: 3778 Buggs Cove Rd., Hayes, VA (804) 642-3727
Site-Specific Health and Safety Plan
Prepared for:
Richmond, Fredericksburg, and Potomac Railroad Company (RF&P)
600 E. Main Street Center
Richmond, Virginia 23219
Site:
Potomac Yard Retail Center
Alexandria, Virginia
Prepared by:
EARTH TECH Remediation Services
2229 Tomlynn Street
Richmond, Virginia 23230
February 29, 1996
ETRS Job No. 1725-001-03-05
# TABLE OF CONTENTS
1.0 INTRODUCTION ................................................................. 1
1.1 Site History ............................................................... 3
1.2 Scope of Work ............................................................. 3
2.0 CONTROL OF EXPOSURE TO ARSENIC AND DUST .................. 4
2.1 Air Monitoring Program .............................................. 4
2.2 Arsenic Awareness Training ......................................... 5
2.3 Protective Work Clothing and Equipment .......................... 5
3.0 OTHER CHEMICAL EXPOSURES .......................................... 6
3.1 Hazard Communication Program .................................... 6
4.0 PHYSICAL HAZARDS ....................................................... 7
5.0 ENVIRONMENTAL HAZARDS .............................................. 8
5.1 Heat Stress ............................................................... 8
5.1.1 Field Operating Procedure ................................... 8
5.1.2 Cold Stress ......................................................... 10
6.0 GENERAL HEALTH AND SAFETY ISSUES ............................... 11
7.0 WORK AREA SECURITY AND CONTROL ................................ 12
8.0 GENERAL EMERGENCY RESPONSE PROCEDURES ....................... 13
8.1 Emergency Equipment ............................................... 13
8.2 Communication ....................................................... 15
8.3 Emergency Evacuation .............................................. 15
8.4 First Aid ................................................................. 15
8.5 Emergency Actions .................................................... 15
9.0 GENERAL SAFETY ......................................................... 17
9.1 Safety Officer ......................................................... 17
9.2 Daily Site Safety Meeting ......................................... 17
9.3 Potentially Hazardous Materials .................................. 17
9.4 Drugs/Alcoholic Substances ....................................... 17
9.5 Site Personnel Signature .......................................... 17
## Figures
| Figure | Description | Page |
|--------|------------------------------------|------|
| 1 | Site Location Map | 2 |
| 2 | Hospital Location Map | 14 |
Appendices
Appendix A Contingency Plan
Appendix B Material Safety Data Sheet: Arsenic
Appendix C Railroad Safety Rules and Procedures
Appendix D HASP Sign-off Sheet
1.0 INTRODUCTION
This document is the site-specific Health and Safety Plan (HASP) for the proposed construction activities of the Potomac Yard Retail Center (PYRC). See Figure 1 for the Site Location Map. This HASP covers activities to be conducted by all contractors to prepare the site for development.
Data presented in Appendix B of the Environmental Addendum to Potomac Yard Retail Center Site Plan show the presence of arsenic in soil and cinder ballast within the construction area, creating the potential for exposure of construction workers to arsenic through the inhalation of dust\(^1\). The potential for exposure will be highest during earth-moving and trenching activities, when dust potentially containing arsenic could become airborne. This plan contains health and safety information and work procedures/practices which focus on preventing exposure to arsenic through inhalation of dust above concentration standards set by the Occupational Safety and Health Administration (OSHA). Dust suppression measures designed to minimize potential exposure of construction workers will also address potential exposure of persons outside the construction area, including residents and business employees in adjacent neighborhoods. The plan lays out general steps required to comply with applicable OSHA standards, including an air monitoring program.
The plan covers the following items:
- Arsenic and Dust Hazards (Section 2.0)
- Air Monitoring Program
- Arsenic Awareness Training
- Protective Work Clothing and Equipment
- Other Chemical Exposures (Section 3.0)
- Physical Hazards (Section 4.0)
- Environmental Hazards (Section 5.0)
- General Health and Safety Issues (Section 6.0)
- Work Area Security and Control (Section 7.0)
- General Emergency Response Procedures (Section 8.0)
- General Safety (Section 9.0)
- Other Potentially Applicable Requirements (Section 10.0)
\(^1\) See Appendix B of the Environmental Addendum to Potomac Yard Retail Center Site Plan.
SOURCE:
U.S.G.S. 7.5 MINUTE TOPOGRAPHIC QUADRANGLE
ALEXANDRIA, VA-DC-MD, 1965
PHOTOREVISED 1983
CONTOUR INTERVAL = 10 FEET
PROJECT:
POTOMAC YARD
ALEXANDRIA, VIRGINIA
PROJECT MANAGER: C.K.M
PROJECT NO.: 1725-001-03-03
DRAWN BY: C.B.W.
REVIEWER: J.P.
DATE: 1/04/96
SCALE: AS SHOWN
FIGURE NO.: 1
EARTHTECH
REMEDIATION SERVICES
FORMERLY ENVIRONMENTAL TECHNOLOGY OF NORTH AMERICA
FIGURE TITLE:
SITE LOCATION MAP
CADD FILE: \DWG\BLOCKS\TOPO.DWG
QUADRANGLE LOCATION
NORTH
VIRGINIA
WASHINGTON NATIONAL AIRPORT
SITE BOUNDARY
POTOMAC YARD RETAIL CENTER
WASHINGTOWN
DAINGERFIELD ISLAND
US NAVY RESEARCH LABORATORY
LISTON
SHEEPHERDS LANDING
SHELBURY RD
VER
GRAPHIC SCALE
2000 0 2000 4000
1" = 2000'
Other information presented in this HASP includes:
- maps showing the site, surrounding area, and route to the nearest hospital;
- telephone numbers for emergency and management contacts;
- equipment usage safety plans; and
- hospital contacts.
A contingency plan is included as Appendix A, and the material safety data sheet for arsenic is attached to this plan in Appendix B.
1.1 Site History
Between July 1992 and November 1994, RF&P conducted an environmental investigation at Potomac Yard. Results of soil and ground water samples collected as part of that study are presented in Volume IV of the *Extent of Contamination Study* for Potomac Yard, and are discussed in Section 3.0 of the *Environmental Addendum to Potomac Yard Retail Center Site Plan*. Additional information on site history and investigative activities are included in the following documents available through RF&P:
- *Work Plan for Extent of Contamination Study, Potomac Yard* (December 23, 1993)
- *Addendum to Work Plan for Extent of Contamination Study, Potomac Yard* (May 19, 1994)
- *Extent of Contamination Study* (July 21, 1995)
- *Potomac Yard Environmental Activities: Supplemental Information* (July 31, 1995).
1.2 Scope of Work
The work to be performed at the PYRC will include preparation of 69 acres of land for development as a generic "big box" retail center covering a total of approximately 641,884 square feet (slab on grade). The general scope will include excavation of soils, use of soils as backfill (as needed), site grading, trenching for underground utilities, erosion control, and other activities associated with site development.
2.0 CONTROL OF EXPOSURE TO ARSENIC AND DUST
Because the construction project will involve grading and trenching in an area where arsenic has been detected in the cinder ballast, measures will be taken to comply with applicable OSHA standards for work in areas where exposure to arsenic through the inhalation of dust may occur. In addition, measures will be taken to ensure exposure to airborne dust is below OSHA limits of 10 micrograms/cubic meter of air ($\mu g/m^3$) as the 8-hour, time-weighted average (TWA) permissible exposure limit (PEL), and 5.0 $\mu g/m^3$ as the "action level."
During excavation of material within the construction area, engineering controls (such as wetting soil) and proper work practices (staying upwind of field activities, limiting time spent in work areas) will be implemented and maintained to minimize potential exposure to airborne arsenic. During operations a water truck with sprayer will be used to control airborne particulates. Piles containing arsenic-bearing material will be maintained to further control airborne particulate dispersion.
To document the effectiveness of these controls, RF&P will implement an air sampling program. If air monitoring results indicate personal airborne levels approaching the action level, more stringent dust suppression measures will be implemented to minimize dust generation from construction activities.
Toxicological information on inorganic arsenic is included in Appendix B.
2.1 Air Monitoring Program
An air monitoring program will be established to comply with OSHA Inorganic Arsenic Regulation (29 CFR 1926.1118). The goals of the air monitoring program are to provide data on potential short-term employee exposure while working on site, and to ensure that the engineering controls implemented to prevent exposures are appropriate. Personal monitoring will be conducted in accordance with applicable OSHA standards governing construction work. The site supervisor and contractor's health and safety officer will immediately inform employees of any results indicating possible overexposure or the need to upgrade engineering controls when conditions require such notice.
To comply with OSHA exposure monitoring requirements (see 29 CFR 1926.1118), personal air sampling will be conducted on representative personnel to accurately determine the airborne concentration of inorganic arsenic. Each job classification and/or work activity at the RF&P site will be initially assessed to ensure employee exposures are below the OSHA action level for arsenic of 5.0 $\mu g/m^3$. If initial monitoring reveals levels of employee exposure to be below the action level, the engineering controls will be maintained and no further air monitoring will be conducted. If initial monitoring shows levels above the action level, additional measures may be needed to comply with applicable OSHA requirements. RF&P's designated Site Safety Officer will review the data, engineering controls, and work practices to determine what additional measures may be required.
Personal air monitoring will be conducted with air pumps at a flow rate of 1.7 to 2.0 liters per minute (lpm), utilizing 0.8 micron mixed cellulose ester filters (MCE). The analytical laboratory will use National Institute of Occupational Safety and Health (NIOSH) Method 7300M, which employs a graphite furnace atomic absorption analytical technique. The laboratory performing arsenic analysis will be accredited by the American Industrial Hygiene Association (AIHA) and be currently participating in the metals section of the Proficiency and Analytical (PAT) program.
All air-sampling pumps/equipment shall be calibrated using equipment traceable to the NIOSH. Calibration procedures shall be governed by United States Environmental Protection Agency (EPA) guidelines and manufacturer's specifications. All samples will be documented in a field logbook with appropriate labels and chain-of-custody forms.
2.2 Arsenic Awareness Training
According to OSHA regulations (1920.10), awareness training must be given to personnel working in areas in which they may potentially be exposed to chemical levels above OSHA regulatory standards. Prior to construction activities, all personnel will have completed an arsenic awareness training session on information concerning arsenic hazards in the construction industry.
2.3 Protective Work Clothing and Equipment
In order to avoid skin and eye contact with arsenic in soil, the construction contractor will provide protective clothing and eyewear during initial phases of all distinct site operations/job activities until air monitoring results are reviewed by RF&P's designated Site Safety Officer. Protective clothing may include coveralls, gloves, shoe covers and face shields or goggles. If the air monitoring results indicate that workers are not being exposed to harmful levels of arsenic, protective clothing will no longer be required.
3.0 OTHER CHEMICAL EXPOSURES
As stated in Section 4.0 of the *Environmental Addendum to Potomac Yard Retail Center Site Plan*, development activities at Potomac Yard will not pose elevated risks to human health. During the course of construction, however, unforeseen circumstances may arise which could result in exposure to chemicals. In order to minimize exposures in the event of such circumstances, procedures established in the contingency plan (attached as Appendix A) will be followed.
The Site Safety Officer will determine the need to employ additional measures to ensure worker health and safety and compliance with applicable regulations. Measures may include air monitoring to comply with OSHA standards, engineering controls, work policies and practices, and protective clothing and/or equipment.
3.1 Hazard Communication Program
Any chemicals brought onto the PYRC site will require compliance with the OSHA Hazard Communication Program 29 CFR 1910.1200 to include:
- Material Safety Data Sheets (MSDSs);
- Proper labeling/placard information;
- Training of personnel;
- Subcontractor requirements; and
- Confidentiality.
4.0 PHYSICAL HAZARDS
To minimize physical hazards, personnel will follow standard safety protocols at all times. Failure to follow safety protocols will result in expulsion of a crew member from the site.
Physical hazards on the site include:
- active rail operations;
- site access/egress (rail crossings);
- slips, trips, and falls;
- site debris;
- heavy equipment operations (cranes, backhoe, trackhoe, bulldozers, pans, and large earthmoving equipment);
- excavations;
- utility lines;
- trenching; and
- elevated noise levels.
Site personnel will be made aware that rail operations are present on the property and that they must use caution when crossing any rail line. No work will be performed within 25 feet of an active rail line without coordinating with RF&P regarding need for a flagman. Additional safety rules for working near active railroads are found in Appendix C.
Personnel are also to be aware of activities in their immediate area of work and should use caution at all times around heavy equipment operations. Personnel should be aware of the equipment operator's limited field of vision and always yield the right of way to any equipment operator. The construction contractor will provide information on company policies and requirements pertaining to excavation, heavy equipment operation, and general site hazards.
The site foreman will observe the general work practices of each crew member and equipment operator, and enforce safe procedures to minimize physical hazards. Also, hard hats, safety glasses, and steel toe safety boots (with oil resistant soles and a distinct separation between the heel and sole) are required as a minimum once personnel arrive at the site.
5.0 ENVIRONMENTAL HAZARDS
Inclement weather, heat/cold stress, insects, pests, and unauthorized persons may present environmental hazards at the site. Personnel should take precautions to wear appropriate work clothing to protect themselves from inclement weather, and insects such as mosquitoes, spiders, and ticks. Stray animals should not be approached or antagonized in any way, and animal control officials should be called if this presents any problems. Trespassers will not be allowed on site property. If trespassers do present a problem, the police should be made aware to ensure site personnel safety.
5.1 Heat Stress
The combination or warm ambient temperatures, work activities, and protective clothing increases the potential for heat stress, in particular:
- heat rash,
- heat cramps,
- heat exhaustion, and
- heat stroke.
These hazards will be discussed during safety meetings before each work day when relevant. Personnel must increase consumption of water and electrolyte-containing beverages such as Gatorade® during warm weather conditions.
At a minimum, workers will break approximately every two hours for 10-to-15-minute rest periods. In addition, workers will be encouraged to take rests whenever they feel any adverse effects that may be heat-related. The frequency of breaks may need to be increased based on worker recommendation to the site foreman.
5.1.1 Field Operating Procedure
Heat stress may occur at any time when work is being performed at elevated temperatures. Wearing protective clothing, which may decrease natural body heat loss, increases the risk of heat stress.
If the body’s physiological process fails to maintain a normal body temperature because of excessive heat, a number of physical reactions can occur, with symptoms ranging from mild (such as fatigue, irritability, anxiety, and decreased concentration, dexterity, or movement) to fatal. Because heat stress is one of the most common and potentially serious illnesses at construction sites where protective clothing is required, regular monitoring and other preventative measures are imperative.
Site workers must learn to recognize and treat the various forms of heat stress. The best approach is prevention. In general:
- Have workers drink 16 ounces of water before beginning work, such as in the morning or after lunch. Provide disposable 4-ounce cups, and water that is maintained at 50° to 60° F. Urge workers to drink one to two cups of water every 20 minutes for a total of 1-2 gallons per day. Provide cool areas for rest breaks. Discourage the intake of coffee during working hours. Monitor workers for signs of heat stress.
• Acclimate workers to site work conditions by slowly increasing workloads; do not begin site work activities with extremely demanding activities.
• Provide cooling devices to aid natural body heat regulation. These devices, however, add weight and their use should be balanced against worker efficiency. An example of a cooling aid is long cotton underwear, which acts as a wick to absorb moisture and protect the skin from direct contact with heat-absorbing protective clothing.
• In extremely hot weather, conduct field activities in the early morning and evening.
• Ensure that adequate shelter is available to protect personnel against weather conditions which can decrease physical efficiency and increase the probability of heat or cold stress. If possible, set up the command post in the shade.
• In hot weather, rotate shifts of workers wearing impervious clothing.
• Good hygienic standards must be maintained by frequent changes of clothing and showering. Clothing should be permitted to dry during rest periods. Persons who notice skin problems should immediately consult medical personnel.
The following is a discussion of specific results of heat stress.
1) **Heat Stroke**
Heat stroke is an acute and dangerous reaction to heat stress caused by a failure of the body’s heat-regulating mechanisms (the individual’s temperature control system that causes sweating stops working correctly). Body temperature rises so high that brain damage and death will result if the person is not cooled quickly.
• **Symptoms** - Red, hot, dry skin, although a person may have been sweating earlier; nausea; dizziness; confusion; extremely high body temperature; rapid respiratory and pulse rate; and unconsciousness or coma.
• **Treatment** - Cool the victim quickly. If the body temperature is not brought down fast, permanent brain damage or death will result. Soak the victim in cool, but not cold water; sponge the body with cool water or pour water on the body to reduce the temperature to a safe level (102°F). Obtain medical help immediately. Do not give coffee, tea, or alcoholic beverages.
2) **Heat Exhaustion**
Heat exhaustion is a state of very definite weakness or exhaustion caused by the loss of fluids from the body. The condition is much less dangerous than heat stroke, but it must be treated.
• **Symptoms** - Pale, clammy moist skin; profuse perspiration and extreme weakness. Body temperature is normal, pulse is weak and rapid, and breathing shallow. The person may have a headache, may vomit, and may be dizzy.
• **Treatment** - Remove the person to a cool, air-conditioned place, loosen clothing, place in a head-low position, and provide bed rest. Consult a physician, especially in severe cases. The normal thirst mechanism is not sensitive enough to ensure body fluid replacement. Have the patient drink one to two cups of water immediately, and every 20 minutes thereafter until symptoms subside. Total water consumption should be 1-2 gallons per day.
3) **Heat Cramps**
Heat cramps are caused by perspiration that is not balanced by adequate fluid intake, and are often the first sign of a condition that can lead to heat stroke.
• **Symptoms** - Acute painful spasms of voluntary muscles, e.g., abdomen and extremities.
• **Treatment** - Remove victim to a cool area and loosen clothing. Have the patient drink one to two cups of water immediately, and every 20 minutes thereafter until symptoms subside. Total water consumption should be 1-2 gallons per day. Electrolyte supplements such as Gatorade, Quench, etc., can enhance recovery. Consult a physician.
4) **Heat Rash**
Heat rash is caused by continuous exposure to heat and humid air, and by chafing clothing. The condition decreases the ability to tolerate heat.
• **Symptoms** - Mild red rash, especially in areas of the body that come into contact with protective gear.
• **Treatment** - Decrease amount of time in protective gear and provide powder to help absorb moisture and decrease chafing.
5.1.2 **Cold Stress**
With outdoor work in the winter months, there is potential for hypothermia and frostbite. Protective clothing greatly reduces the possibility of hypothermia in workers. However, personnel will be instructed to wear warm clothing and to stop work to obtain more clothing if they become too cold. Workers must also change into dry clothes if their clothing becomes extremely wet from perspiration or from exposure to moisture.
In cold weather, the potential for frostbite exists, especially in exposed body extremities. Personnel must pay particular attention to hands, feet, and any exposed skin when dressing. Personnel will be advised to obtain more clothing if they begin to experience loss of sensation and/or feeling due to cold exposure.
Workers will be encouraged to use the heated shelter in the transition area or trailers on site at regular intervals depending upon the severity of ambient temperatures. Symptoms of cold stress, including heavy shivering, excessive fatigue, drowsiness, irritability, and euphoria, necessitate immediate return to the shelter.
6.0 GENERAL HEALTH AND SAFETY ISSUES
The following is a list of general health and safety issues personnel should be aware of at the PYRC site:
- Exposure to sharp objects such as broken glass, metal, and wood. To protect against these hazards, proper hand protection such as leather or other cut-resistant gloves will be used.
- Exposure to sharp objects and electrical hazards from hand-powered tools, such as hand saws, drills, etc. Improper grounding and poor maintenance of electrical wires can result in electric shock. Lack of proper guarding can result in serious lacerations. Generation of sharp projectiles can cause severe damage to the unprotected eye.
- Eating, drinking, chewing gum or tobacco, smoking, or any practice that increases the probability of hand-to-mouth transfer and ingestion of soils is prohibited in the work area.
- Hands and face must be washed upon leaving the work zone and before eating, drinking, chewing gum or tobacco, smoking, or other activities which may result in ingestion of soils.
- No personnel will be admitted to the site without proper safety equipment and training.
- All personnel must be familiar with established safety procedures. Any staff member who does not comply with safety policy, as established by this HASP, will be immediately dismissed from the site.
- All tools must be inspected prior to use. Defective hand and power tools will be tagged and taken out of service. Eye protection (safety glasses and/or face shield) is required while performing these tasks.
- Stepladders, if used, will not exceed 20 feet in length. Broken or damaged ladders must be tagged and taken out of service. Metal ladders are prohibited during electrical work.
- Walkways and working surfaces will be kept clear of equipment and obstructions.
- Proper protective clothing (especially eye protection) will be provided and used when lacerations or other injury may be caused by sharp-edged objects.
- Hard hats, safety glasses with side shields, and safety boots will be worn as required.
- Employees will observe proper lifting techniques and obey sensible lifting limits.
- Open fires and other sources of ignition must be kept out of the working area. Smoking is prohibited in the work area. Proper fire extinguishers (ABC-type) are available.
- Hearing protection will be worn by workers exposed to excessive noise levels (greater than 85 dBA for an 8-hour period).
7.0 WORK AREA SECURITY AND CONTROL
Whenever work is being conducted which may result in skin contact with soil, workers will be required to remove protective clothing prior to leaving the work area. Dirt will be removed from equipment before the equipment is moved from the area. The Site Safety Officer will designate specific areas or zones outside of the construction area where employees will change clothes and equipment will be cleaned, and will specify equipment cleaning procedures.
Before any eating, smoking, or drinking, personnel will wash hands, arms, neck, and face. The Site Safety Officer may require showering if it is necessary based on work activity, elevated exposure to airborne levels of particulates, documentation of particulates on protective clothing, etc.
8.0 GENERAL EMERGENCY RESPONSE PROCEDURES
A map identifying the route to the hospital from the site is included in this plan as Figure 2. Alexandria Hospital, 4320 Seminary Road, has complete chemical trauma capabilities.
- From I-95, take 395 North to Seminary Road East. At fourth light, turn right on North Howard. Hospital is located on the corner.
- From Route 1, travel to Duke Street (west), go to Quaker Lane (north) to Seminary Road (west).
At the job site, the following local phone numbers will be provided:
- Fire Department - 911; 549-5100
- Hospital - 379-3066 (emergency); 379-3000 (non-emergency); Alexandria Hospital, 4320 Seminary Road (map included - Figure 2)
- Police Department - 911; 838-4444
- Ambulance Service - 911; Diamond Transportation Services, 548-6500
- Virginia Poison Center - 786-9123
- Site Supervisor: Scott Slagley, Manager - Environmental Programs, RF&P Railroad Company, (804) 225-1608
- Construction Contact: Herb Lawhorn, Vice President, Charles E. Smith Construction, Inc., (703) 769-1076.
- Construction Contact: John Mannix, Charles E. Smith Construction, Inc., (703) 769-1091
- Development Contact: Dave Sitler, Charles E. Smith Construction, Inc., (703) 769-1082
If a fire, medical, or security emergency occurs, provide first aid, if applicable, and then call for help providing the following information:
- your name,
- phone number from which you are calling,
- location of incident,
- nature of incident, and
- request for instruction on course of action.
8.1 Emergency Equipment
In addition to the protective clothing and equipment used by or available to site personnel, emergency equipment on site will include an eye wash, first-aid kit, fire extinguisher, and any additional site-specific equipment as dictated by site conditions and operations.
PROJECT:
POTOMAC YARD
ALEXANDRIA, VIRGINIA
EARTHTECH
REMEDIATION SERVICES
FORMERLY ENVIRONMENTAL TECHNOLOGY OF NORTH AMERICA
FIGURE TITLE:
HOSPITAL LOCATION MAP
PROJECT MANAGER: C.K.M.
PROJECT NO.: 1725-001-03-03
DRAWN BY: C.B.W.
REVIEWED BY: J.P.
DATE: 1/04/96
SCALE: APPROXIMATE
FIGURE NO.: 2
GRAPHIC SCALE
2000 0 2000 4000
1" = 2000'
CAD FILE: H:\DWG\BLOCKS\BORDERS\ET1185
8.2 Communication
Prior to site activities, the Site Safety Officer may require development and use of a standard set of hand/vocal/visual signals for ease of communication. Examples of standard hand signals are:
- Hand gripping throat - Out of air, cannot get breath;
- Hands on top of head - Need assistance;
- Thumbs up - OK, I'm alright, I understand;
- Thumbs down - No, negative; and
- Gripping partner's wrist, or gripping both hands on wrist - leave area immediately.
8.3 Emergency Evacuation
Any personnel requiring emergency medical attention will be evacuated immediately from the work zone. Personnel will not enter the area to attempt rescue if their own lives would be threatened. The Site Safety Officer will determine necessary procedures to follow for safe evacuation based on the type and severity of the injury and the nature of the chemical exposure.
8.4 First Aid
Qualified personnel only will give first aid and stabilize an individual needing assistance. Professional medical assistance will be obtained at the earliest possible opportunity through Alexandria Hospital. A qualified person is one who has current CPR and First Aid certification.
To provide first-line assistance to field personnel in the case of illness or injury, locate the following items and proceed with notifications:
- first aid kits,
- portable emergency eye wash, and
- supply of clean water.
8.5 Emergency Actions
If actual or suspected serious injury occurs, these steps will be followed:
- Other personnel in the work area will be evacuated to a safe distance until the site supervisor determines that it is safe for work to resume. If there is any doubt regarding the condition of the area, work will not commence until all health and safety issues are resolved.
- Remove the exposed or injured person(s) from immediate danger.
- Make notifications or have a co-worker ensure that the foreman or supervisor is aware of the incident.
• Administer first aid if necessary. Decontaminate affected personnel after critical first aid is given.
• Obtain paramedic services or ambulance transport to local hospital. This procedure will be followed even if there is no visible injury.
9.0 GENERAL SAFETY
9.1 Safety Officer
A designated RF&P employee or contractor representative will serve as Site Safety Officer and will assure that all applicable health and safety requirements are met.
9.2 Daily Site Safety Meeting
A site safety meeting will be conducted daily to highlight key issues of concern (e.g., work practices, hazards encountered, proper use of equipment, emergency procedures, environmental stresses, etc.). A sign-in/out book will be used to document attendance. A log will be maintained to document safety activities.
9.3 Potentially Hazardous Materials
The contractor will list potentially hazardous materials on site, their adverse health effects, their locations, and the correct handling and storage requirements. Material Safety Data Sheets (MSDSs) containing this information will be located on site.
Contact with surfaces suspected of being contaminated will be avoided. Personnel will not walk through puddles or discolored surfaces; kneel on the ground; or lean, sit, or place equipment on any potentially contaminated surface or the ground. Whenever possible, sites will be approached and all work conducted from the upwind direction.
9.4 Drugs/Alcoholic Substances
Medicine and alcohol can potentiate or exaggerate the effects from exposure to toxic chemicals. Personnel who must take prescribed drugs will inform a qualified physician of the type of work to be performed and the potential for exposure to specific hazardous materials, and follow the advice of the physician. Alcoholic beverage intake will be avoided. For additional information, personnel are to refer to their corporate standard operating procedures concerning drugs and alcoholic substances.
9.5 Site Personnel Signature
All contractors, Potomac Yard, and visiting personnel will read this HASP in its entirety and sign off to acknowledge their understanding of the contents prior to entry into the work zone. The sign-off sheet is attached as Appendix D.
Appendix A
Contingency Plan
Contingency Plan
Potomac Yard Retail Center
Potomac Yard
January 10, 1996
Purpose
The purpose of this contingency plan is to provide information on procedures to follow in the event unforeseen conditions are encountered during the construction of the Potomac Yard Retail Center (PYRC). All personnel working on the property should be familiar with the current operations occurring on the property, the potential conditions requiring implementation of this contingency plan, and the procedures for notifying supervisory personnel and RF&P personnel should unusual conditions be encountered.
Site History
Potomac Yard was operated by RF&P Railroad Company from 1906 to 1990 as a receiving and classification switching yard. Although most rail operations have ceased, limited crew changes and rail car storage still occur on the property. The active railroad components are owned and operated by CSX Transportation, Inc. (CSXT), including the main line tracks located on the western portion of the property used by Amtrak and six yard tracks on the eastern portion of the property used for temporary storage of rail cars. In 1996, the main line tracks and the CSXT tracks are scheduled to be relocated to the east side of the property (near the WMATA Metro Yellow Line) to form the "Ultimate Rail Corridor."
RF&P has completed extensive environmental investigation of the Potomac Yard property which was documented in an Extent of Contamination Study (ECS). The purpose of the ECS was to quantify the chemical constituents found in soil, sediments, surface water, and ground water at Potomac Yard. The ECS included the collection and laboratory analysis of more than 1,000 samples between July 1992 and November 1994. The ECS report was reviewed by the U.S. Environmental Protection Agency (EPA) and approved on September 19, 1995.
The analytical data from the ECS (approximately 100,000 data points) were incorporated into a Risk Assessment (RA) to evaluate the potential risks associated with the chemical constituents found at Potomac Yard. EPA approved the RA on October 13, 1995. The RA is comprised of two portions: the Human Health Risk Assessment (HHRA) and the Ecological Risk Assessment (ERA). The HHRA demonstrated that the chemical constituents found in soil and ground water at Potomac Yard did not exceed EPA guidelines for remedial action. The ERA determined that chemical constituents leaving Potomac Yard via surface water and sediment may impact biological populations in Four Mile Run and the Potomac River. RF&P will conduct additional sediment sampling in these water bodies to evaluate whether any impact has occurred. In addition, RF&P will implement controls at surface water discharge points from Potomac Yard to minimize any chemical constituents leaving the property.
Potential Site Hazards
The most significant site hazard is underground utility lines. Underground utilities present on the western side of the site include a 69 Kilovolt (KV) duct bank running parallel to U.S. Route 1, CSXT signal cable running along the main line tracks near U.S. Route 1, and a 12-inch water line and a sanitary sewer line which run from U.S. Route 1 to the Central Operations Area. On the eastern side of the site (near the Metrorail tracks and the vicinity of the future "Ultimate Rail Corridor") are a fiber optic duct bank,
a 34.5 KV Virginia Power duct bank, and a plantation pipeline serving Washington National Airport. Before conducting any excavation on the property, the excavation activities must be coordinated with RF&P personnel (Frank Lasch) and MISS Utility (800) 257-7777.
Although unlikely, based on the extensive environmental investigation completed at Potomac Yard, development activities could result in the discovery of unknown environmental conditions. The following is a list of conditions, that if encountered, require immediate cessation of work and notification of supervisory personnel:
- Unusual odors (i.e., petroleum)
- Seeping discolored liquids
- Sheens or slicks on standing water
- Underground piping, lines, tanks, or drums
- Unidentifiable buried objects
Although this list is not exhaustive, it includes general situations that could be encountered during development of the property. In the event a listed situation or other unknown is encountered, site personnel should immediately stop work and contact their direct supervisor. Do not attempt to fully assess the situation without first contacting your supervisor. Worker safety is of the utmost importance. **Do not perform any action that could jeopardize your safety or the safety of other workers.**
**Notification Procedures**
In the event that an unknown situation is encountered during work at Potomac Yard, first contact your direct supervisor. Your supervisor will then assess the situation and contact one of the following representatives of RF&P. One of these representatives will be available at all times either at the site or will be able to travel to the site in a short period of time:
Mr. Frank Lasch
RF&P Railroad Company
66 Canal Center Plaza, 7th Floor
Alexandria, Virginia 22314
Office: (703) 838-5690
Home: (703) 670-5238
Mr. Ken Proffitt
RF&P Railroad Company
600 East Main Street
Suite 2300
Richmond, Virginia 23219
Office: (804) 225-1610
Home: (804) 270-6616
Mr. Scott Slagley
RF&P Railroad Company
600 East Main Street
Suite 2300
Richmond, Virginia 23219
Office: (804) 225-1608
Home: (804) 559-3611
If a situation is encountered that requires assistance from local emergency services personnel, they may be contacted as follows:
Alexandria Fire Department: 911; 549-5100
Alexandria Police Department: 911; 838-4444
Alexandria Hospital
4320 Seminary Road: 379-3066 (emergency); 379-3000 (non-emergency)
Summary
RF&P has conducted extensive environmental investigation and analysis of the Potomac Yard property. Based on the human health risk assessment reviewed and approved by EPA, the chemical constituents found in soil and ground water at Potomac Yard did not exceed EPA guidelines for remedial action. Although unlikely, unforeseen conditions could be encountered during development activities at Potomac Yard that require additional evaluation. The procedures set forth in this plan provide contacts for notification should unforeseen conditions be encountered. All personnel working on the property should be familiar with this contingency plan before conducting any work on the property.
Appendix B
Material Safety Data Sheet: Arsenic
MATERIAL SAFETY DATA SHEET
Arsenic
Substance Name: Arsenic
Synonyms: Arsenicals, arsenic-75, arsenic black, colloidal arsenic, grey arsenic, and metallic arsenic
CAS Number: 7440-38-2
Description: Arsenic is a silvery to black, brittle, crystalline, amorphous metalloid.
I. PHYSICAL/CHEMICAL CHARACTERISTICS
| Property | Value |
|---------------------------|------------------------------|
| Normal physical state | solid |
| Molecular weight | 74.92 |
| Density | 4.7 |
| Solubility (water) | insoluble |
| Solubility (other) | soluble in HNO₃ |
| Boiling point | 612°C (sublimes) |
| Melting point | (under pressure) 814°C |
| Vapor pressure | 10 torr @ 372°C (sublimes) |
II. HAZARDOUS CHARACTERISTICS
A. Toxicological Hazard
Concentrations
Inhalation
TLV-TWA - 0.2 mg/m³
OSHA PEL - 0.01 mg/m³
NIOSH REL Ceiling limit - 0.002 mg/m³
Carcinogen
Teratogen
Reproductive Effects
B. Fire Hazard
Toxic byproducts - As fumes
C. Reactivity
Reactive with powerful oxidizers, bromine azide, dirubidium, acetylide, halogens, palladium, zinc, platinum, NCl₃, AgNO₃, CrO₃, Na₂O₂, and hexafluoroisopropylideneamino lithium
D. Corrosivity Hazard
None
E. Radioactive Hazard
None
Although arsenic metal is not toxic, its compounds are carcinogenic via inhalation and ingestion. Arsenic in tobacco smoke may be responsible for lung cancer. Dermal cancer has been reported due to exposure to arsenic compounds in drugs, drinking water, and the occupational environment. In animals, it is a carcinogen and teratogen via ingestion.
MATERIAL SAFETY DATA SHEET
Arsenic Trioxide
Substance Name: Arsenic trioxide
Synonyms: Arsenic oxide, arsenic(III) oxide, arsenic sesquioxide, arsenious acid, arsenious oxide, arsenious trioxide, arsenous acid, arsenous acid anhydride, arsenous anhydride, arsenous oxide, arsenous oxide anhydride, crude arsenic, diarsenic trioxide, and white arsenic
CAS Number: 1327-53-3
Description: Arsenic trioxide exists as colorless, rhombic crystals.
I. PHYSICAL/CHEMICAL CHARACTERISTICS
| Property | Value |
|---------------------------|----------------|
| Normal physical state | solid |
| Molecular weight | 395.68 |
| Density | 4.15 g/mL |
| Solubility (water) | slightly soluble |
| Solubility (other) | soluble in alcohol |
| Boiling point | 460°C |
| Melting point | 278°C |
II. HAZARDOUS CHARACTERISTICS
A. Toxicological Hazard
Concentrations
Inhalation
TLV-TWA - suspected carcinogen
OSHA PEL - 0.01 mg/m³
NIOSH REL Ceiling limit - 0.002 mg/m³/15 minutes
Ingestion
LD₅₀ - 20 mg/kg - rat
LD₅₀ - 1.43 mg/kg - human
LD₄₅ - 45 mg/kg - mouse
LD₁₀ - 4 mg/kg - rabbit
LD₁₀ - 10 mg/kg - dog
Carcinogen
B. Fire Hazard
Toxic byproducts - As fumes
C. Reactivity
Reactive with Rb₂C₂, ClF₃, F₂, Hg, O₂, and NaClO₃
D. Corrosivity Hazard
None
E. Radioactive Hazard
None
Arsenic trioxide is a carcinogen via inhalation. Other symptoms include irritation of the skin, conjunctivae, and mucous membranes of the nose and perforation of the nasal septum. However, it is believed that concurrent exposure to other factors (sulfur dioxide, silica, antimony, and lead) are needed to promote respiratory cancer.
Appendix C
Railroad Safety Rules and Procedures
While conducting work on or near active railroad properties, all consultants, contractors, and visitors should comply with these requirements.
1. When working on or about tracks:
a) be alert for the movement of equipment at any time, in either direction, on any track;
b) do not cross within 25 feet of the end of standing equipment; and
c) do not conduct work within 25 feet of an active track.
2. Do not attempt to mount, dismount, or cross over moving locomotives or cars.
3. Do not cross over coupled, moving freight cars.
4. Do not step, sit, or stand on or in between any rail, switch, or part of the track structure unless proper protection is provided.
5. Do not take refuge under any equipment.
6. Do not go under any equipment unless proper protection is provided.
7. Mechanized Equipment - Procedures: Operator must:
a) Sound a warning and reduce speed when view is restricted.
b) Wear seat belts where provided.
c) Use equipment clear of tracks unless protected.
d) Park equipment clear of tracks.
Appendix D
HASP Sign-off Sheet
APPENDIX E
Resume/Author
Robert M. Adams
Archaeologist
EDUCATION
M.A., Texas A&M University 1985, Anthropology - Nautical Archaeology
B.A.S., University of Minnesota, Duluth 1978, Earth Sciences/General Sciences
Our World-Underwater Scholarship 1975, One year scholarship to study with numerous international marine science authorities
EXPERIENCE
Mr. Adams serves as president of International Archaeological Consultants and principal archaeologist with responsibilities encompassing the full spectrum of archaeological investigations on both land and underwater projects. For most of his 17 years as an archaeologist he has engaged in cultural resource management and has a command of the requirements for any such undertaking. He has participated on archaeological projects in numerous states and foreign countries and is recognized internationally for his work.
Mr. Adams has developed an extensive knowledge of prehistory and history in Eastern North America, Texas, and Gulf Coast areas as well as his extensive academic pursuits in nautical archaeology. The scope of his research and field experience spans from 3rd century B.C. shipwrecks in the Mediterranean to 20th century shipwrecks in the Gulf of Mexico. His experience in terrestrial archaeology include all phases of investigations of prehistoric and historic sites to the 20th century. Mr. Adams has a broad base of experience in nautical archaeology and is well versed with remote sensing electronics and their use in cultural surveys.
Mr. Adams has produced scientific papers on technological developments in ship construction and maneuvering, and is published both in the United States and abroad.
SELECTED PROJECT EXPERIENCE
Monitored trenches at Potomac Yards, Alexandria, Virginia to locate Preston Plantation and associated graveyard and former canal. For R. F. & P. Corporation and Charles E. Smith Companies.
Participated in excavation of U.S.S. Eastport, Civil War ironclad and E.F. Dix, sunk 1865 in Red River near Natchitoches, Louisiana, Corps of Engineer project with Coastal Environments and Pan American Consultants.
Directed Phase II investigation at Stonegate - Parcel C, 27 acres, Alexandria, Virginia.
Field director for survey to locate four galleons lost in 1605 on Seranilla Bank, Columbia S.A. with the Pacific Geographic Society.
Author of prehistoric context for Northeastern North Dakota, Stanley R. Mikelson Safeguard Complex. In conjunction with Pan American Associates and Teledyne Brown.
Phase I survey of 1.3 acres proposed "Planet Place", Alexandria, Virginia.
Directed Phase III mitigation of late 18th-mid 19th century house site (44AX162). For Mark Winkler Company, Alexandria, Virginia.
Directed Phase II evaluation of the Terrace 2B site (44AX163) a prehistoric site and the Terrace 1 Site (44AX162), an historic site, for the Mark Winkler Company, Alexandria, Virginia.
Co-Principal Investigator of the Phase II evaluation of the Crow Rock Bottom Site (36GR101) a prehistoric campsite in Greene County, Pennsylvania.
Co-Principal investigator of the Phase III mitigation of the Footbridge Rockshelter (36GR196) Greene County, Pennsylvania.
Directed Phase I survey of the Upper and Lower Ponds at the Winkler Botanical Preserve, Alexandria, Virginia.
Participated as a consultant on the recording of the shipwreck *Indiana*, sunk in Lake Superior in 1859 with Texas A & M University and the Smithsonian Institution.
Performed archaeological monitoring of excavations to bury utility lines across historic market square in Fredricksburg, Virginia, established c.a. 1733. (Harrison & Associates)
Performed archaeological investigation of the Central Rappahannock Regional Library, Fredricksburg, Virginia. Located in historic Fredricksburg, the property was first owned by Fielding Lewis in 1749.
Performed field testing and surveying with the Acoustic Subsurface Probe (ASP), a prototype imaging system developed by Applied Sonics Corporation. Work focused on imaging anomalies to assist in locating the *Gallega*, abandoned by Columbus in 1503 on his fourth voyage in Rio Belen, Panama.
Co-Directed the Phase I archaeological investigation of a 30 acre tract at Ferry Farm, the boyhood home of George Washington, in Stafford County, Virginia. The project was undertaken for Stafford County's Ferry Farm Project. One prehistoric site and a historic site were identified in this survey.
Co-Directed the archaeological examination of a utility corridor for Stafford County's Department of Utilities and the Ferry Farm Project along the east property line of Ferry Farm bordering State Highway 3's easement.
Field Director for the Phase I archaeological investigation at Haymount Farm, a 1,605 acre tract in Caroline County, Virginia. Seven prehistoric sites, sixteen historic sites, and five multi-component sites for a total of 28 sites have been identified to date.
Assisted the field supervision on a reconnaissance level archaeological survey on the Milbank estate in King George County, Virginia for the Society of the Descendants of Emigrant William Strother of King George, Virginia. The purpose of this investigation was to locate and preserve the remains of William Strother's first residence in the New World, dated 1669, and to facilitate this resource's nomination to the National Register of Historic Places.
Tested prehistoric and historic multi-component site near West Point, Virginia. Conducted Phase I survey for proposed SE Expressway in Chesapeake, Virginia. (College of William and Mary Archaeological Project Center)
Phase III archaeological mitigation of prehistoric site near Reading, Pennsylvania. Phase II archaeological investigations at the Simpsonville Stone Ruins, and the Heritage Heights site, Howard County, Maryland. (GAI Consultants, Inc.)
Performed Phase I survey of an 11 mile segment for the SE Expressway in the city of Virginia Beach and Chesapeake, Virginia. Phase I survey of proposed 10 mile water pipeline for the City of Norfolk, Virginia. (Mid-Atlantic Archaeological Research, Inc.)
Performed preliminary reconnaissance and subsequent survey for the *Gallega*, abandoned in 1503 by Columbus on his fourth voyage in Rio Belen, Panama. (Institute of Nautical Archaeology, Texas A & M University-Exploration & Discovery Team)
Conducted Phase II testing of five proposed bridge crossing sites in York and Gloucester Counties for the York River Bridge Crossing Project. (College of William and Mary Archaeological Project Center)
Surveyed and performed limited testing of sites on a 700 acre area near Williamsburg, Virginia for the Stonehouse Development Project. (Virginia Archaeological Services)
Mitigated the *C.B. Comstock*, a hopper dredge, which burned and sank in 1913 at Surfside, Texas. (Coastal Environments, Inc.)
Performed archaeological excavation of the "Molasses Reef Wreck," an early 16th century wreck in Turks and Caicos Islands, British West Indies. (Institute of Nautical Archaeology, Texas A & M University-Exploration & Discovery Team)
Excavated Virginia Manufactory of Arms site in Richmond, Virginia. This site was constructed between 1799-1802 and was responsible for the manufacture of small arms. The site was later used as a rolling mill, and destroyed in 1865 in the burning of Richmond. (Association for the Preservation of Virginia Antiquities)
Assisted the Yorktown Shipwreck Archaeological Project in excavation of an 18th century British merchant vessel (44YO88) associated with the conclusive battle of the American Revolutionary War where British forces surrendered to allied French and American forces on October 19, 1781. (Virginia Division of Historic Landmarks)
Employed in archaeological survey, testing and excavation of numerous prehistoric and historic sites in central and east Texas, and Louisiana over a two year period. (Espey, Huston, & Associates)
175 Water Street Project. Excavated a well preserved early 18th century merchant vessel used as cribbing to expand land use into the East River. The ship was located in Manhattan, two blocks inland from the East River. (Soil Systems, Inc.)
Pedro Bank Survey, Jamaica, British West Indies: survey for shipwrecks on the Pedro Bank at the request of the government with the primary concentration on the location of Spanish treasure galleon, *Nuestra de los Carmen* or "Genosse" sunk in 1733. (Institute of Nautical Archaeology, Texas A & M University)
Caymen Island Project, Caymen Islands, British West Indies: survey for shipwrecks in these islands at the request of the government during which 52 marine and three land sites were studied. Sites dated from the late 17th century. (Institute of Nautical Archaeology, Texas A & M University)
Mombassa Wreck Excavation, Mombassa, Kenya: continuing excavation on the Santo Antonio de Tanna, a 42 gun Portuguese frigate sunk in 1697 off Fort Jesus. (Institute of Nautical Archaeology, Texas A & M University)
Serce Liman Survey Study, Bodrum, Turkey: study of materials excavated from an 11th century "Glass Wreck" of Serce Liman, Turkey. Funded by a National Geographic Society grant. (Institute of Nautical Archaeology, Texas A & M University)
Excavation in Serce Liman, Turkey: archaeological excavation and study of 11th century "Glass Wreck," (National Geographic, June 1978) 2nd century B.C. "Hellenistic Wreck," and 3rd century B.C. "Scatter Wreck." (Institute of Nautical Archaeology, Texas A & M University)
Survey of the *Black Cloud*, Liberty, Texas: survey of sidewheel steamboat sunk in 1873 in the Trinity River and preparation of the final survey publication. (Texas A & M University)
Official United States observer for the Thracia Pontica International Symposium in Sozopol, Bulgaria, 1979.
APPENDIX F
Deeds describing Preston cemetery
June 4, 1903-Deed Book 107, p. 497
July 7, 1904-Deed Book 110,p. 182
Virginia.
In the clerk's office of Alexandria county, July 6th, 1904.
This deed was received and with the annexed certificate admitted to record.
Teste: Geo H. Tucker, Clerk.
Susan P. A. Calvert, et vir. + +
To: B & S. Examl & Ind. + +
Washn Southern Ry Co. + +
THIS DEED, Made and entered into this sixth day of July in the year one thousand nine hundred and four between SUSAN P. A. CALVERT and GEORGE E. CALVERT, her husband, of the County of Alexandria and State of Virginia, of the first part, and the WASHINGTON SOUTHERN RAILWAY COMPANY, a corporation created and existing under and by virtue of the laws of the State of Virginia, of the second part,
WITNESSETH, that the said parties of the first part in consideration of the sum of ten dollars do grant unto the said party of the second part with general warranty, the following described tract piece or parcel of land situate, lying and being in the County of Alexandria and State of Virginia,
FIRST. All that piece, parcel or tract of land laid down and designated as lot number one (1) upon a plat or survey of the part of Preston Farm lying between the old canal and Potomac River in Alexandria County, Virginia, made by S.E. Garrett Surveyor of Alexandria County on the 21st day of April, 1904, which said plat is hereto annexed and made a part of this deed. The said lot number one (1) being bounded and described according to the said survey as follows;
BEGINNING at a point on the shore of the Potomac River 27.0 feet north 70° 00' east from a large poplar tree, which said point is a corner common to the tract being described and Sarah S. and Mary Swann's property; thence following the dividing line between the aforesaid properties south 70° 00' West 199.6 feet to a stone, South 36° 23' West 110.2 feet to a stone and south 25° 43' West 358.5 feet to a copper common to the aforesaid trees, the cemetery and the Washington Southern Railway Company's (formerly Ches and Edward Robert's) property; thence with three lines of the cemetery north 13° 40' West 108.3 feet, South 74° 39' West 90.7 feet and south 13° 40' East 108.3 feet to the south west corner of said cemetery and in said Railway Company's line (described in will of Frances Swann as the northern partition line); thence with the last mentioned line and the north side of a road which is 20.0 feet wide south 74° 39' West 429.4 feet to a point in the east line of the Alexandria and Georgetown Canal and the west side of a road which is 43.0 feet wide; thence with the east line of said Canal and the west side of said road North 4° 14' West 106.7 feet; North 9° 20' West 72.0 feet; North 25° 02' West 121.2 feet to a blanked stone; North 27° 37' West 257.4 feet and North 36° 57' West 140.4 feet; thence departing from said Canal north 48° 03' East 414.5 feet to a point on the shore of Four Mile Run where the said run was defined by high tide on this date; thence with said line or said Run South 48° 31' East 235.1 feet; North 80° 01' East 341.5 feet; South 49° 11' East 102.4 feet; North 75° 11' East 193.5 feet and South 85° 03' East 232.6 feet to the Potomac River, thence with said high tide line of said river South 42° 06' East 49.5 feet and south 2° 51' East 533.4 feet to the beginning, containing, exclusive of said road, 73-007/1000 acres.
TOGETHER with the land between high water mark and low water mark and all riparian rights easements, privileges and appurtenances to the said tract or parcel of land belonging or in anywise appertaining; and together with all the right, title, interest and estate of the said parties of the first part, in and to the land lying under the waters of Four Mile Run binding upon and adjacent to the said tract of Land.
The said parties of the first part grant and convey the above described tract or parcel of land to the party of the second part reserving to themselves and their heirs all their rights, title and interest in and to the existing graveyard, and their right of access thereto and subject to the same rights of access by those persons entitled to it and owning other parts or parcels of said Preston Farm, over the said existing roads on said tract, or to such
other convenient road or roads as may be substituted by the said party of the second part for the said existing roads on the said tract or parcel of land, which power of substitution is to the full extent of their rights hereby conveyed by the parties of the first part to the party of the second part,
SECOND. The said parties of the first part for the consideration aforesaid do hereby grant with special warranty to the said party of the second part, the lot of land laid down and designated upon the aforesaid plat as lot number two (2), the same being bounded and described as follows, to wit:-
BEGINNING at high tide line of Four Mile Run indicated by "A", on the plat, and thence following said line of said run North 31° 22' East 124.75 feet; North 46° 10' East 42.4 feet; North 67° 38' East 29.4 feet; South 37° 31' East 84.75 feet; South 66° 54' East 60.37 feet to an angle in the above described tract; thence with the line of said tract reversed south 68° 03' West 350.5 feet to the beginning, containing 0-4923/1000 of an acre.
TOGETHER with the land between high water mark and low water mark and all the riparian rights, easements, privileges and appurtenances to the said tract or parcel of land belonging or in anywise appertaining, and all the right, title, interest and estate of the said parties of the first part in and to the land lying under the waters of Four Mile Run binding upon and adjacent to the said tract or parcel of land. And for the consideration aforesaid the said parties of the first part do hereby bargain, sell, grant and convey unto the said party of the second part all their right, title, interest and estate in and to all of the rest and residue of the tract of land called Preston Farm, in said Alexandria County, lying on Four Mile Run and the Potomac River and bounded on the west by the old Alexandria Canal.
And the said parties of the first part covenant that they have the right to convey the parcel of land above described and designated as Lot Number 1, upon the plat or survey so made by the said George E. Garrett, to the grantee; that they have done no act to encumber the said land; that the grantee shall have quiet possession of the said land free from all encumbrances; that they the said parties of the first part will execute such further assurance of the said land as may be requisite.
WITNESS the following signatures and seals;
The following words written on pages 2 & 3 were inserted before this instrument was signed:
"The land between high water mark and low water mark and".
Edward J. Fleming, N.P.
State of Virginia
City of Alexandria, to wit:
I, EDWARD J. FLEMING, a Notary Public in and for the City and State aforesaid, do certify that SUSAN P.A.CALVERT and GEORGE E. CALVERT, her husband, whose names are signed to the writing hereto annexed, bearing date on the sixth day of July, 1904, have acknowledged the same before me in my City aforesaid. My commission expires March 5, 1908.
GIVEN under my hand this 6th day of July, A.D. 1904.
Edward J. Fleming, Notary Public.
In the clerk's office of Alexandria county, July 7th, 1904.
This deed was received and with the annexed certificate and plat admitted to record.
test: [Signature]
Landonia Mason, widow
To: B & S. Exmd & Ind.
Washn Southern Ry Co.
THIS DEED,
Made and entered into this twenty ninth day of June in the year one thousand nine hundred and four, between LANDONIA MASON, widow, or the City of Alexandria and State of Virginia, of the first part, and THE WASHINGTON SOUTHERN RAILWAY COMPANY a corporation created and existing under and by virtue of the laws of the State of Virginia of the second part,
WITNESSETH, that in consideration of the sum of ten dollars, the said party of the first part doth grant unto the said party of the second part with general warranty, that certain lot of land, situate in Jefferson Magisterial District, Alexandria County, State of Virginia, distinguished and known as,
Lot numbered seventy four (74) in William H. Sempsey's subdivision of a tract of land fronting on the Washington and Alexandria Turnpike at or near the junction of said Turnpike with Slater's lane, as shown on the plat of said subdivision duly recorded amongst the land records of said Alexandria County in Liber M, No. 4, folio 244;
Together with all rights, easements, privileges and appurtenances to the said lot of land belonging or in anywise appertaining. And the said party of the first part doth hereby acquit, release and discharge the said party of the second part of and from any and all damages to the residue of her land that may accrue or arise from the construction, maintenance and operation of the railway of the said party of the second part, its successors or assigns upon the land above described.
same before me in my office in said county.
GIVEN under my hand this fourth day of June, 1905.
Geo. H. Rucker, Clerk.
Virginia.
In the clerk's office of the county Court of Alexandria County, June 4th, 1905
This deed was received and with the annexed certificate admitted to record.
Teste:
Geo. H. Rucker, Clerk
Delivered
to G. Rucker
June 4, 1905
Edward S. Roberts et ux et al.
To: B & S. Examd & Ind.
THIS DEED,
Norman Call.
MADE, this twenty ninth day of May in the year one thousand nine hundred and three, between EDWARD S. ROBERTS, and HELEN L. ROBERTS, his wife, of the City of Alexandria, and State of Virginia, and CHARLES ROBERTS and MABEL SIMPSON ROBERTS, his wife of the City of Pittsburg, Pennsylvania, of the first part, and Norman Call, of the City of Richmond and State of Virginia, of the second part;
WITNESSETH, that in consideration of the sum of ten dollars, the said parties of the first part do grant unto the said party of the second part, with general warranty, all that tract piece or parcel of land, situate, lying, and being in the County of Alexandria, and State of Virginia of Virginia and bounded and described as follows:
BEGINNING at the south east corner of the grave yard where the 'cross line' intersects the northern partition line; thence with the northern partition line" South 74° 35' W. 517.6 feet to a stake on the edge of the canal excavation and 12.0 feet southwardly from a cedar tree described in will of Frances Swann; thence South 3° 24' W. 965.6 feet to a stake where the 'southern partition line" joins the canal; thence with the "southern partition line" N. 81° 53' E. 514.75 feet to a stake where this line bisects the 'cross line'; thence with the 'cross line' N. 4° 30' E. 1030.2 feet to a stake at beginning, containing; 11.633 acres, according to a plat of survey made by G.E. Garrett, County surveyor of Alexandria County, May 30th, 1905, here to attached and made a part of this deed. It being the same parcel of land that was devised to the said Edward S. Roberts and Charles Roberts by Frances B. Swann and passed to them under her last will and testament. The said Edward Swann mentioned in said will having heretofore departed this life unmarried and without issue, the said Frances A. Roberts, mother to the said Edward S. Roberts and Charles Roberts, and the said Thomas W. Swann, both of whom are mentioned in said will having also departed this life. And together with all rights, easements, privileges and appurtenances to the said land belonging; or in anywise appertaining.
The said Edward S. Roberts and Charles Roberts covenant that they have the right to convey the said land to the grantees; that they have done no act to encumber the said land, that the grantees shall have quiet possession of the said land, free from all encumbrances and that they the said parties of the first part will execute such further assurances of the said land as may be requisite.
WITNESSES the following signatures and seals:
Witness
J. Woods McCormick, as to
and as to
State of Virginia,
City of Alexandria, to wit:-
I, JOHN D. NORCOYLE, a Notary Public for the City aforesaid in the State of Virginia do certify that EDWARD S. ROBERTS & HELEN L. ROBERTS, his wife, whose names are signed to the writing; here-to annexed, bearing date on the twenty ninth day of May, 1903, have acknowledged the same before me in my City aforesaid.
GIVEN under my hand this 3rd day of June, 1903. My commission expires October 9th, 1903.
John D. Norcoyle, Notary Public.
State of Pennsylvania,
County of Allegheny,
City of Pittsburgh, PA:-
On this first day of June A.D. 1903, before me a Notary Public in and for said City, County and State came the above named CHARLES ROBERTS & MABEL SIMPSON ROBERTS, his wife and acknowledged the foregoing indenture to be their act and deed, and desired the same to be recorded as such. And the said Mabel Simpson Roberts his wife being of full age, and by me examined separate and apart from her said husband, and the contents of the said indenture being by me first made fully known to her declared that she did and as her act and deed, deliver the same, without any coercion or compulsion of her said husband.
GIVEN Under my hand and official seal, the day and year aforesaid. My Commission expires February 20, 1903.
J. Woods McCormick, Notary Public.
Virginia.
In the clerk's office of the county court of Alexandria County June 6th, 1903.
This deed was received and with the annexed certificate and plat admitted to record.
Teste: Geo H Rucker, Clem
APPENDIX G
Surveyors certification of Preston cemetery trench locations (Trenches 5 & 6)
April 1, 1996
I, Ernest S. Holzworth, a duly licensed Land Surveyor in the Commonwealth of Virginia, do hereby certify, to the best of my knowledge and belief, that on March 25, 1996, a surveying crew under my supervision set stakes marking two 100 foot long parallel lines 72 feet apart, oriented approximately southwest to northeast and generally centered within the area labeled "Preston Graveyard Site *" as shown on Sheet 1 of 6 of the "Archaeological Exhibit for Potomac Yard Center" prepared by christopher consultants, ltd. and dated July 5, 1995; the purpose of the stakeout being to mark locations for trench excavation in conjunction with an archaeological investigation.
Ernest S. Holzworth, L.S.
Director of Surveys
COMMONWEALTH OF VIRGINIA
ERNEST S. HOLZWORTH
No. 1837
4-1-96
LAND SURVEYOR
PROPOSED NEW 100' TRENCHES
PRESTON GRAVEYARD SITE
30 FT. PROFILE
95 FT. PROFILE
TRENCH #2
DIGITIZED LOCATION OF ALEXANDRIA ARCHAEOLOGIST ENTITLED "MAP SHOWING THE DEFENSES IN FORT DATED 186-."
APPENDIX H
Profiles and plan views, Trenches 1-4
Former Preston Cemetery
Trench #1 Profiles
Elevation 21 ft.
Angular Gravel
1.2 ft.
Black Cinder
0.9 ft.
Red/Orange Clay
2.6 ft.
Light Gray Sand
2.4 ft.
-12 West Profile
Elevation 31 ft.
Angular Gravel
1.6 ft.
Black Cinder
1.4 ft.
Red/Orange Clay
2.6 ft.
Light Gray Sand
100 Ft.
Elevation 30 ft.
Angular Gravel
1.0 ft.
Black Cinder
1.8 ft.
Red/Orange Clay
1.4 ft.
Light Gray Sand
3.8 ft.
190 Ft.
Figure 3. Plan view and profiles from trench #1.
Former Preston Cemetery
Trench #2 Profiles
Pine or Fir
8" 12"
Oak - 15'
30 ft.
Actual Trench
Surveyed Trench
95 ft.
Elevation 20 ft.
Angular Gravel .6 ft.
Cinders 1.0 ft.
Orange/Brown Sandy Loam w/pebbles & Cobbles 1.0 ft.
Orange/Red Clay .4 ft.
Profile 30 Ft.
GROUND SURFACE
Angular Gravel .6 ft.
Cinders 1.2 ft.
Orange/Brown Sandy Loam w/pebbles & Cobbles 1.0 ft.
Orange/Red Clay .4 ft.
Profile 95 Ft.
Figure 9. Plan view and profiles from trench #2.
Former Preston Cemetery
Trench #3 Profiles
Elevation 29 ft.
Angular Gravel 1.2 ft.
Cinders 1.4 ft.
Orange/Red Clay .9 ft.
Light Gray Sand
E --> W 3 feet Profile
24.8 ft. GROUND SURFACE
Angular Gravel 2.2 ft.
Cinders .4 ft.
Light Gray Sand 1.1 ft.
E --> W 80 feet Profile
Figure 12. Plan view and profiles from trench #3.
Former Preston Cemetery Trench #4 Profiles
Figure 13. Plan view and profiles from trench #4. |
The role of homeobox factors Barx2 and Pax7 in Wnt signalling in muscle stem cells
Julie-Ann Hulin
BMedSci, BSc (Hons)
Department of Clinical Pharmacology
Faculty of Medicine, Nursing and Health Sciences
Flinders University
A thesis submitted in fulfilment of the requirements for the degree of
Doctor of Philosophy
August 2016
# Table of contents
**LIST OF FIGURES** .......................................................... V
**LIST OF TABLES** ......................................................... VIII
**SUMMARY** ................................................................... IX
**DECLARATION** ............................................................ XII
**ACKNOWLEDGEMENTS** ................................................ XIII
**PUBLICATIONS ARISING DIRECTLY FROM THIS THESIS** ............... XV
**ADDITIONAL PUBLICATIONS RELATED TO THIS THESIS** ................ XV
**CONFERENCE PROCEEDINGS** ........................................ XV
**AWARDS IN SUPPORT OF THIS THESIS** .............................. XVII
**ABBREVIATIONS** .......................................................... XVIII
**CHAPTER 1 REVIEW OF THE LITERATURE** ............................. 1
1.1 Skeletal muscle: A brief overview ........................................ 2
1.1.1 Formation of skeletal muscle ........................................ 4
1.2 Muscle stem cells: The satellite cell .................................... 4
1.3 Muscular dystrophy ...................................................... 7
1.3.1 *Mdx* mice: a DMD model ........................................ 10
1.4 Molecular regulation of myogenesis ................................... 11
1.4.1 Myogenic Regulatory Factors ..................................... 12
1.4.2 Myocyte Enhancer Factors ........................................ 15
1.4.3 The Pax family ....................................................... 17
1.5 The Barx2 homeobox protein ........................................... 20
1.5.1 *Barx2* expression and a role in myogenesis .................... 21
1.5.2 *Barx2* null mice show skeletal muscle dysfunction and defective muscle repair ................................. 23
1.5.3 Functional domains and gene targets of Barx2 .................. 26
1.5.4 Regulation of Barx2 ................................................ 30
1.6 Adult skeletal muscle regeneration .................................... 31
1.7 The canonical Wnt signalling pathway ............................... 33
1.7.1 Wnt signalling in myogenesis .................................... 36
1.8 Potential relationship between Barx2, Pax7 and Wnt signalling ................................................................. 39
1.9 Experimental aims ....................................................... 41
**CHAPTER 2 METHODS AND MATERIALS** ................................ 44
2.1 Chemicals and reagents .................................................. 45
2.2 General buffers ........................................................... 45
2.3 Mice ................................................................. 45
2.4 Eukaryotic and prokaryotic cell lines ................................. 46
2.5 Mammalian reporter and expression vectors ......................... 46
2.6 Oligonucleotides ......................................................... 47
2.6.1 Polyacrylamide Gel (PAGE) purification of site directed mutagenesis oligonucleotides ................................. 47
2.7 Polymerase Chain Reaction (PCR) amplification .................. 48
2.7.1 Equipment ......................................................... 48
2.7.2 PCR for cloning .................................................... 48
2.7.3 PCR for genotyping or screening ............................... 49
2.7.4 Site-directed mutagenesis ........................................ 49
2.7.5 Quantitative real-time PCR ...................................... 49
2.8 Extraction of total RNA ............................................... 50
2.8.1 Extraction of RNA from monolayer cells ..................... 50
2.8.2 Extraction of RNA from primary tissue ....................... 50
2.9 Generation of cDNA .................................................. 51
| Section | Page |
|------------------------------------------------------------------------|------|
| 2.10 Co-immunoprecipitation (Co-IP) | 51 |
| 2.11 Chromatin Immunoprecipitation (ChIP) | 52 |
| 2.12 Western Blotting | 54 |
| 2.12.1 Preparation of lysates | 54 |
| 2.12.2 Protein concentration determination | 55 |
| 2.12.3 Polyacrylamide gel electrophoresis (PAGE) | 55 |
| 2.13 Preparation of primary myoblasts | 56 |
| 2.13.1 Antibody labelling of myoblasts for fluorescence activated cell sorting (FACS) | 57 |
| 2.13.2 FACS | 57 |
| 2.14 Mouse tail tip/ear notch genomic DNA isolation | 57 |
| 2.15 Maintenance of mammalian cell lines | 58 |
| 2.16 Maintenance of mouse primary myoblast cultures | 59 |
| 2.17 Frozen cell stocks | 60 |
| 2.18 Generation of L-cell control and Wnt3a conditioned media | 60 |
| 2.18.1 Testing activity of Wnt3a conditioned media | 60 |
| 2.19 Bacterial culture | 61 |
| 2.20 Restriction digests | 61 |
| 2.21 Ligations and transformations | 61 |
| 2.22 Preparation of competent cells | 62 |
| 2.23 Plasmid preparations | 62 |
| 2.24 Gel electrophoresis and quantification of DNA/RNA | 64 |
| 2.25 DNA purification | 65 |
| 2.26 Sequencing | 65 |
| 2.27 Transient transfections | 65 |
| 2.28 Luciferase Assays | 66 |
| 2.29 Immunofluorescence microscopy | 67 |
| 2.29.1 Antibody labelling | 68 |
| 2.29.2 Mounting coverslips to slides | 68 |
| 2.29.3 Imaging | 69 |
| 2.30 Statistics | 69 |
**CHAPTER 3 ANALYSIS OF BARX2-MEDIATED REGULATION OF THE WNT REPORTER TOPFLASH**
3.1 Introduction
3.1.1 The TOPflash reporter
3.1.2 Mechanisms of activation and repression by Barx2
3.1.3 The role of Pax7 in regulation of Wnt target genes
3.1.4 Aims
3.2 Methods
3.2.1 Expression plasmids
3.2.2 In vitro transcription/translation of Barx2, β-catenin and TCF4
3.2.3 Immunofluorescence labelling
3.2.4 Pax7 siRNA design and transfection
3.2.5 Primers
3.3 Results
3.3.1 The homeodomain is essential for Barx2-mediated activation of TOPflash
3.3.2 Barx2 synergistically activates TOPflash with MyoD and other MRFs
3.3.3 Barx2 may synergise with Wnt3a/β-catenin to activate TOPflash
3.3.4 Pax7 antagonises Barx2, β-catenin and Wnt3a-mediated activation of TOPflash activity
3.3.5 Delineation of the functional domains of Pax7 repression
3.3.6 Barx2 and Pax7 interact physically with β-catenin and TCF family members
3.3.7 Disruption of a phosphorylation site within Barx2 renders the protein inactive
3.3.8 Barx2 binds to the TOPflash promoter and promotes recruitment of β-catenin
3.3.9 Over-expression of Barx2 leads to accumulation of β-catenin in the nucleus
3.4 Discussion
**CHAPTER 4 ANALYSIS OF THE EFFECT OF BARX2 LOSS-OF-FUNCTION ON WNT AND NOTCH SIGNALLING IN MYOBLASTS AND IN VIVO**
| Section | Page |
|------------------------------------------------------------------------|------|
| 4.1 INTRODUCTION | 117 |
| 4.1.1 Transgenic TCF/LEF reporters | 117 |
| 4.1.2 The Notch signalling pathway | 119 |
| 4.1.3 Aims | 122 |
| 4.2 METHODS | 123 |
| 4.2.1 Maintenance of mice | 123 |
| 4.2.2 Genotyping for GFP | 123 |
| 4.2.3 ChIP in whole muscle | 123 |
| 4.2.4 RNA-Seq and PCR Pathway arrays | 124 |
| 4.2.5 RNA analysis of whole muscle | 125 |
| 4.2.6 Lentiviral packaging and transduction | 125 |
| 4.2.7 Primers | 126 |
| 4.3 RESULTS | 128 |
| 4.3.1 Barx2 regulates known Wnt target genes, and genes within both the Wnt and Notch signalling pathways | 128 |
| 4.3.2 Analysis of Wnt targets in whole muscle from Barx2 wildtype and null mice | 131 |
| 4.3.3 Genotyping of TOPEGFP mice: A method for analysis of single-copy versus double-copy GFP allele | 132 |
| 4.3.4 Generation of a Barx2-TOPEGFP mouse line (BAR-TOP) | 132 |
| 4.3.5 Initial phenotypic analysis of BAR-TOP transgenic model | 135 |
| 4.3.6 Ins-TOPEGFP mice are found to be TP1-Venus, a transgenic Notch reporter mouse strain | 135 |
| 4.3.7 Canonical Wnt signalling promotes differentiation of myoblasts and expression of Barx2 | 140 |
| 4.3.8 Wnt3a-mediated regulation of Barx2 expression is indirect and does not involve MyoD binding to the proximal promoter | 143 |
| 4.3.9 Barx2 protein may be regulated proteolytically in primary myoblasts | 148 |
| 4.4 DISCUSSION | 151 |
| CHAPTER 5 IDENTIFICATION OF DIRECT BARX2 TARGET GENES IN MYOBLASTS | 159 |
| 5.1 INTRODUCTION | 160 |
| 5.1.1 Tet systems | 161 |
| 5.1.2 Aims | 163 |
| 5.2 METHODS | 163 |
| 5.2.1 Expression plasmids | 163 |
| 5.2.2 Development of double-stable C2C12 Barx2-TetON cell lines | 164 |
| 5.3 RESULTS | 167 |
| 5.3.1 Selection of suitable C2C12 pTet-ON stable lines | 167 |
| 5.3.2 Identifying appropriate double-stable C2C12 mCherry/2A/mBarx2 Tet-ON lines | 170 |
| 5.3.3 TOPflash is activated in the Barx2 Tet-ON stable lines | 175 |
| 5.3.4 Identification of Barx2 targets from C2C12 Barx2 Tet-ON lines | 177 |
| 5.3.5 The Axin2 and cyclinD1 promoters are regulated by Barx2 | 181 |
| 5.3.6 The role of TCF/LEF variants in regulation of Wnt-target promoters | 183 |
| 5.4 DISCUSSION | 191 |
| CHAPTER 6 REGULATION OF THE AXIN2 GENE BY BARX2, PAX7 AND WNT SIGNALLING IN MYOBLASTS | 200 |
| 6.1 INTRODUCTION | 201 |
| 6.1.1 Regulation of the Axin2 gene by Wnt signals | 201 |
| 6.1.2 Co-factors and epigenetic mechanisms involved in the transcriptional response to Wnt signalling | 202 |
| 6.1.3 Aims | 204 |
| 6.2 METHODS | 204 |
| 6.2.1 Expression plasmids | 204 |
| 6.2.2 Electrophoretic mobility shift assay | 206 |
| 6.3 RESULTS | 210 |
| 6.3.1 Barx2-mediated activation of Axin2 and cyclinD1 is regulated through TCF/LEF motifs | 210 |
| 6.3.2 The C-terminal activation domain and homeodomain of Barx2 are required for Axin2 and cyclinD1 promoter regulation | 214 |
6.3.3 Barx2 binds to the Axin2 T3-5 intronic region and promotes recruitment of β-catenin .......................... 217
6.3.4 Barx2 cannot bind to oligonucleotide probes containing TCF/LEF motifs in vitro .......................... 220
6.3.5 Pax7 partially antagonizes Barx2- and β-catenin-mediated induction of Axin2 promoter activity ........... 224
6.3.6 Pax7 is recruited to the Axin2 T3 region ......................................................................................... 227
6.3.7 Barx2 and Wnt signalling alter histone modifications of the Axin2 promoter region .................. 228
6.3.8 The histone acetyltransferase GRIP-1 synergizes with Barx2 in regulation of Axin2 promoter activity and is actively recruited to TCF/LEF elements ................................................................. 234
6.3.9 Pax7 associates with the histone deacetylase HDAC1 ..................................................................... 238
6.4 DISCUSSION ............................................................................................................................................ 243
CHAPTER 7 GENERAL DISCUSSION AND CONCLUSIONS ................................................................. 254
APPENDICES ............................................................................................................................................... 267
REFERENCES .............................................................................................................................................. 279
List of figures
FIGURE 1.1: STRUCTURE OF SKELETAL MUSCLE ................................................................. 7
FIGURE 1.2: SEQUENCE AND SCHEMATIC OF BARX2 PROTEIN ........................................... 27
FIGURE 1.3: HIERARCHY OF TRANSCRIPTION FACTORS IN MYOGENESIS .......................... 33
FIGURE 1.4: THE CANONICAL Wnt SIGNALLING PATHWAY .................................................. 36
FIGURE 1.5: REGULATORY INTERACTIONS BETWEEN BARX2, β-CATENIN, MRFs AND PAX7 ................................................................................................................................. 43
FIGURE 3.1: ANALYSIS OF NEW BARX2 DELETION CONSTRUCTS ....................................... 84
FIGURE 3.2: Msx HOMEBOX PROTEINS CAN ACTIVATE TOPFLASH ..................................... 85
FIGURE 3.3: BARX2 REGULATES THE TOPFLASH REPORTER GENE SYNERGISTICALLY WITH MRFs IN C2C12 CELLS ................................................................. 87
FIGURE 3.4: BARX2 AND β-CATENIN MAY SYNERGISE TO ACTIVATE TOPFLASH WHILST MYOD REPRESSES β-CATENIN ACTIVATION .............................................................. 89
FIGURE 3.5: PAX7 ANTAGONISES THE ACTIVATING EFFECT OF BARX2 ON TOPFLASH ACTIVITY ................................................................................................................................. 90
FIGURE 3.6: EFFICACY OF PAX7 siRNA KNOCKDOWN IN C2C12 CELLS ............................... 92
FIGURE 3.7: KNOCKDOWN OF PAX7 INCREASES THE ABILITY OF BARX2 AND MYOD TO ACTIVATE TOPFLASH ................................................................. 93
FIGURE 3.8: PAX7 ANTAGONISES THE ACTIVATING EFFECT OF β-CATENIN AND WNT3A ON TOPFLASH ................................................................. 94
FIGURE 3.9: THE PAX7 HOMEODOMAIN IS IMPORTANT FOR REPRESSION OF TOPFLASH ACTIVITY ................................................................................................................................. 96
FIGURE 3.10: BARX2 INTERACTS WITH β-CATENIN AND TCF4 IN VITRO .................................. 98
FIGURE 3.11: BARX2, β-CATENIN AND TCF4 PROTEINS DO NOT DIRECTLY INTERACT ........ 99
FIGURE 3.12: PHOSPHORYLATION PREDICTION OF BARX2 .................................................. 100
FIGURE 3.13: ANALYSIS OF BARX2 PHOSPHORYLATION MUTANTS ON TOPFLASH ACTIVITY ................................................................................................................................. 102
FIGURE 3.14: BARX2 IS RECRUITED TO THE TOPFLASH PROMOTER IN C2C12 CELLS AND PROMOTES RECRUITMENT OF β-CATENIN .............................................................. 105
FIGURE 3.15: WNT3A STIMULATES NUCLEAR LOCALISATION OF β-CATENIN IN C2C12 CELLS ................................................................................................................................. 107
FIGURE 3.16: BARX2 OVER-EXPRESSION LEADS TO β-CATENIN ACCUMULATION IN THE NUCLEUS ................................................................................................................................. 108
FIGURE 4.1: A REPRESENTATIVE SET OF Wnt AND NOTCH GENES FROM RNA-SEQ ANALYSIS OF BARX2 WILDTYPE AND NULL MYOBLASTS ................................................................................................................................. 130
FIGURE 4.2: WHOLE MUSCLE GENE EXPRESSION ANALYSIS .................................................. 131
FIGURE 4.3: GENERATION OF THE BAR-TOP DOUBLE-TRANSGENIC MOUSE MODEL ............ 134
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 4.4 | Analysis of total body weight of male Barx-Top pups at P21 | 135 |
| 4.5 | Barx2 mRNA expression in whole muscle | 136 |
| 4.6 | Sequencing result of Ins-TOPEGFP transgene | 138 |
| 4.7 | The canonical Wnt3A promotes differentiation of C2C12 myoblasts | 141 |
| 4.8 | mRNA expression of primary myoblasts following 48 hours Wnt3A stimulation | 142 |
| 4.9 | mRNA expression of fibroblasts following 48 hours Wnt3A stimulation | 143 |
| 4.10 | Indirect Barx2 mRNA induction by Wnt3A | 145 |
| 4.11 | MyoD is not induced or recruited to the Barx2 proximal promoter following treatment with Wnt3A | 147 |
| 4.12 | The proximal Barx2 promoter is not activated by β-catenin/Wnt signalling | 148 |
| 4.13 | Stimulation by Wnt3A induces Barx2 protein expression in primary myoblasts | 149 |
| 4.14 | Barx2 protein is regulated proteolytically in primary myoblasts | 151 |
| 5.1 | Initial screen of stable C2C12 pTet-ON clones | 168 |
| 5.2 | Second screen of stable C2C12 pTet-ON clones | 169 |
| 5.3 | C2C12 pTet-ON stable clones respond to Wnt3A | 170 |
| 5.4 | Immunofluorescence screening of double-transgenic C2C12 Barx2 Tet-ON clones | 173 |
| 5.5 | Western Barx2 Tet-ON lines | 172 |
| 5.6 | Initial mRNA screen of stable C2C12 Barx2 Tet-ON lines | 175 |
| 5.7 | TOPflash is activated in the Barx2 Tet-ON stable lines | 176 |
| 5.8 | Target genes not regulated by Dox-induced Barx2 expression | 178 |
| 5.9 | Target genes regulated by Dox-induced Barx2 expression | 180 |
| 5.10 | Parental rtTA-expressing cell lines do not show induction of cyclinD1 or Axin2 in response to Dox | 181 |
| 5.11 | Barx2 regulates the Axin2 and cyclinD1 promoters | 183 |
| 5.12 | TCF/LEF mRNA expression in C2C12 cells and primary myoblasts | 184 |
| 5.13 | Simplified schematic of exon structure of Tcf4 variants cloned from myoblasts | 187 |
| 5.14 | TCF/LEF family members differentially regulate Barx2+MyoD and β-catenin-mediated activation of TOPflash | 188 |
| 5.15 | Lef1 and Tcf3 differentially regulate Barx2 and β-catenin-mediated activation of Axin2-Luc |
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 5.16 | Tcf4 variants differentially regulate Barx2 and β-catenin-mediated activation of Axin2-luc | 189 |
| 6.1 | Barx2-mediated regulation of CyclinD1 is regulated through a TCF/LEF motif | 212 |
| 6.2 | Barx2-mediated regulation of Axin2 is regulated through TCF/LEF motifs | 214 |
| 6.3 | Activation of Axin2 and CyclinD1 promoter constructs by Barx2 domains | 216 |
| 6.4 | ChIP analysis of Barx2 recruitment to the Axin2 promoter after heterologous overexpression | 218 |
| 6.5 | ChIP analysis of Barx2 and β-catenin recruitment after Wnt3A stimulation in primary myoblasts | 219 |
| 6.6 | ChIP analysis of Barx2 and β-catenin recruitment to distal Axin2 TCF motifs | 220 |
| 6.7 | Gel shift assays with C2C12 nuclear extracts | 222 |
| 6.8 | Gel shift assay with HEK293T nuclear extracts | 223 |
| 6.9 | Pax7 antagonises the activating effect of Barx2 and β-catenin on the Axin2 promoter | 225 |
| 6.10 | The effect of chimeric Barx2/Pax7 factors on Axin2 promoter activity | 227 |
| 6.11 | Pax7 is recruited to Axin2 and TopFlash promoter DNA | 228 |
| 6.12 | Basal chromatin signature of TopFlash and Axin2 T3 | 230 |
| 6.13 | Chromatin signature of Axin2 following Wnt3A stimulation | 231 |
| 6.14 | Chromatin signature of Axin2 and TopFlash following Barx2 or β-catenin transfection | 233 |
| 6.15 | Screening of potential Barx2 co-activators in luciferase assays | 235 |
| 6.16 | GRIP-1 is actively recruited to TCF/LEF elements | 238 |
| 6.17 | HDAC1 represses Barx2 and β-catenin-mediated activation of Axin2 and TopFlash | 240 |
| 6.18 | HDAC1 interacts with Pax7 | 241 |
| 6.19 | Pax7 inhibits TopFlash activity in the presence of HDAC inhibitors | 242 |
| 7.1 | Model for the function of Barx2 and Pax7 downstream of Wnt signalling | 262 |
List of tables
Table 3.1: List of all primers used during this chapter ................................................................. 81
Table 4.1: List of all primers used during this chapter ................................................................. 126
Table 4.2: Wnt target and pathway genes in PCR array ............................................................. 129
Table 5.1: List of all primers used during this chapter ................................................................. 165
Table 6.1: List of all primers used during this chapter ................................................................. 208
Summary
Satellite cells are the resident stem cells of skeletal muscle and provide the mechanism by which muscle tissue is capable of repair and renewal. Satellite cells are quiescent in adults, until activated by injury to generate proliferating myoblasts. In a process known as myogenesis, the proliferating myoblasts align, fuse and undergo terminal differentiation, resulting in formation of multi-nucleated muscle fibres.
The muscle regulatory factors (MRFs) are key regulators of myogenesis, and hierarchical expression of the four family members (Myf5, MyoD, myogenin and MRF4) guides progression through the stages of muscle regeneration. The homeobox factor Pax7 also plays an essential role in myogenesis and is considered the canonical marker of satellite cells. Pax7 is important for maintenance of satellite cell quiescence and prevention of precocious differentiation. Recently another homeobox protein, Barx2, has emerged as being functionally important in myoblasts. Barx2 regulates expression of muscle-specific genes, and Barx2 null mice exhibit smaller muscle fibres, muscle atrophy and defective muscle repair. In contrast to Pax7, Barx2 is upregulated during and promotes differentiation of myoblasts.
The canonical Wnt signalling pathway controls myogenesis, inducing a switch from myoblast proliferation to differentiation. The central effectors of the Wnt pathway are TCF/LEF proteins and β-catenin, that together bind Wnt-responsive genes and activate transcription. Our preliminary data demonstrates that Barx2 can activate a synthetic Wnt reporter gene, TOPflash, in the C2C12 myoblast cell line. This thesis sought to understand the mechanisms underpinning this regulation and to determine if Barx2 can regulate endogenous Wnt-responsive target genes in myoblasts.
Co-immunoprecipitations demonstrated that Barx2 could interact with β-catenin and TCF/LEF proteins and chromatin immunoprecipitation (ChIP) experiments showed recruitment of Barx2 to TCF/LEF binding sites in the TOPflash promoter. Barx2 expression also increased levels of nuclear β-catenin and promoted its recruitment to endogenous TCF/LEF sites. In contrast, Pax7 appeared to be antagonistic to Barx2, repressing TOPflash activity.
Generation of a tetracycline-inducible Barx2 myoblast cell line (gain-of-function model), coupled with RNA-Seq and PCR array analysis of primary myoblasts isolated from Barx2 null mice (loss-of-function model), identified Axin2 and cyclinD1 as Wnt-responsive targets of Barx2. Analysis of the Axin2 promoter revealed that Barx2 bound to TCF/LEF sites, recruited β-catenin and the co-activator GRIP-1, and induced activating histone H3K-acetylation. In contrast, ectopic expression of Pax7 repressed Axin2 promoter activity, and knockdown of endogenous Pax7 allowed for greater activation of the promoter by β-catenin and Barx2. Furthermore, Pax7 interacted with the co-repressor HDAC1 and inhibited Barx2-mediated H3K-acetylation at Axin2 TCF/LEF sites. This work shows that Barx2, Pax7 and MRFs can act as direct transcriptional effectors of Wnt signals in myoblasts. These findings support a novel model in which Barx2 is a key transcriptional mediator of Wnt-driven myoblast differentiation, whilst Pax7 antagonises Wnt signalling in a role consistent with promotion of long-term satellite cell self-renewal. This provides a new regulatory pathway for regulation of muscle progenitor differentiation, and suggests that antagonism between Barx2 and Pax7 may help mediate the switch from proliferation to differentiation.
Finally, canonical Wnt signalling induced Barx2 mRNA and stabilised Barx2 protein in myoblasts, suggesting a positive feed-forward loop between Barx2 and Wnt signalling. These studies prompt a biphasic model for Barx2 downstream of Wnt signals in myoblasts: Barx2 initially enhances the activation of Wnt target genes (Axin2 and possibly other negative regulators of Wnt signalling), and through this enhanced activation may help to limit the Wnt response, thus preventing the deleterious effects of excessive Wnt signalling.
Declaration
I certify that this thesis does not incorporate without acknowledgement any material previously submitted for a degree or diploma in any university; and that to the best of my knowledge and belief it does not contain any material previously published or written by another person except where due reference is made in the text.
Julie-Ann Hulin
August 2016
Acknowledgements
I would like to sincerely acknowledge many people who have provided me with invaluable support and encouragement throughout this research project. It has been a wonderful, rewarding and often overwhelming experience.
Firstly, I thank Dr Robyn Meech for her consistent guidance, feedback and patience. You have been an inspiration as well as an incredible example of both a skilful and passionate scientist, and I am truly grateful for your friendship and the expertise you have shared with me. Many thanks also to Professor Peter Mackenzie for his co-supervision, advice and critical reading of this thesis.
I would like to thank my colleagues and friends, both past and present, for their friendship and helpful discussions. In particular, Tran Nguyen and Lizhe Zhuang, I thank you for providing a solid basis for the studies described within this thesis – you have contributed enormously to this work. Thanks also to Siti Mubarokah, Dhilushi Wijayakumara, Bo Chanawong, Anne Rogers, Dr Dong Gui Hu, Dr Lu Lu, Alex Haines, Negara Tajbakhsh and Sara Tommasi, as well as many other friends and colleagues in the Department of Clinical Pharmacology. It has been a pleasure to work with you all over the years and share my many disasters and triumphs.
To my immediate family, Mum, Dad, Kylie and Peta, my good friend and fellow PhD-student Belinda, and my extended family: Thank you for your love, support, and providing some much needed stress relief.
Finally, I am especially grateful to my incredible fiancé, Mike. Thank you for your constant faith, reassurance and motivation. This process has been a rollercoaster ride
which I would not have survived without your listening ear and endless cups of tea to maintain my sanity. You have provided me with the strength and love required to fulfil my goals and it has been a fantastic experience to share with you.
Publications arising directly from this thesis
Hulin, J.A., Nguyen, T.D., Cui, S., Makarenkova, H. and Meech, R. (2016) ‘Barx2 and Pax7 regulate Axin2 expression in myoblasts by interaction with β-catenin and chromatin remodelling’ Stem Cells. Epub ahead of print.
Zhuang, L.*, Hulin, J.A.*, Gromova, A.*, Nguyen, T.D., Yu, R.T., Liddle, C., Downes, M., Evans, R.M., Makarenkova, H. and Meech, R. (2014) ‘Barx2 and Pax7 have antagonistic functions in regulation of Wnt signalling and satellite cell differentiation’ Stem Cells. 32(6):1661-1673.
*Indicates co-first authors
Additional publications related to this thesis
Meech, R., Gonzalez, K.N., Barro, M., Gromova, A., Zhuang, L., Hulin, J.A. and Makarenkova, H.P. (2012) ‘Barx2 is expressed in satellite cells and is required for normal muscle growth and regeneration’ Stem Cells. 30(2): 253-265.
Meech, R., Gomez, M., Woolley, C., Barro, M., Hulin, J.A., Walcott, E.C., Delgado, J. and Makarenkova, H.P. (2010) ‘The homeobox transcription factor Barx2 regulates plasticity of young primary myofibers’ PLoS One. 5: e11612
Conference proceedings
Hulin, J.A., Nguyen, T., Makarenkova, H. and Meech, R. ‘Regulation of muscle stem cells by Wnt signalling involves homeobox factors Barx2 and Pax7’. Poster presentation, EMBO Workshop on Wnt signalling, Broome, Western Australia 2014.
Hulin, J.A., Nguyen, T., Makarenkova, H. and Meech, R. ‘Regulation of muscle stem cells by Wnt signalling involves homeobox factors Barx2 and Pax7’. Poster presentation, Australian Society for Stem Cell Research (ASSCR), Lorne, Victoria 2014.
Hulin, J.A., Nguyen, T., Makarenkova, H. and Meech, R. ‘Regulation of muscle stem cells by Wnt signalling involves homeobox factors Barx2 and Pax7’. Poster presentation, International Society for Stem Cell Research (ISSCR) annual meeting, Vancouver 2014.
Hulin, J.A., Nguyen, T., Makarenkova, H. and Meech, R. ‘Regulation of muscle stem cells by Wnt signalling involves homeobox factors Barx2 and Pax7’. Oral presentation, Australasian Society for Stem Cell Research (ASSCR) annual meeting, Brisbane 2013.
Hulin, J.A., Nguyen, T. and Meech, R. ‘The stem cell homeobox factor Barx2 regulates canonical Wnt signalling and myoblast differentiation’. Poster presentation, Combined Australian Health and Medical Research Congress (AHMRC) and ASSCR annual meeting, Adelaide 2012.
Hulin, J.A., Nguyen, T. and Meech, R. ‘The muscle stem cell factor Barx2 mediates transcription of canonical Wnt targets in C2C12 myoblasts’. Oral presentation, Australian and New Zealand Society for Cell and Developmental Biology (ANZSCDB) annual meeting (ComBio), Adelaide 2012.
Hulin, J.A., Nguyen, T. and Meech, R. ‘The stem cell homeobox factor Barx2 regulates canonical Wnt signalling and myoblast differentiation’. Oral presentation, Australian and New Zealand Society for Cell and Developmental Biology Adelaide meet, Adelaide 2012.
Hulin, J.A., Zhuang, L., Makarenkova, H. and Meech, R. ‘The stem cell factors Barx2 and Pax7 are direct effectors of Wnt signalling’. Poster presentation, Australasian Society for Stem Cell Research (ASSCR) annual meeting, Blue Mountains, New South Wales 2011.
Hulin, J.A., Zhuang, L., Makarenkova, H. and Meech, R. ‘The muscle stem cells factors Barx2 and Pax7 are direct effectors of Wnt signalling’. Oral presentation, Australian and New Zealand Society for Cell and Developmental Biology Adelaide meet, Adelaide 2011.
Awards in support of this thesis
Flinders University Postgraduate Scholarship, 2011-2014.
Australian Stem Cell Centre (ASCC) Postgraduate Supplementary Scholarship, 2011-2014.
Flinders University Research Higher Degree Student Publication Award, 2015.
Best Student Poster Presentation Award, ASSCR annual meeting, Lorne 2014.
National Stem Cell Foundation of Australia (NSCFA) Conference Education Award to attend and present at the ASSCR annual meeting, Lorne 2014.
Flinders University Faculty of Health Sciences Student Conference Grant to attend and present at the EMBO Workshop on Wnt signalling, Broome, Western Australia 2014.
National Stem Cell Foundation of Australia (NSCFA) Travel Award for PhD students/early career researchers to attend the ISSCR annual meeting, Vancouver 2014.
Flinders University Research Student Travel Grant to attend and present at the ISSCR annual meeting, Vancouver 2014.
NSCFA Conference Education Award to attend and present at the ASSCR annual meeting, Brisbane 2013.
Flinders University Faculty of Health Sciences Student Conference Grant to attend and present at the 6th AHMRC annual meeting, Adelaide 2012.
ASSCR Student Travel Grant to attend and present at the ASSCR annual meeting, Blue Mountains, New South Wales 2011.
Flinders University Faculty of Health Sciences Student Conference Grant to attend and present at the ASSCR annual meeting, Blue Mountains, New South Wales 2011.
| Abbreviation | Description |
|--------------|-------------|
| aa | amino acid |
| APC | Adenomatous polyposis coli |
| ATCC | American Type Culture Collection |
| AWC | Animal welfare committee |
| BBR | Barx basic region |
| bFGF | Basic fibroblast growth factor |
| bHLH | Basic helix-loop-helix |
| BMP | Bone morphogenetic protein |
| bp | base pair |
| BSA | Bovine serum albumin |
| ca. | Constitutively active |
| cDNA | Complementary DNA |
| ChIP | Chromatin immunoprecipitation |
| CM | Conditioned media |
| Co-IP | Co-immunoprecipitation |
| CTX | Cardiotoxin |
| dIdC | deoxyinosine-deoxycytidine polymer |
| DMD | Duchenne muscular dystrophy |
| DMEM | Dulbecco’s Modified Eagle’s Medium |
| DMSO | Dimethyl sulfoxide |
| DNA | Deoxyribonucleic acid |
| dNTP | Deoxynucleotide triphosphate |
| Dox | Doxycycline |
| Dsh | Dishevelled |
| DTT | Dithiothreitol |
| E | Embryonic day |
| *E. coli* | *Escherichia coli* |
| EDTA | Ethylenediaminetetraacetic acid |
| EGFP | Enhanced green fluorescent protein |
| Eh | Engrailed homology domain |
| EMSA | Electrophoretic mobility shift assay |
| FACS | Fluorescence activated cell sorting |
| FBS | Foetal bovine serum |
| Fzd | Frizzled |
| G | Gauge |
| GFP | Green fluorescent protein |
| GSK | Glycogen synthase kinase |
| HAT | Histone acetyltransferase |
| HBS | Homeobox binding site |
| HD | Homeodomain |
| HDAC | Histone deacetylase |
| hr | Hours |
| IBC | Institutional biosafety committee |
| IVT | *In vitro* translated |
| Abbreviation | Description |
|--------------|-------------|
| kb | kilobase |
| kD | kiloDaltons |
| KO | Knockout |
| LB | Luria-Bertani |
| LEF | Lymphoid enhancer factor |
| LRP | Low density lipoprotein receptor-related protein |
| MD | Muscular dystrophy |
| MEF | Myocyte enhancer factor |
| MHC | Myosin heavy chain |
| MPC | Muscle progenitor cell |
| MRF | Muscle regulatory factor |
| mRNA | Messenger RNA |
| NCBI | National Centre for Biotechnology Information |
| ns | Not significant |
| nt | Nucleotide |
| OD | Optical density |
| P | Postnatal day |
| PAGE | Polyacrylamide gel electrophoresis |
| PBS | Phosphate buffered saline |
| PCR | Polymerase chain reaction |
| PIC | Proteinase inhibitor cocktail |
| Pen-strep | Penicillin-streptomycin |
| PLB | Passive lysis buffer |
| PNK | Proteinase K |
| RIPA | Radioimmunoprecipitation assay buffer |
| RNA | Ribonucleic acid |
| RT-PCR | Reverse-transcription PCR |
| rTA | Tetracycline-controlled transactivator |
| rtTA | reverse tetracycline-controlled transactivator |
| rTETR | reverse Tet repressor |
| SDM | Site directed mutagenesis |
| SEM | Standard error of the mean |
| SF | Serum free |
| Shh | Sonic hedgehog |
| siRNA | Small interfering RNA |
| SMA | Smooth muscle actin |
| SDS | Sodium dodecyl sulphate |
| TA | Tibialis anterior |
| TAE | Tris-acetate EDTA buffer |
| TBE | Tris-borate EDTA buffer |
| TBST | Tris-buffered saline/Tween-20 |
| TCF | T-cell factor |
| TE | Tris-EDTA buffer |
| tetO | tet operator sequences |
| TetR | Tet repressor protein |
| TK | Thymidine kinase |
| TRE | Tetracycline-response element |
| Abbreviation | Full Name |
|--------------|----------------------------|
| Tris | tris{hydroxymethyl}aminomethane |
| TSA | Trichostatin A |
| WT | Wildtype |
Chapter 1
Review of the Literature
1.1 Skeletal muscle: A brief overview
Skeletal muscle is a form of striated muscle tissue responsible for skeletal movements. Skeletal muscles are attached to bones via bundles of collagen fibres known as tendons and are under the voluntary control of the somatic nervous system. An individual muscle is comprised of a bundle of long, cylindrical and multinucleated cells called myofibres which span the muscle lengthwise (Figure 1.1). These are formed from the fusion of many individual muscle progenitor cells (myoblasts) in a process known as myogenesis. In turn, a single myofibre contains many chains of myofibrils within its cytoplasm (sarcoplasm). The myofibrils are composed of actin and myosin filaments which are arranged in structured repeats called sarcomeres; the basic functional unit of a muscle fibre necessary for muscle contraction (Figure 1.1). Surrounding the myofibrils is the sarcoplasmic reticulum which holds a reserve of calcium ions needed for muscle contraction. Contraction of skeletal muscle operates in a process described by the sliding filament theory [Huxley & Niedergerke 1954; Huxley & Hanson 1954]. In this model, “thin” filaments of actin slide over “thick” filaments of myosin, generating tension in the muscle by altering the length of individual sarcomeres and thereby changing both the length and shape of the muscle. Simply put, this process is stimulated by the arrival of neural impulses at neuromuscular junctions, which in turn elicits an influx of Ca$^{2+}$ from the sarcoplasmic reticulum. Ultimately, the Ca$^{2+}$ binds to the troponin C present on the actin-containing “thin” filaments, allowing troponin T to allosterically modulate the tropomyosin. This then unblocks the binding sites for myosin on the actin filaments, allowing for formation of an actin-myosin cross-bridge.
Skeletal muscle is exceptionally plastic and is remarkable in its ability to adapt and regenerate even following extensive damage resulting from traumatic injury or degenerative conditions. Skeletal muscle structure and function can adapt with ease to different stimuli in response to use and disuse; increased work load increases both muscle size and strength [Goldberg et al. 1975; Widrick et al. 2002; Hawley & Holloszy 2009] whilst muscle disuse results in muscle weakness and atrophy [Nicks et al. 1989; Narici & de Boer 2011]. These can include stimuli which modify its contractile activity (inactivity, endurance, exercise) and stimuli which modify imposed load (resistance exercise, unloading). In addition, environmental factors such as heat, oxidative stress [Musaro et al. 2010], and growth factor and nutrient availability also affect muscle function [Husmann et al. 1996; Harridge 2007; Rennie 2007; Schiaffino et al. 2013]. As such, complex cascades of cellular responses triggered by nerve impulses, mechanical stimuli and systemic (e.g. hormonal) cues work together to form, maintain or repair muscle tissue. As skeletal muscle constitutes approximately 50% of the body’s total mass for the average adult, an understanding of the molecular and cellular mechanisms which govern these functions is of high importance. In particular, an understanding of how these mechanisms are dysregulated within the context of abnormal muscle homeostasis and/or function due to injury or disease is crucial. To this end, muscle progenitor cells have been well studied in terms of the molecular programs regulating quiescence, proliferation and differentiation during both embryonic development and adult regeneration. Despite the extensive existing knowledge, there is still much to understand about the control of muscle progenitor cells, particularly in terms of signalling pathways and transcriptional regulatory networks. Such studies could lead to the discovery of novel factors and pathways that
might be modulated therapeutically to treat muscle disease.
1.1.1 Formation of skeletal muscle
During vertebrate embryonic development, transient structures of mesodermal cells called somites can give rise to vertebrae, dermis and muscle. Specifically, epithelial cells on the dorsal aspect of the somites develop into the dermomyotome. The dermomyotome is the subsequent source of all dermal, endothelial and skeletal muscle precursors, thus giving rise to the skeletal muscle of the body and limbs [Chevallier et al. 1977; Christ et al. 1977; Jacob et al. 1978; Denetclaw & Ordahl 2000]. Muscles of the limbs are formed by successive waves of migration of multipotent muscle progenitor cells (MPCs) from the dermomyotome into the developing limb buds [Christ & Ordahl 1995; Mackenzie et al. 1998; Buckingham et al. 2003]. Upon activating the myogenic program once they reach the limb, these precursor cells give rise to proliferating myoblasts that express muscle-specific genes [Rudnicki et al. 1993; Tajbakhsh & Buckingham 1994; Tajbakhsh et al. 1996; Buckingham et al. 2003; Kassar-Duchossoy et al. 2004]. The myoblasts will ultimately withdraw from the cell cycle to fuse with each other forming the multinucleated myotubes that subsequently mature to become skeletal muscle fibres [Cooper & Konigsberg 1961].
1.2 Muscle stem cells: The satellite cell
Like all tissues that are capable of homeostasis and renewal, adult skeletal muscle is dependent upon a mechanism which can compensate for the degradation or loss of terminally differentiated muscle fibres [Pellettieri & Sanchez Alvarado 2007]. This mechanism is provided by satellite cells. Satellite cells are the resident stem cells of adult skeletal muscle, representing the oldest known adult stem cell niche [Mauro
and provide a reserve capacity for postnatal muscle growth and regeneration. Satellite cells reside immediately adjacent to the muscle fibre between the basal lamina and sarcolemma, where they are responsive to molecular cues from the myofibre (Figure 1.1). Their activation results in a ready supply of myoblasts for muscle growth, homeostasis and repair [Bischoff 1975; Konigsberg et al. 1975; Collins et al. 2005]. As well as their unique anatomical niche, satellite cells can be further identified morphologically and histologically by their small nuclear size, a high nuclear:cytoplasmic volume ratio, and the expression of a distinctive set of genetic markers [Mauro 1961; Cornelison & Wold 1997; Seale et al. 2000; Lepper et al. 2009; Yin et al. 2013].
Although stem cell populations from both muscle and non-muscle have emerged as effectors of muscle regeneration, the latter including mesangioblasts [Minasi et al. 2002], endothelial cells [Le Grand et al. 2004], pericytes [Birbrair et al. 2013] and bone marrow stem cells [Bittner et al. 1999], extensive evidence from multiple laboratories has demonstrated that the satellite cell is the primary and indispensable mediator of postnatal skeletal muscle repair [Yin et al. 2013]. In their resting state in undamaged muscle, satellite cells are mitotically quiescent and comprise only a small fraction of all myonuclei (~30% at birth, ~3% by adulthood [Gibson & Schultz 1983; Reimann et al. 2000]). In response to muscle injury, myofibres secrete factors that result in activation of satellite cells, inducing them to undergo asymmetric division [Allen & Boxhorn 1989; Seale et al. 2003; Zammit et al. 2004; Kuang 2007]. Typically this produces one daughter cell that is a committed myoblast able to proliferate and exit the niche, and one which retains stem cell properties and returns to quiescence to
replenish the satellite cell pool [Sacco et al. 2008]. The daughter cells which re-enter the cell cycle divide repeatedly as myoblasts before undergoing myogenic differentiation to form either new post-mitotic myofibres, or fuse with existing fibres to facilitate growth and repair of damaged tissue in a process similar to foetal development.
The number of satellite cells in postnatal muscle tends to remain constant over multiple cycles of muscle degeneration and regeneration, supporting the aforementioned capacity for self-renewal and replenishment of the satellite cell pool [Schultz & Jaryszak 1985; Kuang et al. 2007]. However, satellite cell numbers have been reported to decrease with age [Snow 1977; Gibson & Schultz 1983], suggesting that self-renewal capacity is altered by systemic changes associated with ageing and thus leading to a reduced regenerative capacity.
Figure 1.1: Structure of skeletal muscle
The structure of skeletal muscle (modified with permission from Shahraghim Tajbakhsh [Tajbakhsh 2009] and Peter Zammit [Relaix & Zammit 2012]). The satellite cell niche is located beneath the basal lamina which surrounds the myofibre. Image upper right: a transverse section of a skeletal muscle fibre from rat sartorius identifying a satellite cell [Mauro 1961].
1.3 Muscular dystrophy
The term ‘myopathies’ covers a range of neuromuscular disorders in which the primary symptom of muscle weakness occurs due to dysfunction of the muscle fibre for one of many reasons. Myopathies can be acquired, or can be inherited like many of the muscular dystrophies (MD). Muscular dystrophies encompass a range of disorders caused by genetic mutations resulting in either a dysfunction in, or lack of, proteins that are essential for muscle cell stability [Mercuri & Muntoni 2013]. They are characterized by abnormal myofibre degeneration and regeneration and are
usually progressive, culminating in decline in muscle function. This progressive weakness leads to disability and in some severe forms of MD, cases early death from respiratory or cardiac failure [Gomez-Merino & Bach 2002; Passamano et al. 2012]. The most common life-threatening childhood form of MD is Duchenne muscular dystrophy (DMD), an X-linked recessive disorder estimated to affect approximately 1 in 3500 male newborns [Emery 1991]. Life expectancy for boys with DMD is around 20 years, with most patients unable to walk by 12 years of age. Treatment to date remains largely palliative with physiotherapy and occupational therapy. Despite advancement over the last decade there remains no cure, and current treatment aims only to manage symptoms, slow progression and prevent complications [Wagner et al. 2007; Bushby et al. 2010].
The DMD phenotype arises from deletions, duplications or mutations within one or more of the exons that constitute the dystrophin gene, resulting in a lack of functional dystrophin [Hoffman et al. 1987]. The dystrophin gene is the largest gene identified to date, and due to its vast size (2.6 million bp, 79 exons) sporadic mutations occur frequently, accounting for a third of all cases. Dystrophin is a vital structural protein which protects the myofibres from damage during contraction. It links the internal cytoskeleton of a muscle fibre to the extracellular matrix, permitting transmission of the forces of contraction from within the myofibre to the surrounding matrix [Nowak & Davies 2004]. In the absence of dystrophin, myofibres eventually rupture and necrose. In theory, satellite cell activation and the subsequent expansion of their myoblast progeny in response to cues generated by myofibre damage should allow for considerable muscle repair. However, despite the remarkable regenerative
capacity of muscle, in humans the constant demand for repair in DMD appears to create a situation in which regeneration cannot keep pace with the rate of degeneration [Ruegg & Glass 2011]. The process of muscle regeneration involves considerable remodelling of the extracellular matrix, and this may become aberrant. Muscles in DMD patients begin to exhibit extensive fibrosis, calcium deposits and fatty inclusions (e.g. scar tissue) due to overactivity of fibroblasts and myofibroblasts, as well as a dysregulation of myoblast plasticity. The replacement of myofibres with scar tissue further impairs muscle function, reducing the regenerative capacity and accelerating deterioration [Alexakis et al. 2007]; it also leads to an enlarged muscle in a condition known as pseudohypertrophy [Cros et al. 1989].
The DMD phenotype is generally thought to involve senescence of satellite cells driven by the constant pressure of repeated rounds of activation. The continuous participation of satellite cells in response to muscular regeneration is suggested to result in a significant reduction in their cumulative proliferation potential [Schultz & Jaryszak 1985; Day et al. 2010]. As support for this model, myoblasts from DMD patients show a reduced replicative potential which reaches near exhaustion by 7 years of age [Blau et al. 1983; Webster & Blau 1990]. Additionally, Renault and colleagues reported that myoblasts cultured from a DMD patient ceased to divide after 13 population doublings, in comparison to the 30 population doublings observed with an age-matched control [Renault et al. 2000]. However, recent work has challenged this model by demonstrating that the satellite cells themselves do not harbour any inherent defects in regenerative capacity, and are as functional as wildtype-derived satellite cells once removed from the dystrophic environment.
Some of these discrepancies may relate to the different behaviour of the satellite cell reservoir versus their myoblast progeny, and the responses of the cells to different *in vitro* culture conditions.
An early treatment strategy investigated for DMD was the transplantation of satellite cell-derived myoblasts into dystrophic muscle. Studies have shown fusion of donor nuclei with host myofibres up to six months following transplantation accompanied by increases in dystrophin-positive fibres with little fibrosis observed between fibres [Huard et al. 1991; Tremblay et al. 1993; Gussoni et al. 1997]. Currently, however, there are considerable limitations in myoblast and muscle stem cell transplantation therapies related to immune response, delivery, engraftment efficiency and limited migration of transplanted cells from the transplant site [Meng et al. 2011; Bareja & Billin 2013; Maffioletti et al. 2014]. There has been little evidence of clinical benefit for these transplant approaches in humans.
### 1.3.1 *Mdx* mice: a DMD model
The most widely used model of DMD is the *mdx* mouse. Like DMD patients, the *mdx* mouse lacks functional dystrophin. *Mdx* mice experience initial myofibre necrosis at age 2-4 weeks [Cullen & Jaros 1988], however they quickly recover. After this initial period, *mdx* mice have a muscle pathology that progresses slowly, and they demonstrate only a mild dystrophic phenotype with very little muscle wasting and a marginally (20%) shortened lifespan [Bulfield et al. 1984; Hoffman et al. 1987; Lefaucheur JP 1995; Chamberlain et al. 2007]. Except for the diaphragm muscle, deletion of dystrophin in mice does not result in formation of fibrous connective tissue, nor does it result in loss of muscle mass. This phenotype is therefore much
less severe than that observed in humans and as such does not provide an ideal model for analysis of DMD therapies. The difference in severity is potentially due to a greater regenerative capacity in mice which is mediated partly by factors inherent in murine muscle stem cells and their descendent myoblasts including greater self-renewal capacity and longer telomeres. Consistent with this idea, an \( mdx \) model which also lacks telomerase (mTR) activity [Sacco et al. 2010] shows a more severe, rapidly progressing phenotype accompanied with a greatly reduced lifespan.
Improving the regenerative capacity of muscle in humans opens up the potential to slow or even halt disease progression. To do so requires an understanding of the pathways that regulate skeletal muscle development and repair and to understand how these may become dysregulated in disease states such as DMD. However, this requires animal models that faithfully recapitulate the severe phenotypes observed in human muscle disease. This would ultimately allow for identification of new therapeutic targets and pathways, and provide a platform for testing the efficacy of new genetic, stem cell or pharmacologic therapies for treatment.
### 1.4 Molecular regulation of myogenesis
Our understanding of skeletal muscle regeneration has greatly improved in recent years due to advances in genetics, molecular biology and cell biology. Extensive research on satellite cells following their discovery in 1961 [Mauro 1961] has elucidated many mechanisms which underlie the process of muscle regeneration. Perhaps the most significant finding to date is the discovery of the myogenic regulatory factors (MRFs) which function as nodal points for flow of myogenic information [Thayer et al. 1989; Montarras et al. 1991; Tapscott & Weintraub 1991;
The MRFs form a family of four highly related transcription factors each containing a conserved basic helix-loop-helix (bHLH), motif which are collectively expressed in the skeletal muscle lineage.
1.4.1 Myogenic Regulatory Factors
The members of the MRF family, MyoD, Myf5, myogenin and MRF4 (also known as Myf6), have been studied in depth since their initial discoveries [Tapscott et al. 1988; Braun et al. 1989; Edmondson & Olson 1989; Rhodes & Konieczny 1989; Wright et al. 1989; Braun et al. 1990] and have been shown to play critical roles in both myogenic determination and myogenesis. During early embryonic muscle development, members of the MRF family have distinct but overlapping patterns of gene expression [Rawls et al. 1998; Kablar & Rudnicki 2000; Kablar et al. 2003]. Specifically, in the somite Myf5 is the first MRF expressed, beginning at embryonic day (E)8 and preceding myogenic differentiation [Ott et al. 1991]. This is followed by myogenin expression in the myotome at E8.5 and MyoD at E10 [Sassoon et al. 1989]. MRF4 is expressed transiently in the myotome between E9 and E11.5 but is subsequently downregulated. Later in development, MRF4 is again expressed in differentiated muscle fibres [Bober et al. 1991; Hinterberger et al. 1991], suggesting a role in the late stages of muscle development. In addition, there is also variation in the expression of MRFs within the compartments of the myotome itself; Myf5 is initially expressed in the dorsal-medial half, MyoD in the ventral-lateral half, and both myogenin and MRF4 are expressed in the whole myotome [Smith 1994].
The distinct but overlapping roles of the MRFs has been further demonstrated through the generation of knockout mice. Whilst an unexpectedly normal skeletal
muscle phenotype has been reported for *Myf5* and *MyoD* knockout mice [Braun et al. 1992; Rudnicki et al. 1992], double *Myf5/MyoD* mutants were observed to form no skeletal muscle due to absence of the precursor myoblast population [Rudnicki et al. 1993]. In these mice, cells in the somite which would otherwise become myoblasts do not locate correctly to sites of myogenesis and instead adopt other cell fates [Tajbakhsh et al. 1996; Kablar et al. 1999]. In contrast to *MyoD* and *Myf5* null mice, studies on *myogenin* knockout mice have revealed that an absence of myogenin expression results in a severe reduction of all skeletal muscle leading to death immediately after birth [Hasty et al. 1993; Nabeshima et al. 1993; Venuti et al. 1995]. These mice also exhibit a reduction in MRF4 expression as well as the skeletal muscle fibre marker myosin heavy chain (MHC), whereas MyoD levels remain normal [Hasty et al. 1993]. The end result is thus diffuse myofibre formation and an abundance of undifferentiated myoblasts. Similarly, mice lacking MRF4 have no prominent muscle defects but show an increase in myogenin expression [Braun & Arnold 1995; Zhang et al. 1995], likely in compensation for the lack of MRF4. Taken together, these findings suggest a two-step model for muscle development in which MyoD and Myf5 act in a redundant fashion upstream of myogenin and MRF4 to establish the myogenic lineage and specify myoblasts for terminal differentiation. Myogenin and MRF4 are more directly involved in the differentiation process, regulating the expression of myotube-specific genes. These factors are therefore organised in a hierarchical gene expression network which can be spatiotemporally induced or repressed during lineage progression and regeneration.
The MRF pathway possesses a remarkable ability to convert a variety of nonmyogenic cell types, such as chondroblasts and the 10T½ and NIH3T3 fibroblasts, into muscle via activation of the myogenic program [Tapscott et al. 1988; Edmondson & Olson 1989; Choi et al. 1990; Russo et al. 1998]. In addition to activating the expression of structural genes required for skeletal muscle, members of the MRF family are capable of activating expression of other members in a hierarchical cascade fashion, as well as maintaining their own expression through a series of auto- and cross-regulatory networks [Braun et al. 1989; Edmondson & Olson 1989; Thayer et al. 1989; Naidu et al. 1995; Berkes et al. 2004]. This provides a level of redundancy whereby MRFs mutually reinforce a fail-safe mechanism for myogenic commitment of the cell.
As mentioned, all MRF members contain a conserved basic helix-loop-helix (bHLH) element. The majority of bHLH proteins function as dimers through their helix-loop-helix motif and bind to the consensus DNA sequence CANNTG [Ephrussi et al. 1985], known as an E-box; a motif found in the promoters of many muscle-specific genes [Massari & Murre 2000]. Due to the complex nature of gene regulatory networks, it is unlikely that the MRFs would be capable of independently regulating this gene expression profile. Supporting this, analysis of MRFs as transcriptional activators has clearly shown that the function of the MRFs in regulating target gene expression is coupled to that of other transcription factors and co-activators. The bHLH proteins form a large superfamily of transcription factors that can be loosely grouped in to two categories: the class II tissue-specific category, such as the MRF family, and the class I ubiquitously expressed E-proteins, including E12, E47 and HEB [Jones 2004]. Although the class II proteins, including the MRFs, are able to form weak
homodimers, they preferentially heterodimerize with the E-proteins, which on their own are non-myogenic [Braun & Arnold 1991; Lassar et al. 1991; Hu et al. 1992]. Specifically, recent work suggests that the E-protein HEB is preferentially expressed in developing muscle, and may be the primary E-protein that cooperates with MRFs in regulating skeletal muscle differentiation [Conway et al. 2004; Parker et al. 2006; Londhe & Davie 2011]. In addition to the HLH domain, a 12 amino acid basic domain of the MRF family mediates DNA binding. The basic domain with the central alanine and threonine (AT) residues, is crucial for binding to promoters of muscle-specific genes, and is absent from non-myogenic bHLH proteins [Davis et al. 1990; Davis & Weintraub 1992; Weintraub et al. 1994; Heidt et al. 2007]. This specific sequence is critically required for myogenic potential as mutation of these residues within MyoD renders it non-myogenic [Davis et al. 1990; Ma et al. 1994; Black et al. 1998]. The heterogeneity in the dimers formed by different MRFs and E-proteins, and thus the specific E-box sequences recognised, determines in part how MRFs are able to control different aspects of myogenesis. In spite of this, there are a number of skeletal muscle genes that can be activated by the MRFs despite the lack of obvious E-boxes in their control regions. This suggests that MRFs may also activate muscle-specific gene expression by indirect mechanisms [Thompson et al. 1991; Parmacek et al. 1994], possibly through downstream transcription factor targets.
1.4.2 Myocyte Enhancer Factors
In addition to MRFs, regulation of myogenesis is mediated by the myocyte enhancer factor-2 (MEF2) family of MADS (MCM1, Agamous, Deficiens, Serum Response Factor)-box transcription factors, consisting of four independent genes: *mef2a*, *mef2b*, *mef2c* and *mef2d* [Yu et al. 1992]. MEF2 proteins can act as co-factors for
MRF-mediated activation. For example, although they cannot induce myogenesis alone in transfected fibroblasts, they can act with MRFs to synergistically activate muscle-specific genes and increase the extent of myogenic conversion observed with an MRF alone [Molkentin et al. 1995; Molkentin & Olson 1996; Black et al. 1998]. Studies on the desmin promoter demonstrate this cooperativity [Li & Capetanaki 1993; Li & Capetanaki 1994], and a mechanism for enhancer-promoter communication has been proposed. MEF2 factors share a highly conserved 86 amino acid region that encodes the MADS and MEF2 domains, which mediate DNA binding and dimerization respectively [Molkentin & Olson 1996]. MEF2 factors recognise and bind AT-rich domains (consensus sequence of CC(A/T)₆GG) called CArG-boxes within the promoters of muscle-specific genes [Andres et al. 1995]. Whilst the MEFs are mostly ubiquitous, MEF2C expression is restricted to skeletal muscle, brain and spleen, and has highly enriched DNA-binding activity in muscle cell types [Martin et al. 1993; Naya et al. 1999]. To date, most of the muscle-specific genes examined have been found to contain MEF2 binding sites in their control regions, including the MRFs [Thompson et al. 1991; Edmondson et al. 1992; Cheng et al. 1993; Buchberger et al. 1994; Parmacek et al. 1994; Black et al. 1995]. Likewise, members of the MRF family can activate the expression of MEF2 factors [Cserjesi & Olson 1991; Yu et al. 1992; Dodou et al. 2003], suggesting that MRF and MEF2 factors function in a complex network by auto- and cross-activating their own and each other’s expression to coordinate the myogenic program. Evidence also suggests that members of the MEF2 family may act as co-regulators of MRF-mediated transcription through recognition of the MRF basic region described previously, resulting in direct protein-protein interactions [Molkentin et al. 1995; Naidu et al. 1995; Black et al. 1998]. In support of
this, activation of the myogenin promoter by Myf5 and MyoD requires a MEF2 site but not an E-box motif [Johanson et al. 1999].
1.4.3 The Pax family
Members of the paired-homeobox (Pax) family of transcription factors play a critical role in the genetic hierarchy that leads to the formation and maintenance of skeletal muscle. The Pax family comprises nine members (Pax1-9), which possess both a paired domain and a paired-type homeodomain capable of mediating sequence-specific DNA binding [Walther et al. 1991]. Collectively, *Pax* genes have important functions in regulating development and differentiation of diverse cell lineages during embryogenesis. The Pax3 and Pax7 members play a pivotal role in myogenesis. These factors have similar protein structures and overlapping expression patterns during mouse embryogenesis [Jostes et al. 1990; Goulding et al. 1991]. Two studies have previously identified a proliferating population of Pax3+/Pax7+ cells that are absent of skeletal-muscle-specific markers in embryonic muscles of the limbs [Kassar-Duchossoy et al. 2005; Relaix et al. 2005]. This population was observed to constitute the resident muscle progenitor cells that will become myogenic, form skeletal muscle and also give rise to satellite cells postnatally. In addition, due to the high homology of both the paired domain and paired-type homeodomain of Pax3 and Pax7, they bind to the same sequence-specific DNA elements (paired domain: GTCAC(A/G)(C/G)(A/T)(T/C), homeodomain: ATTA) [Chalepakis et al. 1994; Schafer et al. 1994; Chalepakis & Gruss 1995], suggesting regulation of similar sets of target genes. An example of likely functional overlap can be seen in the translocations that lead to the expression of activating Pax3-FKHR and Pax7-FKHR fusion proteins. These are equally associated with development of alveolar rhabdomyosarcomas, cancers of
Currently Pax3 and Pax7 are believed to have some overlapping but mostly non-redundant roles in embryonic myogenesis and establishment of the satellite cell lineage [Buckingham & Relaix 2007]. Studies using *Pax3* and *Pax7* mutant mouse models suggest that Pax3 is important for mediation of the progenitor migratory phase [Relaix et al. 2004], whilst Pax7 is essential to achieve myogenic potential and maintain satellite cell self-renewal [Seale et al. 2000; Wen et al. 2012]. In the absence of both Pax3 and Pax7 expression, myogenesis arrests during the late stages of embryogenesis [Relaix et al. 2005]. Overall, Pax3 and Pax7 are both critical for ensuring the survival of embryonic muscle progenitors and adult satellite cells. Despite this understanding, many of their specific functions and targets remain to be elucidated.
### 22.214.171.124 *Pax3*
Pax3 is required for somite segmentation and formation of the dermomyotome [Schubert et al. 2001; Relaix et al. 2004], but is also required for multiple aspects of embryonic limb myogenesis including migration of muscle progenitors to the limb buds. In the absence of Pax3 expression, all limb muscle is absent [Bober et al. 1994; Daston et al. 1996; Relaix et al. 2004] due to failure of myogenic progenitors to populate the developing limb buds, and there is no detection of Pax7 positive cells [Hutcheson et al. 2009]. Pax3 is an upstream effector of MRF expression: it can induce MyoD and Myf5 expression [Maroto et al. 1997] and directly binds to and activates enhancer regions of the *Myf5* [Bajard et al. 2006] and *MyoD* genes [Tajbakhsh et al. 1997; Hu et al. 2008]. Moreover, double-mutant *Pax3/Myf5* mice lack expression of
MyoD and are devoid of all body muscles [Tajbakhsh et al. 1997; Kassar-Duchossoy et al. 2004]. Although Pax3 is essential for embryonic myogenesis, there is no apparent role for Pax3 in adult muscle regeneration due to the absence of expression in the majority of satellite cells and adult myoblasts [Schafer et al. 1994; Montarras et al. 2005; Relaix et al. 2006].
126.96.36.199 Pax7
In contrast to Pax3, Pax7 is dispensable for embryonic myogenesis even though it is expressed in proliferating embryonic muscle progenitors [Jostes et al. 1990; Seale et al. 2000; Zammit et al. 2006]. It does, however, play a critical role in the maintenance and function of satellite cells during postnatal growth and regenerative myogenesis [Seale et al. 2000; Kuang et al. 2006; Hutcheson et al. 2009; Sambasivan et al. 2011; von Maltzahn et al. 2013]. This conclusion is largely based on analysis of Pax7-null mice which exhibit no overt defect during embryonic development, but contain a reduced number of satellite cells at birth. These mice also show progressive loss of the satellite cell lineage in muscle throughout postnatal development due to apoptosis and cell-cycle defects [Seale et al. 2000; Oustanina et al. 2004; Kuang et al. 2006]. As expected, this is accompanied by a reduction in muscle size, reduced formation of myofibres, fewer nuclei per myofibre, reduced fibre diameter, a severely compromised ability to regenerate following skeletal muscle injury (evidenced by fibrotic and adipose tissue deposits) and poor survival [Kuang et al. 2006; Sambasivan et al. 2011; von Maltzahn et al. 2013]. Importantly, Pax3 is unable to replace the function of Pax7 in satellite cells [Relaix et al. 2006].
Pax7 is often considered to be the canonical marker of satellite cells. In situ
hybridization has shown that Pax7 is uniformly expressed in the quiescent satellite cells residing in adult skeletal muscle [Seale et al. 2000]. Furthermore, by employing a representational difference analysis technique, Seale and colleagues demonstrated that Pax7 was specifically expressed in cultured satellite cell-derived myoblasts and was downregulated following myogenic differentiation [Seale et al. 2000]. Pax7 overexpression has been shown to delay myoblast differentiation, in part by downregulating and inhibiting the functions of MyoD and myogenin [Zammit et al. 2006; Olguin et al. 2007; Otto et al. 2009], and promoting cell cycle exit [Olguin & Olwin 2004]. Evidence to date therefore suggests that Pax7 is important for satellite cell survival and self-renewal, and for allowing satellite cells to reacquire a quiescent state, thus maintaining the satellite cell pool during muscle regeneration.
1.5 The Barx2 homeobox protein
Homeobox genes are a large family of related genes required for directing the formation of many body structures (morphogenesis) during early embryonic development. These genes encode homeodomain proteins that contain a DNA-binding domain (homeodomain, ~60 aa) which recognises the DNA motif TAAT [Odenwald et al. 1989]. Homeobox proteins typically function in cooperation with other regulatory factors, which may be from a broad range of structural classes. Due to the role of homeobox proteins in embryonic development, mutations within these proteins or misregulation of the genes often produce easily visible phenotypic changes. As such, disruption of the normal gene expression is responsible for a wide variety of developmental disorders. Several homeobox transcription factors regulate early formation and patterning of muscles. They can also play important roles in
postnatal satellite cells, although their functions and interrelationships with other factors may differ in the embryonic and adult contexts. Such homeobox factors include members of the muscle segment homeobox (Msx), Ladybird homeobox (Lbx) and pituitary homeobox (Pitx) families, all of which have been shown to be expressed in somites and/or muscle progenitor cells [Bendall et al. 1999; Gross et al. 2000; Dong et al. 2006; Shih et al. 2007; Watanabe et al. 2007].
Studies in the Meech laboratory, in which this doctoral research was undertaken, have focused on the role of the Barx homeobox family. The Barx family consists of two members, Barx1 and Barx2. Within our research group the Barx2 protein and its role during myogenesis is of particular interest. The *Barx2* gene is found in all mammalian species as well as chicken and zebrafish. Conservation of Barx2 protein is fairly high throughout these species, with the mouse Barx2 protein sharing approximately 88% homology with human, 74% with chicken and 66% with zebrafish [Makarenkova & Meech 2012].
### 1.5.1 Barx2 expression and a role in myogenesis
As homeobox genes such as Barx2 typically control embryonic development and tissue patterning, it is important to know their developmental expression pattern in order to understand their morphogenetic functions. During embryonic development, Barx2 is expressed in restricted patterns in many epithelial tissues. These include the nervous system, kidney, skin, hair follicles, lacrimal and lung buds, among others [Jones et al. 1997; Smith & Tabin 1999; Olson et al. 2005; Tsau et al. 2011]. Barx2 expression continues past embryogenesis, and in newborn mice Barx2 expression remains high in the skin, hair follicles, vibrissae follicles (in whisker pads),
reproductive tissues and kidney [Makarenkova & Meech 2012]. Previous work arising from the laboratory has shown the critical role of Barx2 in development of the musculoskeletal system. In mice, Barx2 is observed in the somites, limb mesenchyme and early dorsal and ventral muscle masses at E10-11, as well as later in the joints and muscle masses of developing limbs [Jones et al. 1997; Meech et al. 2005; Makarenkova & Meech 2012]. Histological analyses of Barx2 protein in sections of embryonic (E13.5) and foetal (E18.5) mouse limbs has revealed expression of Barx2 in a subset of nuclei within primary myofibres, as well as in nuclei located between the fibres which are likely to be proliferating myoblasts due to co-expression of MyoD [Meech et al. 2012]. Barx2 is also co-expressed with Pax7 in embryonic and foetal muscle and in cultured myoblasts derived from early postnatal mice [Meech et al. 2012]. In newborn mice Barx2 is expressed in the growing limb muscles [Makarenkova & Meech 2012], and in uninjured adult muscle Barx2 is expressed in almost all Pax7-expressing cells. Together these data suggest that Barx2 marks quiescent and activated satellite cells as well as their proliferating myoblast progeny. In addition, Barx2 is expressed in a number of cells in muscle which are absent of Pax7 expression [Meech et al. 2012] and these may represent fibroblasts, other interstitial cells, and/or pericytes. Barx2 also plays a critical role in muscle regeneration as determined by our previous work in a cardiotoxin injury model. During the early stages of regeneration in cardiotoxin-injured adult muscle, when satellite cells are giving rise to a pool of proliferating myoblasts, Barx2 mRNA and protein are highly induced. Specifically, Barx2 protein can be observed to be co-expressed with Pax7 and MyoD, demonstrating its role in regeneration in satellite cells and their myoblast progeny [Meech et al. 2012].
1.5.2 *Barx2* null mice show skeletal muscle dysfunction and defective muscle repair
Gene knockout studies show that Barx2 is functionally important for muscle regeneration. A germline *Barx2* null mouse model generated by Olson and colleagues [Olson et al. 2005] has been used by our research group to assess the roles of Barx2 in myogenesis. The *Barx2* null mouse model was generated by deletion of the region of the gene encoding the homeodomain and the C-terminus, leaving only the N-terminal portion of Barx2 intact. This was fused in-frame with a β-galactosidase gene, thus ablating function of Barx2 and simultaneously allowing for assessment of Barx2 expression patterns [Olson et al. 2005]. At present, any residual functions in myogenesis that the N-terminal domains of Barx2 may have in this model are unknown. Using this mouse model, a number of observations related to skeletal muscle have been made. Firstly, not unlike *Pax7* null mice, no obvious defects in embryonic muscle development are observed. No differences in muscle size or morphology can be seen in *Barx2* null embryos (E12.5 – E18) and there is no difference in body weight between wildtype, heterozygous, and null siblings at birth [Meech et al. 2012]. However, after birth *Barx2* null mice begin to exhibit a growth delay: by postnatal day (P)4, *Barx2* null mice show a subtle 10% reduction in body weight relative to their wildtype (WT) or heterozygous siblings, and by P28 this difference is more pronounced with *Barx2* null mice approximately 25% smaller [Meech et al. 2012]. Moreover, the reduction in the masses of skeletal muscles (tibialis anterior (TA), quadriceps and soleus muscle) in null mice was disproportionately greater than the reduction in overall body mass and the mass of other organs such as the kidneys [Meech et al. 2012]. This suggests that the reduction
in total body weight may be due to reduced muscle growth.
In addition to a delay in postnatal muscle formation, histological analysis of adult *Barx2* null mice has revealed differences in muscle architecture when compared to muscles of wildtype mice. Multiple defects including narrower myofibres, an increased variability of fibre sizes and a larger distance between myofibres have been observed in *Barx2* null mice, as well as collagen deposits suggesting increased and ongoing fibrosis [Meech et al. 2012]. The musculoskeletal phenotype worsens as the mice age, with *Barx2* null mice displaying spinal curvature and a “waddling” gait from around 12 months of age [Meech et al. 2012], although these phenotypes have varying penetrance. Acute muscle injury experiments with cardiotoxin to assess muscle regeneration have revealed a significant delay in the ability of *Barx2* null mice to regenerate fibres. In contrast to wildtype mice which show almost complete myofibre regeneration by 10 days post injury, *Barx2* null mice show very few regenerated fibres by this time. Instead, mice null for Barx2 expression exhibit disorganised morphology with necrotic fibres, myotubes of different sizes, undifferentiated myoblasts and calcium deposits [Meech et al. 2012]. During this regeneration phase, it appears that loss of Barx2 alters the normal temporal pattern of gene expression, as assessed by induction of markers of regeneration. Specifically, induction of cyclinD1 and myogenin was delayed and lower in knockout mice, and the myofiber marker myosin heavy chain 4 (Myh4) remained lower in *Barx2* null mice even at 12 days post injury [Meech et al. 2012].
In summary, the *Barx2* null mouse model shows profound deficits in adult skeletal muscle maintenance and repair but no defects during embryonic development,
suggesting the most important role for Barx2 is in postnatal and adult myogenesis. This shows parallels with the *Pax7* germline null mouse model, discussed previously [Mansouri et al. 1996; Oustanina et al. 2004]. The fact that Barx2 expression also correlates with expression of Pax7 in myoblasts and satellite cells during muscle development further suggests that they may function in common myogenic pathways.
### 188.8.131.52 Barx2/mdx double mutant mice
As discussed earlier, *mdx* mice are the most widely used model for DMD. The role of Barx2 in chronic muscle injury and repair has previously been assessed by interbreeding *Barx2* mutant mice and *mdx* mice and then extensively backcrossing onto the *mdx* strain background [Meech et al. 2012]. In crosses between *mdx* mice and mice heterozygous for Barx2, *Barx2^{−/−}:mdx* pups were underrepresented by weaning age. In those *Barx2^{−/−}:mdx* mice that did survive, there was reduction in total body and muscle masses when compared to *Barx2^{+/+}:mdx* mice. Moreover, whilst a 30% reduction in total body weight was observed, a much greater 50% reduction in TA muscle weight was observed [Meech et al. 2012]. This was accompanied by irregular organization, variability in myofibre size, and fibrosis in the TA. Development of spine deformation and progressive weakness was also seen in 6 month old *Barx2^{−/−}:mdx* mice [Meech et al. 2012]. Although similar characteristics can also be observed in *Barx2^{+/+}:mdx*, they appeared with greater penetrance and much earlier in *Barx2^{−/−}:mdx* mice. This information provides further support for a role for Barx2 in maintenance of satellite cell and myoblast function in postnatal muscle repair. It suggests that loss of Barx2 in *mdx* mice tips the balance between degeneration and regeneration, leading to a more severe dystrophic phenotype.
which is reminiscent of human DMD. Interestingly, a similar conclusion was drawn about the critical role of satellite cell-mediated regeneration in MD progression from studies of *mdx* mice lacking telomerase expression in satellite cells [Sacco et al. 2010]. In this case the severe phenotype was proposed to be due to satellite cell exhaustion, whilst in the *Barx2−/−/mdx* mice the phenotype more likely results from satellite cell and myoblast dysfunction.
### 1.5.3 Functional domains and gene targets of Barx2
Interspecies homology of the centrally located Barx2 homeodomain is very high. The mouse Barx2 homeodomain has 100% homology to other mammals and 98% homology to zebrafish. Immediately following the homeodomain, Barx1 and Barx2 share a region encoding for a stretch of 17 amino acids enriched with basic residues (PTKPKGRPKKNSIPTS) called the Barx Basic region (BBR) [Jones et al. 1997]. The role of the Barx2 BBR has been investigated and research suggests that whilst the homeodomain is sufficient to allow binding to homeobox binding sites (HBS), the BBR has a function in determining specificity of interactions between Barx2 and different target genes [Edelman et al. 2000]. The BBR appears to be unique to Barx1 and Barx2 proteins.
The Barx2 protein can be further divided into amino terminal (N-terminal) and carboxyl terminal (C-terminal) functional domains which have been the subject of a number of studies. Three motifs within the N-terminus possess potential functions: a leucine zipper motif, an engrailed homology domain 1 (Eh1) motif and a polyalanine (A) tract (9 residues in mouse) (Figure 1.2). Briefly, the leucine zipper motif can be found in several transcription factors and is involved in mediating protein-protein
interactions, and the polyalanine tract has been associated with developmental abnormalities when increased in residue length [Kouzarides & Ziff 1988; Shanmugam et al. 2000; Utsch et al. 2002]. The Eh1 motif is a short region generally possessing a repressive function through recruitment of members of the Groucho/TLE family of corepressors [Kobayashi et al. 2001; Muhr et al. 2001; Copley 2005; Olson et al. 2005]. In contrast, the C-terminus of Barx2 has fewer obvious functional motifs, but does contain a region rich in acidic residues [Jones et al. 1997] which can be involved in transcriptional activation [Lin & Green 1991] (Figure 1.2).
A.
```
atgcactgccaacgggaacctgaggtctagactccaccggcagctcaaaacgacgaggcg
MHHAASLLLSPEQOLKAARR
cyctcaagaaccttcatgatcgatgaalocctctcaagagacgtcgactacttttgg
RYKTFMIDEILSKETCOYFE
aaattttccctctactcttggtgcccgctcgctggttgccgacccaaagcccttcactct
KLSLYSVCFSLVVVRPKPLHS
tgtaccggtttcccttccctacggcatatctctctctgtgtatcacccggcagccc
CTGSPSLRAYPLLSVITRQP
acagtcatcttccaccttgttcccaaccgctcgggacttacccagtttaactcgcctat
TVISHLVPTGSGLTPVLTRH
ccagtccgctcgccagcggcggcgtctgtctgtgtgagacccctgtgtgagccgcta
PVAAASAAANAEETPGGEAL
gcagcagcggttcagagagagaacgycgccagccagggagagagacacacagagag
AEECETEQTPROKARIS
cgcaccaatttacggacgtcgacgtatcgggcttagagaagaattccagaajcagaaq
RTIFTELOLMGLEKKFQKQK
tatttgtctaccccaacagttgaccttgcccaagtctcttggaactcttcagctgcaa
YLSTFPDRDLAQSLGLTQLQ
gtgaacacttggtatcacaatcgcaagatgaaatgaaagatgtctcttaaagtgga
VKTWYQNRRMKWKKKMVLKGG
cagaaacacccaaacacttaagggggcccctaaagaaattccatcccaacatcaag
QEAPTKPKGRPKNSIPTSE
gagatcagagatcagagatcagagacgtctctctcccaagtgctgctggaat
EIAEAKNQAQSFELES
tcggagagacagggagccctgtgtatccacggagcccaaggctgcttctgcccttd
SERQEEPCDTQEPKACLVPL
gaggtgccgaaacttattccacgcccccaaggttatcagaaccttctcttgaaacccca
EVAEPIHQPQELSEASSEPPP
ccattaaactaa
PILS-
```
B.
```
NH2 [LLL L LL] COOH
```
Engrailed homology domain
Putative leucine zipper
Polyalanine tract
Homeodomain
Barx basic region
Acidic domain
**Figure 1.2: Sequence and schematic of Barx2 protein**
(A): mRNA and protein sequence of murine Barx2. (B): Schematic representation of murine Barx2 protein.
Initially, overexpression of Barx2 in the mouse embryonic NIH3T3 fibroblast cell line to examine regulation of the mouse L1-CAM (cell adhesion molecule) promoter found that Barx2 mediated transcriptional activation when the CCATTAGPyGA motif was present in the promoter construct, but repressed the activity of promoter constructs lacking the motif [Jones et al. 1997]. This first highlighted the idea that Barx2 contains domains that mediate both activation and repression. Using N-CAM luciferase reporter plasmids in a neural cell line, promoter-reporter assays have been used to investigate the functional domains of Barx2 [Edelman et al. 2000]. A repressive function within the amino terminus was identified, with a construct consisting of the amino terminal region plus the homeodomain and BBR (HDBBR) resulting in a strong repression of the N-CAM promoter. In contrast, a construct consisting of the carboxyl terminus plus HDBBR resulted in a 2-fold activation of the N-CAM promoter. Together, the N-terminal and C-terminal domains appeared to antagonize each other’s functions, with the overall effect of the full length (intact) Barx2 construct being mildly repressive [Edelman et al. 2000]. More recently, interactions between Barx2 and two known co-activators of myogenesis, proliferator-activated receptor γ-coactivator 1 (PGC-1) and CREB-binding protein (CBP), were demonstrated [Makarenkova et al. 2009]. These interactions are likely via the C-terminal activation domain of Barx2. In a study by Olson and colleagues [Olson et al. 2005], the N-terminal domain of Barx2 was again shown to have a repressive function. Specifically, Barx2 was shown to repress its own gene promoter via interactions with various corepressors as described further in a subsequent section. Collectively, the data discussed here indicate that the function of Barx2 is context-dependent. It is likely that it involves interactions with multiple cofactors via multiple different Barx2
Barx2 has been shown to be a direct regulator of genes involved in many processes critical for myogenesis including cell migration, cytoskeletal remodelling, cell proliferation and cell differentiation. Several muscle-specific gene promoters with binding elements for MRFs and MEF proteins also contain conserved HBS elements clustered with these binding motifs. Chromatin immunoprecipitation (ChIP) assays with Barx2 antibodies have demonstrated binding of Barx2 to some of these muscle-specific genes such as myogenin, myosin heavy chain II, myosin light chain I and smooth muscle $\alpha$-actin (SMA) [Makarenkova et al. 2009]. In myoblasts, Barx2 can regulate expression of SMA [Makarenkova et al. 2009], a marker of myoblast differentiation which appears to be important for both migration and changes in cell shape prior to fusion [Schevzov et al. 1992; Springer et al. 2002]. Intriguingly, whilst Barx2 modestly activated the SMA promoter via a conserved HBS motif, the activation was much more potent when MyoD was co-expressed and bound to a neighbouring E-box motif [Makarenkova et al. 2009]. In contrast, myoblasts isolated from *Barx2* null mice have reduced/delayed SMA expression, which may be related to their reduced production of cellular processes as well as slower migration and fusion [Makarenkova et al. 2009]. Myoblasts lacking Barx2 expression may be less proliferative, and have been clearly shown to have delayed differentiation compared to wildtype myoblasts [Meech et al. 2003; Makarenkova et al. 2009; Meech et al. 2010]. Preliminary evidence suggests that cyclinD1, myogenin and MyoD are regulated by Barx2 and as such may contribute to these phenotypes; whether these are due to direct interactions between Barx2 and target gene promoters, and
whether they involve other transcription factors is unknown. Taken together, Barx2 appears to function at multiple levels to regulate proliferation, migration and differentiation of myoblasts, and likely acts cooperatively with members of the MRF family and other proteins to coordinate these processes.
1.5.4 Regulation of Barx2
Bioinformatics analyses of the Barx2 proximal 400 bp promoter has identified a cluster of binding motifs for factors which are known for their critical roles in muscle-specific gene regulation [Meech et al. 2003]. This region, which is also highly conserved between mouse and human, contains E-box motifs recognised by the MRFs, and CArG boxes recognised by both MEF2 family members and serum response factor (SRF). The conserved E-box motif most proximal to the CArG box is essential for activation of the Barx2 promoter by MyoD and myogenin, and the CArG box is also important for regulation by these MRFs [Meech et al. 2003; Makarenkova & Meech 2012], suggesting cooperation for control of Barx2 expression in myoblasts. Thus, not only does Barx2 regulate the expression of many muscle-specific genes, including members of the MRF family, but it is also under the transcriptional control of said MRFs. This suggests that Barx2 is closely connected with the activities of the MRFs during myogenesis and functions in a complex feedback loop.
A region approximately 1.4 kb from the Barx2 translation start site containing repeats of the core HBS motif, TAAT, has been shown to be involved in auto-repression by Barx2 itself in skin [Olson et al. 2005]. Recruitment of Barx2, as well as members of the transducin-like enhancer of split (TLE), transducin-β-like (Tbl1) and nuclear corepressor 1 (N-CoR) families of co-repressors was demonstrated at this region.
However, whether this auto-regulatory mechanism is important for control of Barx2 expression in muscle has yet to be established.
1.6 Adult skeletal muscle regeneration
The process of satellite cell activation, proliferation and differentiation holds the key to postnatal growth and adult muscle regeneration following injury. This process essentially recapitulates that of embryonic muscle development. Both processes are based on similar regulatory and signalling mechanisms, with many similarities such as identical transcription factors and signalling molecules [Tajbakhsh 2009]. The process of skeletal muscle regeneration is highly orchestrated and involves the activation of many regulatory processes including the MRF and Pax transcription factor families discussed previously. The information that underpins the mechanistic basis for these complex processes of muscle repair has been predominantly obtained from studies that involve injuring muscle tissue in rodents, such as freeze-crush or cardiotoxin (CTX) models. This allows for study of the satellite cells and their progeny as they expand mitotically and differentiate to re-establish muscle homeostasis. It also allows the self-renewal and replenishment of the satellite cell pool to be studied. It is important to keep in mind, however, that these injury models do not necessarily reflect the downstream molecular events that occur post-exercise (eccentric events that damage myofibres), or in chronic degenerative states.
It is currently theorised that all satellite cells express Pax7 [Relaix et al. 2005], with quiescent satellite cells exhibiting high levels of Pax7 and Myf5 and low levels of MyoD [Cornelison & Wold 1997; Olguin et al. 2007]. As satellite cells become activated due to myofibre injury, their molecular markers change with the degree of
activation. The initial activation of satellite cells sees the majority of satellite cells induce MyoD expression. This high co-expression of Pax7 and MyoD identifies the activated satellite cell population [Zammit & Beauchamp 2001; Zammit et al. 2002]. As the activated satellite cells enter the proliferative phase (myoblasts), downregulation of Pax7 and induction of myogenin are observed. Most myoblasts then stop expressing Pax7 and differentiate, expressing markers of differentiation such as MRF4, myosin heavy chain and desmin, although a small subset of cells maintain Pax7 expression and are thought to be self-renewing and return to the satellite cell pool [Olguin & Olwin 2004; Zammit et al. 2004; Zammit et al. 2006; Dick et al. 2015]. Overexpression of Pax7 downregulates MyoD, thus antagonising myogenic progression [Olguin & Olwin 2004; Zammit et al. 2006].
In summary, activation of the MRF pathway drives myogenic commitment and initiates differentiation along the myogenic lineage: initial expression of Myf5 and MyoD commits cells to the myogenic program and promotes proliferation, whilst subsequent downstream expression of myogenin and MRF4 are required for the fusion of myocytes and the formation of myotubes through terminal differentiation [Tajbakhsh & Buckingham 1994; Rawls et al. 1995; Tajbakhsh et al. 1996; Cornelison & Wold 1997; Sabourin & Rudnicki 2000]. With the recent aforementioned studies on the role of Barx2 in myogenesis *in vivo*, new information can be added to this pathway: Barx2 is co-expressed with Pax7 in satellite cells, and it remains expressed during the activation, proliferation and differentiation phases of muscle repair, even following Pax7 downregulation. Indeed, *in vitro* studies indicate that Barx2 is upregulated as differentiation proceeds. The Barx2 promoter is a direct target for
regulation by MyoD and myogenin, and Barx2 itself can interact with these proteins to modulate expression of early muscle differentiation-associated genes such as SMA. Barx2 is, however, downregulated after fusion of myoblasts and is not expressed in mature muscle fibres. Thus, Barx2 appears to be important for the early stages of differentiation, likely because it controls genes that mediate cytoskeletal remodelling, cell movement, and cell migration. This is summarised in Figure 1.3.
**Figure 1.3: Hierarchy of transcription factors in myogenesis**
Model summarising the hierarchy of transcription factors regulating progression during muscle development and repair. The expression and proposed functions of Barx2 are indicated. Image is based on a previously published schematic [Makarenkova & Meech 2012].
### 1.7 The canonical Wnt signalling pathway
In addition to transcription factors such as Barx2 and the MRF and Pax family members, the process of myogenesis (both embryonic and adult) is further
orchestrated by complex signalling networks. Several *in vivo* studies investigating these networks have identified Sonic hedgehog (Shh), BMPs (bone morphogenetic proteins), Notch, and Wnts as the major signalling pathways underpinning myogenesis. The Wnt signalling pathway is of particular focus for this thesis.
Wnts are a highly conserved family of secreted soluble glycoproteins. In most mammals the Wnt family consists of 19 members, and these function either through canonical [Logan & Nusse 2004] or non-canonical [van Amerongen & Nusse 2009] pathways depending on the exact Wnt/receptor complex. For both pathways, activation follows binding of a secreted Wnt ligand to a cell-surface receptor. This induces a signalling cascade which ultimately culminates in gene regulation [Nusse 2008]. The canonical Wnt signalling pathway is the most comprehensively studied and involves the Frizzled (Fzd) cell-surface receptors [Bhanot et al. 1996], the ubiquitous central mediator β-catenin and downstream T-cell factor/lymphoid enhancer factor (TCF/LEF) proteins for transcriptional activation.
The TCF/LEF family is comprised of four members: Tcf1 (Tcf7), Tcf3 (Tcf7l1), Tcf4 (Tcf7l2) and Lef1 [Oosterwegel et al. 1991; Travis et al. 1991; van de Wetering et al. 1991; Waterman et al. 1991; Castrop et al. 1992]. There are certain structural features common to all four members of the TCF/LEF family: a HMG box DNA-binding domain, an N-terminal β-catenin binding domain [Omer et al. 1999] as well as interaction sites for the Groucho/TLE family of co-repressors [Arce et al. 2006; Hoppler & Kavanagh 2007]. TCF/LEF proteins are associated at TCF/LEF binding sites (consensus CTTTG(A/T)(A/T)) [van de Wetering et al. 1991] in regulatory regions of Wnt target genes in the nucleus. Extensive experiments have revealed that when the
Wnt cascade is not activated, TCF/LEF members act as repressors of Wnt target genes [Brannon et al. 1997] through interaction with Groucho/TLE [Cavallo et al. 1998; Chen et al. 1999] and likely other co-repressors. Meanwhile, in the absence of a Wnt ligand the core positive effector of the Wnt pathway, β-catenin, is phosphorylated by the serine/threonine kinases casein kinase Iα (CKIα) and glycogen synthase kinase-3β (GSK-3) [Yost et al. 1996; Amit et al. 2002; Liu et al. 2002]. These function as part of a multimeric ‘β-catenin destruction complex’ with Dishevelled (Dsh) and the scaffolding proteins Axin and adenomatous polyposis coli (APC) [Hart et al. 1998; Kishida et al. 1998; Hsu et al. 1999]. Phosphorylated β-catenin is targeted for degradation by the proteasome, ensuring a low level of β-catenin due to continual cytoplasmic turnover [Aberle et al. 1997; Yanagawa et al. 2002].
Evidence to date suggests that Wnts function as long-range signals that can act on distant neighbouring cells during development [Strigini & Cohen 2000]. Activation of the canonical pathway involves binding of a Wnt ligand to a Frizzled/low density lipoprotein receptor-related protein (LRP) receptor complex in the plasma membrane of a target cell [Clevers & Nusse 2012], which triggers the relocation of Axin away from the destruction complex to the membrane [Cliffe et al. 2003]. With dissociation of the destruction complex, β-catenin is no longer phosphorylated or degraded, thus allowing it to accumulate. β-catenin is normally shuttled from the cytoplasm to the nucleus, and hence the increased stability of β-catenin also allows nuclear accumulation. Nuclear β-catenin is then able to interact with TCF/LEF family members at Wnt target genes [Behrens et al. 1996; Clevers & van de Wetering 1997; Nusse 1999; Hecht & Kemler 2000; Hecht et al. 2000]. Binding of β-catenin plays a
critical role in converting TCF/LEF proteins from transcriptional repressors to transcriptional activators. It is thought that β-catenin displaces Groucho/TLE and other corepressors [Daniels & Weis 2005] and enhances recruitment of coactivators [Hecht et al. 2000; Takemaru & Moon 2000; Barker et al. 2001]. Ultimately, the receipt of a Wnt signal results in transcriptional activation of Wnt target genes. The “off” and “on” states of the canonical Wnt signalling pathway are summarised below in Figure 1.4.
**Figure 1.4: The canonical Wnt signalling pathway**
In the absence of a Wnt ligand (“Off” state), β-catenin is targeted for phosphorylation and degraded. In the nucleus, TCF/LEF proteins are associated with members of the Groucho/TLE corepressor family, together forming a strong repressor complex. When a Wnt ligand binds the Frizzled/LRP receptor (“On” state), β-catenin is stabilised, enters the nucleus and displaces Groucho/TLE corepressors from TCF/LEF. β-catenin associates with TCF/LEF and coactivators to result in transcriptional activation.
### 1.7.1 Wnt signalling in myogenesis
The canonical Wnt signalling pathway plays a critical role in embryonic muscle development and in postnatal muscle growth, repair and ageing. Embryonic myogenesis is partly induced by the canonical Wnt ligands Wnt1 and Wnt3, which are
produced by the dorsal neural tube and activate expression of Pax3/7, Myf5 and MyoD in the epaxial myotome during myogenesis, thus driving myogenic specification [Maroto et al. 1997; Seale et al. 2003; Otto et al. 2006; Abu-Elmagd et al. 2010]. In particular, the *Myf5* promoter contains TCF/LEF binding sites required for its early expression [Borello et al. 2006]. Other Wnts are also able to mimic signals from the neural tube, activating both MyoD and Myf5 in explants of paraxial mesoderm [Tajbakhsh et al. 1998]. The critical role of canonical Wnts has been further demonstrated by *Wnt1* and *Wnt3a* knockout mice. These mice do not form the dermomyotome and this is accompanied by a reduction in Myf5 expression [Ikeya & Takada 1998]. Additionally, conditional deletion of β-catenin using Pax3-Cre or Pax7-Cre has shown that β-catenin is necessary for dermomyotome and myotome formation [Hutcheson et al. 2009].
Various Wnts have been reported to influence the proliferation and differentiation of adult satellite cells and myoblasts [Clevers 2006]. In general, non-canonical and canonical Wnts appear to be have different roles during lineage progression. For example, the non-canonical Wnt7a ligand is shown to promote self-renewal of satellite cells [Le Grand et al. 2009]. In contrast, canonical Wnt ligands are generally shown to promote myoblast differentiation in culture [Bernardi et al. 2011; Pansters et al. 2011; Suzuki et al. 2015] and the canonical pathway has been suggested to be involved in the switch from proliferation to differentiation [Brack et al. 2008; Tanaka et al. 2011]. This has been further assessed by more recent studies: Increased β-catenin in the nucleus can also be observed in proliferating satellite cells [Otto et al. 2009]. Wnt3a was recently suggested to accelerate myogenic differentiation by
stimulating expression of myogenin and follistatin [Jones et al. 2015]. Myogenic differentiation is also positively regulated by R-spondin, a positive regulator of canonical Wnt signalling [Han et al. 2011]. Very recently, bone morphogenetic protein and activin membrane-bound inhibitor (BAMBI), an enhancer of Wnt signalling in various cell types, was shown to peak during C2C12 myoblast differentiation. Knockdown of BAMBI resulted in reduced Wnt signalling and inhibition of differentiation [Zhang et al. 2015].
As further support for the role of Wnt signalling in adult myogenesis, Wnts appear to be important following skeletal muscle injury or exercise [Polesskaya et al. 2003; Brack et al. 2008; Brack et al. 2009]. Recent studies suggest that activation of Wnt signalling following wheel-running in mice results in direct activation of satellite cells through upregulation of Myf5 and MyoD [Fujimaki et al. 2014]. In addition, Wnts may also be linked to the ageing phenotype. An increase in canonical Wnt signalling in aged skeletal muscle has been reported, and this may play a role in inhibiting myogenesis due to myogenic to fibrogenic transdifferentiation of satellite cells and a loss of cells committed to the myogenic lineage [Brack et al. 2007]. The number of satellite cells present in skeletal muscle decreases with age and these cells may also have reduced potential for activation, proliferation and differentiation [Renault et al. 2002; Shefer et al. 2010], resulting in an overall loss of regenerative capacity [Hikida 2011].
Despite the demonstrated roles of Wnts in almost all aspects of myogenesis including satellite cell activation and myoblast proliferation, differentiation and migration [Polesskaya et al. 2003; Brack et al. 2007; Le Grand et al. 2009], the muscle specific
mechanisms of the different Wnt signals/pathways are not well understood. A detailed characterization and understanding of these mechanisms may identify potential targets and allow for therapeutic manipulation of Wnt signals *in vivo* or during *in vitro* satellite cell culture, transplantation and/or engraftment. This may provide new strategies for alleviation of physiological and pathological conditions associated with degenerating muscle which is observed in disease states such as DMD. In fact, it has recently been demonstrated that manipulation of Wnt signals could provide therapeutic benefit in haematopoietic stem cell transplantation [Ko et al. 2011], and that non-canonical Wnt7a can stimulate satellite cell expansion, motility and engraftment to result in improved muscle strength and hypertrophy [von Maltzahn et al. 2012; Bentzinger et al. 2014].
### 1.8 Potential relationship between Barx2, Pax7 and Wnt signalling
In any given cell type, only a subset of Wnt-responsive target genes are activated in response to a Wnt ligand. As an example, Pax7 and the MRF genes appear to be downstream targets of canonical Wnt ligands only in muscle [Tajbakhsh et al. 1998; Borello et al. 1999; Seale et al. 2003; Hutcheson et al. 2009]. As the expression of β-catenin and TCF/LEF members is ubiquitous, the tissue-specific responses to Wnts are generally thought to be mediated by tissue-specific co-regulators (transcription factors and their cofactors). The recent studies discussed here implicate Barx2 as a novel regulator of myogenesis. Barx2 is expressed in both embryonic myoblasts and adult satellite cells and appears to be required for normal postnatal muscle growth and regeneration. Many of the cellular and *in vivo* phenotypes observed after perturbation of *Barx2* expression are similar to those observed following disruption
of normal canonical Wnt signalling as discussed below. These observations prompted the hypotheses that Barx2 and Wnt/β-catenin signalling may have overlapping molecular roles, and that Barx2 may be a novel regulator of muscle-specific Wnt signalling.
The canonical Wnt signalling pathway is stimulated following muscle injury, is required for myoblast differentiation and regulates expression of MRF and Pax genes. Barx2 is also co-expressed with Pax7 and MyoD in satellite cells and proliferating myoblasts [Meech et al. 2012]. *In vitro* studies indicate that Barx2 is important for myoblast differentiation and it has been shown to regulate expression of muscle-specific genes such as SMA. Furthermore, this activation of SMA by Barx2 is enhanced by interaction of Barx2 and MyoD, and co-binding of these factors to adjacent homeobox and MyoD (E-box) binding elements in the promoter [Makarenkova et al. 2009]. Interestingly, MyoD has also been shown to interact directly with the central mediator of Wnt signalling, β-catenin, at E-box elements in MyoD target genes [Kim et al. 2008].
Many other components of the canonical Wnt signalling pathway have previously been shown to interact with Barx2. In a study by Olson and colleagues [Olson et al. 2005], the N-terminal domain of Barx2 demonstrated repression of the Barx2 promoter. The repressive function of this domain involved the TCF/LEF-associated corepressors Groucho/TLE and NCoR [Song & Gelmann 2008] that interact with the Barx2 Eh1 motif and are co-recruited to promoter DNA *in vivo* [Olson et al. 2005]. It is also notable that Barx2 plays important regulatory roles in the hair follicle, where Wnt signalling is also critical [Gat et al. 1998; Huelsken et al. 2001; Olson et al. 2005].
In this system, Barx2 associates with the transducin β-like protein 1 (Tb1l1) and the highly related family member Tb1R1, known coactivators required for β-catenin-mediated activation in oncogenesis [Li & Wang 2008]. Finally, co-immunoprecipitations have demonstrated that Barx2 can interact with CREB-binding protein (CBP) [Makarenkova et al. 2009], a bimodal regulator of Wnt signalling [Li et al. 2007]. Collectively, all of these data have suggested that Barx2 may influence the Wnt signalling pathway or even function as an effector within the Wnt pathway.
Whilst Barx2 and Pax7 are both expressed in satellite cells and myoblasts, and mice lacking either gene exhibit poor postnatal muscle growth and repair, literature suggests that these factors function in opposition to each other. Specifically, Pax7 is downregulated during differentiation and its ectopic expression inhibits differentiation [Olguin & Olwin 2004; Zammit et al. 2004], whereas Barx2 is upregulated during differentiation, and its overexpression promotes differentiation [Makarenkova et al. 2009; Meech et al. 2010; Meech et al. 2012]. Whether these factors function in common or parallel molecular pathways remains to be determined.
1.9 Experimental aims
Preliminary work undertaken in the Meech laboratory that was unpublished at the beginning of this project [Zhuang et al. 2014] used a synthetic Wnt reporter gene to show that Barx2 may be a novel component of the downstream effector pathway of canonical Wnt signalling in myoblasts. Barx2 activated the Wnt reporter, and this activation was significantly enhanced by co-transfection of MyoD with Barx2. Further characterization of this transcriptional pathway would greatly enhance our
understanding of how canonical Wnt signalling regulates myogenesis. Barx2 appears to promote both myoblast proliferation and differentiation and it is likely that Barx2 cooperates with different coactivators or corepressors to control target gene expression and to regulate the outcomes of Wnt signalling at these different stages. However, the nature of these interactions is not currently known. Barx2 functions in a feedback loop with members of the MRF family, whereby Barx2 regulates MRF expression but the Barx2 gene is also regulated by MRFs. As such, Barx2 may also play a role downstream of signalling pathways which mediate myogenesis, such as Wnt. The following hypothesis was thus formed: a functional network between Barx2, MyoD, β-catenin, TCF/LEF and possibly Pax7 controls the response of satellite cells to Wnts and thus adult muscle growth and repair, and that disruption of this network leads to dramatically reduced regenerative capacity.
To explicate this network, the following specific aims were developed:
1. To define in detail the mechanisms by which Barx2 activates the synthetic Wnt/β-catenin reporter gene
2. To characterise Barx2-containing effector complexes in muscle cells and the interactions between Barx2 and other Wnt effector proteins and cofactors
3. To identify endogenous gene targets of Barx2 in myoblasts and determine the overlap of Barx2- and Wnt/β-catenin-target genes
4. To identify any regulatory or functional relationship between Barx2 and Pax7,
particularly with respect to Wnt/β-catenin signaling
5. To characterise the temporal and spatial relationships between Barx2 and canonical Wnt target gene expression in muscle using Wnt-reporter and Barx2-knockout/reporter-knockin mice
**Figure 1.5: Regulatory interactions between Barx2, β-catenin, MRFs and Pax7**
Wnt stimulation of myoblasts results in increased MRF and β-catenin expression. Stabilised β-catenin associates with TCF/LEF transcription factors at TCF/LEF motifs of Wnt-responsive promoters. At least one of the MRFs, MyoD, associates with Barx2. Preliminary evidence shows Barx2 and MyoD can together activate a synthetic Wnt reporter, TOPflash, but the exact mechanisms of this activation are as yet unknown (Aim 1 and 2). Whether this activation extends to endogenous targets is also unknown (Aim 3). Currently, the role of Barx2 and Pax7 downstream of Wnt (Aim 1 and 4) are yet to be determined, as is any functional relationship between Barx2 and Pax7 (Aim 4).
Chapter 2
Methods and Materials
2.1 Chemicals and reagents
All chemicals and reagents used during this project were of analytical grade. The suppliers of chemicals, reagents and kits mentioned throughout this thesis are listed in Appendix 1.
2.2 General buffers
The following buffer formulae were used to make up appropriate buffers throughout the duration of this work:
1 x Phosphate buffered saline (PBS): 137 mM NaCl, 2.7 mM KCl, 10 mM Na$_2$HPO$_4$ and 2 mM KH$_2$PO$_4$, pH 7.4
1 x Tris-acetate EDTA electrophoresis buffer (TAE): 40 mM Tris pH 8, 20 mM acetic acid, 1 mM EDTA
0.5 x Tris-borate EDTA electrophoresis buffer (TBE): 40 mM Tris pH 8.3, 45 mM boric acid, 1 mM EDTA
1 x SDS-PAGE running buffer: 25 mM Tris pH 8.3, 192 mM glycine, 0.1% SDS
1 x SDS-PAGE transfer buffer: 25 mM Tris pH 8.3, 192 mM glycine, 20% methanol
1 x Tris-buffered saline (TBS): 50 mM Tris pH 7.4, 150 mM NaCl
2.3 Mice
Barx2-LacZ knock-in mice were obtained from Dr. Geoff Rosenfeld and were maintained and genotyped as previously reported [Olson et al. 2005]. The Wnt-reporter TOP-EGFP mice were obtained from the RIKEN BioResource Center (BRC)
(RBRC02229) and were genotyped for the presence of GFP. All mice were housed in the Animal Facility in the School of Medicine, Flinders University and all maintenance and breeding of mice was performed by trained technical staff within the facility.
2.4 Eukaryotic and prokaryotic cell lines
The DH5α *Escherichia coli* (*E. coli*) strain was originally purchased from the American Type Culture Collection (ATCC; Manassas, Virginia, USA). All immortal mammalian cell lines used throughout this project were also originally obtained from the ATCC. A previous member of the laboratory, Ms Thi Diem Tran Nguyen, generated a modified C2C12 cell line which has a stably integrated synthetic Wnt reporter (TOPflash). Designated TOPPuro, this cell line was previously characterised and identified to respond to Wnt3a stimulation and over-expression of Barx2. The TOPPuro stable line proved extremely useful in elucidating functional binding to TOPflash promoter DNA and was a model used consistently throughout this thesis.
2.5 Mammalian reporter and expression vectors
The reporter vectors pGL3-Basic and pRL-Null were originally purchased from Promega. The reporter vector pcDNA3 was originally purchased from Invitrogen. Full length Barx2 cDNA was previously isolated from embryonic day (E)14 mouse tongue and cloned into the pcDNA3 vector in frame with an N-terminal myc-tag by Mr Lizhe Zhuang. Expression plasmids encoding constitutively active (ca.) mouse β-catenin, and human dominant negative (dn) TCF4 were a gift from Dr. Wolfgang Rottbauer (Harvard Medical School, USA) and the cDNAs were subsequently shuttled in to pcDNA3 in frame with an N-terminal flag-tag. A human TCF4 variant expression plasmid (pK-myc) was a gift from Dr. Vladimir Korinek (Institute of Molecular
The Super 8x TOPFlash and FOPFlash (TOPFlash mutant) promoters were obtained from the Randall Moon Lab (University of Washington, Seattle, WA) and have since been deposited to Addgene (Addgene plasmids 12456 and 12457 respectively) [Veeman et al. 2003]. The cyclinD1/pGL3-Basic construct containing the 1 kb promoter of mouse cyclinD1 was a gift received from Prof. Johan Auwerx of the Ecole Polytechnique Fédérale (Lausanne, Switzerland) [Botrugno et al. 2004]. The Axin2/pGL3-basic plasmid containing a 5.6 kb promoter/intronic region of mouse Axin2 was purchased from Addgene (Addgene plasmid 21275) and was originally constructed by Frank Constantini of Columbia University (New York, USA) [Jho et al. 2002]. The eGFP-containing plasmid was a gift from Dr. Michael Michael (Flinders University, South Australia). The construction of all other daughter pGL3-basic/pcDNA3 plasmids carrying the appropriate promoter/cDNA inserts are described under the relevant sections of this thesis.
2.6 Oligonucleotides
Oligonucleotides were purchased from Geneworks (Hindmarsh, SA, Australia) or Integrated DNA Technologies (Coralville, Iowa, USA). All oligonucleotides were of standard purification quality (desalted). The sequences of all oligonucleotides are listed within the appropriate chapters.
2.6.1 Polyacrylamide Gel (PAGE) purification of site directed mutagenesis oligonucleotides
Oligonucleotides for site directed mutagenesis were purchased as standard (desalted) oligonucleotides and PAGE-purified in the laboratory. Complementary top
and bottom oligonucleotides for a single mutation were annealed together by combining equal amounts in the presence of 1 x NEBuffer 2 (10 mM Tris-HCl, 50 mM NaCl, 10 mM MgCl$_2$ and 1 mM DTT, pH 7.9), heating to 99°C for 5 minutes and then slow-cooling back to room temperature for up to 2 hours. Annealed oligonucleotide pairs were resolved on a 10% 19:1 Acrylamide/Bis gel in 0.5 x TBE. Oligonucleotides were excised from the gel and eluted in 400 µl 1 x NEBuffer 2 at 4°C overnight. Two volumes of cold 100% ethanol was added to precipitate the DNA which was pelleted at 13,000 rpm for 15 minutes and resuspended in 1 ml 70% ethanol. After a second centrifugation the final DNA pellet was resuspended in 50 µl TE buffer ready for use in PCR.
2.7 Polymerase Chain Reaction (PCR) amplification
2.7.1 Equipment
Non-quantitative PCR reactions were performed on an Applied Biosystems Veriti thermal cycler. For quantitative real-time PCR (qPCR) reactions, a Rotor-Gene™ 3000 (Corbett Life Science, Mortlake, NSW, Australia) thermal cycler was used. Analysis of real-time PCR results was performed using Rotor-Gene 6 software (Corbett Life Science).
2.7.2 PCR for cloning
PCRs to generate DNA fragments for cloning were performed with the high fidelity enzyme *Phusion* DNA polymerase. *Phusion* PCR reactions were performed in a total of 50 µl in the supplied Phusion HF buffer, unless specified otherwise, with 0.02 Units/µl *Phusion*, 200 µM dNTPs and 0.5 µM each primer.
2.7.3 PCR for genotyping or screening
*Phire* Hot Start II DNA polymerase was used for PCR when fidelity was not critical.
*Phire* mediated PCR reactions were performed in a total of 20 µl in the supplied buffer with 0.02 Units/µl *Phire*, 200 µM dNTPs and 0.5 µM each primer.
2.7.4 Site-directed mutagenesis
Mutagenesis reactions were performed using Stratagene’s QuikChange® Site-Directed Mutagenesis kit as per the manufacturer’s instructions with *PfuTurbo* DNA polymerase, unless otherwise specified. 10 Units of *DpnI* were added to the amplified vector and incubated at 37°C for 1 hour to ensure degradation of the wild-type parent vector. A microlitre of digested PCR product was then used to transform 50 µl competent DH5α *E. coli* as described in Section 2.21 and presence of the desired mutation(s) was confirmed by sequencing.
2.7.5 Quantitative real-time PCR
To quantify levels of mRNA transcripts present in RNA extracted from C2C12 cells, primary myoblasts or primary tissue, real-time PCR was used. Primer sets used are detailed in the appropriate chapters. However, the generic set-up used for all reactions was: 20 µl reactions containing 1x GoTaq qPCR Master Mix, 0.5 µM each primer and template cDNA equivalent to 20-40 ng input RNA. The generic PCR cycling conditions used for quantitative analysis were: an activation period of 15 minutes at 95°C; 40 cycles of 95°C for 15 seconds, specific annealing temperature (60-62°C) for 15 seconds, and 72°C for 20 seconds; and a ramped melt analysis between 55 and 95°C with 4 second, 1°C steps. Data was acquired during the 72°C extension phase of each cycle.
2.8 Extraction of total RNA
2.8.1 Extraction of RNA from monolayer cells
C2C12 cells or primary myoblasts were harvested for total RNA post transfection or treatment. To extract total RNA, cells were washed in PBS and harvested in 1 ml TRIzol (Life Technologies, Victoria, Australia) per 10-25cm$^2$ of surface area as per the manufacturer’s protocol. Briefly, the TRIzol (containing lysed cells) was transferred to 1.5 ml microcentrifuge tubes and 200 $\mu$l of chloroform per 1 ml of TRIzol was added to each sample and mixed vigorously. Tubes were centrifuged at 12,000 x g, 4°C for 15 minutes and the aqueous (top) layer containing the RNA was removed to a fresh tube. RNA was precipitated by the addition of 500 $\mu$l isopropanol per 1 ml TRIzol initially used, incubated at room temperature for 10 minutes and centrifuged again at 12,000 x g, 4°C for 10 minutes. A final 75% ethanol wash of the RNA pellet was done with 1 ml ethanol per 1 ml TRIzol and centrifuged under the same conditions as previous. The RNA pellet was air-dried, resuspended in 20-30 $\mu$l RNase-free water and heated to 60°C for 10 minutes to redissolve.
2.8.2 Extraction of RNA from primary tissue
Harvested murine tissue was stored in RNALater (Invitrogen). RNA from tissue was extracted using the same TRIzol method and protocol. However, tissue samples were first sliced into small pieces using a razor blade, and then homogenised in a microcentrifuge tube in a small amount of TRIzol (100-200 $\mu$l) using a UV-sterilised hand micro-pestle. Generally a final volume of 1 ml TRIzol was sufficient for most tissue samples. The remainder of the protocol was performed as previous. All RNA samples were stored at -20°C.
2.9 Generation of cDNA
Two micrograms of total RNA extracted by TRIzol was treated with one unit amplification grade DNase I in 20 mM Tris-HCl (pH 8.4), 2 mM MgCl$_2$ and 50 mM KCl for 15 minutes at room temperature. EDTA was added to a final concentration of 2.5 mM and the sample was incubated at 65°C for 10 minutes to inactivate the DNase I.
cDNA was generated from DNase-treated RNA in a random hexamer-primed M-MuLV reverse transcriptase reaction using the Lucigen NxGen M-MuLV Reverse Transcriptase. One microgram (8 µl) of RNA was added to a 20 µl reaction initially containing 1 µl 10 mM dNTPs, 1 µl 53 ng/µl random hexamers (NEB) and 6 µl water. Following a 5 minute incubation at 65°C and 2 minutes cooling on ice, the reaction was brought up to a total of 20 µl by the addition of 2 µl 10x M-MuLV Reverse Transcriptase buffer, 1 µl RNase inhibitor (Lucigen) and 1 µl Reverse Transcriptase (Lucigen). RNA was reverse transcribed at 42°C for 1 hour and the reaction stopped by heating to 90°C for 10 minutes. Before use in PCR, the cDNA was diluted 1:5 in sterile RNase-free water.
2.10 Co-immunoprecipitation (Co-IP)
Co-immunoprecipitation experiments were performed in either COS7 or HEK293T cells due to ease of transfection and high expression. Cells were transfected upon reaching 80% confluency in T25 flasks using Lipofectamine 2000 (Invitrogen) with 5 µg total DNA per flask (two flasks per condition). The exact details of each Co-IP experiment can be found within the relevant results chapters. Nuclear cell lysates were prepared 48 hours post transfection by harvesting cells in 400 µl hypotonic lysis buffer [Klenova et al. 2002] (see Appendix 2) with the addition of proteinase inhibitor
cocktail (PIC; Roche) and phosphate inhibitors (glycerol-2-phosphate). Cell membranes were disrupted by passaging through a 29G needle followed by supplementation with NaCl to 350 mM. Cell lysates were pre-cleared with Protein A-Sepharose for 1 hour and then split into two tubes: 200 µl for IP and 200 µl for IgG preimmune control. A 10 µl aliquot was also saved as a positive input control. Antibodies for protein IP and IgG (3 µg each) were added to lysates and incubated overnight whilst rotating at 4°C. Complexes were precipitated with Protein A-Sepharose the following day for 2 hours at 4°C and washed three times with PBS. Proteins were eluted from the beads by the addition of 20 µl SDS sample dye (62.5 mM Tris pH 6.8, 10% glycerol, 2% SDS, 0.01 mg/ml bromophenol blue, 5% β-mercaptoethanol) followed by boiling at 95°C for 5 minutes. Proteins were resolved by SDS-PAGE for immunoblotting.
2.11 Chromatin Immunoprecipitation (ChIP)
ChIP experiments were performed using a modified MicroChIP protocol [Dahl & Collas 2008] in primary myoblasts or TOPPuro, the stable C2C12 cell line expressing the TOPflash promoter/luciferase construct. Cells were either treated with L-cell or Wnt3a CM, or transfected using Lipofectamine 2000 (Life Technologies) at a density of $1.8 \times 10^6$ cells per T75 flask. Each flask was transfected with a total of 20 µg of DNA and 100 µl Lipofectamine in 3.5 ml serum free (SF)-DMEM. Two flasks were used per condition. Six hours post transfection, the media was removed and replaced with fresh media to prevent transfection toxicity to the cells. Twenty four hours post transfection cells were trypsinised and resuspend in to 2xT175 flasks per transfection condition. After a further 24 hours, cells were cross-linked by the addition of 1% final
formaldehyde (Sigma) to the growth media. Cells were cross-linked for 30 minutes at room temperature with gentle rocking. Glycine was then added to the growth media at a final concentration of 125 mM for 10 minutes at room temperature to quench the formaldehyde and stop the fixation reaction. Following fixation, cells were washed twice with ice-cold PBS and then scraped from the flask in 5 ml ice-cold PBS + PIC per flask. Cell suspensions from duplicate flasks were combined in a 10 ml tube and centrifuged at 3,000 rpm, 10 minutes at 4°C. Supernatant was aspirated and the cells were washed again in 5 ml PBS/tube and centrifuged as previously. After removal of the supernatant, the cell pellet was either stored frozen at -80°C until required, or was lysed immediately. Cells were lysed by the addition of 6 ml of ChIP Lysis Buffer 1 + PIC followed by a 10 minute incubation on ice. Nuclei were pelleted by centrifugation at 4,000 rpm, 10 minutes, 4°C and supernatant was removed. Nuclear lysis was performed by the addition of 500 µl of ChIP Lysis Buffer 2 + PIC and incubation on ice for 10 minutes. Sonication of the chromatin was performed as follows on a Sonics Vibracell VCX130 (John Morris Scientific) using a 3 mm stepped microtip probe: 25% amplitude, 20 second pulse followed by a 30 second rest for a total of 10-15 bursts. Chromatin was kept on ice for the whole procedure. To check efficiency of sonication, 20 µl of chromatin from each sample was reverse crosslinked by adding 80 µl water, 4 µl 5 M NaCl and 1 µl 10 mg/ml RNase A (Cell Signaling Technology) and incubating overnight at 65°C. The remaining sheared chromatin was stored at -80°C until required again. The following day, tubes were cooled, 0.5 µl Proteinase K (PNK; 20 mg/ml) was added and samples were incubated at 42°C for 1 hour. DNA was purified by use of a PCR purification spin kit (Qiagen) as per the manufacturer’s instructions and visualised on a 1.5% agarose gel. The aim was to
generate chromatin fragments that ranged between 300 and 3000 bp in length. Once chromatin of the appropriate size range was obtained, the samples were centrifuged at 13,000 rpm, 10 minutes, 4°C to pellet any insoluble material. The chromatin was then diluted 6-fold in Dilution Buffer (to a total of 3 ml) and pre-cleared for 40 minutes at 4°C by adding 20 µl Protein G ChIP-Grade Magnetic Beads (Cell Signaling Technology). Protein G Magnetic Beads were captured and removed from the chromatin samples by use of the magnetic rack (Cell Signaling Technology). The chromatin was split as follows: 20 µl saved for total chromatin (input), 500 µl each for normal rabbit IgG control and each antibody required. Two micrograms of IgG or antibody was used and samples were slowly rotated overnight at 4°C. Thirty microlitres of Protein G Magnetic Beads were added to all IgG and antibody samples (not input) the following day to capture the immunocomplexes and tubes were left to rotate for a further 2-3 hours. Using the magnetic rack, the magnetic beads were washed twice with Dilution Buffer + PIC, once with High Salt Wash Buffer, once with LiCl Wash Buffer and 1x with TE Buffer. Each wash involved slow rotation of the beads in the appropriate buffer for 10 minutes at 4°C. Finally, the beads were captured and resuspended in 200 µl Elution Buffer and incubated at 65°C overnight. The following day 0.5 µl PNK was added and samples were incubated 1 hour at 55°C. DNA purification was performed with the Qiagen PCR purification kit as previously described. For a detailed list of buffers used, see Appendix 2.
2.12 Western Blotting
2.12.1 Preparation of lysates
For protein isolation, cultured mammalian cells were scraped from the flask in PBS
and pelleted gently at 1,500 rpm for 10 minutes. The cell pellet was washed once more in PBS and centrifuged again. Cells were lysed by the addition of 50-100 µl RIPA buffer (Radioimmunoprecipitation assay buffer; 50 mM Tris pH 7.3, 150 mM NaCl, 0.1% SDS, 0.5% sodium deoxycholate, 1% NP-40) depending on cell number. To further promote cell lysis, lysates were passed through a 29G syringe 10 times and incubated on ice for 20 minutes. Cellular debris was removed via centrifugation at 13,000 rpm for 10 minutes at 4°C and protein lysates were stored at -20°C.
2.12.2 Protein concentration determination
The concentration of total protein in RIPA lysates was determined using Bio-Rad Protein Assay reagent (Bio-Rad, NSW, Australia) as per the instructions. Using a 96-well plate, 2 µl RIPA lysate was added to 100 µl 1 x Protein Assay reagent and the absorbance measured at 595 nm in a plate reader (DTX 880 Multimode Detector; Beckman Coulter). Protein concentration was calculated against the 595 nm absorbances of a BSA standard curve of known concentrations (0, 0.1, 0.2, 0.4, 0.6 and 1 µg/ml).
2.12.3 Polyacrylamide gel electrophoresis (PAGE)
Approximately 20-30 µg total protein was diluted 1:4 in 4x SDS-PAGE sample loading buffer and heated at 95°C for 5 minutes. Proteins were separated by SDS-PAGE (4% stacking gel, 10% separation gel) at room temperature; at 70 V through stacking gel and 120 V through separating gel using Mini-Protean II Cell equipment (BioRad). Proteins were transferred on to Trans-blot nitrocellulose membrane (Bio-Rad) in an ice-cooled Mini Trans-Blot Cell apparatus at 25 V overnight at 4°C. The membrane was washed once in TBST (TBS + 0.2% Tween-20) and blocked in 3% (w/v) non-fat dry
milk in TBST (blocking buffer) for 90 minutes at room temperature. Following a wash in TBST, the membrane was incubated with primary antibody (generally 1:1000) and 1% blocking buffer overnight at 4°C. The membrane was washed 3 times at room temperature with TBST for 10 minutes each, and then incubated with the appropriate secondary antibody (1:2000) and 1% blocking buffer for 2 hours at room temperature. The membrane was finally washed in TBST another 3 times at 10 minutes each at room temperature before imaging. The blot was treated with enhanced SuperSignal West Pico chemiluminescent (ECL) HRP substrate (Thermo Scientific) to the manufacturer’s instructions and imaged using an ImageQuant LAS 4000 (GE Healthcare Life Sciences).
2.13 Preparation of primary myoblasts
The skin was removed from sacrificed mice and the forelimbs and hind limbs were dissected away from the bone, ensuring to keep the muscle moist in a dish of PBS. Using sterile scissors and razor blades, the muscle was minced into a coarse slurry and placed in to a tube containing 500 µl collagenase, 80 µl dispase (680 U/µl) and 30 µl CaCl₂ (20x, final concentration 2.5 mM) per mouse and incubated in a 37°C water bath for 45 minutes to facilitate breakdown of the connective tissue, fibronectin and collagen. Every 15 minutes the muscle was triturated with a 1 ml pipette. After the final incubation, 3 ml myoblast growth media was added to each tube, mixed, and the slurry solution passed over a 50 µm nylon mesh cell strainer. The strainer was washed with a further 2 ml growth media and the filtrate centrifuged at 2,000 rpm for 5 minutes. The cell pellet was resuspended in 10 ml PBS + 2% foetal bovine serum (FBS) and centrifuged for a further 5 minutes. The final cell pellet was
resuspended in 150 µl PBS + 2% FBS for antibody labelling.
2.13.1 Antibody labelling of myoblasts for fluorescence activated cell sorting (FACS)
Twenty microlitres of isolated cells in PBS + 2% FBS (as above) was placed in a fresh tube and set aside as an unlabelled control sample. The remaining 130 µl was labelled with: 0.3 µl Sca1 (FITC rat anti-mouse), 1.2 µl CD45 (APC rat anti-mouse) and 2 µl CD34 (PE rat anti-mouse) and left to incubate in the dark at room temperature for 45 minutes. The cells were washed twice with 1 ml PBS + 2% FBS (2,000 rpm, 5 minutes) in a tabletop microcentrifuge before being resuspended in a final volume of 1 ml growth media with 2 µg/ml doxycycline (to minimise contamination risk) and passed through a 50 µm nylon mesh membrane before FACS.
2.13.2 FACS
Labelled cells from murine muscle were sorted based on Sca1, CD45 and CD34 expression on a BD FACSAria (BD Biosciences, San Jose, CA). Cells were collected as two populations; the first, CD34+, CD45- and Sca1-, which were considered our primary myoblast population based on morphology and myogenic differentiation capacity. The second, CD34+, CD45- and Sca1+, were deemed to consist of primarily fibroblasts based on morphology. Sorted cells were collected in 1 ml myoblast growth media with 2 µg/ml doxycycline to reduce the risk of contamination from the sorter and grown on collagen-coated flasks.
2.14 Mouse tail tip/ear notch genomic DNA isolation
Tail tips or ear notches of Barx2, Top-EGFP or BAR-TOP mice were collected by the Animal House, Flinders Medical Centre. Genomic DNA was isolated by incubating the
tissue samples overnight in 600 µl TNES buffer (50 mM Tris pH 8.8, 400 mM NaCl, 100 mM EDTA, 0.5% SDS) with fresh proteinase K (PNK) at 55°C to digest tissue. Two hundred microlitres of 5 M NaCl was then added, tubes shaken vigorously and samples centrifuged at 13,000 rpm for 5 minutes to pellet protein and other debris. Supernatant was removed and transferred to fresh tubes and genomic DNA was precipitated by addition of 700 µl 95% cold ethanol. DNA was pelleted at 13,000 rpm for 5 minutes and the supernatant was decanted. DNA pellets were left to dry at room temperature for approximately 30 minutes to allow the ethanol to evaporate and were ultimately resuspended in 100 µl EB buffer (Qiagen).
2.15 Maintenance of mammalian cell lines
C2C12 cells (mouse myoblast) and all C2C12-derived stable cell lines were cultured in Dulbecco’s Modified Eagle Medium (DMEM) supplemented with 20% FBS, 1 mM sodium pyruvate and 0.1 mM non-essential amino acids. Cos-7 (African green monkey kidney) cells were cultured in complete DMEM + 10% FBS, whilst L-Cell and L Wnt-3A (mouse fibroblast) cells were cultured in complete DMEM + 10% FBS + 0.4 mg/ml G418 where appropriate. Cells were grown in an incubator that maintained a constant temperature of 37°C and a humidified atmosphere of 5% CO₂.
An Olympus CK2 microscope was used to assess the approximate level of confluence of the cells on a regular basis. Cells were passaged at approximately 70-80% confluence, ensuring that C2C12 cells and primary myoblasts in particular did not reach full confluence. To passage cells, media was aspirated from the flask and cells were rinsed with 5 ml sterile PBS to remove any remaining DMEM. Cells were released from the flask by the addition of 1.5 ml 0.05% trypsin/0.53 mM EDTA in PBS
solution and incubation at 37°C. The activity of the trypsin digest was stopped by the addition of complete DMEM. Cells were then passaged at a dilution of 1:20 to 1:30 depending on their current density and growth rate.
To determine cell density, 30 µl of cell suspension was combined with an equal volume of 0.2% trypan blue to enable counting of viable cells. Ten microlitres of the cell suspension/trypan blue mix was loaded onto a haemocytometer (Hausser Scientific) and the viable cells were counted. The viable cell concentration (cells/ml) was used to calculate the volume needed to sufficiently dilute the cell suspension for seeding of cells. Once reaching passage 20-25, cell cultures were replaced with fresh stock from liquid nitrogen. All handling of cultures was performed under sterile conditions within a laminar flow hood.
**2.16 Maintenance of mouse primary myoblast cultures**
Primary myoblast cultures isolated from mouse were cultured in either Myoblast Selection Media (Ham’s F10 media, 20% FBS, penicillin-streptomycin (pen-strep) and 5 ng/ml murine basic fibroblast growth factor (bFGF)) or Myoblast Growth Media (1:1 Ham’s F10 media:complete DMEM, 20% FBS, pen-strep and 5 ng/ml murine bFGF). In order for the primary myoblasts to adhere, all plates and flasks were first coated with a collagen solution (filtered 20 mM acetic acid + 50 µg/ml rat tail collagen). Enough collagen was added to completely cover the surface and this was left on either overnight at room temperature or for 1 hour at 37°C. After removal of the collagen, the vessel was rinsed and then incubated with sterile PBS for at least 10 minutes. If the vessel was not to be used immediately it was stored at 4°C with the PBS. The collagen solution was re-used up to 5 times and was always stored at 4°C.
2.17 Frozen cell stocks
To generate stocks of cells for later use, cells were centrifuged at 1,500 rpm for 5 minutes and preserved in FBS containing 10% DMSO. They were stored in Nunc cryotube vials, initially placed at -80°C, and later moved to liquid nitrogen for long term storage. On removal from liquid nitrogen, cell stocks were thawed quickly in a 37°C water bath. Complete DMEM (or other appropriate media) was slowly added. Media was changed the following day to remove remaining traces of DMSO.
2.18 Generation of L-cell control and Wnt3a conditioned media
L-cell control media and Wnt3a conditioned media (CM) was generated and collected as per instructions from the Nusse laboratory [Willert et al. 2003]. Briefly, L-cell and Wnt-3A expressing L-cells were passaged 1:10 from 70% confluence in to T175 flasks with no G418 selection. Cells were cultured for 4 days (approximately to confluency) at which point the media was removed and collected. Fresh media was placed on the cells and they were cultured for a further 3 days. This second batch of media was removed and combined with the first batch and cells were discarded. The harvested media was filtered through a 0.25 µM filter and stored in 50 mL aliquots at -20°C until required. Thawed aliquots were stable at 4°C for several months.
2.18.1 Testing activity of Wnt3a conditioned media
Batches of L-cell and Wnt3a CM were tested for activity on the TOPPuro stable line as this allowed for quick screening without the need for any transfection. C2C12 TOPPuro cells were plated in a 24-well plate at a density of $3 \times 10^4$ cells/well. L-cell and Wnt3a CM was added to wells at a 1:2 dilution for 24 hours. Cells were harvested and a luciferase assay was performed as described in Section 2.28.
2.19 Bacterial culture
All bacteria were grown at 37°C in LB broth with vigorous shaking (215–230 rpm) in an Innova 4330 Refrigerated Incubator Shaker (New Brunswick Scientific) or on LB agar plates in a Shimadem (Scientific Equipment Manufacturers) incubator. Each culture was maintained under appropriate antibiotic selection. In all cases this was either 100 µg/ml ampicillin or 30 µg/ml kanamycin.
2.20 Restriction digests
In general, restriction digests were performed in the buffers recommended by the manufacturer (in all cases NEB) in a total of 30 µl when used for analysis and in 50 µl when fragments were to be used for cloning purposes. In the latter situation, the fragments were subsequently purified using either the QIAquick PCR purification kit or the gel extraction kit (Qiagen) as per the manufacturer’s instructions.
2.21 Ligations and transformations
Ligations were performed using the NEB Quick Ligation Kit containing 2 x NEB quick ligation buffer (132 mM Tris-HCl, 20 mM MgCl₂, 2 mM DTT, 2 mM ATP, 15% polyethylene glycol (PEG 6000), pH 7.6) and Quick T4 DNA ligase unless otherwise specified. A 3 to 5-fold molar excess of insert DNA to vector DNA was required for successful ligation. This was prepared with 1 x NEB quick ligation buffer, 1 µl T4 DNA ligase and water to a total reaction volume of 14 µl. The reaction mixture was incubated at room temperature for 15 minutes and then chilled on ice ready for transformation.
Transformations were performed using either chemically competent DH5α or high efficiency 10-beta (NEB) strain *E. coli* bacteria. Two microlitres of ligation product was
added to 50 µl of competent cells and mixed gently. The cells were incubated on ice for 20-30 minutes, followed by a heat shock at 42°C for 30-45 seconds to facilitate uptake of the ligated DNA. Cells were then immediately placed back on ice for a further 2-5 minutes. Four hundred and fifty microlitres or 950 µl (for NEB competent cells) SOC media (containing no antibiotics) was added to the shocked cells. The bacteria were allowed to recover at 37°C in a shaking incubator for 1 hour. Generally, 200 µl of recovered cells were spread on LB agar plates and these plates were incubated overnight at 37°C. Colonies were analysed for appropriate inserts by PCR and/or restriction digest of miniprep DNA.
2.22 Preparation of competent cells
Competent DH5α *E. coli* cells were prepared by a variant of the Hanahan protocol (Hanahan et al. 1991) using CCMB80 buffer (10 mM KOAc pH 7, 80 mM CaCl₂·2H₂O, 20 mM MnCl₂·4H₂O, 10 mM MgCl₂·6H₂O, 10% glycerol, pH 6.4). Briefly, 100 ml LB broth was inoculated with 1 ml of a DH5α overnight culture and incubated at 37°C with shaking until the OD₆₀₀ of the culture reached 0.25-0.3. The culture was centrifuged at 3,000 x g in a Sigma 4K15 (Quantum Scientific) centrifuge at 4°C for 10 minutes and the pellet resuspended in 32 ml of cold CCMB80 buffer and left on ice for 20 minutes. The cells were centrifuged for a further 10 minutes, resuspended in 4 ml of cold CCMB80 buffer and aliquoted into 50, 100 or 200 µl aliquots. The competent cells were stored at -80°C.
2.23 Plasmid preparations
Small scale plasmid DNA preparations (minipreps) were generated using the QIAprep Spin Miniprep Kit (Qiagen) from 5 ml overnight bacterial cultures grown in LB broth.
These minipreps were suitable for preparing plasmid DNA of positively identified clones for restriction analysis and for sequencing. The procedure was carried out as per the manufacturer’s protocol. Briefly, a bacterial pellet was produced by centrifugation of the overnight culture at 2,600 x g for 15 minutes at 4°C and the resultant supernatant was discarded. The bacterial pellet was air dried, resuspended in 250 µl Buffer P1 containing 100 µg/ml RNase A (Qiagen), lysed by the addition of 250 µl Buffer P2, and all genomic DNA and bacterial proteins present were precipitated by addition of 350 µl Buffer N3. The precipitate was centrifuged for 10 minutes at 13,000 rpm and the supernatant applied to a QIAprep spin column (Qiagen). This solution, containing the plasmid DNA, was centrifuged briefly and thus drawn through the column via a vacuum. The spin column was washed with 750 µl Buffer PE and the bound plasmid DNA was eluted from the column by addition of 40 µl Buffer EB and centrifugation for 1 minute.
Large scale plasmid DNA preparations (midipreps) were used to purify plasmid DNA in preparation for DNA sequencing and mammalian cell transfections. These were generated from a 50 or 100 ml overnight bacterial culture using the QIAGEN Plasmid Midi Kit (Qiagen). The following procedure is as per the manufacturer’s protocol with some minor changes to the centrifugation steps: The bacteria were pelleted by centrifugation for 15 minutes at 2,600 x g, 4°C, and supernatant was discarded. The pellet was air dried, resuspended in 4 ml chilled Buffer P1 (+ 100 µg/ml RNase A) and lysed by addition of 4 ml Buffer P2. The bacterial lysate was incubated at room temperature for 5 minutes before addition of 4 ml chilled Buffer P3, followed by a 15 minute incubation on ice. The precipitate was pelleted by a 30 minute centrifugation
at 2,600 x g, 4°C followed by a further 20 minute centrifugation at 2,600 x g. The supernatant was applied to a Qiagen-tip 100 (Qiagen), which had been equilibrated by application of 4 ml Buffer QBT, and was allowed to pass through the column under gravity flow. The column was washed twice with 10 ml Buffer QC and the plasmid DNA eluted with 5 ml Buffer QF. Eluted DNA was precipitated by addition of 3.5 ml room temperature isopropanol and pelleted by centrifugation at 2,600 x g, 4°C for 30 minutes. The supernatant was removed and the DNA pellet washed with 3 ml 70% ethanol and recovered by a further 20 minute centrifugation at 2,600 x g, 4°C. Final DNA pellets were air-dried for 1 hour and then resuspended in 300 µl Buffer EB.
2.24 Gel electrophoresis and quantification of DNA/RNA
Agarose gel electrophoresis was used to analyse DNA fragments and plasmids for their relative size and purity. All gels used were 1-2% agarose and contained 0.03 µg/ml ethidium bromide. All samples were loaded on to agarose gels suspended in TAE buffer, and 100 bp or 1 kb DNA ladders (NEB) were used as size markers. Electrophoresis was performed in a Bio-Rad Mini-Sub Gel GT electrophoresis system where a voltage of approximately 5 volts/cm was applied to the gel. The gel was then examined with a Gene Genius Bio Imaging system (SynGene, Cambridge, England) using GeneSnap version 6.04 software (SynGene).
Spectrophotometry was used to determine the concentration and purity of DNA and RNA samples. Samples were diluted 1:50 in water to a total volume of 100 µl. A GeneQuant II (Pharmacia Biotech, Buckinghamshire, England) spectrophotometer was used to measure the OD$_{260}$ and the DNA/RNA to protein ratio (purity) at OD$_{260}$ versus OD$_{280}$. Absorbance readings were given as 1 unit = 50 µg/ml double strand
DNA or 40 µg/ml single strand RNA. The concentration of DNA was calculated at Absorbance x 50 x 50 (dilution factor), and Absorbance x 40 x 50 for RNA.
2.25 DNA Purification
DNA products generated by PCR, restriction digest for subcloning, or from DNA isolation following ChIP, were purified using the QIAquick PCR purification kit or the Qiagen gel extraction kit as per the manufacturer’s instructions.
2.26 Sequencing
Sequencing of DNA was undertaken following either a miniprep or midiprep and quantification of the DNA. A DNA concentration of 100 ng/µl in a volume of greater than 10 µl was required. The sequencing reaction was performed by the Flinders Sequencing Facility (Genetics & Molecular Pathology Directorate, Flinders Medical Centre site, SA Pathology, South Australia) using Big Dye Terminator Cycle Sequencing Version 3.1 chemistry (Applied Biosystems, Foster City, CA) and an ABI 3130xl Genetic Analyser sequencer (Applied Biosystems). Results obtained from sequencing were analysed using the National Center for Biotechnology Information (NCBI) website for alignments to consensus sequences.
2.27 Transient transfections
C2C12 cells were resuspended in supplemented DMEM upon reaching 50-80% confluence. In all cases, C2C12 cells were transfected by the ‘reverse’ method using Lipofectamine 2000 (Life Technologies). This involved adding the transfection complexes to the tissue culture vessels immediately following seeding of the cells. Therefore, cells were transfected whilst still in suspension. For C2C12 cells, this method resulted in a higher transfection efficiency as determined by monitoring
eGFP expression. For luciferase assays, cells were plated at a density of $3 \times 10^4$ cells/well in 1 ml DMEM and transfected with a total of 1.5 $\mu$g DNA and 3 $\mu$l Lipofectamine 2000 in SF-DMEM. For ChIP experiments, cells were transfected at a much higher density (Section 2.11). For protein or RNA isolation, C2C12 cells were transfected at $2 \times 10^5$ cells/well of a 6-well plate with 4 $\mu$g DNA and 20 $\mu$l Lipofectamine 2000 in 500 $\mu$l SF-DMEM.
### 2.28 Luciferase Assays
At 48 hours post transfection, cells were lysed by the addition of 100 $\mu$l Passive Lysis Buffer (PLB; Promega) to each well, and plates were rocked gently and continuously for 15 minutes to promote complete lysis. Using the Dual-Luciferase Reporter Assay system (Promega), a 20 $\mu$l sample of lysate was analysed on a TopCount NXT Luminescence and Scintillation counter (Packard, Australia) for firefly (*Photinus pyralis*) and *renilla* luciferase activity. To minimise the effect of carryover luminescence from neighbouring wells, cell lysates were added to alternate wells of 96-well plates. Lysates were mixed with 50 $\mu$l of firefly luciferase reagent (Luciferase Assay Reagent II (LARII), Promega) in order to measure the activity of firefly luciferase expressed from transiently transfected pGL3-derived vectors. The luminescence of each well was determined 2 minutes after addition of LARII. Addition of 50 $\mu$l of Stop and Glo Reagent (Promega) was then added to wells as soon as possible to quench the firefly luciferase activity and provide the substrate for *renilla* luciferase. As previously, the luminescence resulting from the *renilla* luciferase protein was also determined 2 minutes following addition of the substrate.
Relative luciferase activities (ratios of firefly to *renilla* luciferase activity) were
calculated for each individual sample and then averaged to provide a single value for each condition. Cell lysates were stored at -20°C if they were to be assayed again.
2.29 Immunofluorescence Microscopy
For immunofluorescence imaging of C2C12 cells, glass coverslips were prepared by washing with 100% ethanol and then left to dry in a UV laminar flow hood for approximately 15 minutes. Coverslips were placed within wells of a 24-well plate and coated with 500 µl of collagen solution (50 µg/ml in 20 mM acetic acid). C2C12 cells were seeded at 0.8 x 10^4 cells/well in 1 ml complete DMEM the day prior to transfection, viral transduction or treatment. For Lcell/Wnt3a CM treatments, cells received the appropriate media for 6 hours. Media was removed and cells were washed once with PBS before fixing with 500 µl of 3.7% formaldehyde (37% formaldehyde stock diluted 1:10 in PBS) for 10 minutes at room temperature. Cells were washed again with PBS and stored in fresh PBS at 4°C if required. Cell membranes were permeabilised by the addition of 0.5% Triton-X in PBS for 5 minutes followed by a rinse with PBS, and coverslips were then blocked in 1% BSA in PBS (blocking buffer) for 30 minutes whilst still in the wells. Cells were rinsed once more with PBS before antibody labelling.
For immunofluorescence imaging of primary myoblasts, cells were seeded in 24-well plates at a density of 1.5 x 10^4 cells/well in 1 ml complete DMEM, 24 hours prior to treatment. Due to difficulties in attachment of primary myoblasts to glass coverslips, these cells were seeded directly into collagen-coated wells. The subsequent steps were identical to that of C2C12 cells, as detailed above.
2.29.1 Antibody labelling
Primary antibodies were used at a concentration of 4 µg/ml. Using a scalpel and fine tweezers, glass coverslips were carefully removed from wells and placed in a humidified chamber (empty pipette tip box with moist paper towel lining the bottom) by laying glass slides on the tip rack and positioning the cover slips on the glass slides. Antibodies were diluted in blocking buffer and 100 µl buffer was placed on the top of each coverslip. Primary antibodies were left on the coverslips overnight at room temperature. The following day, primary antibodies were removed from the coverslips (drained off into tissues) and coverslips were washed 3 times with PBS for 15 minutes each time. Secondary antibodies were diluted in PBS to a concentration of 10 µg/ml and 100 µl was placed on each coverslip for 1-2 hours at room temperature followed by another 3x washes with PBS. Finally, DAPI (1 µg/ml) counterstaining for nuclei was done the same way with only a 5 minute incubation. Coverslips were washed a final 3 times before mounting on to glass slides.
2.29.2 Mounting coverslips to slides
Mounting media (Buffered Glycerol pH 8.6) was prepared from the following two solutions:
Solution A: 0.5 M sodium carbonate (Na₂CO₃), 5.3 g / 100 ml, pH 11.5
Solution B: 0.5 M sodium bicarbonate (NaHCO₃), 8.4 g / 200 ml, pH 8.16
To make 0.5 M Sodium Carbonate Buffer (pH 8.6), 50 ml of Solution B was placed in a beaker and pH was adjusted to 8.6 by addition of Solution A (approximately 3 ml). Two parts glycerol was then added to 1 part 0.5 M buffer solution to prepare the
buffered glycerol mounting media. A small drop of mounting media was placed on the glass slide and the coverslip placed on top, being careful not to create any bubbles. The edges of the coverslips were sealed with clear nail varnish.
2.29.3 Imaging
Slides were imaged using an Olympus BX50 fluorescence microscope (upright) and in-well cells were imaged using an Olympus IX71 fluorescence microscope.
2.30 Statistics
Statistical analysis of all results presented in this thesis was performed using Microsoft Office Excel 2010 or GraphPad Prism software (Hearne Scientific). The statistical significance was determined by use of a one-way ANOVA, a two-way ANOVA or the Student’s T-test with two-sample unequal variance, as appropriate. A change was deemed statistically significant if $P < 0.05$.
Chapter 3
Analysis of Barx2-mediated regulation of the Wnt reporter TOPflash
3.1 Introduction
The foundation for the majority of the work which has been undertaken and presented within this thesis was formed by the preliminary studies of a Masters student, Lizhe Zhuang. This founding data has since been published along with the majority of the results presented in this chapter in a joint first-author paper in “Stem Cells” [Zhuang et al. 2014].
3.1.1 The TOPflash reporter
The canonical Wnt signalling pathway is mediated by TCF/LEF proteins and β-catenin. In the presence of a Wnt ligand the pathway is activated, ultimately resulting in stabilised, nuclear β-catenin which pairs with members of the TCF/LEF family to induce gene expression via direct binding to TCF/LEF motifs [Wodarz & Nusse 1998; Staal et al. 2002]. A well-characterised synthetic reporter of canonical Wnt signalling is the TOPflash reporter gene, originally generated by the laboratory of Hans Clevers and later optimised by the Randall Moon Laboratory [Veeman et al. 2003]. TOPflash consists of 6x TCF/LEF binding motifs (AGATCAAAGG, with spacer GGGTA) upstream of a minimal TA viral promoter (the TATA box from the herpes simplex virus thymidine kinase promoter) driving expression of the firefly luciferase gene in the pGL3 backbone (Promega). A control for the TOPflash reporter, FOPflash, contains 6x mutated TCF/LEF binding sites (AGGCCAAAGG, with spacer GGGTA) in the same vector backbone [Veeman et al. 2003]. As an output, luciferase expression/activity can be measured, thus providing an indication of the level of Wnt signalling occurring within the cell. The activity of the TOPflash reporter is therefore considered to be representative of the transcriptional response one might expect of bona fide Wnt
target genes containing TCF/LEF binding sites. Using the TOPflash reporter, work performed by student Lizhe Zhuang in C2C12 myoblasts identified Barx2 as a new transcriptional regulator of canonical Wnt signalling [Zhuang et al. 2014]. Co-transfection experiments with Barx2 and TOPflash in C2C12 myoblasts consistently showed activation of TOPflash by Barx2. This ranged from 5- to 50-fold depending on transfection efficiency. This Barx2-mediated activation was completely abolished by co-transfection of a dominant-negative form of TCF4 (dnTCF4), which is lacking the N-terminal β-catenin-interaction domain and therefore is able to bind DNA but not interact with β-catenin. Traditionally, homeobox proteins such as Barx2 are thought to mediate transcription by binding directly to DNA via their highly conserved ~60 amino acid DNA binding domain, the homeodomain (HD) [Gehring et al. 1994]. The recognition site for homeobox proteins, termed the homeodomain binding site (HBS) contains the short sequence ATTA as its core [Odenwald et al. 1989]. The sequence of the synthetic TOPflash promoter contains no such identifiable HBS motifs, and thus the Barx2-mediated activation of TOPflash is not due to direct binding of the HD and must therefore be via the TCF/LEF binding elements. As further support for this idea, Barx2 did not activate the control reporter FOPflash (containing mutated TCF/LEF motifs) under the same transfection conditions, indicating the Barx2-mediated activation is dependent upon intact TCF/LEF motifs.
Further analysis of the TOPflash reporter in C2C12 myoblasts led to the identification of MyoD (one of the MRF members) as a potent co-activator of TOPflash activity when co-expressed with Barx2 [Zhuang et al. 2014]. Whilst transfection of MyoD alone was not sufficient to induce TOPflash activity, co-transfection of Barx2 and
MyoD together produced a strong synergistic activation, more than 10-fold higher than activation produced by Barx2 alone. Significantly, co-expression of MyoD was also sufficient to switch an N-terminally-truncated form of Barx2 (missing the first 25 amino acids) from a repressor to an activator. Previous studies have demonstrated a physical interaction between Barx2 and MyoD [Makarenkova et al. 2009] and between MyoD and β-catenin [Kim et al. 2008], and as such the observed synergy between Barx2 and MyoD was not entirely unexpected. However these results prompted two questions that are addressed in this chapter:
1) As MyoD is endogenously expressed at a high level in C2C12 cells, is Barx2-mediated activation of TOPflash dependent on MyoD, and hence specific to muscle cells?
2) Do other MRF members have the ability to synergize with Barx2 in regulation of TOPflash?
3.1.2 Mechanisms of activation and repression by Barx2
The full length Barx2 protein has been reported to have dual functions, with studies indicating that Barx2 has the potential to act as an activator or as a repressor of transcription in different contexts. In order for Barx2 to have a dual function it must therefore contain both activation and repression domains. It is important to note that studies prior to those described in this thesis [Zhuang et al. 2014] used a version of Barx2 with a short N-terminal truncation. At that time the full length mRNA encoding the Barx2 protein had not yet been cloned, and only a 5′-truncated mRNA had been isolated and studied. This mRNA expressed a truncated Barx2 protein that excludes the first 25 amino acids (aa), and as such the protein begins at the second in frame
methionine (M) (Refer to Chapter 1, Figure 1.2). In previous publications this truncated protein was referred to as ‘full length’ Barx2. A longer ‘full length’ Barx2 mRNA including the first in frame methionine was cloned by Lizhe Zhuang. This version contains what we now consider to be the full N-terminal sequence. The previous, truncated version will henceforth be referred to as ‘tr-Barx2’ within this thesis.
Consistent with previous studies discussed in Chapter 1, a fragment of Barx2 containing the C-terminal domain and homeodomain (HDBBRC) strongly activated the TOPflash reporter in C2C12 myoblasts, and was sufficient to provide 90% of the activation observed with the full length Barx2 construct [Zhuang et al. 2014]. Successive truncations of the C-terminus showed proportionally reduced activation, suggesting the activation function may be distributed throughout the length of the C-terminal region (refer to Figure 3.1 for schematic of Barx2 protein truncations). Overall, the activating function of the C-terminal domain of Barx2 with respect to TOPflash was consistent with previous studies showing that this domain activated other target gene promoters. Studies on the N-terminal domain, however, showed more complexity. Co-transfection of the ‘tr-Barx2’ construct produced mild repression of the TOPflash reporter, indicating a repression domain lay within the N-terminal region (outside the first 25 aa) that is sufficient to block the activating function of the C-terminal domain. This was consistent with previous studies using the ‘tr-Barx2’ protein that had shown that the N-terminal region had a repressive function [Edelman et al. 2000; Olson et al. 2005]. Our studies on TOPflash compared the effects of the complete N-terminus and homeodomain (NHDBBR) to the
truncated N-terminus and homeodomain (tr-NHDBBR). We found that NHDBBR induced transcriptional activation of TOPflash whereas tr-NHDBBR induced repression [Zhuang et al. 2014]. Therefore, the first 25 aa of Barx2 contains a potent activation function which appears able to override the repression domain located further downstream. Similarly, the full Barx2 construct (including the first 25 aa) resulted in activation of TOPflash [Zhuang et al. 2014], contrasting to previous work where the tr-Barx2 was mildly repressive of the N-CAM promoter [Edelman et al. 2000].
The nature of the N-terminal activation and repression domains is still unresolved, although the N-terminal domain has been reported to recruit HDACs [Olson et al. 2005]. Moreover, an Eh1 motif is present in the Barx2 N-terminal region (core located at 25-28 aa) has been reported to have repressive functions in other transcription factors [Copley 2005; Goldstein et al. 2005]. Previous work indicated that the Barx2 Eh1 motif mediated interaction with Groucho/TLE family proteins [Olson et al. 2005], classical repressors of the Wnt signalling pathway [Cavallo et al. 1998].
Further delineation of the functions of various Barx2 protein domains revealed that, despite the lack of HBS binding sites within the TOPflash reporter sequence, the Barx2 homeodomain was essential for Barx2-mediated activation. Although Barx2 NHDBBR and HDBBRC constructs could both activate TOPflash, constructs comprised of the N-terminus (N-term) or C-terminus (C-term) alone (therefore no HDBBR) could not. Furthermore, expression of the homeodomain and BBR alone (HDBBR) did not produce any activation, showing that these domains are necessary but not sufficient for TOPflash activation. Consistent with a critical role for the HDBBR domain in
TOPflash activation, Barx1, which shows 87% homology with Barx2 within the HDBBR, was able to activate TOPflash to a similar level as that of Barx2 [Zhuang et al. 2014].
Whilst the work described above greatly enhanced our understanding of Barx2 protein domains involved in regulation of the Wnt reporter TOPflash and in transcriptional regulation in general, again they prompted further questions that are addressed in this chapter:
1) Are the classical effectors of the Wnt signalling pathway (β-catenin and TCF/LEF family members) also involved in the response of TOPflash to Barx2 and MyoD?
2) If so, how are these interactions mediated?
3.1.3 The role of Pax7 in regulation of Wnt target genes
As discussed in Chapter 1, Pax7 is a well-characterized homeobox protein in muscle development and often considered the canonical marker of satellite cells [Oustanina et al. 2004]. Pax7 is highly expressed in quiescent satellite cells and their proliferating myoblast progeny, but is downregulated as cells begin to differentiate [Olguin & Olwin 2004; Zammit 2004]. Furthermore, forced expression of Pax7 delays myoblast differentiation, thus suggesting a role for Pax7 in maintaining satellite cell quiescence and preventing precocious differentiation [Olguin & Olwin 2004; Zammit et al. 2006; Olguin et al. 2007]. It has previously been shown that Barx2 is co-expressed with Pax7 in quiescent muscle satellite cells and myoblasts [Meech et al. 2012]. However, in contrast to Pax7, Barx2 is induced during differentiation and promotes pro-differentiation events such as cell spreading and migration [Makarenkova et al. 2009]. Prompted by our initial findings that Barx2 acts as a positive regulator of a Wnt
reporter, we hypothesised that the opposing roles of Barx2 and Pax7, two key myogenic factors, might be related to differential effects of Wnt target gene regulation.
Pax7 is one of 9 members of a family of Paired Box (Pax) transcription factors. The defining characteristic of this family is the presence of a 128 amino acid paired domain, encoding a unique DNA-binding motif which may function in either transcriptional repression or activation, as well as a carboxy-terminal transactivation domain [Balczarek et al. 1997]. The Pax gene family is further split into subgroups based on the presence or absence of the following structural regions: a full homeodomain (66 aa helix-turn-helix), a partial homeodomain (first helix only), and/or an octapeptide motif [Maulbecker & Gruss 1993]. Pax7 as well as Pax3 contain both a full homeodomain and an octapeptide motif.
### 3.1.4 Aims
Based on the prior knowledge described above and the questions raised by it, the specific aims of this chapter were to:
1. Expand on the mechanisms by which Barx2 activates TOPflash in myoblasts
2. Determine if Pax7 plays any role in regulation of TOPflash in myoblasts
3. Identify protein-protein and protein-DNA interactions involving Barx2, Pax7 and Wnt effectors in this system, and
4. Identify the role of β-catenin and TCF/LEF factors in the regulation of TOPflash by Barx2
3.2 Methods
3.2.1 Expression plasmids
Myf5 and MRF4 plasmid constructs were generated by *Pfu* Turbo (Agilent Technologies) amplification of cDNA isolated from C2C12 myoblasts. The resultant PCR products were directionally cloned *XhoI*-XbaI in pcDNA3 already containing an N-terminal myc-tag.
The Barx2 ΔHD construct was generated by amplification of a Barx2 BBR and C-term fragment and fusion of this fragment to the previously generated Barx2 N-term fragment at an introduced *NheI* site. Barx2 ΔBBR was generated by amplification of a Barx2 N-term and HD fragment and fusion of this fragment to the previously generated Barx2 C-term fragment at an introduced *NheI* site. Barx2 ΔHDBBR was generated by fusion of the Barx2 N-term fragment and the Barx2 C-term fragment at an introduced *NheI* site. All Barx2 deletion constructs were ligated *XhoI*-XbaI in pcDNA3 containing an N-terminal myc-tag. Mutagenesis of the predicted Barx2 phosphorylation sites was performed in the context of full length Barx2 with primers spanning either the GSK or CKII sites, as listed in Table 3.1. The Site Directed Mutagenesis protocol (Clontech) was followed (Chapter 2, Section 2.7.4).
The Pax7 variant used within all of these studies is Pax7D [Lamey et al. 2004] (referred to hereafter as just Pax7), which was originally cloned from postnatal mouse muscle into pcDNA3 in frame with the N-terminal myc-tag. Partial deletion of the Pax7 paired domain (ΔPD) was performed by fusing the *EcoRV* site of the pcDNA3 polylinker (after the myc-tag) with the *EcoRV* site in the Pax7 region encoding the paired domain. Deletion of the Pax7 homeodomain (ΔHD) was performed by amplifying both the
Pax7 N-terminus and the C-terminal transcriptional activation domain (TAD) with primers containing *NheI* sites and then fusing both fragments together at the introduced *NheI* site. Mutagenesis of the Pax7 engrailed homology domain (Eh1 SDM) was performed in the context of full length Pax7 with primers spanning the Eh1 domain as listed in Table 3.1, as per the Site Directed Mutagenesis protocol (Clontech).
All primers used for cloning and generation of mutations are listed below in Table 3.1.
### 3.2.2 In vitro transcription/translation of Barx2, β-catenin and TCF4
Barx2, β-catenin and TCF4 proteins were synthesised using the TnT® Quick Coupled Transcription/Translation system (Promega) according to the manufacturer’s protocol. Briefly, 1 μg linearized plasmid template DNA was incubated in a mixture containing 40 μl TnT® Quick Master Mix, 1 μl 1 mM methionine, 1 μl T7 enhancer and water to 50 μl. Incubation was performed at 30°C for 90 minutes. To perform co-immunoprecipitation with *in vitro* translated (IVT) products, 10 μl of each appropriate IVT protein was combined in 150 μl binding buffer (20 mM Tris pH 7.5, 300 mM NaCl, 0.5% NP40, PIC) and rotated at 4°C for 1 hour. Washed 50% protein A beads (40 μl) were added to pre-clear the lysates for 1 hour at 4°C. Beads were removed via centrifugation and the lysate was divided into fresh tubes and incubated overnight with the appropriate antibody or preimmune serum. Washed protein A beads (40 μl) were added to each sample and incubated for a further 3 hours at 4°C. Following incubation, supernatant was removed and beads were gently washed 3 times with washing buffer (20 mM Tris pH 7.5, 150 mM NaCl, 0.5% NP40) before being resuspended in SDS loading dye for analysis via western blot. Western blots were
performed as previously described (Chapter 2, Section 2.12).
3.2.3 Immunofluorescence labelling
Using 24-well plates, 12mm glass coverslips were sterilised in ethanol and coated with 50 µg/ml rat-tail collagen for 1 hour at 37°C. C2C12 cells were seeded in the 24-well plates at $1 \times 10^4$ cells/well 24 hours prior to viral transduction or treatment with Wnt3a CM. When cells were to be transfected using a high efficiency Lipofectamine 2000 (Invitrogen) protocol, $2 \times 10^5$ cells were seeded in 6-well plates and transfected with 4 µg DNA and 20 µl Lipofectamine 2000 per well. Media was changed after 6 hours. At 24 hours post transfection, cells were trypsinised and re-seeded on 12mm coated coverslips in 24-well plates at $1 \times 10^4$ cells/well. Cells were fixed with 3.7% formaldehyde in PBS for 10 minutes at room temperature, rinsed with PBS and permeabilised with 0.5% Triton-X for 5 minutes. Cells were then blocked with 1% BSA in PBS for 30 minutes before addition of antibodies. Primary antibodies for β-catenin or Barx2 (Santa Cruz Biotechnology) were used at a final concentration of 4 µg/ml overnight in a humidified chamber, and fluorescently labelled secondary antibodies (Dylight-594 or Dylight-488; Vector Labs) were used at 10 µg/ml for 2 hours. Nuclei were counterstained with 1 µg/ml DAPI for 5 minutes. Labelled cells were imaged with an Olympus BX-50 microscope. Immunostaining of primary myoblasts was performed in collagen-coated wells and imaged in-well using an Olympus IX71 microscope at 10x magnification. Images were processed using ImageJ software.
3.2.4 Pax7 siRNA design and transfection
Pax7 siRNA was designed based on previously published work [Olguin & Olwin 2004] (D2). The sequence was adapted for double-stranded siRNAs that were purchased
along with a universal negative control siRNA from Integrated DNA Technologies (IDT, Coralville, Iowa). Pax7 or control siRNAs were co-transfected in C2C12 cells at a concentration of 30 nM along with TOPflash luciferase reporter and effector plasmids as previously described, and luciferase results were assayed after 48 hours.
### 3.2.5 Primers
**Table 3.1: List of all primers used during this chapter**
| Name | Sequence |
|-----------------------|--------------------------------------------------------------------------|
| **Cloning** | |
| Bx2 BBRC F Nhe | ccgctagccttaaaggtggacaggaag |
| Bx2 Cloning Rev Xba | ggctctagattagcttaatggtgggggttc |
| Bx2 Cloning For Xho | agctcgagcacgtgccacgcggaactgag |
| Bx2 HD Rev Nhe | ccgctagcgcacatctttctttcttttc |
| Myf5 F Xho | gccctcgaggacatgacggacggctgccag |
| Myf5 R Xba | ggctctagatcataatactgtgatagataag |
| MRF4 F Xho | gccctcgagatgtatggacctttttgaaac |
| MRF4 R Xba | ggctctagattacttccaccacccctcctc |
| Msx1 F Xho | gccctcgaggccccggctgctgctatgac |
| Msx1 R Xba | ggctctagactaagtccaggtgatatcgtgtagcc |
| Msx2 F Xho | gccctcgaggctctccgactaaaggcggt |
| Msx2 R Xba | ggctctagattagaatagatggtacatgcccatatcc |
| mPax3 F Xho | gcccgagaccacgctggccgcgct |
| Pax3 R Nhe | gcgcctagctagaacgtccaaggcttactttgtc |
| **Mutagenesis/Deletions** | |
| Pax7 Eh1 SDM Top | ccaagccagcgcgcatggcgcctggcgacaaaggg |
| Pax7 Eh1 SDM Bottom | ccaaggccgcacatcgccgctggccttttgctttcttcgc |
| Pax7 TAD F Nhel | ggctctagcgtcaaccagctggcgg |
| Pax7 Nterm R NheI | ggcctagccggcgctgctttgcgc |
|------------------|--------------------------|
| Barx2 GSK phos S-A SDM F | gaatg**catttcccacag**cagaggagattgaag |
| Barx2 GSK phos S-A SDM R | ctctgc**gtgtggaatggcattttcttttaggc** |
| Barx2 CKII phos SDM F | cagaaggc**tttgctaccccaagacaggttg** |
| Barx2 CKII phos SDM R | ggtagccaaagccttctgctttcttggaatttc |
| Barx2 CKII phos S-A SDM F | tatttggtctaccccaagacaggttg |
| Barx2 CKII phos S-A SDM R | ggtagccaaaacttctgctcttg |
| Barx2 CKII phos Y-A SDM F | cagaaggc**tttgctaccccaagacaggttg** |
| Barx2 CKII phos Y-A SDM R | ggtagacaaagccttctgctttcttggaatttc |
| Barx2 CKII phos Y-D SDM F | cagaaggc**tttgctaccccaagacaggttg** |
| Barx2 CKII phos Y-D SDM F | ggtagacaaagccttctgctttcttggaatttc |
**Chromatin Immunoprecipitation**
| TOPflash ChIP F | ccgagctcttaacgcgagatc |
|-----------------|-----------------------|
| TOPflash ChIP R | caagctggaatttcgagcttcc |
| β2-microglobulin ChIP F | cggagaatgggaagccgaacat |
| β2-microglobulin ChIP R | gtgagggcggtggaactgtgt |
| Desmin F | ctggcagcacagaggg |
| Desmin R | gcccccttagctgtctgc |
**siRNA**
| Pax7 sense | tgtctccaagattctgtgccgatat |
|------------|----------------------------|
| Pax7 antisense | acacagaggttctaagacacggtata |
### 3.3 Results
#### 3.3.1 The homeodomain is essential for Barx2-mediated activation of TOPflash
To expand on previous work and further delineate the Barx2 domains involved in activation of TOPflash, new deletion constructs were prepared. Previous analysis of
Barx2 involved constructs expressing full length (FL) protein, the N-terminus alone (N-term), the C-terminus alone (C-term), the homeodomain and Barx basic region (HDBBR), as well as the N-terminus and HD/BBR (NHDBBR) and C-terminus and HD/BBR (HDBBRC), and these data had demonstrated a crucial role for the highly conserved homeodomain and closely associated BBR in terms of TOPflash activation. To extend these findings, constructs with deletion of the homeodomain and BBR (ΔHDBBR), homeodomain (ΔHD) or BBR (ΔBBR) were generated. Transient transfections and luciferase assays performed in C2C12 myoblasts with the TOPflash reporter showed that, consistent with the N-term and C-term only constructs having no activating function, both new constructs with a deleted homeodomain (ΔHDBBR and ΔHD) were also unable to activate the TOPflash reporter (Figure 3.1). In contrast, deletion of the Barx2 BBR alone reduced Barx2-mediated activation but was not sufficient to eliminate it. FL Barx2, NHDBBR and HDBBRC constructs were all able to significantly activate TOPflash compared to empty vector transfection, with the HDBBRC construct being the most potent. The HDBBR domain alone did not activate TOPflash (Figure 3.1). In summary these data confirmed the results obtained previously by Masters student Lizhe Zhuang under the same experimental conditions, and extended them to show the essential but non-sufficient nature of the Barx2 homeodomain in TOPflash activation.
Figure 3.1: Analysis of new Barx2 deletion constructs
Left: schematic of Barx2 deletion constructs. Green – homeodomain; grey – BBR; blue – nuclear localisation sequence; red – Eh-1 motif. Right: Barx2 deletion constructs (1 µg) were co-transfected with the TOPflash reporter (0.5 µg) in to C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments performed in triplicate. Error bars represent SEM. ** p < 0.001 relative to pcDNA3.
Previous work from this laboratory identified that Barx1, which shares high sequence homology to Barx2 within the HDBBR region, also activates TOPflash alone and synergistically with MyoD [Zhuang et al. 2014], further highlighting a critical role for these domains in activation of TOPflash. We therefore wanted to assess the generality of Homeobox-mediated activation of the TOPflash reporter by testing proteins from a different Homeobox family to that of the Barx family. The Msx family comprises two members (Msx1 and Msx2) that are primarily expressed in a subset of blood vessels [Goupille et al. 2008]. Msx proteins contain an Antennapedia class
homeodomain related to that in the Barx proteins, but no BBR. Both Msx1 and Msx2 were tested for their ability to activate TOPflash in C2C12 myoblasts via luciferase assay. As shown in Figure 3.2, transfection of Msx2 alone modestly activated TOPflash (3-fold), however no activation was observed for Msx1 under the same conditions. Interestingly, both Msx1 and Msx2 produced potent activation of TOPflash when co-transfected with MyoD (11 and 18-fold respectively).
**Figure 3.2: Msx homeobox proteins can activate TOPflash**
TOPflash reporter (0.5 μg) was co-transfected with Msx1 or Msx2 either separately or in combination with MyoD (total 1 μg) in to C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control and to control for total amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of two independent experiments performed in triplicate. Error bars represent SEM. **p < 0.001 relative to pcDNA3 control unless marked otherwise. n=6.
### 3.3.2 Barx2 synergistically activates TOPflash with MyoD and other MRFs
Previous work from this laboratory had identified a strong synergistic activation of TOPflash in C2C12 cells following co-transfection of Barx2 and MyoD, with no activation observed following MyoD transfection alone [Zhuang et al. 2014]. To
determine if MyoD is the only MRF member able to synergise with Barx2, the other 3 members of the MRF family, Myf5, MRF4 and myogenin were tested by transient cotransfection and luciferase assay. These assays demonstrated that all 4 members are capable of synergising with Barx2 in C2C12 cells (Figure 3.3A), but synergy with MyoD was the most potent. Expression of any MRF on its own was insufficient to increase TOPflash promoter activity above basal levels, whilst co-transfection of Barx2 and MyoD resulted in 18-fold increase in activity over transfection of Barx2 alone (which was set to 1 in Figure 3.3A). Co-transfection of Myf5, MRF4 or myogenin with Barx2 resulted in 4 to 6-fold increase in promoter activity relative to Barx2 transfection alone. The synergistic effect of Barx2 in combination with MyoD is unlikely to be due to a differentiation-promoting effect as cells transfected with TOPflash alone did not show significant promoter induction even after 48 hours of differentiation media (Figure 3.3B). Moreover, both Barx2 and the combination of Barx2 and MyoD induced TOPflash promoter activity in COS7 cells (Figure 3.3C), which have no endogenous MRF expression and are unable to undergo myogenic conversion. The fact that Barx2 is still able to activate the TOPflash promoter in the absence of exogenous MyoD in COS7 cells indicates that Barx2-mediated activation is not dependent on MyoD.
Figure 3.3: Barx2 regulates the TOPflash reporter gene synergistically with MRFs in C2C12 cells
(A): TOPflash reporter (0.5 µg) was co-transfected with Barx2 either separately or in combination with a MRF (total 1 µg) in to C2C12 cells. (B): TOPflash reporter (0.5 µg) was transfected in to C2C12 cells and cells were grown in either growth media (GM) or differentiation media (DM) for 48 hours. (C): TOPflash reporter (0.5 µg) was co-transfected with Barx2 or MyoD or combination (total 1 µg) in to COS7 cells. Transfection of empty pcDNA3 vector served as a negative control and to control for total amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to Barx2 transfection (set to a value of 1). The results shown are the average of at least two independent experiments performed in triplicate. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to (A) Barx2 or (C) pcDNA3 control unless marked otherwise.
3.3.3 Barx2 may synergise with Wnt3a/β-catenin to activate TOPflash
Up to this point in the study, the ability of Barx2 to activate the TOPflash reporter gene had been examined independently of Wnt3a/β-catenin signal or effector. Here
the question was asked whether combining Barx2 expression with constitutively active (ca.) β-catenin or Wnt3a ligand treatment could potentiate a higher activation response. Due to the high levels of TOPflash activation produced by expression of ca. β-catenin or treatment with Wnt3a ligand, the concentrations of each were titrated to induce only modest activations of TOPflash, similar to the response elucidated by expression of Barx2 or the combination of Barx2 and MyoD (hereafter called Barx2+MyoD). As such, when combining Barx2 with ca. β-catenin, only 2-50 ng of ca. β-catenin was transfected per well. Similarly, when combining Barx2 expression with Wnt3a, Wnt3a CM was used at dilutions of 1:10 or 1:20 in complete DMEM. The data obtained from these co-treatment experiments indicated that under specific experimental conditions, synergy between Barx2 and ca. β-catenin or Wnt3a was possible. As shown in Figure 3.4, Barx2 was observed to synergise with 10-50 ng β-catenin, whilst Barx2 and Barx2+MyoD provided a synergistic effect with Wnt3a CM at a 1:10 dilution. However, results were not entirely consistent between replicate experiments; it is likely that variables such as cell passage, transfection efficiency and variations in batches of Wnt3a CM contributed to the variable results. One interesting observation from these studies was the ability of MyoD to block activation mediated by ca. β-catenin (Figure 3.4C). A previous study by Kim and colleagues identified that a direct interaction between β-catenin and MyoD enhances the binding of MyoD to E-box elements [Kim et al. 2008], and thus recruitment of β-catenin away from TCF/LEF elements may provide an explanation for this result.
Figure 3.4: Barx2 and β-catenin may synergise to activate TOPflash whilst MyoD represses β-catenin activation
(A): TOPflash reporter (0.5 μg) was co-transfected with Barx2 and increasing concentrations of β-catenin. (B): TOPflash reporter (0.5 μg) was co-transfected with Barx2 or Barx2+MyoD and cells received control Lcell CM or Wnt3a CM. (C): TOPflash reporter (0.5 μg) was co-transfected with MyoD and increasing concentrations of β-catenin. Transfection of empty pcDNA3 vector served as a negative control and to control for total amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to Barx2 transfection (set to a value of 1). The results shown are the average of at least two independent experiments performed in triplicate. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to each control condition.
3.3.4 Pax7 antagonises Barx2, β-catenin and Wnt3a-mediated activation of TOPflash activity
As discussed previously, Pax7 is expressed in satellite cells but is downregulated as cells begin to differentiate [Olguin & Olwin 2004; Zammit et al. 2004]. It also inhibits myoblast differentiation whilst Barx2 promotes differentiation [Zammit et al. 2006; Olguin et al. 2007; Makarenkova et al. 2009]. To examine whether these opposing effects of Barx2 and Pax7 may be related to differential effects on Wnt target regulation, the ability of Pax7 to modulate TOPflash activity was tested. In contrast to the effect of Barx2, Pax7 repressed basal TOPflash reporter activity (approximately 3-fold) when expressed in C2C12 myoblasts (Figure 3.5). Furthermore, when Pax7 was co-transfected with Barx2, activation of TOPflash was completely inhibited, suggesting a potent repressive function of Pax7 that is capable of overwhelming the activating function of Barx2.
**Figure 3.5: Pax7 antagonises the activating effect of Barx2 on TOPflash activity**
TOPflash reporter (0.5 μg) was co-transfected with combinations of Barx2, MyoD and Pax7 (total 1.5 μg) in to C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control and to control for total amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments performed in triplicate. Error bars represent SEM. **p < 0.001 relative to pcDNA3 control unless marked otherwise.
Pax7 is highly expressed in proliferating myoblasts (and proliferating C2C12 cells) and this endogenous Pax7 may impair the response of TOPflash to over-expression of Barx2 (and Barx2+MyoD). Hence, the idea that the ability of Barx2 to activate TOPflash could potentially be higher if endogenous Pax7 expression was inhibited was considered. To confirm this, expression of Pax7 was knocked down with Pax7 siRNA used at a concentration of 30 nM. Before use in a luciferase assay, efficiency of the Pax7 siRNA to knockdown Pax7 was first confirmed in transfection experiments in C2C12 myoblasts. C2C12 cells were transfected with either Pax7 siRNA or universal negative control siRNA, and mRNA and protein levels of Pax7 were assessed after 48 hours. As shown in Figure 3.6A, Pax7 mRNA expression as assessed by quantitative PCR was reduced by 50% in cells transfected with Pax7 siRNA compared to cells transfected with control siRNA. Similarly, Pax7 protein as assessed by western blot was reduced by ~90% in lysates from Pax7 siRNA transfected cells when compared to expression of Pax7 in lysates from control siRNA transfected cells (Figure 3.6B).
Figure 3.6: Efficacy of Pax7 siRNA knockdown in C2C12 cells
Pax7 siRNA or universal negative control siRNA (30 nM) was transfected into C2C12 cells. (A) RNA isolated from transfected cells was reverse transcribed and Pax7 mRNA was measured by quantitative real-time PCR. Data were normalised to the housekeeping gene RPS26. Expression of Pax7 in Pax7 siRNA-transfected cells is presented relative to that of control siRNA-transfected cells, set arbitrarily to a value of 1. Results shown are the average of two experiments performed in duplicate. Error bars represent SEM. * p < 0.05. n=4. (B) Nuclear total protein lysates of siRNA transfected C2C12 cells were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with a Pax7 specific antibody. The same membrane was then probed with an anti-β-actin antibody as a control for total loaded protein. A representative blot of two independent experiments is shown.
Following confirmation that the Pax7 siRNA reduced Pax7 expression, C2C12 myoblasts were transiently transfected with the TOPflash reporter, together with Barx2 and MyoD, and either 30 nM of negative control siRNA or Pax7 siRNA. In cells that were transfected with Pax7 siRNA, the activation of the TOPflash reporter by Barx2 and MyoD was approximately 2.25-fold higher than in cells transfected with negative control siRNA (Figure 3.7B). Interestingly, however, knockdown of Pax7 had no effect on basal TOPflash activity (Figure 3.7A).
Figure 3.7: Knockdown of Pax7 increases the ability of Barx2 and MyoD to activate TOPflash
TOPflash reporter (0.5 µg) was co-transfected with Barx2, MyoD and siRNA (total 1 µg) into C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection with (A): control siRNA (set to a value of 1) or (B): Barx2 and MyoD transfection with control siRNA (set to a value of 1). The results shown are the average of three independent experiments performed in triplicate. Error bars represent SEM. ** p < 0.001. n=9.
To assess whether Pax7 is a specific antagonist of Barx2-mediated TOPflash activation, or whether it acts more generally on the Wnt/β-catenin pathway, the ability of Pax7 to antagonise activation either by constitutively active (ca.) β-catenin or Wnt3a ligand was assessed. As shown in Figure 3.8A, cotransfection of Pax7 abolished the 14-fold activation of TOPflash by β-catenin. Furthermore, TOPflash activation by Wnt3a CM (180-fold at 1:10 dilution, 90-fold at 1:20 dilution) was significantly reduced although not abolished by transfection of Pax7 (Figure 3.8B). Pax7 expression produced a consistent 5-fold inhibition of Wnt3a-mediated TOPflash activation despite different concentrations of Wnt3a CM. For example, at a 1:10 dilution of Wnt3a CM, Pax7 expression reduced activation from approximately 180-fold to 40-fold above basal activity, and at a dilution of 1:20 Wnt3a CM, Pax7 reduced activation from 90-fold to 11-fold.
Another member of the Pax family, Pax3, was also tested for its ability to modulate TOPflash activity. Pax3 contains a paired domain, a full homeodomain and an octapeptide motif that are highly related to those of Pax7. Similar to Pax7, transfection of Pax3 was repressive to basal TOPflash activity and completely abolished activation of TOPflash by Barx2 and β-catenin (Figure 3.8C).
**Figure 3.8: Pax7 antagonises the activating effect of β-catenin and Wnt3a on TOPflash**
(A) TOPflash reporter (0.5 μg) was co-transfected with combinations of Pax7 or constitutively active β-catenin (50 ng) in C2C12 myoblasts. (B) TOPflash reporter (0.5 μg) was co-transfected with Pax7 in C2C12 myoblasts and cells were treated with Wnt3a CM. (C) TOPflash reporter (0.5 μg) was co-transfected with combinations of Pax3, Barx2 or ca. β-catenin in C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control and to control for total amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments (A, C) or a representative experiment (B) performed in triplicate. Error bars represent SEM. ** p < 0.001 relative to pcDNA3 control unless otherwise marked.
3.3.5 Delineation of the functional domains of Pax7 repression
The Pax7 protein consists of a paired domain and a homeodomain, both of which encode a DNA-binding motif, as well as an engrailed homology-1 (Eh1) domain. Eh1 motifs are known to mediate interactions of a number of protein families with transcriptional co-repressors of the TLE/Groucho protein family, and functional analysis has shown that the Eh1 motif is required for active transcriptional repression in vivo, as well as for the physical interaction with Groucho co-repressors [Logan et al. 1992; Smith & Jaynes 1996; Tolkunova et al. 1998; Chen & Courey 2000]. Groucho/TLE co-repressors have been reported as playing an important role in repression of canonical Wnt target genes in the absence of a Wnt signal and nuclear β-catenin [Cavallo et al. 1998]. To delineate the functional domains mediating Pax7 repression in this system, three mutant expression constructs were generated (as described in Section 3.2.1) and co-expressed in C2C12 cells with TOPflash and either Barx2 or ca. β-catenin. Figure 3.9 shows that mutation of the Pax7 Eh1 domain (Eh1 SDM) or deletion of the Pax7 paired domain (ΔPD) had no effect on the ability of Pax7 to block TOPflash activation by either Barx2 or ca. β-catenin. However, deletion of the homeodomain (ΔHD) moderately impaired the ability of Pax7 to inhibit Barx2 or ca. β-catenin-mediated activation. Overall, these data indicated a previously unreported role for Pax7 as a repressor of canonical Wnt signalling, which is in part mediated through the Pax7 homeodomain.
Figure 3.9: The Pax7 homeodomain is important for repression of TOPflash activity
TOPflash reporter (0.5 µg) was co-transfected with combinations of constitutively active β-catenin (50 ng), Barx2 and Pax7 mutant constructs (total 1 µg) in C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control and to control for total amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least two independent experiments performed in triplicate. Error bars represent SEM. ** p < 0.001.
3.3.6 Barx2 and Pax7 interact physically with β-catenin and TCF family members
With evidence to date suggesting a role for Barx2, MyoD and Pax7 in modulating TOPflash reporter activity, it was important to determine whether these factors form a complex with the core Wnt effectors, β-catenin and TCF/LEF. To this end, co-immunoprecipitation (IP) with myc-epitope-tagged proteins was performed in COS7 cells. Previous studies have shown the ability of Barx2 and MyoD [Makarenkova et al. 2009] and MyoD and β-catenin [Kim et al. 2008] to interact and as such these interactions were not assessed. Myc-tagged Barx2 or Pax7 was expressed in COS7
cells and IP was performed for endogenous β-catenin with an anti-β-catenin antibody. Blotting for Barx2 or Pax7 with anti-myc antibody showed both Barx2 and Pax7 were efficiently co-immunoprecipitated with endogenous β-catenin (Figure 3.10A). Moreover, co-immunoprecipitation of Barx2 and β-catenin also occurred in lysates sonicated and treated with ethidium bromide, which selectively inhibits DNA-dependent protein associations in the precipitation reactions [Lai & Herr 1992] (Figure 3.10A), suggesting the interaction between Barx2 and β-catenin is not entirely dependent on DNA. To delineate interaction domains of Barx2 with β-catenin, the myc-tagged Barx2 NHDBBR, HDBBRC, N-term and C-term constructs were expressed in COS7 cells. Figure 3.10B shows that both NHDBBR and HDBBRC proteins co-immunoprecipitated with endogenous β-catenin, whilst the N-term and C-term proteins lacking the HD and BBR were not precipitated, indicating that the HDBBR region is necessary for interaction. Attempts to co-immunoprecipitate the HDBBR fragment alone with endogenous β-catenin were unsuccessful, potentially due to weaker expression of this protein fragment (not shown), however this could also explain the reduced activation of TOPflash shown previously in Figure 3.1. Consistent with these results and the aforementioned luciferase assays, the myc-tagged Barx2 ΔHD and Pax7 ΔHD constructs also did not co-immunoprecipitate with endogenous β-catenin in COS7 cells (Figure 3.10C). Full length Barx2 successfully co-immunoprecipitated with TCF4 following over-expression of both proteins also in COS7 cells (Figure 3.10D). It should be noted that two TCF4 species of ~60 and 80 kDa were observed on the immunoblots. The larger variant is consistent with a post-translationally modified form [Yamamoto et al. 2003] that is reported to confer the majority of transcriptional activity in other cells [Chesire et al. 2002]. As shown in
Figure 3.10D, Barx2 preferentially co-immunoprecipitated the larger molecular weight form of TCF4.
**Figure 3.10: Barx2 interacts with β-catenin and TCF4 in vitro**
(A, B, C): Myc-epitope-tagged Barx2 or (A, C) Pax7 constructs were expressed in COS7 cells and immunoprecipitated using polyclonal antibodies to endogenous β-catenin. (D): Myc-epitope-tagged TCF4 and Barx2 were expressed in COS7 cells and immunoprecipitated using polyclonal antibodies to Barx2. Proteins were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with monoclonal antibodies to the myc-tag. All immunoprecipitation assays were performed at least twice with similar results. Representative blots are shown.
To determine whether the aforementioned protein interactions were direct, co-immunoprecipitations using proteins generated by *in vitro* transcription/translation were attempted. Whilst *in vitro* translated (IVT) TCF4 co-immunoprecipitated with IVT β-catenin, attempts to co-immunoprecipitate IVT Barx2 with IVT β-catenin, TCF4
or both together were unsuccessful (Figure 3.11B), indicating possible additional proteins or post-translational modifications are required to mediate or stabilise the interactions. As shown in Figure 3.11B, when all three IVT products were incubated together and complexes were captured with an antibody to β-catenin, TCF4 but not Barx2 was present in the IP. When complexes were captured with an antibody directed at Barx2, only Barx2 was detected in the IP. Furthermore, re-probing the same blot with anti-β-catenin antibodies showed the presence of β-catenin in the β-catenin IP but not the Barx2 IP (not shown).
**Figure 3.11: Barx2, β-catenin and TCF4 proteins do not directly interact**
(A): Proteins were synthesised using the TnT® Quick Coupled Transcription/Translation system (Promega). (B): β-catenin, TCF4 (myc tagged) and Barx2 (myc tagged) IVT products were incubated together and complexes were captured with either anti-β-catenin or anti-Barx2 rabbit polyclonal antibodies and Protein A sepharose beads. Proteins were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with antibodies to the myc-tag. A representative blot is shown.
3.3.7 Disruption of a phosphorylation site within Barx2 renders the protein inactive
Proteins are often modified following translation. One type of post-translational modification is phosphorylation; the addition of a phosphate group to the $-\text{OH}$ group of serine, threonine or tyrosine (ie. changing $-\text{OH}$ to $-\text{PO}_4^{2-}$), catalysed by a kinase.
Analysis of the Barx2 protein sequence using phosphorylation prediction software NetPhos 2.0 (www.cbs.dtu.dk/services/NetPhos/) revealed a number of potential phosphorylation sites (Figure 3.12). Of these, 4 high ranking candidates (score >0.8 out of a possible 1) were chosen. Three of these were serine (S) and were conserved between Barx2 and Barx1, and one tyrosine (Y) present only in Barx2.
**Figure 3.12: Phosphorylation prediction of Barx2**
Barx2 sequence was analysed by NetPhos 2.0 software (www.cbs.dtu.dk/services/NetPhos/). Predicted phosphorylation of serine (S), threonine (T) and tyrosine (Y) residues are indicated. Highlighted residues indicate a score of >0.8 out of 1 that were chosen for mutational analysis. Green: conserved S residues between Barx2 and Barx1. Blue: non-conserved Y residue. Underline: Barx2 homeodomain.
To assess the role of these predicted residues and thus the role of serine and tyrosine phosphorylation in Barx2-mediated activation of TOPflash, primers were designed to introduce point mutations at these sites, and the new constructs were tested for their ability to activate TOPflash in a transient transfection followed by luciferase assay.
Initially, two Barx2 phosphorylation site mutants were generated – one which mutated two serines (S) within a potential GSK3 phosphorylation site to alanine (A) (S215A, S219A), and one which mutated a serine and tyrosine (Y) within a potential CKII phosphorylation site to alanine (S163A, Y161A). Alanine lacks the –OH group that allows serine and tyrosine residues to be phosphorylated. As shown in Figure 3.13, mutation of the S residues within the possible GSK3 phosphorylation site had no significant effect on the ability of Barx2 to activate the TOPflash reporter, with the mutated construct producing approximately the same level of activation as wildtype (WT) Barx2. However, mutation of both the S and Y residues within the possible CKII phosphorylation site completely abolished Barx2-mediated activation. To further isolate the critical residue, two further mutants were generated. This time, the Y residue and the S residue were mutated to A residues independently. The ability of these new constructs to activate TOPflash was then assessed. It was observed that the S163A mutation did not reduce the level of activation when compared to WT Barx2, but that the Y161A mutation was sufficient to abolish all activity (Figure 3.13), suggesting a potential requirement for the phosphorylation of Y(161) in the function of Barx2. To study the effect of phosphorylation more directly, a “phosphomimetic” mutation is often generated that mimics the chemical structure of a phosphorylated residue. Generally, aspartate (D) is used to mimic phosphorylation of serine and threonine residues. It can also be used to mimic tyrosine phosphorylation with the caveat that the structure of aspartate is very different to tyrosine because it lacks the aromatic ring. A Barx2 Y161D mutant construct was generated and its ability to activate TOPflash was tested. Barx2 Y161D yielded the same result as the Barx2 Y161A construct, which was no activation of the reporter (Figure 3.13). Y161 is
located in the centre of the Barx2 homeodomain and it is possible that it is the side chain conformation of Y161 that is critical for Barx2 function rather than its phosphorylation. Overall these data could not unequivocally determine whether Barx2 function is dependent on phosphorylation. However it is still possible that post-translational modifications are required to mediate or stabilise the interaction between Barx2, β-catenin, and/or TCF family members and this could be further investigated in the future.
**Figure 3.13: Analysis of Barx2 phosphorylation mutants on TOPflash activity**
TOPflash reporter (0.5 μg) was co-transfected with either WT Barx2 or Barx2 phosphorylation mutants (1 μg) in to C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of two independent experiments performed in triplicate. Error bars represent SEM. **p < 0.001. n=6.
### 3.3.8 Barx2 binds to the TOPflash promoter and promotes recruitment of β-catenin
To test the hypothesis that Barx2 is recruited to the TOPflash promoter via interactions with TCF/LEF and/or β-catenin, chromatin immunoprecipitation (ChIP)
using a stable C2C12 cell line that carries an integrated TOPflash promoter/luciferase reporter (TOPPuro) was performed. This cell line was previously tested and the reporter shown to respond to Wnt3a stimulation as well as over-expression of Barx2 and Barx2+MyoD. Given that endogenous Barx2 target genes containing TCF/LEF sites had not been clearly defined by this stage of the project, this transgenic cell line was extremely valuable for elucidating functional binding to TOPflash promoter DNA.
The ChIP protocol was based on a rapid microChIP protocol [Dahl & Collas 2008] but was optimised for C2C12 cells and the factors of interest. Specifically, the factors that were modified for optimisation included cell number, cross-linking time, volume of lysis buffer for sonication and sonication conditions, protein:DNA complex washing and DNA elution from Protein-G beads. The details of the optimization have been omitted from this thesis but the final, optimised protocol is described in Chapter 2, Section 2.11. During optimisation of the ChIP protocol, TOPPuro cells were cultured with 1:2 dilution of Wnt3a CM for 8 hours, followed by immunoprecipitation with a β-catenin antibody. As expected, immunoprecipitation of β-catenin following Wnt3a stimulation produced a robust 10-fold enrichment of TOPflash promoter DNA relative to IgG control (Figure 3.14A). In TOPPuro cells that were transfected with either Barx2 or Barx2+MyoD, ChIP with Barx2 antibodies produced, on average, 4-fold enrichment of TOPflash promoter DNA, suggesting that Barx2 binds the promoter. Moreover, in cells transfected with Barx2 or Barx2+MyoD, ChIP with β-catenin antibodies also produced 3 to 4-fold enrichment of TOPflash promoter DNA indicating recruitment of β-catenin, independent of β-catenin transfection or Wnt3a stimulation. As a control, no β-catenin recruitment was observed with either Barx2 or β-catenin antibodies when cells were transfected with control empty vector. The recruitment
of MyoD to TOPflash after transfection of TOPPuro cells with empty vector, MyoD, or Barx2+MyoD was also examined. ChIP with antibodies to MyoD showed that MyoD was only recruited to the TOPflash promoter after co-transfection of Barx2 with MyoD, and not following empty vector or MyoD transfection alone. Furthermore, transfection of MyoD alone was not sufficient to induce recruitment of β-catenin to the TOPflash promoter. As shown in Figure 3.14B, efficacy of the MyoD antibody in ChIP was demonstrated by the recruitment of MyoD to an E-box-containing promoter, desmin [Li & Capetanaki 1993]. Overall these data suggest that Barx2 recruits both MyoD and β-catenin to the TOPflash promoter.
Figure 3.14: Barx2 is recruited to the TOPflash promoter in C2C12 cells and promotes recruitment of β-catenin
ChIP was performed on chromatin from the C2C12 TOPPuro stable cell line following transfection of empty vector, Barx2, Barx2+MyoD or MyoD, or treatment with a 1:2 dilution of Wnt3a CM for 8 hours. ChIP was performed with 2 μg of the indicated antibodies. Data are PCR amplification values for the (A) TOPflash promoter or (B) Desmin promoter normalised to amplification values for a control non-target locus (β2-microglobulin), with enrichment values for each antibody subsequently normalised to the mock ChIP with preimmune IgG, arbitrarily set to a value of 1. The results shown are the average of at least three independent experiments. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to IgG controls.
3.3.9 Over-expression of Barx2 leads to accumulation of β-catenin in the nucleus
The role of canonical Wnt ligands in inhibiting β-catenin phosphorylation and promoting its stabilisation is well defined [Liu et al. 2005; Li et al. 2012]. Western blot analysis and immunofluorescence microscopy were used to quantify the effect of adding Wnt3a CM to C2C12 myoblasts on the total amount of β-catenin. As shown in
Figure 3.15A, lysates of C2C12 cells treated with 1:2 dilution of Wnt3a CM for 48 hours had approximately 9-fold more total β-catenin than control-treated lysates (when quantified to β-actin housekeeping protein). In an attempt to quantify the level of only non-phosphorylated (active) β-catenin, by western blot, two different anti-active β-catenin antibodies (Anti-active-β-catenin clone E87 (Merck Millipore) and Non-phospho β-catenin Ser33/37/Thr41 (Cell Signaling Technology)) were tested. However both proved to be insufficiently sensitive to reliably quantify non-phosphorylated β-catenin and therefore the data is not shown. Immunofluorescence analysis showed that Wnt3a CM increased the total amount of β-catenin as measured by total cellular fluorescence (Figure 3.15B). Furthermore, immunofluorescence analysis showed that Wnt3a increased the ratio of nuclear:cytoplasmic β-catenin, with cells that were treated with Wnt3a CM containing on average 16-fold more β-catenin in the nucleus relative to the cytoplasm (Figure 3.15C).
Figure 3.15: Wnt3a stimulates nuclear localisation of β-catenin in C2C12 cells
(A): Protein lysates of C2C12 cells treated with control or a 1:2 dilution of Wnt3a CM for 8 hours were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with antibodies to endogenous total β-catenin. This was performed in duplicate and a representative blot is shown. (B): C2C12 cells treated with control or Wnt3a CM for 48 hours were fixed, immunostained for total β-catenin (red) and DAPI (blue) and imaged with an Olympus IX71 microscope. This was performed in duplicate and a representative image is shown. Scale bar represents 25 μM. (C): ImageJ software was used to quantify nuclear and cytoplasmic fluorescence. ** p < 0.001.
The next question that was examined was whether Barx2 played any role regulating β-catenin expression level and/or nuclear localisation. In contrast to what was observed with Wnt3a, over-expression of Barx2 or Barx2+MyoD did not increase total β-catenin as observed by western blot (Figure 3.16A). Interestingly, however, immunofluorescence staining of C2C12 cells transfected with Barx2 and probed with antibodies recognising Barx2 and β-catenin showed that cells expressing high levels
of Barx2 had a significant increase in nuclear β-catenin compared to the control untransfected cells (Figure 3.16B, as quantified in Figure 3.16C). On average, Barx2-positive cells had 7.6-fold higher nuclear:cytoplasmic β-catenin ratio than Barx2-negative cells. This result suggests that Barx2 does not increase total β-catenin levels but may sequester it in the nucleus. This interpretation is also consistent with increased binding of endogenous β-catenin to TOPflash promoter DNA following Barx2 over-expression as observed in ChIP.
**Figure 3.16: Barx2 over-expression leads to β-catenin accumulation in the nucleus**
(A): Protein lysates of C2C12 cells transfected with empty vector control, Barx2 or Barx2 and MyoD were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with antibodies to endogenous total β-catenin. This was performed in duplicate and a representative blot is shown. (B): C2C12 cells transfected with empty vector control or Barx2 were fixed, immunostained for total Barx2 (green), β-catenin (red) and DAPI (blue) and imaged with an Olympus IX71 microscope. ImageJ software was used to quantify nuclear and cytoplasmic fluorescence. A representative image is shown. Scale bar represents 25 μM.
3.4 Discussion
Data generated in the laboratory prior to the commencement of this doctoral study identified a novel role for the homeobox factor Barx2 and the bHLH MRF MyoD in regulation of Wnt target gene activity in myoblasts via use of the widely used Wnt reporter gene, TOPflash. The work presented in this chapter greatly extended these initial observations and answered several key questions posed at the beginning of the chapter. It clearly defines Barx2 and MyoD as novel members of the canonical Wnt/β-catenin effector complex in myoblasts, and also suggests a new player within this complex, Pax7. In the absence of a canonical Wnt ligand, β-catenin has been reported to exist primarily in the cytoplasm, where it is phosphorylated and targeted for degradation and thus unable to activate gene transcription [Rubinfeld et al. 1996; Aberle et al. 1997; Behrens et al. 1998]. The studies here have demonstrated, by use of the synthetic Wnt reporter, that Barx2 can potentiate Wnt target promoter activity on its own, in the absence of exogenously expressed ‘active’ β-catenin or treatment with Wnt ligand to stabilize and promote nuclear accumulation of endogenous β-catenin. Furthermore, as previously shown in the laboratory, the activation observed by Barx2 was potently enhanced by the over-expression of MyoD, yet MyoD alone had no effect on promoter activity. Here, transfection studies combined with luciferase assays demonstrated that MyoD was not the only MRF member able to synergise with Barx2 in this context. In fact, all four MRFs (MyoD, Myf5, MRF4 and myogenin), which are expressed at varying stages of myogenesis, displayed the ability to significantly enhance Barx2-mediated activation of TOPflash when co-expressed in C2C12 cells. This suggests a possible role for Barx2 activation of Wnt target genes during all stages of myogenesis. Barx2 has previously been reported to interact with
MyoD [Makarenkova et al. 2009]; however the functional interaction between Barx2 and other MRFs is yet to be assessed. These studies also show for the first time that MRFs can assist in promoting transcription from TCF/LEF sites. An interesting observation was that MyoD, when expressed in the absence of Barx2, could inhibit activation of β-catenin. Previously, an interaction between β-catenin and MyoD was reported, however this interaction was only shown to enhance transcription via E-box motifs [Kim et al. 2008]. One possibility consistent with the findings presented here and also the current literature is that in the presence of high expression of MyoD, β-catenin is sequestered away from TCF/LEF binding sites and instead associates with MyoD at E-box binding motifs.
The ability of Barx2 to activate TOPflash in COS7 cells, a fibroblast-like cell line from monkey kidney which is unable to undergo myogenic conversion and does not express any member of the MRF family, indicates that Barx2 is not dependent on MRFs to mediate Wnt target promoter activation. Moreover, the observation that synergy between heterologously-expressed Barx2 and MyoD could still be achieved in COS7 cells further indicates that no other muscle-specific protein partners are required for this regulation. These data are significant as they suggest that Barx2 could regulate Wnt signalling in other contexts, including epithelial tissues in which it is expressed.
In this chapter, the role of the canonical satellite cell marker, Pax7, in regulation of Wnt target genes was assessed. Pax7 is expressed in quiescent and proliferating satellite cells/myoblasts but is downregulated when cells begin to differentiate [Zammit et al. 2004]. Barx2 is also expressed in satellite cells [Meech et al. 2012], but
in contrast to Pax7, is induced during early stages of differentiation, promoting pro-differentiation events such as cell spreading and migration [Makarenkova et al. 2009]. Pax7 was highly repressive to basal TOPflash activity. In addition to this, it completely blocked activation by Barx2, Barx2+MyoD and constitutively active β-catenin, and greatly reduced activation by Wnt3a ligand (Wnt3a CM addition), highlighting the potency of Pax7-mediated repression within this system. The repression of Pax7 observed here was partially dependent on the homeodomain, but not the paired domain or the Eh1 motif.
Barx2 has been shown to promote differentiation [Meech et al. 2012] and canonical Wnt signals have also been shown to promote differentiation [Brack et al. 2008; Tanaka et al. 2011; Jones et al. 2015]. Conversely, Pax7 has been shown to block differentiation [Olguin & Olwin 2004; Zammit et al. 2006; Olguin et al. 2007] and indeed the Pax7\textsuperscript{high} expression state may be considered to be differentiation-incompetent. Hence a model can be proposed in which high levels of Pax7 block the pro-differentiation effects of both Barx2 and received Wnt signals in proliferating cells. The subsequent down-regulation of Pax7 in cells committed to differentiation may allow Barx2 to activate pro-differentiation target genes in co-operation with β-catenin and MRFs. Thus, antagonism between Pax7 and Barx2 with respect to Wnt signalling may be a key component of the Wnt-induced switch from proliferation to differentiation [Brack et al. 2008]. Pax7 is known to destabilise MyoD protein [Olguin & Olwin 2004], and this may in part explain the ability of Pax7 to inhibit Barx2+MyoD-mediated activation of TOPflash. However, the ability of Pax7 to block activation by β-catenin in both myogenic and non-myogenic cells indicates a role within the Wnt
effector complex that is independent of Barx2 and MRFs. Interestingly, in the studies shown here, Pax3 produced the same potent repression of TOPflash as Pax7. Furthermore, recent work from this laboratory (not shown here) found an interaction between Barx2 and Pax6 in regulation of TOPflash in epithelial cells, suggesting that the Barx-Pax interaction is a broadly applicable paradigm.
The co-immunoprecipitations performed within this chapter demonstrate the ability of Barx2 to interact with both β-catenin and TCF4 when expressed in COS7 cells, yet not when the proteins are transcribed and translated *in vitro*. The fact that no direct interaction could be identified between Barx2 and β-catenin, Barx2 and TCF4, or Barx2 with either β-catenin or TCF4 when protein lysates were mixed, suggests additional proteins or post-translational modifications are required to stabilise the reaction. A consistent thread throughout the results was the importance of the Barx2 homeodomain, with constructs lacking the homeodomain unable to mediate TOPflash activation or interaction with β-catenin. Furthermore, the co-immunoprecipitation results suggest that the Barx2 homeodomain works collaboratively with either N-terminal or C-terminal domains to bind β-catenin, and as such that it is necessary, but not sufficient, for this interaction. Interactions with β-catenin are lost upon removal of either the homeodomain or absence of both the N-terminus and C-terminus.
CKII phosphorylates a variety of transcriptional regulators and plays key roles in myogenesis, with its enzymatic activity increasing as myoblasts differentiate. For example, overexpression of CKII has been shown to increase the transcriptional activities of MRF4 and MyoD *in vivo* through phosphorylation of E47 proteins.
CKII also phosphorylates both Pax7 and Pax3 in proliferating myoblasts [Dietz et al. 2009; Gonzalez et al. 2016] and inhibition of Pax7 phosphorylation results in a downregulation of Pax7 accompanied by precocious myogenic induction. In these studies, a potential Barx2 CKII phosphorylation site was identified. A variant Barx2 protein with a mutated CKII phosphorylation site (situated within the homeodomain) was unable to activate TOPflash; however it remains unresolved whether this was due to loss of phosphorylation or simply due to disruption of a critical residue within the homeodomain. With no additional support for phosphorylation of Barx2, these studies were not pursued further.
Data shown here support the idea that Pax7 acts as an antagonist of the core Wnt effector complex. Initially, it was speculated that Pax7 may function by stabilizing the binding of the TCF/LEF-corepressor complex to DNA and preventing recruitment of β-catenin. This model would be consistent with the known role of the Eh-1 motif in recruiting TLE/Groucho factors that bind to TCF/LEF factors and act as corepressors [Brantjes et al. 2001; Daniels & Weis 2005]. However, this model was incompatible with two observations: 1) removal of the Eh1 motif did not affect the repressive function of Pax7 with respect to TOPflash, 2) co-immunoprecipitations revealed that Pax7 bound to β-catenin. Hence it seems likely that Pax7 doesn’t block recruitment of β-catenin to DNA, but that it may block the ability of β-catenin to dismiss corepressors and recruit coactivators. Moreover, Pax7 and Barx2 may compete for interaction with β-catenin; however this also remains to be tested. A handful of other homeodomain proteins have been reported to engage in functional interactions with β-catenin or TCF/LEF proteins [Vadlamudi et al. 2005; Olson et al. 2006; Park et al.
In particular, Pitx2 interacts with β-catenin via its homeodomain [Amen et al. 2007], raising the interesting possibility that Barx2 and Pitx2 could also compete for this interaction.
It was hypothesised that Barx2 and MyoD are recruited indirectly to the TOPflash promoter through β-catenin/TCF, as TOPflash contains no recognisable binding sites for either homeobox or bHLH factors, and both Barx2 and MyoD are able to interact with β-catenin. Consistent with the promoter-reporter studies, chromatin immunoprecipitation (ChIP) experiments revealed that Barx2 was recruited to TOPflash promoter DNA. Barx2 was also sufficient to promote recruitment of endogenous β-catenin, providing a mechanism by which Barx2 is able to mediate activation of TOPflash in the absence of β-catenin over-expression or canonical Wnt ligand stimulation. ChIP studies also showed that Barx2 was necessary for MyoD to be recruited to the promoter. Hence, Barx2 may be the core mediator of Barx2-MyoD-β-catenin complex formation. Western blot experiments revealed that Barx2 did not increase levels of β-catenin; however, fluorescence immunostaining indicated that Barx2 induced a higher nuclear:cytoplasmic ratio of β-catenin. Thus, this suggests that Barx2 plays a role in sequestering β-catenin in the nucleus to activate transcription and complements a study by Shao and colleagues implicating another homeobox factor, Msx2, in promoting β-catenin nuclear localization in fibroblasts [Shao et al. 2005]. Whether Barx2 actually regulates nuclear import of β-catenin is unclear. However, given that β-catenin is proposed to freely shuttle between compartments, increased recruitment to DNA alone could result in a net increase in nuclear levels.
In summary, these studies show that Barx2 is able to activate TOPflash by promoting nuclear sequestering of β-catenin and recruitment of it to promoter DNA. Barx2 is able to functionally interact with both β-catenin and TCF4, and possibly other TCF/LEF members, forming an activation complex. The Barx2 homeodomain is essential for this interaction and thus for the activating function of Barx2. In contrast, Pax7 is highly repressive of TOPflash, possibly through blocking the ability of β-catenin to dismiss co-repressors and recruit co-activators.
Chapter 4
Analysis of the effect of Barx2 loss-of-function on Wnt and Notch signalling in myoblasts and *in vivo*
4.1 Introduction
4.1.1 Transgenic TCF/LEF reporters
As a means of tracking activity of canonical Wnt signalling during animal development, various “reporter transgenes” that respond to Wnt signals have been developed. These transgenes can provide a useful means for monitoring both pathway activity at previously confirmed sites of signalling, and also for identifying novel signalling contexts. Similar to the TOPflash luciferase reporter construct described in the previous chapter, these transgenes are based on a multimerized TCF/LEF binding site driving expression of reporters such as LacZ or GFP. Several transgenic mouse lines have been described in the literature. Of these, perhaps the most widely reported: TOPGAL, a β-galactosidase gene under the control of three multimerized TCF/LEF consensus binding sites and the c-fos minimal promoter [DasGupta & Fuchs 1999] and BAT-GAL, a β-galactosidase gene under the control of seven multimerized TCF/LEF consensus binding sites and the minimal promoter of the *siamois* gene [Maretto et al. 2003]. Other transgenic models that have been reported, such as a β-galactosidase gene under the control of six TCF/LEF response elements and the hsp68 minimal promoter [Mohamed et al. 2004], and a LEF-EGFP Wnt reporter originally described by Currier and colleagues [Currier et al. 2010] have limited direct evidence regarding their Wnt responsiveness *in vivo*.
Certain caveats should be considered when analysing these reporters. In particular, the fact that the number of TCF/LEF binding sites in reporter transgenes is usually higher than in native Wnt-responsive target gene promoters. BAT-GAL, for example, contains seven multimerized TCF/LEF binding sites, whilst most natural target
promoters/enhancers contain far fewer, and/or distributed TCF/LEF sites [Botrugno et al. 2004; Maduro et al. 2005; Kim et al. 2015]. It is possible that placing a large number of closely-packed, optimal-affinity binding sites immediately upstream of a minimal promoter is sufficient to observe a transcriptional response that may not be seen in most native Wnt-responsive promoters. Furthermore, potential transgene insertion site-specific effects may result in ‘enhancer traps’ at the integration site, presenting consequences for specificity.
In an attempt to reduce chromosomal positional effects, Moriyama and colleagues [Moriyama et al. 2007] generated two TCF/LEF reporter transgenes (ins-TOPEGFP and ins-TOPGAL), which were both flanked by two copies of the core element of the chicken β-globin HS4 insulator [Recillas-Targa et al. 2002]. Insulators, a class of DNA elements that possess the ability to protect genes from regulatory signals emanating from their local genomic environment [Burgess-Beusse et al. 2002; West et al. 2002], have been previously employed in transgenic lines [Potts et al. 2000; Hsiao et al. 2004]. However, this was the first time the insulator sequence has been used in the context of a transgene reporter of the canonical Wnt signalling pathway. These transgenes contained six TCF/LEF consensus sites upstream of a minimum thymidine kinase (TK) promoter driving expression of either EGFP or nuclear localized β-galactosidase. Analysis of these transgenes revealed consistency between the expression patterns of each reporter, indicating success in suppressing chromosomal positional effects by utilising the insulator, and analysis of embryos revealed activation of the reporter genes in regions of known canonical Wnt activity [Moriyama et al. 2007]. In general, reporter gene expression of both ins-TOPEGFP
and ins-TOPGAL embryos are similar to those observed with previous Wnt reporter transgenic mice, and are also consistent with regions where canonical Wnt signalling has been implicated in development.
As part of this project the transgenic reporter mouse line ins-TOPEGFP was obtained from Dr Saga [Moriyama et al. 2007] via the RIKEN BRC, Japan. These mice were then inter-bred with the Barx2 knock-in LacZ mice previously described. The goal was to allow both EGFP and β-galactosidase activity to be visualised simultaneously and the regulation of Wnt signalling by Barx2 within the whole muscle and satellite cell populations to be assessed, providing a model for Wnt signalling in the context of Barx2 WT and Barx2 null expression. Furthermore, it would allow for examination of how the canonical Wnt pathway is dys-regulated in Barx2 knockout mice when the postnatal muscle is subjected to injury (by means of cardiotoxin injection) or Wnt stimulation (purified Wnt3a or lentivirus).
4.1.2 The Notch signalling pathway
In addition to Wnt signalling, six other major signalling pathways control cell fate decisions during development: TCF-β, Hedgehog, receptor tyrosine kinase, nuclear receptor, Jak/STAT and Notch. Each of these pathways is repeatedly activated and used during development of any given organism, activating different subsets of target genes within different developmental contexts. Whilst these signalling pathways have a very different mechanism of signal transduction, the end-result of signalling is to activate specific target genes by means of signal-regulated transcription factors that recognise specific response elements in the promoters or enhancers of target genes. The Notch signalling pathway involves activation of one of four different
transmembrane Notch receptors (NOTCH1, NOTCH2, NOTCH3, NOTCH4), which consist of an extracellular domain (NECD), transmembrane (TM), and intracellular domain (NICD). The binding of a Notch ligand to the extracellular domain of a receptor induces proteolytic cleavage and release of the intracellular domain [Struhl & Greenwald 2001]. The intracellular domain (NICD) is then able to enter the nucleus and mediate target gene activation via formation of a complex with RBP-Jκ (also known as CBF1) and Mastermind at the consensus sequence YRTGDGAD [Jarriault et al. 1995; Bray 2006; Ehebauer et al. 2006; Wilson & Kovall 2006; Tanigaki & Honjo 2010]. In the absence of a Notch signal, RBP-Jκ inhibits target gene transcription by binding transcriptional corepressors [Kuroda et al. 2003]. Like the Notch receptors, Notch ligands are also single-pass transmembrane proteins, and are members of the DSL (Delta/Serrate/LAG-2) family of proteins; Delta-like (DLL1, DLL3, DLL4) and Jagged (JAG1, JAG2). Thus, in contrast to Wnt signalling, Notch ligands are membrane rather than secreted proteins, and consequently cells expressing Notch ligands must be adjacent to the Notch-receptor expressing cells for signalling to occur.
184.108.40.206 Notch signalling in myogenesis
The Notch signalling pathway has emerged as an important player in myogenesis. In contrast to Wnt signalling, Notch signalling has been found to be a key regulator of satellite cell self-renewal [Fukada et al. 2011; Wen et al. 2012] and quiescence [Bjornson et al. 2012; Mourikis et al. 2012], as well as satellite cell activation and myoblast proliferation [Conboy & Rando 2002]. When Notch signalling is blocked, inhibition of both satellite cell proliferation and self-renewal is observed [Conboy et al. 2003]. Similarly, disruption of Notch3 results in loss of regulation of satellite cell proliferation [Kitamoto & Hanaoka 2010]. Consistent with this, in asymmetrically
dividing satellite cells the differentiating daughter cell expresses higher levels of the Notch ligand Delta-1 [Kuang et al. 2007]. This likely initiates Notch signalling in the neighbouring sister cell to promote self-renewal. In addition, active Notch signalling inhibits differentiation, and has shown to be required for the BMP4-mediated block of myoblast differentiation [Dahlqvist et al. 2003].
220.127.116.11 Notch and Wnt cross-talk
Together, the Wnt and Notch pathways regulate many aspects of development, with recent work highlighting intricate connections between components of each pathway. In regards to myogenesis, Notch signalling likely helps specify commitment of cells to the myogenic lineage [Conboy & Rando 2002; Conboy et al. 2003] whilst preventing lineage progression to the differentiated state [Brack et al. 2008]. A comprehensive study by Brack and colleagues [Brack et al. 2008] detected no Wnt signalling in uninjured adult muscle, but an increase in Wnt signalling in mononucleated cells within injured muscle at days 2 to 5 post-injury. The levels of Wnt signalling progressively increased as the myogenic progenitors spent more time in culture. When Notch signalling is inhibited during the early myoblast proliferative phase a premature increase in Wnt signalling is observed [Brack et al. 2008], suggesting that Notch may be suppressing Wnt at this stage. In addition, inhibiting Notch during the differentiation phase has negligible effects, signifying a functional decline in Notch signalling at a time when Wnt signalling is increasing. Moreover, activation of Notch in myoblasts that have been treated with Wnt3a results in fewer cells expressing active nuclear β-catenin compared to myoblasts with no Notch activation [Brack et al. 2008].
A common component of the Notch and Wnt signalling pathways is GSK3β, a positive regulator of the Notch pathway [Guha et al. 2011] and a negative regulator of the Wnt pathway [Ikeda et al. 1998]. Both inhibition of Notch and activation of Wnt are sufficient to inactivate GSK3β [Brack et al. 2008], providing a mechanistic link between the two pathways. Additionally, Pax7 was recently identified as a downstream target of Notch signalling [Wen et al. 2012]. Consistent with a role for Pax7 in quiescent and proliferating satellite cells/myoblasts but not differentiating myoblasts [Olguin & Olwin 2004; Zammit et al. 2004], NICD over-expression results in upregulation of Pax7, an increased number of Pax7+ cells and impaired muscle regeneration [Wen et al. 2012]. Studies described in Chapter 3 suggest that Pax7 may also be a common component of these two pathways. Other downstream targets of Notch signalling include members of the Hes and Hey families of bHLH repressors such as Hes1, Hey1 and HeyL. In quiescent satellite cells, these factors are highly expressed due to induction by Notch. Hes1 and Hey1 can both potentially inhibit function of MyoD via the formation of inactive Hes1/MyoD or Hey1/MyoD heterodimers [Sasai et al. 1992; Sun et al. 2001] or by preventing binding of MyoD to myogenin or Mef2C promoter regions [Buas et al. 2010], thus inhibiting progression of myogenesis. Together, these studies highlight the interplay between the Notch and Wnt pathways and in particular, an important role for this interplay in the transition between cell states (e.g. self-renewal and proliferative expansion vs differentiation) during muscle development or regeneration.
4.1.3 Aims
The specific aims of this chapter were to:
1. Profile expression of Wnt and Notch pathway components and targets in Barx2$^{+/+}$ and Barx2$^{-/-}$ myoblasts using PCR arrays and RNA-Seq
2. Generate a double-transgenic mouse line by intercrossing ins-TOPEGFP reporter mice and Barx2 LacZ knock-in mice
3. Examine regulation of Barx2 expression in myoblasts downstream of canonical Wnt signalling
4.2 Methods
4.2.1 Maintenance of mice
Mice containing the TOPEGFP reporter (on an ICR outbred albino strain background) were obtained from the RIKEN BRC in Japan and housed in physical containment level 2 (PC2) rooms within the Animal House Facility at Flinders Medical Centre. The mice were maintained by heterozygous or homozygous crosses. All breeding including timed matings, notching and weaning of mice, was performed by the Animal House staff. Mice were maintained and used as specified by Flinders University Animal Welfare Committee (AWC) and Institutional Biosafety Committee (IBC) approvals.
4.2.2 Genotyping for GFP
Mice were genotyped by PCR analysis of DNA which was isolated as previously described (Chapter 2, Section 2.14). Based on recommendations from the RIKEN BRC standard protocols, mice were genotyped for the presence of the GFP transgene. Primers for amplification of GFP are listed in Table 4.1.
4.2.3 ChIP in whole muscle
Tibialis anterior (TA), gastrocnemius and tricep muscles were dissected from
euthanized p4, p8, p12 or p16 TOPEGFP homozygous mice, with any visible fat and tendons removed. The muscles were collected in a petri dish containing DMEM + 20% FCS and quickly minced into a slurry using small surgical scissors and a razor blade. The slurry was placed in to a 10 ml tube containing DMEM + 20% FCS with 1% formaldehyde, shaking at room temperature for 30 minutes. Cross-linking was stopped by the addition of 125 mM glycine for 10 minutes at room temperature. The slurry was pelleted by centrifugation at 3,000 x g for 10 minutes at 4°C, supernatant removed and the pellet stored at -80°C until required. Prior to proceeding with the ChIP protocol, the thawed muscle slurry was homogenised using a glass dounce tissue grinder to produce a more homogenous cell suspension. The remainder of the ChIP procedure was performed as previously described for ChIP in cell lines (Chapter 2, Section 2.11).
4.2.4 RNA-Seq and PCR Pathway arrays
All sample preparations for RNA-Seq and PCR Pathway arrays were undertaken by Assistant Professor Helen Makarenkova and Anastasia Gromova from the Department of Cell and Molecular Biology at the Scripps Research Institute in La Jolla, California. For PCR arrays, RNA was prepared from primary myoblast cultures from 4-5 mouse pups (P7) using RNeasyPlus Kit (Qiagen) and then pooled (equal amounts of RNA from each culture) and applied to Qiagen RT² Profiler Mouse Wnt Signaling Targets (PAMM-243A) and Wnt Signaling Pathway (PAMM-043A) arrays. Each sample was run three times for each array, and then analysed using an Applied Biosystems 7300 Real-Time PCR System and SABiosciences online software (Qiagen) to calculate fold-change and P-value. For RNA-Seq, RNA prepared as described above was purified, fragmented and used for first-, then second-strand cDNA synthesis followed
by adenylation of 3' ends. Samples were ligated to unique adapters and subjected to PCR amplification. Libraries were then validated using the 2100 BioAnalyzer (Agilent), normalised and pooled for sequencing. Prepared samples were sequenced on the IlluminaHiSeq 2000 using barcoded multiplexing and either 50 or 100 bp read length. Read alignment and junction mapping was accomplished using TopHat2 v2.0.6 using a 25 bp 5' segment seed for initial mapping followed by differential gene expression analysis using CuffDiff v2.0.2 to map reads to the reference genome annotation, NCBI mouse build 37.2 [Trapnell et al. 2012]. Median sequencing read yield per replicate sample was 38.9M. Data were expressed as fragments per kilobase of exon per million fragments mapped (FPKM). Two replicate libraries were sequenced from the same pooled RNA samples.
4.2.5 RNA analysis of whole muscle
TA muscles were roughly dissected from euthanized P21 Barx2\(^{+/+}\) or Barx2\(^{-/-}\) mice and stored in RNAlater (Life Technologies) until required. RNA was prepared from whole muscle tissue by using TRIzol (Life Technologies) and grinding the tissue with a plastic pestle. cDNA synthesis was performed as previously described (Chapter 2, Section 2.9). Primers used for gene expression analysis are listed in Table 4.1.
4.2.6 Lentiviral packaging and transduction
The Barx2/pTiger lentivirus (expressing full-length untagged mouse Barx2) was previously constructed by Ms Bianca de Bellis and Ms Thi Diem Tran Nguyen as a way to efficiently over-express Barx2 in both C2C12 and primary myoblasts. Due to observations that the standard viral transduction protocol (overnight incubation of cells with viral supernatant) resulted in considerable death of primary myoblasts, the
transduction protocol was modified, replacing the overnight incubation with a 2 hour ‘spinfection’ step followed by removal of the viral supernatant and replacement with regular growth media. This method reduced toxicity issues whilst still resulting in high transduction efficiency as assessed by imaging expression of GFP/pTiger control virus. Briefly, HEK293T cell were seeded in 6-well plates at $4 \times 10^5$ cells/well 24 hours prior to transfection. Cells were transfected with 1.125 $\mu g$ viral DNA plasmid, 1.875 $\mu g$ appropriate gag-pol and 1 $\mu g$ VSV-G combined with 10 $\mu l$ Lipofectamine 2000 (Invitrogen) and media was replaced after 6 hours. Cells were grown for a further 42 hours before viral supernatant was collected. The supernatant was centrifuged at 1000 rpm to pellet any packaging cells and then diluted 1:1 in target cell media. Polybrene (Sigma) was added to the media at 4 $\mu g/ml$ final concentration and spinfection was carried out by spinning plates for 2 hours at 2500 rpm, 30°C to infect target cells. Media was replaced following spinfection and cells grown for a further 48 hours.
### 4.2.7 Primers
**Table 4.1:** List of all primers used during this chapter
| Name | Sequence |
|---------------|---------------------------|
| **Genotyping**| |
| Barx2 F | ccggctcgggactcaccccaagtg |
| Barx2 R WT | cctacagagcgctacggggctca |
| Barx2 R Mut | gagcgagtaacaacccgtcggattc |
| GFP qPCR F | cccgaccacatgaagcagca |
| GFP qPCR R | tgcgctcctggacgtagc |
| GFP PCR R | acgaactccagcaggaccatg |
| Primer Name | Sequence |
|---------------------|---------------------------|
| UGT1A7like F | tctgcttcaagtaactccactaactttcttg |
| UGT1A7like R | aggctgctgggtgtgcc |
| **TOPEGFP promoter analysis** | |
| TCF ChIP F | cggccagtgccaagtttaagat |
| TCF ChIP R | ccggatcctctagagtgc |
| TCF ChIP F2 | atcaaagggggccccct |
| TCF ChIP F3 | ttgatcttaactgcatgctctgc |
| TCF ChIP R2 | ccgactgcatctgcgtgtt |
| ChIP GFP F | atggtgagcaagggcgaggag |
| ChIP GFP R | gtaggtgcatcgccctcg |
| Chick HS4 Ins 3’ F | ggggatacggggaaaaagc |
| GFP R ATG | ctccctgcccttgctcacca |
| **qRT-PCR** | |
| RPS26 F | aggtgcagaaggctgagg |
| RPS26 R | gtttctcccgagtgatgaag |
| Axin2 F | gagagtgagcggcagagc |
| Axin2 R | cggctgaactcgttctcct |
| Barx2 F | agcccctgcactcttgtacc |
| Barx2 R | ccgcagcggcgactggatg |
| CyclinD1 F | tctttccagagtcatcaagtgtg |
| CyclinD1 R | gactccagaagggcttcaatc |
| Id2 F | gacagaaccaggcgtcca |
| Id2 R | agctcagaaggaattcagatg |
| Lef1 F | tcctgaatccccaccttct |
| Lef1 R | tgggataaacagggctgacct |
| MMP9 F | gtcatccagtttggtgtcgc |
| MMP9 R | ccagggaccacaactggtc |
| Gene | Primer Sequence |
|------------|--------------------------|
| Myf5 F | ctgctctgagcccaccaag |
| Myf5 R | gacagggctgttacattcagg |
| MRF4 F | ggctggatcagcaagagaag |
| MRF4 R | aatccgcaccctcaagaat |
| MyoD F | ccgcctgagcaaaagtgaatg |
| MyoD R | gcggtccaggtgcgtagaa |
| Myogenin F | ccttgctcagtcctcta |
| Myogenin R | tgggagttgcattcaactgg |
| Pax7 F | accacttggctacagtgtgga |
| Pax7 R | agtaggcctgtcccgtttcc |
| Wif1 F | gccagacactgcaataagagg |
| Wif1 R | ttaagtgaaggcggtgtcg |
**Chromatin Immunoprecipitation**
| ChIP Primer | Sequence |
|-------------|-------------------|
| Barx2prom ChIP F | aatctgttccctaccaatgtc |
| Barx2prom ChIP R | ggcgcttaggtgcgggcc |
| β2-microglobulin ChIP F | cggagaatgggaagccgaacat |
| β2-microglobulin ChIP R | gtgagggcgggtggaactgtgt |
### 4.3 Results
#### 4.3.1 Barx2 regulates known Wnt target genes, and genes within both the Wnt and Notch signalling pathways
In order to profile gene expression of Barx2+/+ and Barx2-/- mice, primary myoblasts of each genotype were isolated and mRNA expression of both Wnt targets and Wnt pathway components was assessed using PCR arrays (Qiagen; PAMM243 and PAMM043 respectively) as described in Methods (Section 4.2.4). In Barx2-/- myoblasts, relative to Barx2+/+ myoblasts, 26 genes were significantly downregulated
and 12 genes were significantly upregulated by more than 1.5-fold (Table 4.2).
**Table 4.2: Wnt target and pathway genes in PCR array**
(A) Wnt target genes and (B) Wnt signalling pathway genes showing at least 1.5-fold change in expression in Barx2\(^{-/-}\) myoblasts relative to Barx2\(^{+/+}\) myoblasts. Data are the average of three experiments.
| A. Wnt target genes (PAMM243) | B. Wnt pathway genes (PAMM043) |
|-------------------------------|--------------------------------|
| **Gene Symbol** | **Fold change** | **p-value** | **Gene Symbol** | **Fold change** | **p-value** |
| Gdnf | 2.14 | 0.041499 | Fzd4 | 2.56 | 0.000026 |
| Id2 | 1.54 | 0.019162 | Fzd6 | 3.64 | 0.000595 |
| Mmp9 | 2.38 | 0.004672 | Sfrp1 | 2.36 | 0.001004 |
| Smo | 1.51 | 0.004563 | Tle2 | 1.63 | 0.042534 |
| Sox2 | 3.24 | 0.001648 | Wisp1 | 1.66 | 0.000382 |
| Wisp1 | 1.62 | 0.00089 | Ccnd1 | -1.73 | 0.000296 |
| Wisp2 | 2.20 | 0.014496 | Ccnd2 | -1.81 | 0.000032 |
| Ahr | -1.64 | 0.003976 | Dvl1 | -1.67 | 0.00399 |
| Axin2 | -3.36 | 0.002601 | Fzd7 | -1.80 | 0.005092 |
| Cacna2d3 | -2.71 | 0.000173 | Nkd1 | -1.53 | 0.010481 |
| Ccnd1 | -1.61 | 0.000118 | Pitx2 | -2.01 | 0.000496 |
| Ccnd2 | -2.22 | 0.000018 | Porcn | -4.15 | 0.000041 |
| Ctgf | -2.28 | 0.000013 | Wif1 | -6.96 | 0.002692 |
| Dlk1 | -4.36 | 0.000003 | Wnt4 | -1.66 | 0.002231 |
As shown in Figure 4.2, the majority of Wnt target/pathway genes with significantly different expression (\(p<0.05\)) were downregulated in Barx2\(^{-/-}\) myoblasts compared to Barx2\(^{+/+}\) myoblasts. RNA-Seq analysis of the same samples was performed (by Dr Ruth Yu; Gene Expression Laboratory, Salk Institute, La Jolla, California) and manually mined for Wnt target and Wnt pathway genes. Comparison of the PCR array and RNA-seq data showed highly concordant results (Figure 4.1). Due to the cross-talk often observed between Wnt and Notch signalling, and its previously mentioned relevance to myogenesis, the RNA-Seq data was further mined for genes involved in the Notch
signalling pathway as well as downstream Notch target genes. Numerous Notch target and pathway genes were upregulated in Barx2\(^{-/-}\) myoblasts relative to Barx2\(^{+/+}\) myoblasts. For example, *Notch3*, *Dll1*, *Hes1*, *Hey1*, *Heyl* and *Snai1* all showed at least 1.5-fold higher expression (statistically significant) in Barx2\(^{-/-}\) myoblasts. A summary of fold-changes of both Wnt and Notch target/pathway genes is shown in Figure 4.1.
**Figure 4.1: A representative set of Wnt and Notch genes from RNA-Seq analysis of Barx2 wildtype and null myoblasts**
Relative expression of a representative set of (A) Wnt and (B) Notch target and pathway genes in Barx2\(^{+/+}\) and Barx2\(^{-/-}\) primary myoblasts obtained from RNA-seq analysis. Data are the average of two experiments. Error bars represent SEM. Significant gene expression changes are noted as * \(p < 0.05\) and ** \(p < 0.001\) relative to Barx2\(^{+/+}\) myoblasts set arbitrarily to 1 (yellow line). n=4.
4.3.2 Analysis of Wnt targets in whole muscle from Barx2 wildtype and null mice
A subset of the Wnt target genes shown by PCR arrays and RNA-seq to be differentially expressed between Barx2$^{+/+}$ and Barx2$^{+/+}$ myoblasts were then assessed *in vivo* by RT-PCR analysis of whole TA muscles from P21 of Barx2$^{+/+}$ and Barx2$^{-/-}$ mice (Figure 4.2). CyclinD1 and Wif1 were lower in Barx2$^{-/-}$ muscle, consistent with their expression in isolated myoblasts as shown in both the PCR arrays and RNA-Seq data. In contrast, MMP9 was higher in Barx2$^{+/+}$ muscle than Barx2$^{-/-}$ muscle, and Axin2 expression was unchanged. Overall, analysis of whole muscles showed a high degree of interindividual variation that was not observed in the myoblast cultures. Of note, littermates showed greater similarity in gene expression than mice from different litters, despite age- and sex-matching. This was particularly evident for expression of Axin2.
**Figure 4.2: Whole muscle gene expression analysis**
Expression of Wnt target genes in whole TA muscle from Barx2$^{+/+}$ (n=14) and Barx2$^{-/-}$ (n=15) mice (age P21). To more easily compare data between litters, the expression level in Barx2$^{-/-}$ mice is normalised to a wildtype sibling control in each litter, arbitrarily set to a value of 1. **p < 0.001 relative to expression in Barx2$^{+/+}$ TA.
4.3.3 Genotyping of TOPEGFP mice: A method for analysis of single-copy versus double-copy GFP allele
Six TOPEGFP mice were purchased from the RIKEN BRC, Japan (3 males and 3 females, all heterozygous for the TOPEGFP reporter). The initial breeding pairs were TOPEGFP\(^{+/+}\) x TOPEGFP\(^{+/+}\), with the resulting progeny being either homozygous, heterozygous or wildtype for the TOPEGFP reporter. For analysis of the TOPEGFP line and for cross-breeding with the Barx2 null mouse model, TOPEGFP\(^{+/+}\) mice were required, and thus, a method for detecting a single copy vs double copy of the TOPEGFP allele was required. To achieve this, a qPCR method sensitive enough to detect a 2-fold difference in expression was established. GFP amplification was performed using 20 ng of isolated genomic DNA and this was normalised to a control locus, \(UGT1A7like\). The ratio between the CT value of GFP and \(UGT1A7like\) was calculated for each sample and used to determine GFP transgene copy number (homozygous vs heterozygous).
4.3.4 Generation of a Barx2-TOPEGFP mouse line (BAR-TOP)
The Barx2 knock-in LacZ mouse (C57BL/6 strain background) colony established at Flinders University originated from three stock mice that had been relocated from The Scripps Research Institute (2 sibling females and 1 male) and have been consistently inbred to maintain the colony. For this reason it is considered that the Barx2 knock-in LacZ mice are genetically homogenous. To generate the Barx2-TOPEGFP (BAR-TOP) double-transgenic line, first a female (\(\varphi\)) TOPEGFP\(^{+/+}\)Barx2\(^{+/+}\) (homozygous TOPEGFP) was crossed with a male (\(\sigma\)) TOPEGFP\(^{+/+}\)Barx2\(^{+/+}\) (wildtype C57BL/6) in order to generate F1 hybrid mice all with the genotype TOPEGFP\(^{+/+}\).
Barx2$^{+/+}$. The progeny were then crossed with C57BL/6 Barx2 knock-in LacZ mice by setting up the following two crosses: $\sigma^+$ TOPEGFP$^{+/+}$Barx2$^{+/+}$ x $\varphi^-$ TOPEGFP$^{-/-}$Barx2$^{-/-}$ and $\varphi^-$ TOPEGFP$^{+/+}$Barx2$^{+/+}$ x $\sigma^+$ TOPEGFP$^{-/-}$Barx2$^{-/-}$. The rationale for the two reciprocal crosses was that we were unsure of how well the Barx2$^{-/-}$ female would breed, because previously we documented that litters from Barx2$^{-/-}$ females were smaller, less frequent, and had poorer survival to weaning, relative to Barx2$^{+/+}$ females. F2 hybrid mice therefore consisted of two potential genotypes: TOPEGFP$^{+/+}$Barx2$^{+/+}$ or TOPEGFP$^{-/-}$Barx2$^{+/+}$. Of these, we selected offspring of the genotype TOPEGFP$^{+/+}$Barx2$^{+/+}$ to backcross to their parent (TOPEGFP$^{-/-}$Barx2$^{-/-}$). We continued to backcross offspring using this method; crossing pups of the genotype TOPEGFP$^{+/+}$Barx2$^{+/+}$ with the parent of genotype TOPEGFP$^{-/-}$Barx2$^{-/-}$ until generation F8. Initially, with the early hybrid generations we noticed our double transgenic BAR-TOP mice exhibited hybrid vigour. In particular, the females of genotype Barx2$^{-/-}$ produced larger and more frequent litters than our parent Barx2$^{-/-}$ mice in the C57BL/6 background. TOPEGFP mice were albino and Barx2 LacZ knock-in C57BL/6 mice were black; by generation F4 all BAR-TOP mice had black fur like the parent Barx2 LacZ knock-in C57BL/6 mice. At hybrid generation F8 we changed to sibling-sibling inbreeding. Sibling-sibling crosses initially consisted of TOPEGFP$^{+/+}$Barx2$^{+/+}$ x TOPEGFP$^{+/+}$Barx2$^{+/+}$. Later, two separate lines were generated and maintained: one carrying two copies of the EGFP transgene (TOPEGFP$^{+/+}$Barx2$^{+/+}$ x TOPEGFP$^{+/+}$Barx2$^{+/+}$) and one carrying no copies of the EGFP transgene (TOPEGFP$^{-/-}$Barx2$^{+/+}$ x TOPEGFP$^{-/-}$Barx2$^{+/+}$), the latter presumed to be genetically identical to the original colony of Barx2 LacZ knock-in C57BL/6 mice. These two lines would therefore generate pups of either TOPEGFP$^{+/+}$ or TOPEGFP$^{-/-}$ which are wildtype, heterozygous or null for Barx2. The breeding and generation
method of the double transgenic BAR-TOP mouse line is summarised in Figure 4.3.
**Figure 4.3: Generation of the BAR-TOP double-transgenic mouse model**
A simplified schematic outlining the generation of the double transgenic BAR-TOP mouse line. Pink ears – female; blue ears – male; white mouse – original TOPEGFP strain; black mice - C57BL/6 strain; brown mice – mixed strain during back-crossing process.
4.3.5 Initial phenotypic analysis of BAR-TOP transgenic model
After the BAR-TOP transgenic line was generated, we assessed how phenotypically similar they were to the original Barx2 LacZ knock-in C57BL/6 mice. Male BAR-TOP pups post F4 generation were genotyped for the Barx2 allele and weighed at weaning (P21). Analysis of the total body weights showed that Barx2\(^{-/-}\) mice were consistently 20-25% smaller than their heterozygous and wildtype littermates (Figure 4.4). This was consistent with previous published reports of the Barx2 LacZ knock-in C57BL/6 strain [Meech et al. 2012] and suggested that the initial hybrid vigour effect was lost by generation F4.
**Figure 4.4: Analysis of total body weight of male BAR-TOP pups at P21**
BAR-TOP pups were weighed at P21. Data are relative to wildtype (Barx2\(^{+/+}\)) mice, set to 100%. Error bars represent SEM. **p < 0.001 relative to wildtype. n=10 for wildtype, 20 for heterozygous (Barx2\(^{+/+}\)) and 19 for mutant (Barx2\(^{-/-}\)).
4.3.6 Ins-TOPEGFP mice are found to be TP1-Venus, a transgenic Notch reporter mouse strain
Following successful ChIP analysis of \(\beta\)-catenin, Barx2 and MyoD recruitment to the
integrated Topflash promoter in C2C12 cells (Chapter 3, Section 3.3.8), one of the planned uses of the TOPEGFP\textsuperscript{+/+} mice was to examine the binding of endogenous transcription factors to the TOPEGFP transgene \textit{in vivo}. To select the best time point at which to study Barx2 binding to the TOPEGFP transgene promoter, the level of Barx2 expression was profiled in postnatal muscle. RNA was isolated from whole muscles (TA, gastrocnemius and tricep muscles) from TOPEGFP\textsuperscript{+/+} mice at P4, P8, P12 and P16 so that the Barx2 mRNA expression level could be quantified. RNA from vibrissae pads from P8 pups was isolated as a positive control as this is a site of known high Barx2 expression. Barx2 mRNA was expressed highly in muscle at all timepoints and there was less than 2-fold difference in expression between P16 and P8 mice as shown in Figure 4.5.
**Figure 4.5: Barx2 mRNA expression in whole muscle**
Tibialis anterior, gastrocnemius and tricep muscles were dissected from TOPEGFP\textsuperscript{+/+} mice and total RNA was isolated. Expression of Barx2 mRNA is relative to P4, set arbitrarily to a value of 1. The results shown are from a single mouse at each timepoint.
Muscle tissue was combined from a total of four individual mice (two P12 and two P16) and crosslinked with formaldehyde in order to prepare chromatin for ChIP.
analysis. ChIP was performed using antibodies to Barx2 under the same optimised conditions that were used for Barx2 ChIP in the stable TOPPuro C2C12 cell line (Chapter 3, Section 3.3.8). Analysis of enrichment of the TOPEGFP promoter in the Barx2 ChIP-isolated DNA used qPCR amplification with the same primers that had been designed to amplify the synthetic TOPflash promoter in the TopPuro stable line. However, whilst amplification of the control genomic locus (\(\beta\)2-microglobulin) was successful in all IP conditions, amplification of the TOPEGFP promoter region was unsuccessful, even from the input genomic DNA control sample. To try to understand why the amplification of the promoter was unsuccessful, further information about the transgene was obtained by directly contacting the originator Dr Isao Kii [Moriyama et al. 2007]. Dr Kii confirmed that the transgene was constructed from the TOPflash plasmid (Upstate Biotechnology, previously Millipore, cat# 21-170) by replacing the Firefly luciferase gene with EGFP, and insertion of flanking insulator sequences derived from the chicken \(\beta\)-globin HS4 insulator element. This information suggested that the primers previously used should have been effective for amplification. Regardless, more primers were designed based on the TOPflash plasmid sequence (Table 4.1 - TCF ChIP F, R, F2, F3 and R2) spanning the TCF/LEF consensus regions upstream of EGFP and a further attempt was made to amplify the TOPEGFP transgene from genomic DNA, again with no success. Next, an attempt was made to amplify a fragment of the transgene spanning from the upstream insulator element [Chung et al. 1997; Recillas-Targa et al. 2002] to the downstream EGFP gene (hence containing the TOPflash promoter region) using a series of HS4 insulator forward primers and GFP reverse primers. Only one primer combination (chick HS4 Ins 3’ F and ChIP GFP R; listed in Table 4.1) amplified the locus as assessed by gel
electrophoresis, producing weak bands of approximately 600 and 800 bp. To improve amplification of this product, a nested PCR technique was employed: the original product was diluted 1:50 and used as template for second-round PCR with the same HS4 insulator forward primer and a nested reverse primer – GFP R ATG. This second-round PCR produced a unique, strong product of approximately 500 bp which was subsequently sequenced with the same primers used for the second round of amplification. Sequencing of the amplified product revealed that rather than the expected TCF/LEF binding sites upstream of EGFP, there were instead six repeats of a 44 bp LMP2B (Epstein-Barr virus latent membrane protein 2B) promoter region element each containing two RBP-Jκ binding sites ((C/T)GTGGGAA) for a total of 12 RBP-Jκ binding elements (Figure 4.6).
**Figure 4.6:** Sequencing result of ins-TOPEGFP transgene
PCR product was generated from TOP-EGFP mouse tail genomic DNA using a forward primer in the HS4 insulator and a reverse primer in the EGFP gene and sequenced using a sequencing primer in the HS4 insulator. **Purple:** end of HS4 insulator; **grey:** rabbit globin promoter/5’UTR; **green:** EGFP coding region; **red text:** 6 repeats of a 44 bp LMP2B promoter region element each containing 12 RPB-Jκ binding elements (**blue**); **yellow:** restriction sites; **underline:** vector sequence matching map sent by Dr. Kii; **bold:** boundaries of the LMP2B promoter repeat.
The sequencing data described above revealed that the original TOPEGFP transgenic
mouse line obtained from the RIKEN BRC did not contain the Wnt signalling reporter TOPEGFP, but in fact contained a Notch signalling reporter. Our analysis of the literature suggested that this reporter was analogous to that previously reported in the mouse transgenic line called TP1-Venus. This finding was submitted to the RIKEN BRC (Appendix 3) who in turn informed the depositor of the strain and as a direct result, an investigation into the apparent strain substitution was launched. The outcome of this investigation was that the error was found to be the responsibility of the depositor, and that the RIKEN BRC had been maintaining and distributing a mislabelled mouse strain for up to 5 years. The RIKEN subsequently informed all laboratories that had purchased this strain that they had been distributing a strain carrying a transgene described as the Wnt reporter TOPEGFP when it was in fact the Notch reporter TP1-Venus. Refunds on purchase and shipping costs were offered (Appendix 3), however, as per their distribution agreement, they accepted no further liability for the impact of the mislabelling on individual research projects.
While a valuable outcome of the work described above was the service to the research community by informing all other users of the RIKEN TOPEGFP mouse of the true identity of the transgene, the outcome was clearly deleterious to this project. In particular, after 2 years of back-crossing the BAR-TOP double-transgenic mouse line, it could not be used as originally planned to study Barx2-mediated Wnt signalling *in vivo*. However, because my work had uncovered a role for Barx2 in modulating Notch signalling, a decision was made to keep the new transgenic line (which we redesignated BAR-TP1) but not the original TP1-Venus parent line. Moreover, because the BAR-TP1 mice had been highly back-crossed to the original Barx2-LacZ knockin
strain and were phenotypically indistinguishable from that strain, they continued to be used to study loss of Barx2 function *in vivo* and in primary myoblast culture assays that were not dependent on the presence of the TP1 reporter transgene.
4.3.7 Canonical Wnt signalling promotes differentiation of myoblasts and expression of Barx2
It has been previously shown that Barx2 is upregulated at the onset of myoblast differentiation and promotes early differentiation events [Makarenkova et al. 2009]. Pax7, on the other hand, is downregulated at the onset of differentiation and forced expression of Pax7 delays differentiation [Zammit et al. 2006]. Furthermore, as discussed in Chapter 3 and above, Barx2 appears to function downstream of a Wnt signal to regulate transcription of a Wnt reporter and potentially other endogenous Wnt target genes through functional interaction with β-catenin and TCF/LEF, whilst Pax7 blocks and abolishes this activation. With this in mind, the question was asked whether Barx2 and Pax7 are themselves targets of canonical Wnts, thus providing a regulatory loop. As various Wnt ligands have been reported to influence either proliferation or differentiation of myoblasts [Otto et al. 2008; Bernardi et al. 2011; Tanaka et al. 2011], the effect of Wnt3a, a canonical Wnt ligand, was first examined on myoblast cultures. As shown in Figure 4.7, C2C12 cells treated with Wnt3a CM at a 1:2 dilution for a total of 72 hours showed an increased rate of differentiation as assessed by the number of elongated and fused cells (data not shown) and by measuring changes in cell confluence over time post-Wnt treatment. Cell confluence was assessed by the Incucyte-FLR real time cell monitoring system (Essen) and is plotted in Figure 4.7. The time point at which the increase in cell confluence begins to slow correlates with the beginning stages of differentiation. Decreasing
concentrations of Wnt3a CM resulted in diminishing effects on differentiation (Figure 4.7). This effect of Wnt3a CM on C2C12 cells is consistent with data produced previously in isolated primary myoblasts [Zhuang et al. 2014].
**Figure 4.7: The canonical Wnt3a promotes differentiation of C2C12 myoblasts**
C2C12 cells were treated with control Lcell CM or decreasing concentrations of Wnt3a CM for 72 hours. Cell confluence was assessed using the Incucyte (Essen) every 3 hours. The results shown are a representative experiment performed in triplicate. Error bars represent SEM.
The level of Barx2 mRNA was assessed in the same Wnt3a-treated C2C12 cells, yet even at the highest concentration of Wnt3a CM, no increase in Barx2 mRNA was observed (not shown). In contrast, when primary myoblasts from Barx2\(^{+/+}\) mice were cultured and treated with Wnt3a CM for 48 hours, the level of Barx2 mRNA was significantly increased approximately 28-fold relative to control treatment (Figure 4.8A). Expression of a known Wnt target gene, Axin2, was also significantly increased
following 48 hours of Wnt3a CM (Figure 4.8B). In contrast, mRNA expression of Pax7 showed a modest (<2-fold) but significant reduction following Wnt3a CM treatment (Figure 4.8C).
**Figure 4.8: mRNA expression of primary myoblasts following 48 hours Wnt3a stimulation**
Primary myoblasts from TOPEGFP mice were treated with Lcell conditioned media (CM) or Wnt3a CM diluted 1:2 in growth media for 48 hours. Expression of (A) Barx2 (B) Axin2 or (C) Pax7 mRNA was measured relative to housekeeping RPS26 mRNA. The results shown are the average of at least two independent experiments performed in duplicate. Error bars represent SEM. **p < 0.001 relative to control L-cell CM condition.
In a very preliminary experiment, cultured primary fibroblasts were isolated from Barx2+/+ mouse muscle and treated with Wnt3a CM for 48 hours. Axin2 mRNA expression was robustly increased, but there was no change in Barx2 expression (Figure 4.9). This suggests that induction of the Barx2 mRNA by Wnt3a is myoblast specific. However, whilst this was a robust result and an interesting finding, it would be important to replicate this experiment for future work before drawing any conclusions.
Figure 4.9: mRNA expression of fibroblasts following 48 hours Wnt3a stimulation
Isolated primary fibroblasts were treated with Lcell or Wnt3a CM diluted 1:2 in growth media for 48 hours. Expression of (A) Barx2 or (B) Axin2 mRNA was quantified. The results shown were only performed once as a preliminary experiment. n=1.
4.3.8 Wnt3a-mediated regulation of Barx2 expression is indirect and does not involve MyoD binding to the proximal promoter
A detailed analysis of Barx2 mRNA expression in primary myoblasts over a time-course from 12 to 48 hours of Wnt3a treatment revealed no significant change in the level of Barx2 mRNA following 12 hours of Wnt3a stimulation, but an increase of 14-fold at 24 hours post-treatment. This increase continued to rise to 25-fold by 48 hours of treatment. By comparison, expression of Axin2, a direct target of canonical Wnt signalling [Jho et al. 2002], was robustly induced by 12 hours post-Wnt3a stimulation (94-fold) and was maintained at that level over 48 hours of continuous Wnt3a stimulation (Figure 4.10A). A Wnt-pulse experiment, whereby myoblasts were stimulated with Wnt3a CM for 12 hours followed by removal of the CM and incubation with regular DMEM for a further 36 hours, revealed that the level of Barx2 mRNA continued to rise following removal of the Wnt3a, although it did not reach the same level as with 48 hours of continuous Wnt3a stimulation (2-fold at 24 hours,
8-fold at 48 hours). In comparison, the mRNA levels of Axin2, which were rapidly induced by Wnt3a, dropped dramatically back to baseline after removal of the Wnt3a (equivalent to the control condition at the same time point) (Figure 4.10A). Treatment of the myoblasts with cycloheximide (CHX), an inhibitor of protein synthesis or actinomycin D, an inhibitor of mRNA transcription (Figure 4.10B) following the initial 12 hour Wnt3a pulse revealed that transcription and translation of intermediate factors was required for induction of Barx2 mRNA. In the presence of either CHX or actinomycin D, expression of Barx2 mRNA did not continue to increase following the initial Wnt3a pulse, instead remaining at baseline. It was therefore unlikely that induction of Barx2 mRNA by Wnt3a was due to stabilisation of β-catenin alone and more likely involved additional factors that were induced by Wnt3a.
Figure 4.10: Indirect Barx2 mRNA induction by Wnt3a
(A): Primary myoblasts were treated with Lcell or Wnt3a CM at a dilution of 1:2 in growth media for the timepoints indicated. mRNA expression of Axin2 and Barx2 was quantified relative to housekeeping RPS26 mRNA. Data are normalised to the 12 hour control treatment (set to 1). (B): Barx2 mRNA was quantified relative to housekeeping RPS26 mRNA in primary myoblasts treated with a 12 hour Wnt3a pulse followed by the addition of cycloheximide or actinomycin-D. Data are normalised to vehicle control treatment (set to 1). The results shown are the average of two independent experiments performed in duplicate. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to control treatment at the same timepoint. n=4.
Previous studies on the regulation of Barx2 have indicated that Barx2 expression is induced by MyoD via E-box binding motifs within the Barx2 proximal promoter [Meech et al. 2003]. Furthermore, there is existing evidence that MyoD is a
downstream target of canonical Wnt signalling [Tajbakhsh et al. 1998] and that β-catenin interacts with MyoD, enhancing transcriptional activation of genes containing E-box elements within their promoters [Kim et al. 2008]. To assess whether MyoD may be the intermediate factor required for Wnt3a-mediated Barx2 induction, MyoD mRNA expression was assessed following 48 hours of Wnt3a stimulation of primary myoblasts. As shown in Figure 4.11A, no change in MyoD mRNA levels was observed following treatment with Wnt3a CM. MyoD recruitment to the Barx2 proximal promoter might be increased after Wnt3a treatment even if overall MyoD levels are not increased. Hence, ChIP was performed with MyoD antibodies following 48 hours of Wnt3a stimulation and enrichment of the Barx2 proximal promoter (containing E-box elements previously shown to respond to MyoD) was tested by qPCR. These experiments showed no increase in recruitment of MyoD to the Barx2 proximal promoter in Wnt3a-treated cells relative to control treated cells (Figure 4.11B). It remains formally possible, however, that Wnt3a treatment affects recruitment of MyoD to other more distal sites in the Barx2 locus.
Figure 4.11: MyoD is not induced or recruited to the Barx2 proximal promoter following treatment with Wnt3a
(A): Primary myoblasts were treated with Lcell or Wnt3a CM at a dilution of 1:2 in growth media for 48 hours. mRNA expression of MyoD was quantified relative to housekeeping RPS26 mRNA. Data are normalised to the Lcell control condition (set to 1). (B): ChIP was performed on chromatin from primary myoblasts following treatment with a 1:2 dilution Lcell or Wnt3a CM for 48 hours. ChIP was performed with 2 µg of the indicated antibodies. Data are PCR amplification values for the Barx2 proximal promoter normalised to amplification values for a control non-target locus (β2-microglobulin), with enrichment values subsequently normalised to the mock ChIP with preimmune IgG, set to a value of 1. The results shown are representative experiments performed in duplicate. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to control treatment (A) or IgG (B). n=2.
As further support for an indirect mechanism of regulation, a series of Barx2 promoter-luciferase constructs (obtained from Dr Robyn Meech) spanning 3 kb upstream of the transcription start site [Meech et al. 2003] were tested for activity in response to Wnt3a treatment. In addition to the multiple E-box consensus sites mentioned above, this promoter region contains a single TCF/LEF consensus motif. The Barx2 promoter constructs were transfected into C2C12 cells and treated with either Lcell or Wnt3a CM. Additionally, the promoter constructs were co-transfected with ca. β-catenin or empty control vector. As shown in Figure 4.12, co-transfection of the promoter constructs with ca. β-catenin or treatment of transfected cells with Wnt3a CM was insufficient to induce the activity of the promoter-luciferase constructs above basal levels.
Figure 4.12: The proximal Barx2 promoter is not activated by β-catenin/Wnt signalling
Barx2 promoter constructs (0.5 μg) were transfected into C2C12 myoblasts. In addition, cells were also transfected with either pcDNA3 empty vector or β-catenin (A) or treated with a 1:2 dilution of either Lcell or Wnt3a conditioned media (B). Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 transfection or Lcell treatment (set to a value of 1). The results shown are single experiments performed in duplicate. Error bars represent SEM. n=2.
4.3.9 Barx2 protein may be regulated proteolytically in primary myoblasts
To assess whether the aforementioned upregulation of Barx2 mRNA in Wnt3a-stimulated primary myoblasts translated to an increase in protein expression, endogenous Barx2 was quantified by fluorescence immunostaining. An increase in Barx2 protein was observed after 48 hours of continuous Wnt3a treatment by fluorescence immunostaining for Barx2 (Figure 4.13A); however, the average level of
induction was much lower than that of the mRNA. On average, cells that were treated with Wnt3a CM had a 2-fold increase in Barx2 protein (Figure 4.13B). However, the intensity of Barx2 immunostaining varied, with some cells showing large increases in Barx2-immunofluorescence and some showing no apparent increase (Figure 4.13C). This observation prompted further examination of post-transcriptional or post-translational regulation of Barx2 levels which might involve cell autonomous mechanisms.
**Figure 4.13: Stimulation by Wnt3a induces Barx2 protein expression in primary myoblasts**
(A): Primary myoblasts treated with a 1:2 dilution of Lcell or Wnt3a CM for 48 hours were fixed, immunostained for Barx2 (red) and DAPI (blue) and imaged with an Olympus IX71 microscope. A representative image is shown. Scale bar represents 25 μM. (B): Quantification of mean fluorescence of Barx2 in Wnt3a CM condition relative to Lcell CM. (C): Barx2 expression on a cell-by-cell basis, gated using raw fluorescence counts quantified by ImageJ. Two independent experiments were performed but representative images and quantification from a single experiment are shown; n=45 individual cells quantified per condition. Error bars represent SEM. ** p < 0.001.
Due to the difficulty of transfecting primary myoblasts with standard transfection reagents, our laboratory uses lentiviral constructs to introduce transgenes into myoblasts. In this study, the expression of Barx2 protein at a single cell level was examined by immunostaining for Barx2 following transduction with a Barx2 lentivirus. In comparison to transduction with a GFP lentiviral construct (which showed close to 100% transduction efficiency based on counting GFP-positive cells), very few cells transduced with the Barx2 lentivirus expressed the Barx2 protein at detectable levels. This could have been related to variation in the packaging and transduction efficiencies of the Barx2 and GFP lentiviral constructs. However, when the level of Barx2 mRNA and GFP mRNA was measured in the Barx2 and GFP lentivirus transduced cell populations respectively, it was found to be equivalent. Furthermore, immunostaining for Barx2 in non-myogenic HEK293T cells transduced with Barx2 lentivirus revealed that close to 100% of cells expressed Barx2 protein (not shown), and transfection of non-myogenic COS7 cells with Barx2 plasmids produced high expression of Barx2 protein as determined by western blotting (Chapter 3, Section 3.3.6). Together these data suggested that translation and/or accumulation of heterologously (virally) expressed Barx2 protein might be specifically inhibited in myoblasts. The possibility that Barx2 protein might be rapidly turned over by proteolysis in myoblasts was tested by inhibition of the proteasome. Approximately 36 hours post Barx2 transduction, the proteasome inhibitor MG312 was applied to the cells for 8 hours and then cells were fixed and immunostained for Barx2 protein. A dramatic increase in both the number of cells expressing Barx2 protein and the level of expression per cell (Figure 4.14) was observed, suggesting that indeed Barx2 is regulated by proteosomal turnover. I next examined whether Wnt3a also affected
Barx2 protein stability. In cells transduced with the Barx2 lentivirus and treated with Wnt3a for 24 hours, there was an average of 2-fold increase in Barx2 protein levels per cell (Figure 4.14). In untransduced cells there was no elevation of endogenous Barx2 protein after only 24 hours of Wnt3a treatment. This suggests that the increase in Barx2 protein in Wnt3a-treated, lentivirally transduced cells is due to stabilization of the heterologously-produced protein rather than induction of the endogenous gene.
**Figure 4.14: Barx2 protein is regulated proteolytically in primary myoblasts**
Primary myoblasts were transduced with Barx2 lentivirus, treated with a 1:2 dilution of Wnt3a CM for 24 hours, and/or treated with the proteasome inhibitor MG132 for 8 hours. (A): Quantification of mean fluorescence of Barx2 relative to control untreated condition. (B): Barx2 expression on a cell-by-cell basis, gated using raw fluorescence counts quantified by ImageJ. Two independent experiments were performed but quantification from a single experiment is shown. Error bars represent SEM. **p < 0.05 and p < 0.001.
### 4.4 Discussion
One goal of the studies summarized in this chapter was to generate a double transgenic (in fact transgenic/knockout) Barx2/TOPEGFP mouse line which would facilitate analysis of canonical Wnt signalling in the context of loss of Barx2 expression *in vivo*. Generation of this new double transgenic line involved back-crossing to the
parent Barx2 LacZ knockin C57BL/6 strain for several generations so as to minimise effects of strain background on gene expression. It was originally envisaged that these double transgenic mice would be used in the final year of this project for various experiments including: comparing the expression patterns of the Barx2-LacZ transgene and the TOPEGFP transgene, and analysing the expression of the TOPEGFP transgene in Barx2$^{+/+}$ and Barx2$^{-/-}$ mice during muscle development and regeneration and after intramuscular Wnt injection. The TOPEGFP transgene was also to be used as a positive control in the development of ChIP protocols to assess binding of various transcription factors, including Barx2, to Wnt target genes in whole muscle or primary myoblasts. However, a pilot ChIP experiment performed in the second year of the project using whole muscle from the TOPEGFP$^{+/+}$ mice suggested that the sequence of the TOPEGFP transgene was not as reported. Isolation and sequencing of the transgene promoter region ultimately showed that the promoter contained 12 RBP-Jk binding elements consistent with a Notch reporter transgene, and indicative of a strain substitution. Although many of the proposed studies employing these mice could no longer be carried out, the decision was made to continue breeding the double-transgenic line. This was because other work described in this chapter highlighted the role of Barx2 in regulating not only components of the Wnt signalling pathway, but also components and targets of the Notch signalling pathway. Thus, the Notch reporter mouse is still a useful model and the role of Barx2 in regulation of the Notch pathway \textit{in vivo} could be assessed in the future. Additionally, the requirement for an \textit{in vivo} TOPEGFP reporter as a model to study the role of Barx2 in regulating Wnt target genes became less critical because endogenous targets of Barx2 and Wnt signalling were subsequently identified and characterised (as discussed in later
chapters). These endogenous targets can be analysed both *in vitro* and *in vivo*, and might provide better models for the effect of Barx2 on canonical Wnt signalling.
Barx2 null mice show defective muscle growth and repair [Makarenkova & Meech 2012; Meech et al. 2012]. Gene expression analysis of myoblasts isolated from Barx2$^{+/+}$ and Barx2$^{-/-}$ mice using both PCR arrays and RNA-Seq revealed misregulation of not only Wnt pathway components and target genes, but also many targets and components of the Notch signalling pathway. Many genes misregulated in Barx2$^{-/-}$ myoblasts within these two pathways have known roles in myogenesis that could underlie aspects of the delayed Barx2$^{-/-}$ muscle growth and repair phenotype. For example, Dlk1, which is both a Wnt target gene and a Notch ligand, shows approximately 4-fold lower expression in Barx2$^{-/-}$ myoblasts when compared to Barx2$^{+/+}$ myoblasts. Dlk1 is a negative regulator of Notch signalling [Baladron et al. 2005], controls postnatal muscle growth [Fleming-Waddell et al. 2009] and its ablation in the myogenic lineage results in postnatal growth retardation, reduced body and muscle weight, and impaired regeneration [Waddell et al. 2010]; a phenotype that resembles that of Barx2 null mice. Similarly, Follistatin (Fst) is another Wnt target gene that is critical for both muscle growth and regeneration [Amthor et al. 2004; Benabdallah et al. 2008; Gilson et al. 2009; Hiroki et al. 2011; Zhu et al. 2011] and its expression was 6-fold less and 4-fold less in Barx2$^{-/-}$ myoblasts as determined by PCR array analysis and RNA-Seq respectively. Notch3, which was elevated in Barx2$^{-/-}$ myoblasts, is suggested to be an inhibitor of satellite cell proliferation and self-renewal via inhibition of Notch1 [Kitamoto & Hanaoka 2010]. Notch pathway target gene Snail1, which was also elevated in Barx2 null myoblasts, has been reported to
inhibit binding of MyoD to target genes and thus inhibit the progression of myogenesis [Soleimani et al. 2012]. Overall, the spectrum of misregulated genes in Barx2\(^{-/-}\) myoblasts is consistent with their reduced differentiation in culture and the reduced capacity of Barx2\(^{-/-}\) mice to grow, maintain and repair muscle [Meech et al. 2012]; although further work is required to assess the contribution of each of these genes to the null phenotype.
Although the expression of many Wnt and Notch target genes were significantly altered in Barx2\(^{-/-}\) cultured myoblasts, only a subset of genes were altered in whole TA muscle isolated from P21 mice. This may relate to the fact that Barx2 is only expressed in muscle progenitors and not the myofibres that make up the bulk of the muscle tissue. Consistent with this idea, cyclinD1, like Barx2, is primarily expressed in proliferating myoblasts and cyclinD1 was consistently downregulated in Barx2 null muscle. Although not necessarily a direct target of Wnt signalling, Wnt inhibitory factor 1 (Wif1) plays an important negative feedback role by acting as an antagonist of the Wnt signalling pathway through binding to Wnt proteins [Hsieh et al. 1999; Xu et al. 2011]. In both Barx2\(^{-/-}\) myoblasts and TA muscle, Wif1 expression was significantly decreased (6-10 fold), perhaps indicating broader dysregulation of the Wnt signalling pathway, and in particular its negative feedback. Variability of gene expression in P21 muscle may also reflect the heterogeneity of developmental states of muscle progenitor cells \textit{in vivo}, relative to in culture. In the latter they are deprived of the complex regulatory signals present in muscle and provided largely pro-proliferative signals (bovine serum and bFGF). As an example, Axin2 mRNA has a short half-life [Hughes & Brady 2005] and shows ultraradian oscillations in somitogenesis.
Similar oscillations may occur during muscle growth as progenitors are repeatedly activated and progress through proliferation and differentiation phases, and it is unlikely that all parts of the muscle are synchronous in these waves. Thus, although Axin2 expression showed very high variance in whole muscle, with no consistent pattern of reduction in Barx2\(^{-/-}\) muscle, a significant reduction in Axin2 mRNA was seen in cultured Barx2\(^{-/-}\) cells and studies presented in subsequent chapters confirm that it is a downstream target of Barx2. Consistent with data presented in the previous chapter, Pax7 is known to be a direct target of Notch signalling and may promote myoblast proliferation and inhibit differentiation downstream of Notch signals [Wen et al. 2012]. It has previously been postulated that a temporal switch from Notch to Wnt signalling may control the switch from myoblast proliferation to differentiation [Brack et al. 2008]. Thus, the functional antagonism between Barx2 and Pax7 with respect to the activation of Wnt target genes may be an important control node in this Notch-Wnt signalling switch.
In addition to demonstrating that Barx2 regulates endogenous Wnt target genes, as revealed by RNA analysis of Barx2 wildtype and null myoblasts, studies presented within this chapter also identified Barx2 as a downstream target of canonical Wnt signalling in primary myoblasts. Primary myoblasts cultured in the presence of Wnt3a for a period of 12 to 48 hours showed increasing expression of Barx2 mRNA and protein over this period, consistent with both the role of Barx2 in early myoblast differentiation [Makarenkova et al. 2009] and the role of Wnt3a in promoting differentiation [Tanaka et al. 2011]. In contrast to Axin2, a direct downstream target of Wnt signalling [Jho et al. 2002], the induction of Barx2 by Wnt3a stimulation is
likely to be indirect as suggested by several pieces of data. Whilst induction of Axin2 mRNA was very rapid (less than 12 hours), induction of Barx2 mRNA was slow, with maximal induction observed at the latest time point (48 hours). In addition, induction of Barx2 by a 12 hour pulse of Wnt3a could be blocked by the addition of cycloheximide, suggesting that protein synthesis was required. MyoD was considered a candidate intermediate factor for induction of Barx2 downstream of Wnt signalling [Tajbakhsh et al. 1998], however there was no increase in MyoD binding to E-box motifs within the Barx2 proximal promoter [Meech et al. 2003] after Wnt treatment. Luciferase assays demonstrated that neither the proximal Barx2 promoter containing the E-box motifs, nor longer constructs containing a putative TCF/LEF site, were activated by Wnt3a or constitutively active β-catenin. It remains possible that activation of Barx2 mRNA is mediated by more distal promoter elements, or by elements in the introns. Of note, the first intron of the Barx2 gene is very long (approximately 50 kb in mice and 100 kb in humans), which is often indicative of a regulatory function for this region of the gene. One approach to identifying the region through which the Barx2 gene is induced by Wnt signalling is to examine Wnt3a-induced changes in activating histone modifications across the Barx2 locus using ChIP-seq.
Interestingly, upregulation of Barx2 mRNA by Wnt3a was not observed in C2C12 cells, even though these cells show enhanced differentiation in response Wnt3a stimulation. Unstimulated C2C12 cells show extremely low levels of Barx2 mRNA (relative to unstimulated primary myoblasts) suggesting that the Barx2 gene might be epigenetically repressed. However, pilot studies (not shown) have not revealed a
reactivation of Barx2 expression in C2C12 cells after treatment with inhibitors of histone deacetylases or DNA methylation. Thus the mechanism behind repression of Barx2 expression in C2C12 cells remains an area for future study. Barx2 was also not induced by Wnt3a in primary muscle associated fibroblasts. This is not likely to be explained by epigenetic repression because fibroblasts actually express slightly higher levels of Barx2 mRNA than (unstimulated) myoblasts. Overall, these data suggest that induction of Barx2 mRNA by Wnt3a in myoblasts may be dependent on muscle specific factors that are yet to be defined, and which may not be present in C2C12 cells.
The use of lentiviral transduction for introducing Barx2 transgenes into primary myoblasts consistently resulted in very modest increases in Barx2 protein expression despite optimisation of the same protocols with a GFP reporter plasmid showing an efficacy close to 100%. Analysis of Barx2 protein expression on an individual cell basis by immunostaining with antibodies to Barx2 revealed that the percentage of myoblasts expressing Barx2 following viral transduction was extremely low. Various control experiments suggested that this was not explained by poor packaging or transduction efficiencies and was a myoblast-specific phenomenon. Inhibition of the proteasome significantly increased Barx2 protein expression and a similar but more modest effect was seen with Wnt3a treatment. The conclusions from these studies are that Barx2 is regulated post-transcriptionally in a cell autonomous manner in myoblast cultures, and that canonical Wnt signalling not only increases Barx2 mRNA, but also plays a role in stabilising Barx2 protein. An intriguing question for future studies is whether the myoblasts that permit upregulation of Barx2 at the protein
level in response to Wnt3a have a different behaviour to those that do not, for example being more competent for rapid differentiation.
Overall, the studies described here show that Barx2 is a target of canonical Wnt signalling in myoblasts at transcriptional and post transcriptional levels, and that lack of Barx2 expression results in dysregulation of many components of both the Wnt and Notch signalling pathways in myoblasts. These findings provide better insight into the roles of Barx2 downstream of Wnt signalling in muscle.
Chapter 5
Identification of direct Barx2 target genes in myoblasts
5.1 Introduction
As discussed in detail in the previous chapter (Chapter 4), PCR array and RNA-Seq analysis performed on primary myoblasts isolated from Barx2$^{+/+}$ and Barx2$^{-/-}$ mice identified genes involved in both the Wnt and Notch signalling pathways that were dysregulated in response to loss of Barx2 expression. Whilst this gave an insight into the pathways in which Barx2 plays a role, it was not sufficient to elucidate direct downstream targets of Barx2. The Wnt and Notch signalling pathways are complex, consisting of multiple levels of regulation by both positive- and negative-feedback loops. As such, absence of Barx2 expression may directly affect the expression of some genes, but the dys-regulation of these genes may then have a knock-on effect, altering expression of many other components and targets of the aforementioned pathways indirectly. Moreover, given that the Barx2-LacZ knockin model has a germline deletion of Barx2, the possibility exists that the (near-normal) development and growth of the Barx2 null mice involves compensatory effects such as upregulation of other gene pathways involved in myoblast function. Thus, in order to extend our discovery of endogenous Barx2 target genes in myoblasts, the approach taken in studies described in this chapter was to over-express Barx2 in a myoblast model.
Immunohistochemistry techniques have shown that Barx2 is expressed *in vivo* in satellite cells and myoblasts both embryonically and postnatally [Meech et al. 2012]. However, in my studies using immunoblotting and immunohistochemistry, little or no endogenous Barx2 protein expression was detected in isolated primary myoblasts from postnatal mice or the C2C12 cell line cultured under standard growth
conditions. In addition, consistent with data presented in Chapter 4 regarding the instability of Barx2 protein expression in myoblasts, previous attempts to generate C2C12 cell lines stably over-expressing Barx2 by conventional methods in this laboratory have yielded limited results. In these stable lines, Barx2 protein expression appeared to be lost during the time taken for stable line selection (unpublished data). It was possible that this was because high expression of Barx2 drives myoblasts towards terminal differentiation and these cells are hence lost from the growing population at passage. Hence a different approach was needed to achieve stable Barx2 over-expression in myoblasts.
The Tet-ON (Clontech) method allows a Barx2-expression vector be induced into cells, but its expression is silenced until it is induced by addition of the stable tetracycline analogue Doxycycline (Dox) to the media. A Tet-ON Barx2 model was generated in C2C12 cells, and gene expression studies were then performed to identify genes whose expression was altered by acute overexpression of Barx2.
5.1.1 Tet systems
In *E. coli*, the genes of the tetracycline-resistance operon are negatively regulated by the Tet repressor protein (TetR). In the absence of tetracycline, TetR is able to block transcription by binding to the tet operator sequences (*tetO*). Both TetR and *tetO* thus provide the basis of regulation and induction for use in mammalian systems. The first component of the Tet Systems is the regulatory protein based on TetR. In the Tet-OFF system, this protein is a fusion of amino acids 1-207 of TetR and the C-terminal 127 amino acids of the Herpes simplex virus VP16 activation domain. Addition of the VP16 domain converts the TetR from being a transcriptional repressor
to a transcriptional activator, thus activating gene expression in the absence of Dox. The resulting protein is the tetracycline-controlled transactivator (tTA) [Gossen & Bujard 1992]. In the Tet-ON system the regulatory protein is based on a “reverse” Tet repressor (rTetR), created by four amino acid changes in TetR [Hillen & Berens 1994; Gossen et al. 1995]. The resulting protein, reverse tetracycline-controlled transactivator (rtTA), activates gene expression in the presence of Dox and is encoded by the pTet-ON regulator plasmid. The second component of this system is the response plasmid, which expresses a gene of interest under the control of the tetracycline-response element (TRE). The pTRE2pur plasmid contains the TRE, which consists of seven direct repeats of a 42 bp sequence containing the tetO, located upstream of a minimal CMV reporter.
The ultimate goal in setting up a functional Tet system is creating a double-stable Tet cell line which contains both the regulatory and response plasmids. In the case of a Tet-ON line, when cells contain both plasmids the gene of interest is only expressed upon binding of the rtTA protein to the TRE. rtTA binds the TRE and activates transcription in the presence of Dox in a precise and dose-dependent manner. Other advantages of using the Tet system include reversible induction, tight on/off regulation with minimal background or leaky expression in the absence of induction, no pleiotropic effects of the transactivator, and high inducibility with a fast response. Ultimately, this meant that Barx2 could be expressed highly for short periods of time. This was expected to prevent the problem of inhibition of Barx2 protein expression during long term selection, and also circumvent the need to perform repeated high-efficiency transient transfections.
5.1.2 Aims
Studies described in this chapter sought to:
1. Identify direct endogenous Barx2 targets that are regulated via the interaction of Barx2 with TCF/LEF proteins and/or β-catenin.
2. Study the regulation of a selection of these target genes at the promoter level.
3. Assess the role of TCF/LEF variants at these target gene promoters.
5.2 Methods
5.2.1 Expression plasmids
The Axin2 promoter/intron luciferase reporter construct was obtained from Addgene (plasmid 21275 [Jho et al. 2002]). The cyclinD1 promoter luciferase reporter construct was a kind gift from Dr. Johann Auwerx [Botrugno et al. 2004].
Mouse Tcf7L1 (Tcf1) and Tcf7L2 (Tcf4) plasmid constructs were generated by Phusion (Thermo Scientific) amplification of cDNA isolated from C2C12 myoblasts. The resultant PCR products were directionally cloned *XhoI*-XbaI in pcDNA3 already containing an N-terminal myc-tag. All primers used for cloning are listed below in Table 5.1.
An mCherry/2A/mBarx2 cassette had previously been cloned by researchers in this laboratory into the *BamHI* and *XbaI* sites of the pcDNA3 vector multiple cloning site (MCS) and shown to be functionally active. The 2A peptide sequence disrupts normal peptide bond formation through a mechanism of ribosomal skipping. The presence of this 2A self-cleaving peptide allows multiple proteins to be encoded as polyproteins, which dissociate into component proteins upon translation. As such, it
allows for expression of mBarx2 whilst at the same time roughly equimolar amounts of mCherry, which can be used as a fluorescent positive marker. To insert this cassette in to the Tet-ON system response plasmid pTRE2pur, it was digested BamHI-XbaI while the pTRE2pur backbone was digested BamHI-NheI.
5.2.2 Development of double-stable C2C12 Barx2-TetON cell lines
18.104.22.168 C2C12 Tet-ON Transfection and Selection
Low passage C2C12 cells were seeded at a density of $1 \times 10^5$ cells/well in 2 ml of complete media into two wells of a 6-well plate. Twenty four hours later, 2 µg of pTet-ON regulatory plasmid per well was transfected using Lipofectamine 2000. Forty eight hours post transfection, cells were split 1:16 – a single well in a 6-well plate into two 10 cm culture dishes. Cells successfully transfected with pTet-ON encoding a neomycin-resistance gene were selected for with 1 mg/ml G418, added at the time of passaging and continually maintained, and cells successfully transfected with mCherry/2A/mBarx2 encoding a puromycin-resistance gene were selected for with 1 µg/ml puromycin.
Approximately one week after onset of selection, antibiotic-resistant colonies were picked from the culture dishes. The aim was to select colonies before they grew too dense and began differentiating. As such, colonies were not visible to the naked eye and a microscope (Olympus CKII) was required. Using a 10x lens, colonies were carefully picked off the dish with a 40 µl filter pipette tip and transferred into a 24-well plate (one colony per well). Because the level of expression of rtTA can be profoundly affected by the site of integration, it was necessary to isolate and analyse as many clones as possible in order to identify clones that would provide high
inducibility and a low level of ‘leaky’ expression in the un-induced state. Twenty eight individual colonies were picked at this stage and were maintained and expanded in 24-well plates.
Once cell lines carrying the TetON regulatory plasmid and optimally expressing rtTA were selected (see Results), these lines were re-transfected as described above with the mCherry/2A/mBarx2 response plasmid and new double transgenic lines were selected as described above.
Table 5.1: List of all primers used during this chapter
| Name | Sequence |
|-----------------------|-----------------------------------------------|
| **Cloning** | |
| TCF7L1 (TCF3) F Xho | aagctcgagccccagctcgggtggtg |
| TCF7L1 (TCF3) R Xba | ggctctagattagtgggcagactttggtgacc |
| TCF7L2 (TCF4) F Xho | tatctcgagccgcagctgaacgcg |
| TCF7L2 (TCF4) R Xba | ggctctagactattctaaagactttggtcacc |
| **Quantitative Real-time PCR** | |
| RPS26 F | aggtgcagaaggtgagg |
| RPS26 R | ggttctcccgagtgatgaag |
| Myogenin F | ccttgctcagctccctca |
| Myogenin R | tggagattgcatttcactgg |
| MyoD F | cgacaccgcctactacagtg |
| MyoD R | tatgctggacagggcagtcg |
| cyclinD1 F | tctttccagagtcatcaagtgt |
| cyclinD1 R | gactccagaagggttcaatc |
| Axin2 F | gagagtgagcgcagagc |
| Axin2 R | cgctgactcgttctctct |
| Primer Name | Sequence |
|---------------------|---------------------------|
| Barx2 F | agcccctgcactctttgtacc |
| Barx2 R | ccgcagcggcgactggatg |
| ID2 F | gacagaaccagcgctcca |
| ID2 R | agctcagaagggaattcagatg |
| TCF7 (TCF1) F | cagctcccccatactgtgag |
| TCF7 (TCF1) R | tgctgtctatatccgcaggaa |
| c-Myc F | cctagtgctgcatgaggaga |
| c-Myc R | tccacagacaccacatcaattt |
| Lef1 F | tcctgaatccccaccttct |
| Lef1 R | tgggataaacagggctgacct |
| ID3 F | gaggagcttttgccactgac |
| ID3 R | gctcatccatgccctcag |
| Pax7 F | accacttgctcacagtgtgga |
| Pax7 R | agtaggcttgctccgtttcc |
| Myf5 F | ctgctctgagcccacag |
| Myf5 R | gacagggctgttacattcagg |
| TCF7L1 (TCF3) F | ctgagcagcccgtaacctct |
| TCF7L1 (TCF3) R | aggggccatttcatctgtag |
| MMP9 F | cgacatagacgccatccag |
| MMP9 R | ctgtcggctgtggttcagt |
| Wnt4 F | ccgggcactcatgaatct |
| Wnt4 R | cacgccagcacgtctttac |
| Dlk1 F | ccctgcgtgatcaatggt |
| Dlk1 R | cacagaagttgcctgagaagc |
| Follistatin F | tctgccagttcatggagga |
| Follistatin R | ctcttccttgctcagttctgtct |
| Pitx2a/b F | attgtcgcaaaactagtgctg |
| Primer Name | Sequence |
|--------------|---------------------------|
| Pitx2a/b R | gcccacatcctcatttctttc |
| Pitx2c F | cctcaccccttcgtcaccat |
| Pitx2c R | gcccacatcctcatttctttc |
| Fzd7 F | ctggtgcttgctttcttg |
| Fzd7 R | gcacaacgggatggagat |
| Fzd6 F | ttaagcgaaaccgcaagc |
| Fzd6 R | ttggaatatgaccttcagccta |
| Fzd4 F | aacctcggtcataacgtgac |
| Fzd4 R | ccgaacaaaggaagaactgc |
| Gdf5 F | taacagcagcgtgaagttgg |
| Gdf5 R | cacgtacctctgctttcctga |
| Tgfb3 F | aacccacacctgatcctcat |
| Tgfb3 R | cagcagttctcctccaggtt |
| MMP2 F | ggagaaggctgtgtttctcg |
| MMP2 R | aggctggtcagtggcttg |
### 5.3 Results
#### 5.3.1 Selection of suitable C2C12 pTet-ON stable lines
To screen for activity of the Tet-ON lines the reporter vector pTRE2-Luc (Clontech) containing a luciferase gene was used: with successful integration of the Tet-ON regulator plasmid, this reporter should be activated in the presence of Dox, allowing luciferase activity to be measured. A total of 28 C2C12 stable pTet-ON clones were screened for their background expression (no Dox condition) and inducibility by Dox by transiently transfecting the pTRE2-Luc reporter vector and measuring luciferase activity. The majority of selected lines had minimal background expression, as
reflected by their luciferase activity relative to the parent C2C12 line, set to 1 (Figure 5.1A). The graph shows no error bars as only single samples were analysed in this crude initial screen. Although most clones were able to be induced by Dox to some extent, there was great variation between the clones (Figure 5.1B). The goal was to identify clones that had low background expression of pTRE2-Luc, and high induction of luciferase activity following treatment with Dox.
**Figure 5.1: Initial screen of stable C2C12 pTet-ON clones**
C2C12 pTet-ON stable clones were transiently transfected with pTRE2-Luc (0.5 μg) and received vehicle or 2 μg Dox. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to parent C2C12 cells (set to a value of 1). (A): Baseline luciferase activity with vehicle. (B): Fold induction after treatment with Dox.
The eight lines with the lowest background and induction of greater than 95-fold were selected for a second round screen. These were clones 1-2, 1-7, 2-1, 2-5, 3-3, 3-4, 4-3 and 4-4. In this second screen, all inductions in response to Dox were considerably lower than in the first screen, however all were greater than 20-fold (as recommended by the Clontech Tet User Manual) (Figure 5.2). This variation between experiments may relate to different cell densities. The three best responsive clones were 3-3, 4-3 and 4-4 with 35, 106 and 61-fold activations respectively.
**Figure 5.2: Second screen of stable C2C12 pTet-ON clones**
C2C12 pTet-ON stable clones were transiently transfected with pTRE2-Luc (0.5 μg) and received vehicle or 2 μg Dox. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to parent C2C12 cells (set to a value of 1). (A): Baseline luciferase activity with vehicle. (B): Fold induction after treatment with Dox. Error bars represent SEM.
22.214.171.124 Response to Wnt3a
Before continuing with further selection, the three selected stable lines were tested to ensure that their ability to respond to Wnt3a treatment had not been compromised during the selection and screening processes. All three lines were found to respond well to Wnt3a CM, activating the transiently transfected TOPflash reporter up to 1500-fold over L-cell control treatment (Figure 5.3). Although non-transgenic C2C12 cells were not used as a control in this particular experiment, the TOPflash activation range shown here is consistent with that observed in C2C12 cells previously (Chapter 3).
**Figure 5.3: C2C12 pTet-ON stable clones respond to Wnt3a**
C2C12 pTet-ON stable clones were transiently transfected with TOPflash (0.5 μg) and treated with 1:2 dilution of Lcell or Wnt3a CM for 48 hours. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to Lcell control (set to a value of 1). Error bars represent SEM. **p < 0.001.
5.3.2 Identifying appropriate double-stable C2C12 mCherry/2A/mBarx2 Tet-ON lines
After transfecting the mCherry/2A/mBarx2 response plasmid to generate double-transgenic stable clones, the presence of the mCherry cistron allowed for quick and
easy screening of clones for expression by fluorescence microscopy. Using an Olympus IX71 Fluorescence Inverted Microscope, clones were assessed for low background and high inducible expression of mCherry, and hence presumably also Barx2. Only one line, designated C2C12 Barx2 Tet-ON 4-4-12, showed background expression of mCherry without Dox. All other lines had either extremely low or no detectable background expression. Fifteen of the double-stable lines had detectable mCherry expression following induction by Dox for 48 hours. The 10 best expressing lines are shown in Figure 5.4.
| Line 3-3-9 | Line 3-3-17 |
|-----------|-------------|
| - Dox | + Dox |
| | |
| Line 3-3-20 | Line 3-3-31 |
|-------------|-------------|
| - Dox | + Dox |
| | |
| Line 4-3-9 | Line 4-3-11 |
|------------|-------------|
| - Dox | + Dox |
| | |
| Line 4-3-22 | Line 4-3-29 |
|-------------|-------------|
| - Dox | + Dox |
| | |
| Line 4-4-12 | Line 4-4-23 |
|-------------|-------------|
| - Dox | + Dox |
| | |
Figure 5.4: Immunofluorescence screening of double-transgenic C2C12 Barx2 Tet-ON clones
C2C12 mCherry/2A/mBarx2 Tet-ON stable clones were treated with vehicle or 2 µg Dox for 48 hours and imaged for mCherry expression with an Olympus IX71 microscope. Representative images are shown. Scale bars represent 100 µM.
The Barx2 and mCherry cistrons should be translated as a polyprotein, however the presence of the 2A self-cleaving peptide causes them to dissociate into two separate proteins upon translation, thus resulting in a theoretical 1:1 ratio of expression of Barx2 and mCherry protein. However, due to concerns about the stability of Barx2 protein in myoblasts, western blotting was used to confirm Barx2 protein expression in the ten lines showing highest mCherry induction. Total protein (20 μg) from each sample was loaded on SDS-PAGE gels, and proteins were immunoblotted with anti-Barx2 antibody. Lysate from COS7 cells transiently transfected with full length Barx2 in pcDNA3-myc served as a positive control. This Barx2 protein in the Barx2-TetON samples appears slightly lower in molecular weight than in the Barx2/pcDNA3-myc samples, likely due to the absence of the myc tag (Figure 5.5).
**Figure 5.5: Western Barx2 Tet-ON lines**
C2C12 mCherry/2A/mBarx2 Tet-ON stable clones were treated with vehicle or 2 μg Dox for 48 hours. Proteins were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with polyclonal antibodies to Barx2.
Of the ten selected Barx2-TetON stable lines, nine successfully induced Barx2 as assessed by western blotting, with only line 4-3-22 not expressing any detectable level of Barx2. Line 4-4-12 had significantly lower Dox-induced Barx2 expression than all other Barx2-expressing lines, and no Barx2 expression at all in the vehicle control (Figure 5.5). This was unexpected because it had previously shown high expression of mCherry in both vehicle and Dox conditions. It is possible that ongoing ‘leaky’ expression of the mCherry/2A/mBarx2 cassette during the selection process had created a feedback process that suppressed Barx2 protein as observed in previous attempts to generate constitutive Barx2 stable lines.
To narrow down the selection of stable mCherry/2A/mBarx2 Tet-ON (referred to as simply Barx2 Tet-ON from this point) lines further, it was decided to screen all 9 Dox-responsive lines, the three Tet-ON parent lines (3-3, 4-4 and 4-3) and the C2C12 parent line for mRNA expression of key myogenic genes. All cell lines were treated with either 2 µg/ml Dox or vehicle for 48 hours under growth conditions. Although each of these 13 cell lines were seeded at equal densities, at the time of harvesting 48 hours later they had reached different degrees of confluence. Expression of Barx2 mRNA, as well as two genes involved in cell cycle regulation and myogenesis: cyclinD1 and myogenin respectively, were analysed in all lines. The cell-cycle factor cyclinD1 acts as a regulatory subunit of cyclin-dependent kinase 4 or 6, the activity of which is required for cell cycle G1/S transition [Stacey 2003]. Changes in cyclinD1 expression could suggest quiescent cells re-entering the cell cycle, changes in cell activation and/or proliferation. Myogenin is upregulated during, and promotes, myoblast differentiation; hence any increase in myogenin expression would be consistent with
onset and progression of differentiation. As expected, Barx2 mRNA expression was increased in all double-stable Barx2 Tet-ON lines after Dox-induction (Figure 5.6A). The fold induction relative to the control condition varied from 2-fold (4-4-12) to 42-fold (3-3-31), and the mRNA level did not obviously correlate with protein expression as shown in Figure 5.6. In the parent C2C12 cells and the parent Tet-ON lines, minimal Barx2 expression was detected either without or with Dox-induction, as expected. There were also minimal changes in expression of cyclinD1 and myogenin mRNAs after Dox-induction in any parent line (Figure 5.6B). The trend observed following Dox-induction of the Barx2 Tet-ON lines was a slight increase in cyclinD1 expression and a slight down-regulation of myogenin expression. These changes in gene expression were independent of cell density at the time of harvest, suggesting that this may be due to Barx2 induction.
Figure 5.6: Initial mRNA screen of stable C2C12 Barx2 Tet-ON lines
C2C12 Barx2 Tet-ON stable clones received vehicle or 2 µg Dox for 48 hours and total RNA was isolated and reverse transcribed. Expression of (A) Barx2 or (B) cyclinD1 and myogenin mRNA was assessed by quantitative realtime PCR, normalised to the housekeeping gene RPS26 and is presented as fold-change relative to expression in vehicle condition (set to a value of 1). The results shown are from a single experiment with no replicates.
The best-responding Barx2 Tet-ON clone from each rtTA-expressing parent line based on the studies described above was selected for a further in-depth analysis of gene expression. These lines were 3-3-31 and 4-3-11.
5.3.3 TOPflash is activated in the Barx2 Tet-ON stable lines
The ultimate goal of generating Barx2 Tet-ON stable lines was to identify target genes that Barx2 may regulate via interaction with β-catenin and TCF/LEF at TCF/LEF binding elements. It was therefore important to ensure that induction of Barx2 by Dox could activate the synthetic TOPflash reporter, as observed previously following transient transfection of Barx2. To achieve this, TOPflash was transiently transfected in to both 3-3-31 and 4-3-11 Barx2 Tet-ON lines, with and without Dox, and luciferase activity
was measured after 48 hours. As shown in Figure 5.8, Dox alone was not sufficient to activate the TOPflash reporter. However, TOPflash could be activated in these same cells by a combination of Dox and MyoD transient transfection (Figure 5.7). As discussed in Chapter 3, transient co-transfection of Barx2 and MyoD produced a significantly greater activation of the TOPflash reporter than Barx2 alone. It may be that, in contrast to transient transfection, the level of Barx2 protein produced per cell in the Tet-ON system is not quite sufficient to induce TOPflash without the concomitant overexpression of MyoD. Overall these data suggest that the pathway required for activation of Wnt target genes, as assessed using the synthetic reporter TOPflash, is still intact in the selected Tet-ON cell lines.
**Figure 5.7: TOPflash is activated in the Barx2 Tet-ON stable lines**
TOPflash reporter (0.5 μg) was co-transfected with MyoD (1 μg) into C2C12 Barx2 Tet-ON stable lines 4-3-11 and 3-3-31. Transfection of empty pcDNA3 vector served as a negative control and to control for total amount of transfected DNA. Cells received either vehicle or 2 μg Dox. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of two independent experiments performed in triplicate. Error bars represent SEM. **p < 0.001 relative to pcDNA3 control. n=6.
5.3.4 Identification of Barx2 targets from C2C12 Barx2 Tet-ON lines
For gene expression analysis, Barx2 Tet-ON lines 3-3-31 and 4-3-11 were treated with vehicle or Dox for 48 hours in growth conditions, and in addition a 1:4 dilution of either L-cell or Wnt3a CM was added for the final 6 hours. Selected target genes were assayed by qRT-PCR to determine whether they may be regulated by either Barx2, Wnt3a, or the combination of both. These targets were selected based on their involvement in the Wnt signalling pathway, either as downstream targets or factors involved in the pathway itself, or their known role in myogenesis. Additional target genes were selected based on data presented in Chapter 4 that identified genes that were misregulated in Barx2\(^{-/-}\) myoblasts relative to Barx2\(^{+/+}\) myoblasts.
Although not shown, similar gene expression data were obtained with both Tet-ON cell lines, with line 4-3-11 showing more pronounced changes in gene expression. This was more than likely due to the greater induction of Barx2 expression (an average of 45-fold for line 4-3-11, and 20-fold for line 3-3-31 across multiple experiments). As shown in Figure 5.8, many target genes that were screened showed no significant change in expression levels in the presence of Dox (and thus increased Barx2 expression). These included Follistatin, cyclinD2, Pax7, Fzd7, Fzd4, Tgfb3, c-Myc, Pitx2 and MyoD. Most of these genes however did show a response to Wnt3a ligand (Follistatin, Pitx2, Tgfb3, Fzd4, Fzd7), whilst others were not responsive to Wnt3a stimulation and therefore not likely to be targets of the canonical Wnt signalling pathway within this myogenic cell system.
Figure 5.8: Target genes not regulated by Dox-induced Barx2 expression
C2C12 Barx2 Tet-ON stable line 4-3-11 received vehicle or 2 µg Dox for 48 hours, and Lcell or Wnt3a conditioned media for the final 6 hours. Total RNA was isolated and reverse transcribed. mRNA expression was assessed by quantitative realtime PCR, normalised to the housekeeping gene RPS26 and is presented as fold-change relative to expression in vehicle Lcell condition (set to a value of 1). Three independent experiments were performed but a representative experiment is shown. Error bars represent SEM. ** p < 0.001 relative to vehicle Lcell control. n=4.
In contrast, a selection of target genes did show a significant change in expression levels following increased Barx2 expression (Figure 5.9). Two of the most robustly upregulated target genes identified in this screen were cyclinD1 and Axin2. Expression of both Axin2 and cyclinD1 was 2-fold higher in Dox-induced line 4-3-11 (Figure 5.9), and both of these genes were previously identified as being down-regulated in Barx2\(^{-/-}\) myoblasts (Chapter 4, Section 4.3.1). Interestingly, although Axin2 was only increased 2-fold by Barx2 over-expression, there was a synergistic induction of Axin2 expression by both Barx2 over-expression and treatment with Wnt3a CM; 56-fold with Wnt3a CM alone and 79-fold with Wnt3a CM and Dox (Figure 5.9). No change in Axin2 or cyclinD1 mRNA was observed in the parental rtTA-expressing cell lines 3-3 and 4-3 which do not express Barx2 in response to Dox (Figure 5.10).
Figure 5.9: Target genes regulated by Dox-induced Barx2 expression
C2C12 Barx2 Tet-ON stable line 4-3-11 received vehicle or 2 µg Dox for 48 hours, and Lcell or Wnt3a CM for the final 6 hours. Total RNA was isolated and reverse transcribed. mRNA expression was assessed by quantitative realtime PCR, normalised to the housekeeping gene RPS26 and is presented as fold-change relative to expression in vehicle Lcell condition (set to a value of 1). Three independent experiments were performed but a representative experiment is shown. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to vehicle Lcell control or relative to Wnt3a CM + Dox combined. n=4.
Figure 5.10: Parental rtTA-expressing cell lines do not show induction of cyclinD1 or Axin2 in response to Dox
C2C12 pTet-ON stable lines 3-3 and 4-3 received vehicle or 2 µg Dox for 48 hours. Total RNA was isolated and reverse transcribed. mRNA expression was assessed by quantitative realtime PCR, normalised to the housekeeping gene RPS26 and is presented as fold-change relative to expression in vehicle Lcell condition (set to a value of 1). Error bars represent SEM. n=4.
5.3.5 The Axin2 and cyclinD1 promoters are regulated by Barx2
To better understand the regulation by Barx2, cyclinD1 and Axin2 promoter-luciferase constructs [Jho et al. 2002; Botrugno et al. 2004] were used in transient co-transfection experiments in C2C12 cells. As shown in Figure 5.11A, Barx2 induced the Axin2 promoter/intron luciferase construct (Axin2-luc) approximately 2-fold in growth conditions and 4-fold in differentiation conditions. β-catenin activated Axin2-luc 3-fold and 6-fold in growth and differentiation conditions respectively (Figure 5.11A). Moreover, Barx2 and β-catenin also synergistically activated Axin2-luc under differentiation conditions, but not in growth conditions. Both Barx2 and β-catenin induced the cyclinD1 promoter nearly 2-fold (Figure 5.11B). In contrast to the Axin2-luc construct, fold changes of the cyclinD1 promoter construct were identical in growth and differentiation conditions, and there was no synergy between Barx2 and β-catenin.
Previous work performed in the laboratory showed that Barx2-mediated activation of TOPflash was completely abolished by co-transfection of a dominant-negative form of TCF4 (dnTCF4), which is lacking the N-terminal β-catenin domain and therefore is able to bind DNA but not interact with β-catenin. This, together with co-IP and ChIP data presented in Chapter 3, suggested that Barx2 regulated the TOPflash promoter through the TCF/LEF motifs. To ascertain whether Barx2-mediated activation of Axin2 and cyclinD1 promoters may also be mediated by TCF/LEF motifs, dnTCF4 was co-transfected with Barx2 or β-catenin. As shown in Figure 5.11A and Figure 5.11B, dnTCF4 blocked activation of Axin2-luc by both Barx2 and β-catenin. Similarly, dnTCF4 blocked activation of the cyclinD1 promoter by both factors. The role of MyoD in this system was also assessed. However, unlike the TOPflash reporter which was synergistically activated by Barx2 together with MyoD, MyoD played no role in activation of either Axin2-luc or the cyclinD1 promoter constructs.
Figure 5.11: Barx2 regulates the Axin2 and cyclinD1 promoters
Axin2-luc (A) or cyclinD1 (B) promoter constructs (0.5 μg) were co-transfected with varying combinations of Barx2, β-catenin, dnTCF4 and MyoD expression plasmids (total 1 μg) in growth media (GM) or differentiation media (DM). Transfection of empty pcDNA3 vector served as a negative control and to control for the amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments performed in triplicate. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to pcDNA3 control unless marked otherwise.
5.3.6 The role of TCF/LEF variants in regulation of Wnt-target promoters
The literature on TCF/LEF proteins suggests that TCF/LEF family members play a critical role in shaping both tissue-specific and stage-specific transcriptional output from Wnt signalling. However, the functions of each of the four family members can
differ. To determine which TCF/LEF family members are expressed in muscle, quantitative PCR analysis was performed with primers specific for each family member, but that did not distinguish between splice variants, in both C2C12 cells and primary myoblasts. These experiments showed that Lef1, Tcf3 (Tcf7l1) and Tcf4 (Tcf7l2) were all expressed in both cell types (Figure 5.12). In contrast, no Tcf1 (Tcf7) was detected in either cell type.
**Figure 5.12: TCF/LEF mRNA expression in C2C12 cells and primary myoblasts**
Total RNA was isolated from C2C12 cells and primary myoblasts and reverse transcribed. mRNA expression of TCF/LEF family members was assessed by quantitative realtime PCR, normalised to the housekeeping gene RPS26 and is presented as fold-change relative to RPS26 expression (set to a value of 1). The results shown are from a single experiment with no replicates.
In order to characterise the role of TCF/LEF family members and their variants in regulation of TOPflash and Axin2 by Barx2, the TCF/LEF members Lef1, Tcf3 and Tcf4 were cloned and multiple clones were sequenced to identify splice variants. Previously in the laboratory, only human (h)TCF4 had been used in luciferase reporter assays with TOPflash (unpublished data). These experiments showed that wildtype hTCF4 was extremely repressive when co-expressed with Barx2 or β-catenin, similar to that observed with dnTCF4 discussed previously. It was therefore hypothesised that perhaps TCF4 (at least the human variant that was tested) was not the TCF/LEF
family member that mediated the activation of Wnt target genes by Barx2 and β-catenin in myoblasts, and thus the decision was made to clone the mouse TCF/LEF variants expressed in muscle cells. Sequencing of multiple isolated clones generated by PCR with the Tcf3 primers identified only a single isoform of Tcf3 (isoform 2, lacking an internal exon), which has previously been described. In contrast, sequencing of multiple isolated clones generated by PCR with the Tcf4 (Tcf7l2) primers identified multiple splice variants of this transcript as described further below.
A comprehensive study performed by Weise and colleagues previously showed that the *Tcf7l2* gene, which consists of 17 exons, contains a conditional exon 4 and sequence variation around exon 8 whereby alternative splice donor and acceptor sites generate additional sequences giving rise to LVPQ and SFLSS amino acid motifs [Weise et al. 2010], in a manner similar to the human *TCF7L2* gene. Furthermore, alternative splicing of exons 12-17 was demonstrated. Depending upon the preceding exon combination, different open reading frames are used for translation of exons 15, 16 and 17. This distinction can be used to classify *Tcf7l2* transcripts into TCF4E (also known as L), TCF4S and TCF4M protein isoforms [Young et al. 2002; Shiina et al. 2003]. TCF4E splice variants contain a longer coding region of the final exon (exon 17), generating a second DNA-binding domain, referred to as a complete C-clamp [Hecht & Stemmler 2003; Atcha et al. 2007]; either a CRARF or a CRALF motif with conserved cysteines [Weise et al. 2010]. In contrast, TCF4S variants contain only three of the four conserved cysteines, and TCF4M variants lack both the cysteines and the CRARF/CRALF element. Interestingly, sequencing of six Tcf4 clones isolated here from
myoblasts showed that five of the six were TCF4M isoforms. Of the six Tcf4 clones, clones #1 and #2 contained exon 4 and no LVPQ or SFLSS motifs around exon 8. Clone #1 lacked exons 13-16 (M1 isoform) [Weise et al. 2010]. Sequencing for clone #2 was inconclusive; it did, however, contain a long coding region within exon 17, making it an E isoform. Clones #5 and #6 were also M1 isoforms, and both lacked exon 4, with clone #5 containing the LVPQ motif. Interestingly, two clones (#7 and #8) lacked exon 8, a variation that has not previously been reported. These two clones also contained exon 4 and lacked exons 14-16, making them M2 isoforms [Weise et al. 2010]. It is important to note that the hTCF4 variant used in the laboratory previously is an E isoform and thus contains the C-clamp. A schematic of previously characterized Tcf4 variants and the new clones identified here is shown below in Figure 5.13. For the full protein sequence and alignment, see Appendix 4.
Figure 5.13: Simplified schematic of exon structure of Tcf4 variants cloned from myoblasts
Schematic of seven previously identified Tcf4 variants (Variant 1-7) and six cloned Tcf4 variants from myoblasts (Clone #1, 2, 5, 6, 7 and 8). The presence of the LVPQ and SFLSS motifs are marked. “…” denotes inconclusive sequencing results, and red lines indicate the positions of the stop codons. The isoform of each variant is shown on the right hand side.
The role of each TCF/LEF variant was assessed in luciferase assays with either TOPflash or Axin2-luc. Due to low activation of the cyclinD1 luciferase promoter by Barx2 and β-catenin, the role of TCF/LEF variants was not assessed using this promoter. When co-transfected with TOPflash, Lef1 synergistically enhanced activation by both β-catenin and Barx2+MyoD (Figure 5.14). This effect was dose-dependent, with transfection of 10 and 50 ng of Lef1 providing synergistic activation, whereas 500 ng did not. Co-transfection of Tcf3 at 10 ng did not augment activation of TOPflash by either Barx2+MyoD or β-catenin, and it was repressive at 50 and 500
Contrastingly, all Tcf4 splice variants were highly repressive at all concentrations tested; similar to previous observations with hTCF4 (Figure 5.14). Tcf4 variants #1 and #2 were assessed with β-catenin only and not Barx2+MyoD.
**Figure 5.14: TCF/LEF family members differentially regulate Barx2+MyoD and β-catenin-mediated activation of TOPflash**
TOPflash reporter (0.5 μg) was co-transfected with Barx2+MyoD (1 μg) or β-catenin (50 ng) and increasing concentrations of Lef1, Tcf3 or Tcf4 expression plasmids. Transfection of empty pcDNA3 vector served as a negative control and to control for the amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of two independent experiments performed in triplicate. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to pcDNA3 control. n=6.
When tested with the Axin2-luc reporter, Lef1 synergised with β-catenin to produce greater activation than β-catenin alone in GM or DM conditions (2-fold to 6-fold, 5-fold to 22-fold), but no synergy was seen between Lef1 and Barx2 (Figure 5.15). Cotransfection of Tcf3 did not affect Barx2- or β-catenin-mediated activation of Axin2-luc in either GM or DM conditions (Figure 5.15).
**Figure 5.15: Lef1 and Tcf3 differentially regulate Barx2 and β-catenin-mediated activation of Axin2-luc**
Axin2-luc (0.5 μg) was co-transfected with Barx2 (1 μg) or β-catenin (50 ng) and increasing concentrations of Lef1 or Tcf3 expression plasmids. Transfection of empty pcDNA3 vector served as a negative control and to control for the amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection (set to 1). The results shown are the average of two independent experiments performed in triplicate. Error bars represent SEM. * p < 0.05 relative to pcDNA3. n=6.
Unlike the effect of Tcf4 variants on TOPflash activity, co-transfection of Tcf4 did show some ability to synergise with β-catenin in activation of the Axin2-luc construct. As shown in Figure 5.16, Tcf4 variants #1, 5 and 8 enhanced β-catenin-mediated activation when transfected at a concentration of 50 ng. Synergy between hTCF4 and β-catenin was also observed, but most significantly at 500 ng; which was in contrast to its repressive effects on TOPflash. No synergy was observed with any Tcf4 variant (including hTCF4) and Barx2 (Figure 5.16), and each variant was repressive to Barx2-
mediated Axin2-luc activation in a concentration-dependent manner. These data show that the functions of the different TCF/LEF family members and their splice variants are both promoter and co-factor dependent.
**Figure 5.16: Tcf4 variants differentially regulate Barx2 and β-catenin-mediated activation of Axin2-luc**
Axin2-luc (0.5 μg) was co-transfected with Barx2 (1 μg) or β-catenin (50 ng) and increasing concentrations of Tcf4 expression plasmids. Transfection of empty pcDNA3 vector served as a negative control and to control for the amount of transfected DNA. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of two independent experiments performed in triplicate. Error bars represent SEM. * p < 0.0.5 and ** p < 0.001 relative to pcDNA3. n=6.
5.4 Discussion
The generation of C2C12 Barx2 Tet-ON stable cell lines provided a valuable model for Barx2 over-expression in myoblasts. Because the behaviour of myoblast cell lines can change during the selection process to generate stable lines, they were screened after each selection step to ensure that they maintained the ability to differentiate and that the Wnt reporter TOPflash still responded to treatment with Wnt3a CM, indicating that the Wnt signalling pathway components were not substantially altered. Only lines that maintained these normal parental C2C12 cell behaviours were used for later studies. However, there were still notable differences in the response of the Wnt reporter to Barx2 overexpression in the Tet-ON system relative to the previous transient over-expression system. As highlighted in Chapter 3, transient over-expression of Barx2 alone could activate TOPflash without the need for exogenously expressed MyoD, although the latter did produce a synergistic effect. In contrast, Dox-induced Barx2 expression alone was insufficient to induce transiently transfected TOPflash. One possible explanation for this is that in the stable Barx2 Tet-ON lines, Dox will induce Barx2 expression in every cell, but the level of expression per cell may be relatively low due to single or few copies of the integrated transgene. In contrast, transient transfection of C2C12 cells typically results in only a small percentage of cells receiving the plasmids, but they may then carry and express many copies per cell. When the TOPflash reporter plasmid is transiently transfected in Barx2 Tet-ON cells, the ratio between expression of effector (Barx2) and reporter (TOPflash) within any given cell may not be sufficient to produce reporter activation. In contrast, when C2C12 cells are co-transfected with TOPflash reporter and Barx2 expression plasmid, although only a small percentage of cells will be efficiently
transfected, these cells will receive and express both TOPflash and Barx2 plasmids. This hypothesis is consistent with the observation that co-transfection of MyoD and TOPflash, both presumably at high numbers of plasmid copies per transfected cell, still allowed synergy with the lower level of Dox-induced Barx2 produced in each cell. Overall, the important result was that Dox-induced Barx2 was able to activate TOPflash under appropriate conditions (additional MyoD) and hence, that the regulatory factors that cooperate with Barx2 in activation of Wnt target genes are likely to still be expressed in these stable cell lines.
Although examination of Barx2 mRNA levels in the absence of Dox-induction suggested that there was some leaky expression of the mCherry/2A/Barx2 expression cassette, analysis by western blots and fluorescence microscopy confirmed no Barx2 protein expression in the absence of Dox. This is consistent with previous data which has shown that a) Barx2 mRNA and protein levels following over-expression frequently do not correlate in myoblasts (Chapter 4) and b) C2C12 Barx2 stable lines produced by standard plasmid integration methods do not express any detectable Barx2 protein following the initial selection period (unpublished data). Collectively, these data suggest that Barx2 protein expression is suppressed in proliferating myoblast cultures, possibly because high levels of Barx2 protein are not compatible with continuing proliferation. In contrast, for short term expression of up to 48 hours, the Barx2 Tet-ON stable lines consistently and reliably produced Barx2 at both the message and protein level following induction by Dox, permitting discovery of potential Barx2 target genes by comparison of induced and uninduced states.
As discussed previously, Barx2 is induced during early stages of myoblast
differentiation and may be an important player in the proliferation-differentiation “switch”. This function may involve regulating other genes which further drive the differentiation process. The MRF family members MyoD, myogenin and Myf5, key regulators of myogenesis, were thus analysed as downstream targets of Barx2. Given that previous work has indicated that Barx2 can promote differentiation, the observation that myogenin mRNA expression was downregulated by Barx2 overexpression was unexpected. It would be of interest to assess whether protein levels of myogenin are up or down regulated by Barx2, and whether specific post-transcriptional regulators of myogenin function are altered. In contrast, the increased expression of Myf5 is more consistent with the pro-proliferation effects of Barx2 as Myf5 is typically associated with proliferating myoblasts.
The data presented in Chapter 4 identified Wnt-responsive target genes and pathway components that were misregulated in Barx2 knockout myoblasts compared to wildtype myoblasts, by means of both RNA-Seq and PCR arrays. This data was used to guide the selection of genes to screen within the Barx2 Tet-ON over-expression system. This led to selection of cyclinD1, cyclinD2, Axin2, Follistatin, growth differentiation factor 5 (Gdf5), paired-like homeodomain 2 (Pitx2), frizzled class receptor 7 (Fzd7), Wnt4, and transforming growth factor beta 3 (Tgfb3). Furthermore, matrix metalloproteinase-9 (MMP9) was selected as it was previously identified as a downstream target of Barx2 in breast cancer cells [Stevens & Meech 2006], and as a target of canonical Wnt signalling in T cells [Wu et al. 2007]. Other selected genes were shown to be Wnt-responsive in a variety of cell models including Id2 in colon cancer cells [Rockman et al. 2001; Willert et al. 2002], MMP2 in T cells [Wu et al.
c-Myc in colon cancer cells [He et al. 1998; van de Wetering 2002] and P19 teratocarcinoma cells [Zhang et al. 2012] and Id3 in myoblasts [Zhang et al. 2012]. However, most of these putative Wnt-target genes showed no significant change in expression in Tet-ON C2C12 cells following treatment for 24 hours with Wnt3a, indicating their response to Wnt signalling may be cell-type specific. Of those that responded to stimulation by Wnt3a (cyclinD1, Axin2, Pitx2, Fst, Gdf5, Wnt4 and Tgfb3), only cyclinD1 and Axin2 also showed significantly increased expression in response to Barx2 induction. Importantly, this result was consistent with the previously presented RNA-Seq and microarray analyses of Barx2\(^{-/-}\) primary myoblasts, which identified both cyclinD1 and Axin2 as potential targets of Barx2 regulation in myoblasts. Moreover, cyclinD1 was also shown to be significantly downregulated in whole TA muscle isolated from Barx2\(^{-/-}\) mice when compared to Barx2\(^{+/+}\) littermate controls. In addition, expression of Axin2 mRNA was synergistically regulated by both Wnt3a treatment and Barx2 expression in C2C12 cells. This result was also consistent with studies described in Chapter 3, whereby Barx2 and Wnt3a/\(\beta\)-catenin could synergistically activate the TOPflash reporter plasmid under specific conditions. It is of note that, unlike many downstream targets of the canonical Wnt signalling pathway, the Axin2 promoter contains multiple (eight) predicted TCF/LEF binding sites [Jho et al. 2002]; equivalent to the number of TCF/LEF elements present in TOPflash.
The Axin2-luc construct [Jho et al. 2002] which contains all eight predicted TCF/LEF sites was significantly activated by Barx2 and by constitutively active \(\beta\)-catenin. However, these factors only synergised under differentiation conditions, suggesting
that other differentiation-associated factors are required to mediate transcriptional cooperation at this promoter. Co-transfection of a dominant negative form of TCF4 (dnTCF4), that is able to bind DNA but not interact with β-catenin, abolished activation by β-catenin and Barx2, strongly suggesting that the promoter TCF/LEF binding sites were involved in the response.
CyclinD1 is a well-defined Wnt-target in many epithelial cell types [Shtutman et al. 1999; Tetsu & McCormick 1999; Schmidt-Ott et al. 2007; Bao et al. 2012] and the cyclinD1 proximal promoter containing a single TCF/LEF site was previously shown to respond modestly (2.5-fold) to Wnt signals [Botrugno et al. 2004]. Here, the cyclinD1 proximal promoter luciferase reporter construct was activated by both Barx2 and constitutively active β-catenin: although the level of promoter activation was low, an equivalent response was observed with both factors. Co-expression of dnTCF4 with either of these factors abolished activation, again highlighting the potential role of the single TCF/LEF site in Barx2-mediated activation of cyclinD1. Surprisingly, in contrast to previous observations using the TOPflash reporter (Chapter 3), there was no Barx2-MyoD synergy observed with either the Axin2 or cyclinD1 luciferase construct. The promoter specific mechanism(s) by which MyoD generates transcriptional synergy with Barx2 clearly requires further analysis, however, it is possible that both the number and the density of TCF/LEF motifs may be an important variable.
TCF/LEF genes have tissue-specific expression patterns [Oosterwegel et al. 1993; Korinek et al. 1998; Galceran et al. 1999] and loss-of-function studies have demonstrated a unique requirement for individual TCF/LEF genes in certain
developmental processes [Verbeek et al. 1995; Korinek et al. 1998; Merrill et al. 2004]. Although all TCF/LEF family members recognise similar DNA elements and interact with β-catenin, the above observations suggest that TCF/LEF family members are not redundant and may have different albeit overlapping functions. This may provide a mechanism by which Wnt-responsive target genes can be differentially regulated in a tissue-specific manner. In support of this idea, functional differences among TCF/LEF members in reporter gene assays, as well as differential promoter occupancy, have been observed [Atcha et al. 2003; Hecht & Stemmler 2003; Wohrle et al. 2007; Weise et al. 2010].
Mechanistically, TCF/LEF proteins function in the absence of β-catenin by recruiting corepressors such as Groucho family members and various HDACs. During the canonical Wnt response these corepressors are believed to be ‘dismissed’ by stabilized β-catenin, which in turn recruits coactivators. Some studies have reported that the response of specific target promoters to β-catenin requires addition of exogenous TCF/LEF proteins [Weiske & Huber 2005; Sanchez-Tillo et al. 2011], presumably because these factors mediate recruitment of β-catenin-mediated activation complexes to the DNA. However, previous work performed in the laboratory showed that hTCF4 overexpression strongly suppressed the activation of TOPflash by β-catenin or Barx2, possibly the high level of TCF4 expression overwhelmed the ability of these factors to dismiss TCF4-associated co-repressors from the promoter. Given this dichotomy, it was important to determine which TCF/LEF genes were expressed in myoblasts and whether any of them might in fact be able to promote Barx2 and/or β-catenin activation of Wnt-responsive genes.
Analysis of TCF/LEF family members expressed in C2C12 cells and primary myoblasts revealed similar levels of mRNA expression of Lef1, Tcf3 (Tcf7l1) and Tcf4 (Tcf7l2) but not Tcf1 (Tcf7). A recent study reported that all four family members are highly expressed at the protein level in C2C12 cells [Wallmen et al. 2012]. Due to time constraints, this potential discrepancy between the literature and results reported here was not able to be resolved.
The TCF/LEF family genes generate multiple isoforms through alternative splicing and promoter usage, thereby generating proteins which differ in domain composition. As discussed previously, there are certain structural features common to all members of the TCF/LEF family; an N-terminal β-catenin binding domain, interaction sites for Groucho/TLE co-repressors, and a HMG box DNA-binding domain [Arce et al. 2006; Hoppler & Kavanagh 2007]. In particular, TCF4 genes undergo extensive and tissue-specific alternate splicing [Duval et al. 2000; Howng et al. 2004; Weise et al. 2010] and the variant proteins exhibit different protein-protein interactions [Hecht & Stemmler 2003; Valenta et al. 2003] as well as DNA binding specificities [Atcha et al. 2007]. In particular, alternative splicing of *Tcf7l2* results in a variable C-terminus, classifying resultant proteins as either E, S or M isoforms [Young et al. 2002; Shiina et al. 2003]. Current literature suggests that the longer E-tail of TCF4E isoforms interacts with CBP/p300 [Hecht & Stemmler 2003] and that TCF4E variants exhibit promoter-specific activities that are not interchangeable with other isoforms or TCF/LEF family members [Atcha et al. 2003; Hecht & Stemmler 2003], possibly due to differences in their ability to form multimeric complexes with co-factors.
Here, six Tcf4 variants were cloned from C2C12 cells. Of note is that five of the six
clones were M isoforms; that is, they contained a truncated final exon lacking both the conserved cysteines and the CRARF/CRALF element (C-clamp). Furthermore, two of these variants were novel as they completely lacked exon 8, a finding that has previously not been reported. These variants, along with Lef1 and Tcf3, were tested for their ability to synergise with either β-catenin or Barx2 on the TOPflash reporter or Axin2-luc construct in luciferase assays. When tested in assays with the TOPflash reporter, all Tcf4 variants were highly repressive to β-catenin and Barx2-mediated activation, whilst Lef1 was synergistic with both in a concentration-dependent manner. In contrast, all Tcf4 variants, when co-transfected at a low concentration, synergised with β-catenin in activation of the Axin2-luc reporter construct. This indicates that all tested mouse Tcf4 isoforms, which include variations in exons 4, 8 and 13, but contain identical C-termini, have a similar ability to facilitate the β-catenin-mediated recruitment of coactivators to Axin2. Transfection of the hTCF4 variant (an E isoform containing the C-clamp), which was performed alongside the mouse variants, also led to synergy with β-catenin in a concentration-dependent manner. The dose-dependent effects of TCF/LEF proteins in these studies (synergy at low concentrations but inhibition at high concentrations) are consistent with the idea presented earlier that excessive levels of TCF/LEF-associated co-repressor complexes at the target promoter may overwhelm the ability of β-catenin to dismiss the repressors and recruit co-activators. No TCF/LEF family member or splice variant that was tested was able to synergistically activate the Axin2-luc reporter with Barx2 at any concentration. However, it still remains to be determined whether any Tcf1 isoform (not detected in this study but reported to be expressed in myoblasts by others) is involved in activation of Axin2 by Barx2. Overall these studies suggest that
TCF/LEF variants have non-redundant and dose-dependent functions in regulation of Wnt target promoters, including Axin2, in myoblasts.
Chapter 6
Regulation of the *Axin2* gene by Barx2, Pax7 and Wnt signalling in myoblasts
6.1 Introduction
Work presented in Chapters 4 and 5 of this thesis identified the Wnt-responsive genes *Axin2* and *cyclinD1* as downstream targets of Barx2 in myoblasts using a variety of models and experimental techniques. In particular, studies in Chapter 5 define the proximal promoter of *cyclinD1*, and the promoter/intronic region of *Axin2* as important for regulation by both Barx2 and β-catenin/Wnt signalling. However, these promoters contain many regulatory elements and whether their activation by Barx2 is mediated through HBS elements, TCF/LEF elements, or a combination of both, was not defined. This chapter will attempt to unveil these mechanisms using site directed mutagenesis and deletion analysis of promoter constructs, as well as epigenetic analysis of natural promoters. The majority of data presented and discussed within this chapter is published in a first-author paper in “Stem Cells” [Hulin et al. 2016].
6.1.1 Regulation of the *Axin2* gene by Wnt signals
Unlike most other Wnt-responsive targets which harbor only one or two TCF/LEF binding sites within their promoter, the region of the *Axin2* promoter capable of responding to Wnt signalling in reporter assays contains eight predicted TCF/LEF binding sites [Jho et al. 2002]. Furthermore, the majority of these are very close matches to the high-affinity consensus TCF/LEF sites used in TOPflash and TOPGAL reporters [van Beest et al. 2000]. *Axin2* is activated in many sites of Wnt signalling [Jho et al. 2002] and is therefore also the exception to the general observation that the transcriptional responses of Wnt target genes are tissue-specific. In addition to this, the *Axin2* gene product plays a critical role as a component of the β-catenin destruction complex [Behrens et al. 1998; Yamamoto et al. 1998; Stamos & Weis
and its activation directly downstream of a Wnt signal thus places it in the role of a negative regulator of the Wnt pathway [Yan et al. 2001; Jho et al. 2002; Lustig et al. 2002]. Data in Chapter 4 also indicated that Barx2 is an indirect downstream target of Wnt signalling. The regulation of Axin2 expression by Barx2 suggests that Barx2 may in fact be part of the feedback network that attenuates or limits the duration of a Wnt-initiated signal in myoblasts. This idea will be further explored in this chapter.
6.1.2 Co-factors and epigenetic mechanisms involved in the transcriptional response to Wnt signalling
The initiation and regulation of transcription in eukaryotes is complex, and requires a myriad of factors including RNA polymerase machinery, general transcription factors, tissue-specific transcription factors, and co-activators and co-repressors [Perissi & Rosenfeld 2005]. Gene activation and repression requires the chromatin modifying activities of a large array of co-activators and co-repressors. Detailed kinetic analysis of the occupancy of co-activators and co-repressors at gene promoters reveals a highly dynamic process of co-factor exchange [Rosenfeld et al. 2006]. In addition, many co-activator and co-repressor proteins are components of multisubunit coregulator complexes that exhibit an ever-expanding diversity of enzymatic activities [Yoon et al. 2003; Rosenfeld et al. 2006; Santoso & Kadonaga 2006; Tsukada et al. 2006].
126.96.36.199 Histone acetylation
Epigenetic regulation, which controls the accessibility of promoter chromatin, has become increasingly recognised as important in both development and regeneration. One type of chromatin modification which plays an important role in the control of
gene transcription is histone acetylation. Histone acetyltransferases (HATs) and histone deacetylases (HDACs) modify the structure of chromatin by opening and compacting chromatin respectively. Hyperacetylation of histones appears to create a more permissive environment for gene expression by relaxing chromatin structure, thus making the DNA more accessible to modifying enzymes, transcription factors and RNA polymerase [Gorisch et al. 2005]. Highly acetylated histones are therefore generally associated with actively transcribed genes or genes poised for transcription [Marks et al. 2000; Schrem et al. 2002; Kurdistani et al. 2004]. Conversely, genes repressed by histone deacetylation are resistant to the influence of certain transcription factors that could otherwise activate their promoters. Thus, the balance between HATs and HDACs in terms of expression and recruitment to genomic loci establishes a pattern of histone acetylation for global gene expression [Grewal & Moazed 2003; Bannister & Kouzarides 2011]. Wnt-mediated gene transcription has been linked to the acetylation or deacetylation of histones, but how Wnt signalling regulates this type of histone modification during myogenesis is poorly understood.
p300/CBP (CREB-binding protein), a well-studied coactivator of β-catenin/Wnt signalling, has intrinsic HAT activity [Ogryzko et al. 1996; Hecht et al. 2000; Takemaru & Moon 2000; Parker et al. 2008] and likely plays a synergistic role with β-catenin in alleviating promoter repression. Other HATs such as glucocorticoid receptor-interacting protein 1 (GRIP-1) have also been identified as co-activators via direct interaction with β-catenin [Li et al. 2004; Song & Gelmann 2005]. Conversely, in the absence of nuclear β-catenin, TCF/LEF members associate with HDAC1 at Wnt-responsive promoters, leading to transcriptionally silent chromatin until such point where HDAC1 is competitively displaced by β-catenin [Billin et al. 2000; Arce et al.
2009], and coactivator recruitment may thus occur.
6.1.3 Aims
The specific aims of this chapter were to:
1. Understand the mechanisms by which Barx2 acts as a positive regulator of Axin2 and cyclinD1 expression
2. Examine the role of Pax7 in regulation of Axin2 and cyclinD1 expression
3. Identify co-activators and co-repressors involved in the Barx2/β-catenin/TCF activation complex and the Pax7/β-catenin/TCF repression complex respectively
6.2 Methods
6.2.1 Expression plasmids
HA-tagged Grip-1 in the pSG5 vector was a kind gift from Dr. Michael Downes. Other co-activators were obtained from Addgene: PGC-1 alpha in pcDNA4-myc (plasmid 10974) [Ichida et al. 2002], PCAF-FLAG in pCI (plasmid 8941) [Yang et al. 1996] and HA-UTX in pCMV (plasmid 24168) [Agger et al. 2007]. ACTR, Carm1 and CBP plasmids were already available in the laboratory, but were originally from the Evans lab at the Salk Institute for Biological Studies. HDAC1-FLAG in pcDNA3 was also obtained from Addgene (plasmid 13820) [Emiliani et al. 1998].
All primers used for cloning and generation of mutations are listed below in Table 6.1. The Axin2 promoter/intron luciferase reporter construct was obtained from Addgene (plasmid 21275) [Jho et al. 2002]. The consensus TCF/LEF sites in the mouse Axin2 promoter (T2, T3, T4, T5, T6, T7, T8; nomenclature from [Jho et al. 2002]), were
mutated by the introduction of three nucleotide substitutions that disrupted the core of each motif (ga(a/t) to cgc). For mutation of site T2, a 2.6 kb fragment of Axin2 promoter containing the T2 element was excised (using *PstI*/*SpeI* sites) and ligated into the PCR-Blunt vector. Site directed mutagenesis (SDM) was then performed using the QuikChange SDM protocol. After the T2 mutation was confirmed, the 2.6 kb promoter fragment was ligated back into the parent Axin2 luciferase promoter construct. Removal of the HBS cluster from the 5’ end of the Axin2 luciferase promoter was performed by digestion of the promoter fragment from the parent vector using *XbaI* and *HindIII* sites and then ligation of the truncated Axin2 promoter fragment (missing the HBS cluster) into pGL3-Basic using *NheI* and *HindIII* sites to generate Axin2 ΔHBS. All mutagenesis thereafter was performed using GeneArt PLUS Seamless Cloning and Assembly Kit (Life Technologies). Triple mutation of TCF/LEF elements T3, T4 and T5 was performed simultaneously in the truncated Axin2 promoter to generate Axin2 ΔHBS T2-5 SDM. Subsequent triple mutation of elements T6, T7, and T8 was performed simultaneously in the Axin2 ΔHBS T2-5 SDM to generate a construct with every TCF/LEF site mutated (Axin2 ΔHBS T2-8 SDM). This required transfer of a *SpeI*-*HindIII* fragment into PCR Blunt for mutagenesis as previously described and then religation of this fragment back into the Axin2 ΔHBS T2-5 SDM vector. All transformations were performed in high efficiency DH10β cells (NEB). The nomenclature of the mutated Axin2 promoter constructs was based on previous work [Jho et al. 2002].
The cyclinD1 promoter luciferase reporter construct was a kind gift from Dr. Johann Auwerx [Botrugno et al. 2004]. Removal of the HBS motifs from the 5’ end of the
construct was performed by PCR amplification with an internal forward *KpnI* primer and a reverse *HindIII* primer. This fragment was then ligated back in to empty pGL3-Basic to generate cyclinD1 ΔHBS. Mutagenesis of the single TCF/LEF element was performed using the QuikChange SDM protocol.
Swapping of the homeodomain regions between Barx2 and Pax7 cDNAs was performed by amplifying both homeodomain regions by PCR using primers that introduced *NheI* sites at each end, and then inserting these fragments into Barx2 and Pax7 expression constructs from which the corresponding homeodomain regions had been removed [Zhuang et al. 2014].
### 6.2.2 Electrophoretic mobility shift assay
#### 188.8.131.52 Preparation of nuclear extracts
Nuclear extracts of C2C12 and HEK293T cells for use in electrophoretic mobility gel shift assays (gel shifts) were prepared as follows. Cell monolayers grown in T75 flasks were washed once with cold 1 x PBS, and then scraped from the flasks in 10 ml cold PBS with PIC. Cells were pelleted at 2500 rpm for 5 minutes at 4°C, supernatant was removed and cells were resuspended in 400 µl Hypotonic Lysis Buffer followed by a 15 minute incubation on ice. Nuclei were pelleted by centrifugation at 14,000 rpm for 1 minute at 4°C and resuspended in 40-50 µl of Nuclear Extract Buffer. Lysis of nuclei was promoted by a 30 minute incubation at 4°C with agitation. Debris was removed by centrifugation at 14,000 rpm, 4°C for 10 minutes and the supernatant was snap-frozen on dry ice and stored at -80°C until required. Protein concentration of extracts was determined by spectrophotometry using the following equation:
\[
\text{Concentration (µg/µl)} = (1.55 \times A_{280}) - (0.76 \times A_{260}) \times \text{dilution factor}
\]
Buffer details are
184.108.40.206 Preparation of non-radioactive DNA probes
As an alternative to traditional radio-labelled oligonucleotide probes for electrophoretic mobility shift assays, oligonucleotide probes can be labelled with biotin or a fluorophore [Jullien & Herman 2011]. The method employed here is called LUEGO (labelled universal electrophoretic gel shift oligonucleotide) and involves a labelled universal oligonucleotide that could hybridize to the oligonucleotide duplex containing the protein binding sequence of interest forming a tripartite complex [Jullien & Herman 2011]. To achieve this complex, one of the probe oligonucleotides is extended at its 3’ end with a sequence complementary to the LUEGO oligonucleotide. The advantage of this approach is that only one labelled oligonucleotide needs to be generated, and it can then be used to make multiple different probes, saving time, effort and cost. The sequence of LUEGO is 5’-GTGCCCTGGTCTGG-3’ as described by Jullien and Herman and contains no binding sites for known transcription factors [Jullien & Herman 2011]. The LUEGO probe used for these studies was double-labelled with Cy5 fluorophores at the 5’ and 3’ ends.
The sequences of all oligonucleotides used in gel shift assays are listed in Table 6.1. All oligonucleotide probes were stored at 100 μM stock concentration. Double-stranded oligonucleotide probes were made by annealing 2 μl LUEGO 2xCy5 oligonucleotide, 2 μl sense oligonucleotide (that includes a region complementary to the LUEGO sequence) and 1 μl anti-sense oligonucleotide in a total 50 μl of annealing buffer (10 mM Tris pH 8, 1 mM EDTA, 50 mM NaCl). Oligonucleotides were heated to 95°C for 2 minutes, rapidly cooled to 70°C for 2 minutes (5°C/sec), and then slowly
cooled to 18°C (ramp rate of 0.4%, corresponding to 1.2°C/minute) using a gradient cycler. Double-stranded probes were diluted 1:10 before use.
220.127.116.11 Gel shift
Gel shift reactions were carried out with 30 μg nuclear extract and 0.4 μg deoxyinosine-deoxycytidine polymer (dIdC) in a 15 μl reaction containing EMSA buffer (10 mM Tris pH 8, 100 mM NaCl, 1 mM MgCl₂, 20% glycerol). The labelled double-stranded oligonucleotide probe (2 μl) was added to the reaction mixture, and samples were incubated for 20 minutes at room temperature. To elucidate the identity of proteins in a DNA-protein complex, 2 μg of antibody was added directly after the addition of the labelled probe (supershift assay). DNA-protein complexes were resolved in 0.5x TBE (45 mM Tris-borate, 1 mM EDTA) on 5% non-denaturing polyacrylamide gels at 80V for 1 hour and 45 minutes at 4°C. Gels were then imaged on the Typhoon FLA9000 scanner (GE Healthcare) for Cy5 visualisation.
Table 6.1: List of all primers used during this chapter
| Name | Sequence |
|-----------------------|--------------------------------------------------------------------------|
| **Mutagenesis/Deletions** | |
| Axin2 T2 SDM F | gcgcctttcgcaaggtcctggcaactca |
| Axin2 T2 SDM R | ggaccttgcgaaagcgccagccggctc |
| Axin2 T3 SDM F | cggccgcgcctttcgcgctgcacagttaatc |
| Axin2 T3 SDM R | gatttaactgtgcacgcgaaaggcgccagccg |
| Axin2 T4+5 SDM F | cggcgcgcctttcgcgctgcggggcgccgcttttcgcttgga |
| Axin2 T4+5 SDM R | ggacctgccaacgcgaaagcgccgcccccgcacgcgaagcgc |
| Axin2 F Pst | ctctctggcccttttgctgcagcccggttctttc |
| Axin2 R Spe | ggtatgggaggggagactagtggggaaagaag |
| Primer Name | Sequence |
|-----------------------------|---------------------------------|
| Axin2 T6 SDM F | tttaaaagtttgaaggcgaaagcctctaagta|
| Axin2 T6 SDM R | taactttagagccttttcgccttcaaacctttaaa|
| Axin2 T7 SDM F | tcagatttcgccttttcgcaaagctgcgtcggat|
| Axin2 T7 SDM R | atccgacgcagcttttgcgaaaggcgaaatctga|
| Axin2 T8 SDM F | ttactttcttgcttttcgcgttgggtagatctgg|
| Axin2 T8 SDM R | ccagatctacccaacgcgaaagcaagaaagtaa|
| CyclinD1 F Kpn | gcggtaccggccaccatcttgagctgttg |
| CyclinD1 R HindIII | gcaagcttatggtcttccaccttcgcagcac |
| CyclinD1 TCF SDM F | cccggctttcgcctctgcttaacaacag |
| CyclinD1 TCF SDM R | aagcagagggcgaagccgggcagagaaaa |
| **Gel shift** | |
| LUEGO | gtgccctgggtctgg |
| Axin2 T3 WT Top | ggctcgcgcctttgaagtgcacag |
| Axin2 T3 WT Bottom | ctgtgcactttcaaggcgcgagccccagaccagggcac |
| Axin2 T3 mut Top | ggctcgcgcctttcgcgtgcacag |
| Axin2 T3 mut Bottom | ctgtgcacgcgaaaggcgcgagccccagaccagggcac |
| 3xTCF cons Top | agatcaaaaggagatcaaaggagatcaaaggag |
| 3xTCF cons Bottom | ctcttttgatctccttttgatctccttttgatctccagaccag |
| HBS Top | ccaattatatttcaataattatctg |
| HBS Bottom | cagataattattgaaatataaatggccagaccagggcac |
**Chromatin Immunoprecipitation**
| Primer Name | Sequence |
|-----------------------------|---------------------------------|
| TOPflash ChIP F | ccgagctctttacgcgagatc |
| TOPflash ChIP R | caagctggaattcgagctttcc |
| β2-microglobulin ChIP F | cggagaatgggaagccgaacat |
| β2-microglobulin ChIP R | gtgagggcggtggaactgtgt |
| Axin2 T3 F | tacctccctttccagggacc |
| Primer Name | Sequence |
|------------------|---------------------------|
| Axin2 T3 R | cctccgggcgttccaac |
| Axin2 T4/5 F | ggagtgcgccagcggtac |
| Axin2 T4/5 R | agcgcgccccgaaatagc |
| Axin2 HBS F | ccagtttctaggcaaccatg |
| Axin2 HBS R | gcccggtcttttaactcac |
| Axin2 T7/8 F | ccaacatcaaagcaagaag |
| Axin2 T7/8 R | gcctttgaaaaagctgcgtcg |
| Axin2 T2 F | gcctctgtgattggcgcg |
| Axin2 T2 R | ggcctgttaactgagttgc |
**siRNA**
| siRNA Name | Sequence |
|------------------|---------------------------|
| Pax7 sense | tgtctccaagattctgtgccgatat|
| Pax7 antisense | acacagaggttctaagacacggctata|
### 6.3 Results
#### 6.3.1 Barx2-mediated activation of *Axin2* and *cyclinD1* is regulated through TCF/LEF motifs
As discussed briefly in Chapter 5 (Section 5.3.5), co-transfection of full length Barx2 plasmid with a 1 kb *cyclinD1* promoter construct or a 6 kb *Axin2* promoter/intron construct identified Barx2 as an activator of both genes via these proximal regions within C2C12 cells. Here, the mechanism of the Barx2-mediated activation was further investigated through generation of extensive mutagenesis and deletion promoter constructs. The wildtype *cyclinD1* promoter construct (referred to as just *cyclinD1*) contains a single TCF/LEF binding motif approximately 100 bp upstream of the transcription start site and four potential HBS motifs, all further upstream of the TCF/LEF element (Figure 6.1A). Although the level of *cyclinD1* promoter activity
observed after Barx2 over-expression in C2C12 cells was not very high, the induction was consistent across multiple experiments and was similar to the level of activation observed after transfection of constitutively active (ca.) β-catenin. To determine the role of the HBS motifs in the cyclinD1 promoter, a promoter construct lacking the upstream HBS motifs (cyclinD1 ΔHBS) was generated. Unexpectedly, removal of the HBS motifs resulted in a greater activation by Barx2 (1.8-fold to 2.8-fold), but not by ca. β-catenin (Figure 6.1B), suggesting a repressive function for Barx2 via the HBS elements. Next, the role of the single TCF/LEF motif in Barx2-mediated activation was investigated. Site directed mutagenesis of the TCF/LEF motif in the context of both the WT (cyclinD1 TCF SDM) and the ΔHBS (cyclinD1 ΔHBS TCF SDM) promoters was performed in order to mutate the essential core of the binding site (CTTTGAG to CTTTCGC). In both cases, transfection of Barx2 or ca. β-catenin failed to activate the promoters containing a mutated TCF/LEF binding site (Figure 6.1B).
Figure 6.1: Barx2-mediated regulation of cyclinD1 is regulated through a TCF/LEF motif
(A): Schematic of the cyclinD1 proximal promoter luciferase construct. The single TCF/LEF binding site and four potential HBS are underlined. (B): Left: schematic of cyclinD1 promoter mutants. Green – HBS cluster; blue – TCF/LEF binding site; 3x – triple mutation in TCF/LEF motif. Right: cyclinD1 promoter constructs (0.5 μg) were co-transfected with Barx2 or β-catenin (1 μg) in to C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments performed in triplicate. Error bars represent SEM. * p < 0.05 relative to WT unless otherwise marked.
The Axin2 6 kb promoter/intronic region (designated Axin2-luc) contains 8 putative TCF/LEF binding sites (T1-T8), some of which are highly conserved between human and mouse [Jho et al. 2002]. Similar to the cyclinD1 promoter, there are also numerous HBS motifs, the majority of which are clustered at the 5’ end of the Axin2-luc construct and hence upstream of the TCF/LEF motifs (Figure 6.2A). Truncation of
Axin2-luc removed all but one HBS motif as well as the T1 site. Similar to the result observed with the cyclinD1 promoter, removal of the HBS cluster did not diminish the ability of Barx2 to activate the Axin2-luc construct, and in fact modestly (but not significantly) increased activation (Figure 6.2B). To determine if Barx2 regulation of Axin2 was mediated through one or multiple of the TCF/LEF motifs, promoter constructs harbouring mutations within these elements were generated step-wise. Firstly, a triple nucleotide mutation was introduced within the T2 motif of the Axin2-luc construct. As shown in Figure 6.2B, this was not sufficient to alter the levels of β-catenin or Barx2-mediated activation. The same triple nucleotide mutations were then introduced into sites T3, T4 and T5 simultaneously within the previously T2-mutated construct (Axin2 ΔHBS T2-5 SDM). With all four TCF/LEF elements mutated, approximately 50% decrease in Barx2 and β-catenin mediated activation was seen (Figure 6.2B). Further mutation of the T6 and T7/T8 sites within the context of the T2-T5 SDM Axin2-luc construct abolished all activation by β-catenin, however there was still residual Barx2-mediated activation. It is possible that the residual activation seen with Barx2 is mediated through the one remaining proximal HBS motif, or other as yet undefined motifs.
Figure 6.2: Barx2-mediated regulation of Axin2 is regulated through TCF/LEF motifs
(A): Schematic of the Axin2 promoter/intronic luciferase construct. Blue circles – TCF/LEF binding sites, designated T1 – T8. Adapted from Jho et al. (2002). (B): Left: schematic of Axin2 promoter mutants. Green – HBS cluster; blue – TCF/LEF binding site; 3x – triple mutation in TCF/LEF motif. Right: Axin2 promoter constructs (0.5 µg) were co-transfected with Barx2 or β-catenin (1 µg) in to C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments performed in triplicate. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to WT unless otherwise marked.
6.3.2 The C-terminal activation domain and homeodomain of Barx2 are required for Axin2 and cyclinD1 promoter regulation
As previously discussed in Chapters 2 and 3, Barx2 contains a centrally located homeodomain (HD) and adjacent 17 amino acid Barx basic region (BBR) that together (HDBBR) mediate DNA-binding. This region is flanked by N- and C-terminal domains [Edelman et al. 2000]. To identify the domains of Barx2 responsible for the activation
of the cyclinD1 and Axin2 promoters, Barx2 expression constructs containing different protein domains were co-transfected with promoter-luciferase constructs in C2C12 cells. Studies performed using the WT cyclinD1 promoter showed that Barx2 HDBBRC was slightly more activating than FL Barx2 (1.9-fold compared to 1.6-fold) while Barx2 NHDBBR was not able to activate WT cyclinD1 (Figure 6.3A). In contrast the 5′-truncated cyclinD1 ΔHBS promoter was significantly activated by all three Barx2 constructs: 2.8-fold with FL Barx2, 2.5-fold with HDBBRC and 2-fold with NHDBBR. This is consistent with previous observations that the HBS elements located at the 5′ end of the cyclinD1 promoter have a repressive function. Mutation of the single TCF/LEF motif in the cyclinD1 promoter (cyclinD1 ΔHBS TCF SDM) blocked the majority of activation observed with any of the aforementioned Barx2 expression constructs (Figure 6.3A).
The Axin2-luc construct was activated by both Barx2 HDBBRC and NHDBBR, although HDBBRC was much more potent (Figure 6.3B). When these Barx2 domains were co-transfected with the Axin2 ΔHBS T2-5 SDM promoter reporter construct, a 50% reduction in activation was observed for HDBBRC when compared to the WT Axin2-luc construct, but the level of activation produced by NHDBRR remained the same (Figure 6.3C). Progressive truncation of the Barx2 C-terminus led to decreasing activation of this Axin2-luc promoter, and the HDBBR region alone was not sufficient to activate the promoter. Similarly, a Barx2 construct lacking the homeodomain (ΔHD) was unable to activate the Axin2 promoter (Figure 6.3B). Overall these data showed that the different Barx2 protein domains functioned similarly in regulation of the Axin2, cyclinD1 and TOPflash (Chapter 5) promoters, consistent with functioning
via a similar mechanism that involves recruitment to TCF/LEF elements and likely interaction of coactivators with the C-terminal domain.
**Figure 6.3: Activation of Axin2 and cyclinD1 promoter constructs by Barx2 domains**
cyclinD1 (A), Axin2-luc (B) or Axin2 T2-5 SDM (C) promoter constructs (0.5 μg) were cotransfected with Barx2 domain constructs (1 μg) in to C2C12 myoblasts. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of two independent experiments. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to pcDNA3. n=6.
6.3.3 Barx2 binds to the Axin2 T3-5 intronic region and promotes recruitment of β-catenin
To determine whether exogenously expressed Barx2 is recruited to the endogenous Axin2 promoter in C2C12 cells, ChIP assays were performed. The stable C2C12 cell line carrying an integrated TOPflash promoter/luciferase reporter (TOPPuro) was used so that recruitment of Barx2 to TOPflash (Chapter 3 [Zhuang et al. 2014]) could be used as an internal positive control. Following Barx2 transfection, a 2.3-fold enrichment of the Axin2 T3 promoter region was observed in samples immunoprecipitated with Barx2 antibodies, and an enrichment of 3-fold of the same region was observed in samples immunoprecipitated with β-catenin antibodies (Figure 6.4). Although the fold enrichment was not high, it was extremely consistent (data shown are the average of 3-9 experiments per condition). This indicated that exogenously expressed Barx2 could recruit endogenous β-catenin to the Axin2 promoter in the absence of β-catenin over-expression or stabilization by Wnt3a treatment. As a control, recruitment of exogenously expressed ca. β-catenin was demonstrated using the same β-catenin antibodies. The binding of Barx2 to the HBS elements located between 1.5-3 kb upstream of the T3 motif was assessed in the same ChIP samples, and Barx2 was not found to be recruited to this region (Figure 6.4). Overexpression of the Barx2 ΔHD construct followed by ChIP with Barx2 antibodies resulted in no enrichment of Axin2 T3 promoter DNA, thus indicating that the Barx2 homeodomain is necessary for the recruitment of Barx2 to the Axin2 TCF/LEF elements. As shown in Figure 6.4, no Axin2 promoter enrichment was observed with Barx2 or β-catenin antibodies when cells were transfected with empty pcDNA3 vector, indicating no occupancy by these factors under basal conditions.
Recruitment of these factors, under the same conditions, was also examined at the Axin2 T4/5 region. However, this genomic region showed consistent poor amplification in C2C12 cells and was thus unable to be assessed.
**Figure 6.4: ChIP analysis of Barx2 recruitment to the Axin2 promoter after heterologous overexpression**
ChIP was performed on chromatin from the C2C12 TOPPuro stable cell line following transfection of empty vector, Barx2, β-catenin or Barx2 ΔHD. ChIP was performed with 2 μg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region or the Axin2 HBS region, normalised to amplification values for a control non-target locus (β2-microglobulin), with enrichment values for each antibody subsequently normalised to the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of three to nine independent experiments. Error bars represent SEM. * p < 0.05 relative to IgG controls.
As detailed in Chapter 4, endogenous Barx2 expression is induced by Wnt3a treatment in primary myoblasts [Zhuang et al. 2014], suggesting that it may be involved in induction of the Axin2 promoter by Wnt/β-catenin. For an understanding of endogenous Barx2 recruitment to TCF/LEF motifs under these conditions, ChIP was performed in primary myoblasts which had been cultured in the presence of either L-cell CM or Wnt3a CM for 24 or 48 hours. As shown in Figure 6.5, ChIP with Barx2 antibodies at 48 hours post Wnt3a treatment produced approximately 2 to 4-fold
enrichment of DNA corresponding to the Axin2 promoter T3 and T4/5 regions, indicating that endogenous Barx2 is recruited to these elements after induction by Wnt3a. No significant enrichment of the same DNA regions by Barx2-ChIP was observed at 24 hours post Wnt3a treatment, consistent with the low level of Barx2 mRNA induction previously observed at this time point (Chapter 4, Section 4.3.8). Contrastingly, 24 hours of Wnt3a treatment was sufficient to observe recruitment of endogenous β-catenin to TCF/LEF sites (3-fold). The level of β-catenin recruitment was increased by longer Wnt3a stimulation (7-fold). ChIP with either Barx2 or β-catenin antibodies in the L-cell control condition resulted in no enrichment of DNA corresponding to the Axin2 T3/4/5 regions, indicating low or non-existent basal binding of these factors in the absence of Wnt3a stimulation.
**Figure 6.5: ChIP analysis of Barx2 and β-catenin recruitment after Wnt3a stimulation in primary myoblasts**
ChIP was performed on chromatin from primary myoblasts following treatment with a 1:2 dilution of Wnt3a CM for 24 or 48 hours. ChIP was performed with 2 μg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region or the Axin2 T4/5 region, normalised to amplification values for a control non-target locus (β2-microglobulin), with enrichment values for each antibody subsequently normalised to the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of three to six independent experiments. Error bars represent SEM. * p < 0.05 relative to IgG controls.
Under the same transfection conditions in C2C12 cells described above, recruitment of both Barx2 and β-catenin to the remaining TCF/LEF motifs within the Axin2 proximal promoter/intronic region was assessed. Recruitment to these motifs (T2 and T7/8) was very poor and inconsistent between experiments (Figure 6.6). This result is consistent with luciferase assay data demonstrating that these motifs have no role in Barx2-mediated regulation of the Axin2 promoter.
**Figure 6.6: ChIP analysis of Barx2 and β-catenin recruitment to distal Axin2 TCF motifs**
ChIP was performed on chromatin from the C2C12 TOPPuro stable cell line following transfection of Barx2 or β-catenin. ChIP was performed with 2 μg of the indicated antibodies. Data are PCR amplification values for the (A) Axin2 T2 region or the (B) Axin2 T7/8 region, normalised to amplification values for a control non-target locus (β2-microglobulin), with enrichment values for each antibody subsequently normalised to the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of two independent experiments. Error bars represent SEM. n=6.
### 6.3.4 Barx2 cannot bind to oligonucleotide probes containing TCF/LEF motifs in vitro
To determine whether the recruitment of Barx2 to the Axin2 promoter/intronic region that is enriched in ChIP assays is mediated by a specific interaction of Barx2 with TCF/LEF elements, gel shift assays were performed. Three double-stranded oligonucleotide probes were prepared containing: 1) three copies of the consensus
TCF/LEF motif found in the TOPflash reporter (3xTCFcons), 2) the wildtype Axin2 ‘T3’ TCF/LEF motif (Axin2 T3-wt) and 3) the mutated Axin2 T3 motif (Axin2 T3-mut). These probes were incubated with nuclear extracts as described in Methods (Section 6.2.3). Nuclear extracts were prepared from C2C12 cells transfected with either empty vector, TCF4, or β-catenin expression plasmids using the previously described high efficiency transfection method (Lipofectamine 2000).
The binding of nuclear extract proteins to a labelled oligonucleotide probe can be observed by the formation of one or more DNA-protein complexes with differing mobility to the free probe when separated on a native polyacrylamide gel. An intense DNA-protein complex was observed with TCF4 transfected nuclear extract and the Axin2 T3-wt probe, as shown in Figure 6.7A and B (Lane 3). This same DNA-protein complex was also weakly observed in control-transfected nuclear extracts, and presumably represents the interaction of the consensus probes with endogenous TCF proteins (Figure 6.7B (Lane 1)). A weaker DNA-protein complex, migrating slightly higher, was observed with β-catenin transfected nuclear extract and the same probes (Figure 6.7B (Lane 2)), and likely represents a complex including both TCF and β-catenin. Consistent with this, the formation of this complex was blocked by the addition of anti-β-catenin antibody but not by control IgG or a non-specific human anti-HNF4α antibody (Figure 6.7C). As shown in Figure 6.7A and B, none of the aforementioned complexes were observed with the probes containing mutated TCF/LEF motifs. When nuclear extracts prepared from Barx2-transfected C2C12 cells were tested, no specific DNA-protein complexes were observed with the Axin2 T3-wt probe that were not also observed with the corresponding mutant probes. Similar
results were obtained following lentiviral transduction of C2C12 cells and primary myoblasts with Barx2 expression constructs (not shown).
**Figure 6.7: Gel shift assays with C2C12 nuclear extracts**
Double-stranded oligonucleotide probes corresponding to the wildtype and mutant Axin2 T3 site were incubated with C2C12 nuclear extracts and resolved on a 5% non-denaturing polyacrylamide gel. (A) and (B) show the same image with a difference in image intensity to demonstrate the intensity of the TCF4-DNA complex compared to the β-catenin-DNA complex. (C): Double-stranded oligonucleotide probes corresponding to the wildtype Axin2 T3 site were incubated with β-catenin-transfected C2C12 nuclear extracts and the indicated antibodies (3 μg).
Due to a concern about Barx2 protein stability in C2C12 cells, combined with the relative inefficiency of C2C12 cell transfection, gel shift assays were also performed using extracts from Barx2-transfected HEK293T cells. Furthermore, as a control for Barx2-DNA binding, a probe containing multiple optimal HBS consensus elements (HBScons) was also prepared. With HEK293T extracts, a DNA-protein complex was observed with the HBScons probe, confirming successful expression of Barx2 protein (Figure 6.8 (Lane 6)). However, there was still no specific complex formed with either the 3xTCFcons or Axin2 T3-wt probes (Figure 6.8 (Lanes 4 and 5)). These results suggest that the binding of Barx2 at TCF/LEF elements in DNA is not direct, and is likely mediated by its interactions with TCF/LEF proteins and likely also β-catenin. Such indirect interactions may not be stable enough to capture under *in vitro* binding conditions.
**Figure 6.8: Gel shift assay with HEK293T nuclear extracts**
Double-stranded oligonucleotide probes corresponding to the wildtype Axin2 T3 site, a 3x TCF consensus sequence or a HBS consensus sequence were incubated with HEK293T nuclear extracts and resolved on a 5% non-denaturing polyacrylamide gel.
6.3.5 Pax7 partially antagonizes Barx2- and β-catenin-mediated induction of Axin2 promoter activity
Chapter 3 highlighted the opposing roles for Barx2 and Pax7 in regulation of the canonical Wnt reporter, TOPflash, and the importance of the homeodomains of each protein in this regulation [Zhuang et al. 2014]. The data presented thus far indicate that the mechanism of Axin2 promoter regulation by Barx2 is very similar to that of TOPflash. Given that Pax7 strongly represses Barx2-mediated activation of TOPflash, the ability of Pax7 to modulate Barx2-mediated activation of the Axin2 promoter was assessed. The Axin2 ΔHBS promoter construct was used for this analysis because it showed greatest activation by Barx2. Furthermore, it had the same basal activity level as the Axin2 WT promoter (data not shown), indicating that endogenous Pax7 was not capable of regulating activity via the deleted HBS motif. In C2C12 cells, transfection of Pax7 alone had no impact on basal Axin2 promoter activity (Figure 6.9A). However, co-transfection of Pax7 with Barx2 or β-catenin reduced the ability of these factors to activate the Axin2 promoter by approximately 50% (Figure 6.9A). Conversely, knockdown of Pax7 by co-transfection of siRNA directed against Pax7 led to increased Barx2 and β-catenin-mediated activation of the Axin2 promoter (Figure 6.9C).
Figure 6.9: Pax7 antagonises the activating effect of Barx2 and β-catenin on the Axin2 promoter
(A): Axin2 ΔHBS (0.5 μg) was co-transfected with β-catenin, Barx2 and/or Pax7 (1 μg total) into C2C12 cells. (B, C): Axin2 ΔHBS (0.5 μg) was co-transfected with β-catenin or Barx2 with siRNA (total 1 μg) into C2C12 cells. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection or NC siRNA (set to a value of 1). The results shown are the average of at least three independent experiments. Error bars represent SEM. * p < 0.05 relative to pcDNA3 or NC siRNA unless otherwise marked.
In Chapter 3, the importance of the homeodomains for both Barx2- and Pax7-mediated regulation of TOPflas was demonstrated. To further understand the roles that the homeodomains play in this differential regulation of Wnt target promoters, the homeodomain and the Barx basic region from Barx2 (Barx2HDBBR) was swapped with the homeodomain of Pax7 (Pax7HD), and vice versa, to generate two new
chimeric transcription factors: Barx2/Pax7HD and Pax7/Barx2HDBBR. The effects of these chimeric factors were examined on both the Axin2 ΔHBS reporter and the TOPflash reporter. Chimeric Barx2 containing the Pax7 homeodomain (Barx2/Pax7HD), was able to activate both promoters (Figure 6.10A and B), but was significantly less activating than wildtype (WT) Barx2. Chimeric Pax7 containing the Barx2 homeodomain and BBR (Pax7/Barx2HDBBR) was still repressive of basal TOPflash activity; however, it was significantly less so than WT Pax7 (Figure 6.10A). Unlike WT Pax7, Pax7/Barx2HDBBR had an activating effect on basal Axin2 ΔHBS activity (Figure 6.10B). When co-transfected with Barx2, Pax7/Barx2HDBBR reduced Barx2-mediated activation of TOPflash by approximately 12-fold but, unlike WT Pax7, did not completely abolish activation (Figure 6.10A). Pax7/Barx2HDBBR did not significantly reduce Barx2-mediated activation of Axin2 ΔHBS (Figure 6.10B). Thus, despite the important roles of the Barx2 and Pax7 homeodomains in mediating their respective activation and repression functions, the homeodomains are not autonomous and their function varies according to their context within the whole protein.
Figure 6.10: The effect of chimeric Barx2/Pax7 factors on Axin2 promoter activity
(A): TOPflash reporter or (B) Axin2 ΔHBS (0.5 μg) was co-transfected with combination of Barx2 and Pax7 expression plasmids (1 μg total) into C2C12 cells. Transfection of empty pcDNA3 vector served as a negative control. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to pcDNA3 empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments. Error bars represent SEM. * p < 0.05 relative to pcDNA3 unless otherwise marked.
6.3.6 Pax7 is recruited to the Axin2 T3 region
Pax7-ChIP was performed following over-expression of Pax7 in C2C12 TOPPuro cells. Consistent with Pax7 playing an inhibitory role in TOPflash and Axin2-luc luciferase
assays, Pax7-ChIP analysis showed that Pax7 was recruited to the Axin2 T3 region (Figure 6.11). The Axin2 T3 region of DNA was enriched on average 2.5-fold following Pax7 transfection (Pax7-ChIP compared to IgG control IPs). Pax7 also appeared to be recruited to TOPflash promoter DNA, however the result was not statistically significant because one experiment showed a much higher fold-enrichment than the other replicate experiments. The level of Pax7 present at these promoters under basal conditions was not assessed, nor was the presence of Pax7 at any other TCF/LEF site within the Axin2 promoter/intron.
**Figure 6.11: Pax7 is recruited to Axin2 and TOPflash promoter DNA**
ChIP was performed on chromatin from the C2C12 TOPPuro stable cell line following transfection of Pax7. ChIP was performed with 2 µg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region or the TOPflash promoter, normalised to amplification values for a control non-target locus (β2-microglobulin), with enrichment values for each antibody subsequently normalised to the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of three independent experiments. Error bars represent SEM. * p < 0.05 relative to IgG. n=6.
### 6.3.7 Barx2 and Wnt signalling alter histone modifications of the Axin2 promoter region
ChIP studies thus far showed that Barx2, β-catenin and Pax7 all interact with the
endogenous Axin2 promoter. It was hypothesised that the changes in the level of Axin2 transcription observed following Wnt3a stimulation and Barx2/β-catenin over-expression were epigenetically mediated. To this end, the distribution of activating and repressive histone modifications at the Axin2 promoter T3 region were examined using ChIP with antibodies specific for histone H3 Lysine acetylation (H3Kac), histone H3 Lysine 4 tri-methylation (H3K4me3) and histone H3 Lysine 27 tri-methylation (H3K27me3). These studies were performed in both primary myoblasts as well as the stable TOPPuro C2C12 cell line, with the latter allowing simultaneous assessment of histone modifications at both the TOPflash and Axin2 promoter regions. Interestingly, the histone modification signature at the Axin2 T3 region differed in these two cell types in basal growth conditions, as shown in Figure 6.12. Specifically, across the Axin2 T3 region in C2C12 cells the level of positive histone marks H3Kac and H3K4me3 were very low, whereas the repressive histone mark H3K27me3 was enriched (8-fold relative to IgG). Conversely, in primary myoblasts the T3 region was enriched for H3Kac and H3K4me3 and showed a low level of H3K27me3 (4-fold relative to IgG), suggesting that it is in a more accessible state in these cells. Consistent with this, RNA analysis of primary myoblasts versus the stable TOPPuro line revealed that basal Axin2 mRNA level was higher in primary myoblasts (not shown). As a comparison, the basal chromatin state of TOPflash in the stable TOPPuro cell line was examined. As shown in Figure 6.12, this locus was enriched for the active histone marks; this may relate to its random integration into an accessible locus.
Figure 6.12: Basal chromatin signature of TOPflash and Axin2 T3
ChIP was performed on chromatin from primary myoblasts or the C2C12 TOPPuro stable cell line with 2 µg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region or the TOPflash promoter, normalised to amplification values for a control non-target locus (β2-microglobulin), with enrichment values for each antibody subsequently normalised to the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of at least three independent experiments. Error bars represent SEM.
To assess changes in chromatin state at these Wnt-target loci following treatment with Wnt3a, the level of each histone modification was assessed by ChIP in both primary myoblasts and C2C12 cells after 48 hours of stimulation with Wnt3a CM. Consistent with active transcription, a dramatic increase in the level of activating histone modifications (H3Kac and H3K4me3) and a decrease in the level of a repressive histone modification (H3K27me3) was observed at the Axin2 T3 region relative to control L-cell treatment (Figure 6.13). The integrated TOPflash reporter exhibited similar changes, but to a lesser degree, and is not shown here.
Figure 6.13: Chromatin signature of Axin2 following Wnt3a stimulation
ChIP was performed on chromatin from primary myoblasts or the C2C12 TOPPuro stable cell line with 2 µg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region or T4/5 region, normalised to amplification values for a control non-target locus (β2-microglobulin). Enrichment values for each antibody were subsequently normalised to control treatment and the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of at least three independent experiments. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to IgG.
Next, it was asked whether over-expression of β-catenin or Barx2 could induce similar histone modifications to those produced by Wnt3a-treatment; i.e. can these factors alone phenocopy the epigenetic response to a canonical Wnt signal. Due to difficulties in transfecting primary myoblasts efficiently, and at the scale required for ChIP experiments, these studies were only performed in C2C12 TOPPuro cells. As shown in Figure 6.14A and B, transfection of β-catenin and Barx2 in TOPPuro cells resulted in a more active epigenetic signature at both the Axin2 promoter (increased H3Kac and H3K4me3) and the integrated TOPflash promoter (increased H3Kac). Interestingly, TOPflash did not show an increase in the H3K4me3 modification, this is likely due to the high level of H3K4me3 already present in basal conditions, as
discussed above. As expected, transfection of the Barx2 ΔHD construct (that does not activate the Axin2 or TOPflash promoters in luciferase assays) had no effect on histone modifications (Figure 6.14A). Interestingly, the level of the repressive histone mark H3K27me3 at the Axin2 T3 region was also enriched following expression of either β-catenin or Barx2, relative to control empty vector transfection (Figure 6.14B). Thus, expression of these factors induced an increase in both active and repressive histone marks at the same region of the Axin2 promoter. The enrichment of all three histone marks was not an artefact of transfection alone, as all data are normalized to transfection of empty pcDNA3 vector. This result contrasted with the reduction in repressive histone marks at this locus observed after treatment with Wnt3a, and suggests that Wnt signals induce epigenetic change at target loci by multiple mechanisms, of which stabilization and recruitment of β-catenin and Barx2 are only a part.
To determine the effect of Pax7 on epigenetic signatures at Wnt target loci, Pax7 was transfected into the TOPPuro line and ChIP was performed again with antibodies to H3Kac. No enrichment of the Axin2 T3 region was observed following Pax7 transfection relative to empty vector transfection. Moreover, when Pax7 was cotransfected with Barx2, there was reduced enrichment of H3Kac relative to Barx2 transfection alone (Figure 6.14A). The same results were obtained when the TOPflash promoter was examined. These results suggest that Pax7 reduces promoter acetylation and are consistent with Pax7 having a repressive function on both TOPflash and Axin2 luciferase reporters, including its ability to repress Barx2-mediated promoter activation.
Overall, these data indicate that Barx2 can recruit factors that induce histone remodelling (particularly H3K acetylation) at the Axin2 and TOPflash promoters and that this is similar to the effect of β-catenin. Moreover, Pax7 may be antagonistic to the function of Barx2 in part by inhibiting the ability of Barx2 to remodel chromatin to a more accessible state by increasing histone acetylation.
**Figure 6.14: Chromatin signature of Axin2 and TOPflash following Barx2 or β-catenin transfection**
ChIP was performed on chromatin from the C2C12 TOPPuro stable cell line with 2 μg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region, T4/5 region or TOPflash, normalised to amplification values for a control non-target locus (β2-microglobulin). Enrichment values for each antibody were subsequently normalised to control treatment and the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of at least three independent experiments. Error bars represent SEM. * p < 0.05 relative to IgG.
6.3.8 The histone acetyltransferase GRIP-1 synergizes with Barx2 in regulation of Axin2 promoter activity and is actively recruited to TCF/LEF elements
To further understand how Barx2 promotes histone modification at Wnt target promoters, possible co-activators of Barx2 were examined. A series of co-activators were selected based on their known HAT activity and/or previous association with either β-catenin or Wnt signalling. These co-activators were screened for their ability to synergize with Barx2 in activation of the Axin2 ΔHBS luciferase reporter construct (Figure 6.15) in C2C12 myoblasts. In each case, the amount of co-activator plasmid transfected (2.5 μg) was five times that of Barx2 plasmid (0.5 μg). The rationale for this ratio was that co-activators are recruited to numerous transcriptional complexes within the cell and not exclusively to Barx2-containing complexes. Due to a limit in the total amount of plasmid that can be transfected into cells without causing toxicity, the amount of Barx2 transfected under these conditions was necessarily less than previously used in these studies. Thus, the activation produced by Barx2 in these experiments is reduced accordingly. The role of these co-activators was not assessed on TOPflash.
Figure 6.15: Screening of potential Barx2 co-activators in luciferase assays
Axin2 ΔHBS (0.25 μg) was co-transfected with Barx2 or β-catenin and various co-activators expression plasmids (3 μg total) into C2C12 cells. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to empty vector transfection (set to a value of 1). The results shown are representative experiments except for GRIP-1, which is the average of four independent experiments. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to control unless otherwise marked.
Of those coactivators screened, only GRIP-1 was able to synergistically activate the Axin2 ΔHBS luciferase construct when co-transfected with either Barx2 or β-catenin, (Figure 6.15). GRIP-1 has previously been shown to directly interact with β-catenin [Li et al. 2004; Song & Gelmann 2005]. Importantly, transfection of GRIP-1 alone was not sufficient to induce reporter activity above basal levels.
The ability of GRIP-1 to co-activate the Axin2 ΔHBS luciferase construct with both β-catenin and Barx2 suggests that it is co-recruited with these factors to the promoter. To determine whether this co-recruitment also occurs on the endogenous Axin2 promoter, ChIP assays were performed using GRIP-1 antibodies in TOPPuro cells that had been treated with Wnt3a, or transfected with either Barx2 or ca. β-catenin plasmids. As in previous studies, promoter DNA enrichment with the GRIP-1 antibody was normalised to enrichment at a control locus and to enrichment by non-immune IgG. As shown in Figure 6.16B, ChIP using antibodies to GRIP-1 showed that GRIP-1 binding was greatly enriched at both the Axin2 T3 region and the TOPflash promoter following 48 hours of Wnt3a-treatment (5 to 10-fold). Over-expression of Barx2 and β-catenin also resulted in enrichment of endogenous GRIP-1 at both loci, but to a lesser extent (2 to 3-fold). Pax7 overexpression did not change the basal level of GRIP-1 binding at the Axin2 T3 region relative to empty vector transfection. However, Pax7 overexpression did reduce binding of GRIP-1 to the TOPflash promoter under basal conditions (Figure 6.16B). This result is consistent with observations that Pax7 is repressive to basal TOPflash promoter activity (Chapter 3, Section 3.3.4) and may suggest that Pax7 is able to displace co-activators and recruit co-repressors at some Wnt-target promoters.
To determine whether GRIP-1 can physically interact with Barx2, co-immunoprecipitation experiments were performed in HEK293T cells, which were selected because of their high transfection efficiency. GRIP-1 was expressed in excess to myc-tagged Barx2 (2:1 microgram ratio), cell lysates were immunoprecipitated with anti-GRIP-1 antibody, and immunoprecipitates were assessed by western blotting using an antibody to the myc-tag. These studies showed that GRIP-1 can interact with Barx2 (Figure 6.16A), lending support to the hypothesis that GRIP-1 is involved in Barx2 mediated induction of Wnt-responsive promoters. Collectively, these data suggest that GRIP-1 is involved in the increase in H3K acetylation at Wnt-responsive promoters following either Wnt3a stimulation or β-catenin/Barx2 over-expression.
Figure 6.16: GRIP-1 is actively recruited to TCF/LEF elements
(A): GRIP-1 and Myc-epitope-tagged Barx2 were expressed in HEK293T cells and immunoprecipitated using polyclonal antibodies to GRIP-1. Proteins were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with monoclonal antibodies to the myc-tag. (B): ChIP was performed on chromatin from the C2C12 TOPPuro stable cell line with 2 µg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region or TOPflash, normalised to amplification values for a control non-target locus (β2-microglobulin). Enrichment values for each antibody were subsequently normalised to control treatment and the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of at least three independent experiments. Error bars represent SEM. * p < 0.05 relative to IgG.
6.3.9 Pax7 associates with the histone deacetylase HDAC1
As previously discussed, Pax7 can at least partly inhibit the ability of both Barx2 and β-catenin to activate the Axin2 promoter; moreover, Pax7 may prevent the remodelling of chromatin to a more accessible state including inhibiting histone acetylation (Section 6.3.7). The question was then asked whether Pax7 recruits corepressors to Wnt target promoters and whether this may prevent an association between Barx2/β-catenin and co-activators. Due to known involvement of HDAC1 in TCF/LEF-mediated repression (i.e. in the absence of β-catenin) [Billin et al. 2000; Arce
it was hypothesised that HDAC1 may also be one of the co-repressors associating with Pax7. To analyse the role of HDAC1 in regulation of Wnt target promoters, TOPflash and Axin2 reporter luciferase assays were performed. These reporter constructs were co-transfected with either the Barx2 or ca. β-catenin plasmids in combination with HDAC1 plasmid. Figure 6.17 shows that co-transfection of HDAC1 significantly inhibited both Barx2 and β-catenin-mediated activation of TOPflash and Axin2 ΔHBS constructs. Next the role of HDAC1 in Pax7 mediated repression of the Axin2 reporter construct was assessed. While neither Pax7 nor HDAC1 alone repressed basal Axin2 promoter activity when compared to transfection of empty pcDNA3 vector, co-expression of Pax7 with HDAC1 led to significant repression of the Axin2 promoter (Figure 6.17). The TOPflash promoter was not assessed in co-transfection assays as it already showed dramatic repression by Pax7 alone. These studies suggests that HDAC1 is involved in Pax7-mediated repression of Wnt target promoters.
Figure 6.17: HDAC1 represses Barx2 and β-catenin-mediated activation of Axin2 and TOPflash
Axin2 ΔHBS or TOPflash (0.25 μg) was co-transfected with Barx2, β-catenin or Pax7 with HDAC1 (3 μg total) into C2C12 cells. Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to empty vector transfection (set to a value of 1). The results shown are the average of at least three independent experiments. Error bars represent SEM. * p < 0.05 and ** p < 0.001 relative to control.
To assess recruitment of HDAC1 to either the endogenous Axin2 promoter or the integrated TOPflash promoter in C2C12 TOPPuro cells, ChIP was attempted with an antibody to HDAC1 following transient overexpression of Pax7. Multiple experimental replicates showed a trend towards increased recruitment of HDAC1 to both promoter regions, but the effect was small and did not reach statistical significance (Figure 6.18A). Similarly, there was a non-significant trend towards reduced HDAC1 binding at these loci following transfection of Barx2 or β-catenin. The low enrichment values seen in these experiments may suggest that the HDAC1 antibody is not optimal for ChIP analyses.
To determine whether HDAC1 could interact with Pax7, co-immunoprecipitation with these two proteins was performed after co-transfection in HEK293T cells. HDAC1 and
myc-tagged Barx2 (2:1 microgram ratio) were co-expressed, lysates were immunoprecipitated with anti-HDAC1 antibody, and immunoprecipitates were assessed by immunoblotting. These co-immunoprecipitations revealed that Pax7 and HDAC1 interact (Figure 6.18B), however, this interaction appeared very weak. This may suggest that the interaction between Pax7 and HDAC1 is indirect and is not easily captured by the antibody in immunoprecipitation reactions.
**Figure 6.18: HDAC1 interacts with Pax7**
(A): ChIP was performed on chromatin from the C2C12 TOPPuro stable cell line with 2 μg of the indicated antibodies. Data are PCR amplification values for the Axin2 T3 region, normalised to amplification values for a control non-target locus (β2-microglobulin). Enrichment values for each antibody were subsequently normalised to control treatment and the mock ChIP with preimmune IgG, set to a value of 1. The results shown are the average of two independent experiments. Error bars represent SEM. n=4. (B): HDAC1 and Myc-epitope-tagged Pax7 were expressed in HEK293T cells and immunoprecipitated using polyclonal antibodies to HDAC1. Proteins were resolved on a 10% SDS-PAGE gel, transferred to nitrocellulose membrane and probed with monoclonal antibodies to the myc-tag.
The net activity of HATs and HDACs determines promoter activity. To investigate the balance between HAT and HDAC activities at Wnt target promoters, C2C12 cells were
transfected with the TOPflash reporter and treated with HDAC inhibitors Trichostatin A (TSA, 60 nM) or sodium (Na) butyrate (2 mM) to relieve HDAC-associated repression. As expected, a large induction in basal reporter activity was observed compared to vehicle treated cells (approximately 300-fold, Figure 6.19A). To determine whether the repression of TOPflash by Pax7 required HDAC activity, cells were transfected with Pax7 plasmid and then treated with either vehicle or HDAC inhibitors. Intriguingly, the presence of HDAC inhibitors did not abolish Pax7-mediated repression of reporter activity (Figure 6.19B). Thus Pax7 may repress TOPflash by both HDAC-dependent and HDAC-independent mechanisms.
**Figure 6.19: Pax7 inhibits TOPflash activity in the presence of HDAC inhibitors**
C2C12 cells were transfected with TOPflash (0.5 μg) and treated with vehicle, TSA or Na Butyrate alone (A) or following Pax7 transfection (B). Luciferase activity was assayed 48 hours post transfection. All data are normalised to a Renilla luciferase internal control, expressed as the mean firefly/Renilla luciferase ratio. Data were then normalised to the promoterless pGL3-basic vector, and then to empty vector transfection (set to a value of 1). The results shown are the average of three independent experiments. Error bars represent SEM. **p < 0.001 relative to vehicle or pcDNA3 control. n=9.
6.4 Discussion
Whilst the role of Axin2 as a negative regulator of the Wnt signalling pathway via its involvement in the β-catenin destruction complex is well-known, only a handful of studies have examined the regulation of Axin2 downstream of a Wnt signal [Jho et al. 2002; Lustig et al. 2002; Wohrle et al. 2007]. A region of the Axin2 promoter and first intron capable of responding to Wnt signalling in reporter assays, and faithfully recapitulating the Axin2 expression pattern *in vivo*, was cloned by Jho and colleagues [Jho et al. 2002]. This region, identical to the Axin2-luc promoter construct used here, consists of the proximal promoter and the first intron, and contains eight predicted TCF/LEF binding motifs (designated T1 to T8). In contrast, the cyclinD1 proximal promoter construct used in these studies contains only a single predicted TCF/LEF site. Unlike the synthetic TOPflash promoter, these endogenous promoter regions also contain an array of predicted binding sites for other transcription factors, including potential HBS motifs clustered at the 5’ end. The role of these HBS motifs in Barx2-mediated activation of the Axin2 and cyclinD1 promoter luciferase constructs was assessed by generating shorter constructs, thus deleting these motifs. Luciferase assays performed with the truncated reporters demonstrated no significant role for the HBS motifs in Barx2-mediated activation of Axin2, but did suggest a possible role in repression of cyclinD1 by Barx2. This result is consistent with previous published work on the dual role that Barx2 can play as both an activator and a repressor of target promoters [Edelman et al. 2000].
A previous study of Axin2 luciferase reporter constructs with mutated TCF/LEF motifs [Jho et al. 2002] suggested that activation by β-catenin involved multiple TCF/LEF
elements. In the studies presented in this chapter, mutation of elements T2-T5 resulted in a 50% reduction in β-catenin-mediated activation, and mutation of the remaining elements (T6-T8) abolished all activation by β-catenin. These data are consistent with previous reports. An important new finding of these studies was that mutation of the TCF/LEF elements within the Axin2 and cyclinD1 promoter constructs also inhibited their activation by Barx2, supporting our hypothesis that Barx2, like β-catenin, activates through TCF/LEF sites. Moreover, full length Barx2 may have a dual role at some Wnt-target promoters, repressing via HBS elements, and activating via TCF/LEF elements. The balance between other co-factors within the cell may determine whether Barx2 activates or suppresses these targets at any point in time.
The studies described in this chapter demonstrated striking similarities between the regulation of Axin2 and the synthetic reporter TOPflash. Luciferase assays using the Axin2 ΔHBS reporter construct and different domains of Barx2 revealed a potent activation domain within the Barx2 C-terminus, and a less potent activating function in the N-terminus, consistent with previous work [Edelman et al. 2000; Zhuang et al. 2014]. ChIP experiments confirmed recruitment of Barx2 to a region of genomic DNA spanning the Axin2 T3, T4 and T5 elements following over-expression in C2C12 cells, or induction by Wnt3a in primary myoblasts. The level of Barx2 recruitment to the Axin2 and TOPflash promoters were similar (Sections 3.3.8 and 6.3.3). Also consistent with previous observations at the TOPflash promoter, over-expression of Barx2 could increase the level of β-catenin bound at the Axin2 T3 site. The Barx2 homeodomain was necessary, but not sufficient, for both recruitment of Barx2 (and β-catenin) to the Axin2 T3 region and activation of the Axin2 promoter. A lack of β-catenin
recruitment to Axin2 promoter DNA following overexpression of the Barx2 ΔHD construct further supports a role for the homeodomain in either stabilising β-catenin or facilitating an interaction between Barx2, β-catenin, TCF/LEF and other co-factors thus allowing it to occupy promoter DNA. This is consistent with previous work which demonstrated the requirement of the Barx2 homeodomain for physical interaction between Barx2 and β-catenin (Chapter 3) [Zhuang et al. 2014]. Attempts to use gel shift assays to capture the interaction between Barx2 and TCF/LEF elements were unsuccessful. There may be a number of explanations for this result. First, it is likely that Barx2, like β-catenin, does not directly bind TCF/LEF DNA elements, and, unlike ChIP assays, gel shift assays do not employ a crosslinking step to covalently link otherwise weakly-associated protein complexes to DNA. In support of this, a strong protein-probe complex was observed after over-expression of TCF4 (which binds DNA directly), but only a weak β-catenin/TCF complex was observed following β-catenin over-expression. This weaker interaction is consistent with previous reports in the literature [Zhurinsky et al. 2000; Sampson et al. 2001; Jho et al. 2002; Zhang et al. 2009]. The Barx2/β-catenin/TCF complex may also be less stable on a short, synthetic probe than in the native genome. This could be due to conformational constraints or lack of other binding sites for co-factors required for complex formation.
Treatment of primary myoblasts and C2C12 cells with Wnt3a CM changed the histone modification signature at both the Axin2 promoter and the TOPflash promoter. As expected, under basal conditions the Axin2 promoter was marked by high levels of H3K27 tri-methylation and low levels of H3K4 tri-methylation and H3K acetylation, a signature that is generally characteristic of a repressive chromatin state [Tse et al.
Consistent with the dramatic upregulation of Axin2 mRNA expression observed in these studies (Chapter 4), Wnt3a stimulation switched the promoter to a permissive or active state, characterised by lower H3K27 tri-methylation and increased levels of H3K4 tri-methylation and H3K acetylation. Curiously, a previous study by Wohrle and colleagues reported no significant change in H3K acetylation or H3K4 tri-methylation across the same region of the Axin2 promoter in C2C12 cells after Wnt signalling activation [Wohrle et al. 2007]. However, there were several differences between their study and the one presented here. In particular, they used a GSK inhibitor, SB-216763, rather than a natural Wnt ligand, and in addition they reported a high basal level of H3K acetylation in their cell line. Changes in histone modifications post Wnt-stimulation have also been observed at other Wnt-responsive promoters, such as increased H3K4 methylation *in vivo* at the c-Myc promoter [Sierra et al. 2006]. In the work presented here, over-expression of either constitutively active β-catenin or Barx2 was sufficient to induce a more active chromatin state indicated by increased H3K acetylation and H3K4 tri-methylation at both TOPflash and Axin2 promoter regions. However, these experiments also revealed a small increase in the repressive histone mark H3K27 tri-methylation, which was in contrast to the effect of Wnt3a CM. This suggests that Wnt ligand-receptor mediated signalling leads to more transcriptional/epigenetic effects than simply stabilising β-catenin and inducing Barx2 expression. In particular, expression of β-catenin and Barx2 may not be sufficient to recruit H3K27 demethylases. Consistent with this idea, the H3K27 demethylase UTX did not synergize with Barx2 or β-catenin in promoter luciferase assays. Bivalent chromatin
domains that simultaneously display both activating (H3K4me3) and repressing (H3K27me3) marks have previously been reported in embryonic stem cells [Bernstein 2006]; this combination of modifications marks key developmental genes that are expressed at low levels but are poised for rapid transcription upon differentiation into a specific lineage. It is possible that β-catenin (and Barx2) alone ‘prime’ target promoters for activity, whereas ligand-mediated Wnt signalling drives the target promoters to a more defined active state that includes loss of H3K27 tri-methylation.
Multiple histone-modifying and chromatin-remodelling proteins that are able to alter chromatin structure and facilitate recruitment of essential transcription factors have been identified among the co-factors of β-catenin and TCF/LEF proteins. Like other HMG box-containing proteins, TCF/LEF proteins possess minimal transcriptional activity on their own and must therefore affect transcription by recruiting various binding co-factors, which in turn recruit chromatin modifiers to suppress or activate target genes [Lien & Fuchs 2014]. Examples of activating co-factors include Brg-1 (Brahma-related gene-1), the central catalytic subunit of numerous chromatin-modifying enzymatic complexes [Trotter & Archer 2008] which interacts with β-catenin [Barker et al. 2001], p300/CBP co-activator family members which contain histone acetyltransferase domains and synergise and interact with β-catenin [Ogryzko et al. 1996; Hecht et al. 2000; Takemaru & Moon 2000], and GRIP-1, a member of the steroid receptor coactivator (SRC) class of co-factors, which also has intrinsic histone acetyltransferase activity and interacts directly with β-catenin [Li et al. 2004; Song & Gelmann 2005].
In an effort to understand how Barx2 may modify the epigenetic signature at Wnt
target genes, a number of coactivators with histone modifying activity were screened in luciferase assays for their ability to enhance Barx2-mediated activation of the Axin2 ΔHBS reporter construct. These coactivators included the aforementioned HATs CBP and GRIP-1, as well as PGC-1 (Peroxisome proliferator-activated receptor gamma coactivator 1-alpha) which forms part of a HAT complex by interacting with other HATs CBP and SRC-1 [Puigserver et al. 1999], PCAF (p300/CBP-associated factor) which can associate with p300/CBP, has intrinsic HAT activity and is essential for activation of the myogenic program [Yang et al. 1996; Puri et al. 1997], and ACTR which also possesses HAT activity and the ability to recruit other HATs [Chen et al. 1997]. In addition, two coactivators that do not have any HAT activity were tested due to previously identified roles within the Wnt pathway. These were Carm1 (Coactivator-associated arginine methyltransferase 1), a protein arginine methyltransferase that functions as a secondary coactivator through its association with the p160 family of coactivators [Bedford & Clarke 2009] and plays a critical role in β-catenin-dependent signaling in colorectal cancers [Ou et al. 2011], and UTX (KDM6A; lysine(K)-specific demethylase 6A), a H3K27 demethylase [Agger et al. 2007; Hong et al. 2007] that is required for Wnt/β-catenin mediated induction of Brachury in ES cells [Wang et al. 2012]. Of all the coactivators that were screened, only GRIP-1 synergized with Barx2 in activation of the Axin2 reporter. This synergy was observed when GRIP-1 was transfected as a 5-fold excess of Barx2; this is consistent with the idea that cofactors are present in “limiting” concentrations and that there is competition for cofactor recruitment to multiple DNA-binding complexes. An example of this is in Rubinstein-Taybi syndrome, in which haplosufficiency for CBP results in severe development and regulatory abnormalities [Miller & Rubinstein
The same synergy was observed when GRIP-1 was co-expressed with β-catenin and is consistent with previous reports that β-catenin and GRIP-1 cooperate [Li et al. 2004; Song & Gelmann 2005]. Interestingly, like Barx2, GRIP-1 has been reported to be expressed in satellite cells and myoblasts with its expression increasing during differentiation [Chen et al. 2000], suggesting that it may cooperate with Barx2 in regulation of differentiation. Further analysis by ChIP revealed that GRIP-1 was actively recruited to the Axin2 T3 region and to TOPflash following treatment of C2C12 cells with Wnt3a or transfection of β-catenin or Barx2, which is consistent with the increased H3K acetylation under the same conditions. Moreover, co-immunoprecipitation experiments showed that Barx2 and GRIP-1 physically interact. All of these observations support the idea that GRIP1 may mediate induction of muscle specific Wnt target gene expression by Barx2.
Consistent with the previous findings that Pax7 is inhibitory to both β-catenin and Barx2 mediated activation of TOPflash [Zhuang et al. 2014] (Chapter 3), the work presented within this chapter also showed that Pax7 could antagonise the activation of Axin2 by Barx2 or β-catenin, and the Pax7 homeodomain was required for this repressive function. Moreover, knockdown of endogenous Pax7 led to enhanced activation of the Axin2 luciferase reporter by both Barx2 and β-catenin, suggesting that Pax7 may limit the response of these genes to these two factors. Although forced expression of Pax7 resulted in its recruitment to both TOPflash and the Axin2 T3 promoter region, the repression of the Axin2 promoter by Pax7 was not as dramatic as the repression of TOPflash, and in particular, basal Axin2 activity was not suppressed. It is possible that Pax7 cooperates with multiple TCF/LEF-corepressor
complexes at the multimerized TCF/LEF elements in TOPflash to nucleate a strongly repressive chromatin structure. This may not occur at distributed TCF/LEF sites (as in Axin2) or single TCF/LEF sites (as in cyclinD1).
The epigenetic effects of Pax7 at Wnt target genes were explored by ChIP analysis of histone modifications. While Pax7 alone had no impact on the basal level of H3K acetylation at either the TOPflash or Axin2 T3 promoter regions, Pax7 inhibited the ability of Barx2 to induce H3K acetylation. Conceptually, Pax7 could inhibit H3K acetylation by blocking the recruitment of Barx2 and/or β-catenin and therefore GRIP-1. Unfortunately, several attempts to determine whether Pax7 affected Barx2 or β-catenin recruitment gave inconclusive results. This was due to difficulties in co-transfecting multiple factors and subsequently performing ChIP with an antibody directed to one of those factors. In particular, expression levels of individual factors tended to be higher when transfected alone, relative to when two or more factors were co-transfected.
TCF/LEF proteins associate with co-repressors in the absence of nuclear β-catenin to mediate repression of target genes, resulting in transcriptionally silent chromatin. Of these co-repressors, the Groucho family are probably the most well-known and have critical roles in many developmental processes [Cavallo et al. 1998; Levanon et al. 1998; Roose et al. 1998; Brantjes et al. 2001; Sekiya & Zaret 2007]. Several models for Groucho-mediated repression have been proposed, but the exact mode of regulation of Groucho proteins remains unclear. However, *Drosophila* Groucho has been shown to interact with the HDAC1 equivalent Rpd3 [Chen et al. 1999] and thus Groucho potentially mediates repression, at least in part, by direct recruitment of
HDACs. HDAC1 itself has been implicated as a binding partner for Lef1 *in vivo*, and repression mediated by Lef1 in the absence of β-catenin requires this HDAC activity [Billin et al. 2000]. APC-mediated repression of c-Myc in colorectal cancer cells involves stable recruitment of both TLE-1 and HDAC1 [Sierra et al. 2006]. NCoR (Nuclear receptor corepressor) and the closely related SMRT (silencing mediator for retinoid and thyroid hormone receptor) have also been identified as negative regulators of β-catenin/TCF4-induced transcription, directly interacting with both β-catenin and TCF4 [Song & Gelmann 2008]. Both NCoR and SMRT also interact directly with multiple HDACs [Guenther et al. 2000; Kao et al. 2000] and may associate with HDAC1 via the Sin3 protein [Heinzel et al. 1997; Nagy et al. 1997]. Finally, HDAC1 expression has been shown to be down-regulated by Wnt3a in the P19CL6 cardiomyocyte model [Liu et al. 2009]. With many studies indicating a role for HDAC1 in repression of Wnt/β-catenin signalling, a role for HDAC1 in regulating the repressive action of Pax7 within this system in myoblasts was hypothesised. Over-expression of HDAC1 demonstrated that HDAC1 had no effect on basal activity of Axin2 ΔHBS and TOPflash luciferase reporters, but it reduced activation by both Barx2 and β-catenin. Similarly, co-transfection of HDAC1 with Pax7 enhanced the ability of Pax7 to repress the Axin2 promoter. ChIP assays to assess the recruitment of endogenous HDAC1 to genomic DNA showed a trend of increased HDAC1 binding following Pax7 transfection, and decreased HDAC1 binding following Barx2 or β-catenin transfection, however the data did not reach statistical significance. It is possible that the HDAC1 antibody used was not ideal for ChIP however time constraints precluded additional studies with another antibody. Furthermore, endogenous HDAC1 in C2C12 myoblasts may be too low for successful ChIP assays.
The latter idea is somewhat supported by results from co-immunoprecipitation experiments in which Pax7 and HDAC1 were found to interact, however the amount of Pax7 co-precipitated with HDAC1 was very low. This could be due to low levels of HDAC1, or poor recognition of native HDAC1 by the antibody. As further support for the dominant role of Pax7 at Wnt target promoters, Pax7 remained repressive to basal TOPflash promoter activity even in the presence of the HDAC inhibitors TSA and Na butyrate, thus suggesting that Pax7 is able to maintain the balance of positive and negative co-factors in favour of a repressive state, possibly by recruiting not only HDACs, but also other corepressors including H3K methyltransferases.
Taken together, the studies in this chapter have provided mechanistic insights into Barx2 and Pax7 mediated regulation of the canonical Wnt target gene Axin2 in myoblasts and generalized these mechanisms by showing that they are similar in the TOPflash model. Barx2 activates an Axin2 luciferase construct by recruiting β-catenin and GRIP-1 to TCF/LEF elements upstream of the Axin2 translation start site. In turn, H3K acetylation is increased at the same genomic region, resulting in a more permissive and active chromatin state for transcription. Pax7 is inhibitory to both Barx2 and β-catenin-mediated activation, and when co-expressed with Barx2 blocks recruitment of GRIP-1, thus reducing levels of H3K acetylation. This is likely through its interaction with HDAC1.
Overall, these studies defined promoter-based mechanisms for differential gene regulation by Barx2 and Pax7. It remains to be determined whether the opposing *molecular functions* of Barx2 and Pax7 in regulation of Wnt target genes underlies their opposing *cellular functions* in myoblast lineage progression; i.e. that Pax7
inhibits differentiation [Zammit et al. 2006; Olguin et al. 2007] whilst Barx2 promotes differentiation [Brack et al. 2008; Makarenkova et al. 2009; Tanaka et al. 2011]. Whilst this is a tempting model, further studies are required to determine whether Wnt signals in fact drive a differentiation-associated transcriptional program through the activation of β-catenin and Barx2 in myoblasts.
Chapter 7
General discussion and conclusions
The process of skeletal muscle regeneration is under tight transcriptional control by MRFs and is responsive to many of the same signalling molecules that mediate embryonic myogenesis, such as Wnt and Notch. In particular, Wnts play central roles in myogenesis and muscle repair. The majority of literature focused on the role of Wnts in myogenesis suggests that the canonical Wnt signalling pathway is transiently activated during adult muscle regeneration *in vivo* [Otto et al. 2009] and canonical Wnt ligands (such as Wnt3a and Wnt1) promote myoblast differentiation *in vitro* [Bernardi et al. 2011; Pansters et al. 2011; Tanaka et al. 2011; Jones et al. 2015].
Several homeobox proteins functionally interact with the Wnt and Notch signalling pathways and with MRFs during regenerative myogenesis. The most well-studied homeobox factor in muscle, Pax7, is critical for satellite cell survival [Seale et al. 2000] and is indispensable for adult skeletal muscle regeneration [Sambasivan et al. 2011; von Maltzahn et al. 2013]. In recent years, the homeobox transcription factor Barx2 has emerged as a novel regulator of both skeletal muscle development and myofibre regeneration following injury. The important role that Barx2 plays in muscle regeneration has been highlighted by use of a *Barx2* null mouse model [Olson et al. 2005; Meech et al. 2012] and further studies have shown that Barx2 is co-expressed with Pax7 in satellite cells, is regulated by MRFs, interacts directly with MyoD and promotes myoblast differentiation [Makarenkova et al. 2009; Meech et al. 2010; Meech et al. 2012].
At the commencement of this thesis, preliminary data generated in the Meech laboratory had identified Barx2 as a novel downstream effector of the canonical Wnt signalling pathway: luciferase assays had demonstrated the ability of Barx2 to
activate the synthetic Wnt reporter TOPflash in C2C12 cells, both on its own and in potent synergy with MyoD [Zhuang et al. 2014]. A hypothesis was thus established that Barx2 is a regulator of canonical Wnt signalling in myoblasts, and that disruption of this network in satellite cells is a primary mechanism underlying defective growth, maintenance and repair in *Barx2* null mice. In an effort to address this hypothesis and to advance our understanding of the roles of Barx2 and MyoD in Wnt target gene regulation in muscle, the study described here had several overarching aims. Briefly, these were to define the mechanisms by which Barx2 activates the synthetic reporter, in part through characterisation of functional interactions between Barx2 and other Wnt effectors/cofactors (Chapter 3), and to then identify and extend this knowledge to regulation of endogenous target genes in myoblasts (Chapter 5 and 6). In addition, this study examined the role of Pax7 in Wnt signalling and the functional relationship between Barx2 and Pax7 (Chapter 3 and 6), as well as characterising the relationships between Barx2 and Wnt and Notch signalling in *Barx2* null mice (Chapter 4).
The work presented and discussed in this thesis has demonstrated a novel pathway for translation of canonical Wnt signals into gene expression changes in myoblasts. This pathway involves homeobox proteins (Barx2 and Pax7) and MRFs which act in concert with the core Wnt effector proteins TCF/LEF and β-catenin. TCF/LEF proteins and β-catenin are ubiquitously expressed, and thus the role of Barx2, Pax7 and MRFs in this system is likely to transduce the activities of these proteins into tissue-specific effects.
Data initially obtained during this project was restricted to regulation of the synthetic
TOPflash reporter gene. Characterisation of Barx2-mediated activation of TOPflash revealed that Barx2 associates with TOPflash promoter DNA, likely through functional interactions with TCF/LEF proteins and β-catenin, and that Barx2 could actively recruit β-catenin to TOPflash promoter DNA. Analysis of β-catenin expression with fluorescence immunostaining showed that over-expression of Barx2 induced a higher nuclear:cytoplasmic ratio of β-catenin, suggesting Barx2 plays a role in sequestering β-catenin in the nucleus and providing a mechanism for Barx2-mediated activation of Wnt target genes even in the absence of a Wnt ligand. Delineation of Barx2 protein domains identified that the homeodomain was critical for interactions with β-catenin and therefore also the binding of Barx2/β-catenin to promoter DNA and activation of TOPflash. In addition, Barx2 could synergise with all members of the MRF family to activate TOPflash, which on their own exhibit no effect on promoter activity. Whilst MyoD had previously been shown to interact with Barx2 [Makarenkova et al. 2009] and β-catenin [Kim et al. 2008], this was the first evidence that MRFs can assist in promoting transcription from TCF/LEF sites. Significantly, the fact that Barx2 could also activate TOPflash in a non-myogenic cell line and thus in the absence of MRF expression suggests that Barx2 may mediate Wnt signalling in other tissues, such as skin or gut [Sander & Powell 2004; Olson et al. 2005], with relevant tissue-specific co-factors.
In contrast to Barx2, Pax7 was antagonistic to TOPflash activity in C2C12 cells. Pax7 was not only highly inhibitory to basal TOPflash activity, but also significantly repressed Barx2-mediated activation, β-catenin-mediated activation and activation mediated by Wnt3a ligand signalling. Although the Pax7 homeodomain was not
critical for the repressive function of Pax7, it was at least partly required. Co-immunoprecipitation experiments showed that both Barx2 and Pax7 could interact with β-catenin through their respective homeodomains, and this may indicate a direct competition for formation of an activating Barx2/β-catenin/TCF complex versus a repressive Pax7/β-catenin/TCF complex. Although Barx2 and Pax7 are both expressed in quiescent satellite cells, Barx2 expression increases as myoblasts progress through differentiation, whilst Pax7 expression is downregulated. Furthermore, forced expression of Pax7 actually blocks differentiation [Olguin & Olwin 2004]. As such, the functional antagonism observed between Barx2 and Pax7, with respect to Wnt signalling, may be involved in the transition from myoblast proliferation to differentiation. This prompts a model in which a Barx2low/Pax7high expression ratio in quiescent and proliferating cells blocks the pro-differentiation effects of Wnt signals. The subsequent downregulation of Pax7 and upregulation of Barx2 in myoblasts committed to differentiation (Barx2high/Pax7low ratio) may allow Barx2 to activate pro-differentiation target genes in co-operation with β-catenin and MRFs. An intriguing question raised by this model is how the inhibition of Wnt targets by Pax7 is relieved in order to allow differentiation to proceed. Ongoing work in the laboratory has suggested that microRNAs previously shown to block Pax7 translation [Chen et al. 2010] are induced by Wnt3a, thus providing a mechanism for Wnt signals to inhibit Pax7 function.
Consistent with the model presented above, a switch from Notch signalling to Wnt signalling has been proposed to mediate the switch from myoblast proliferation to differentiation [Brack et al. 2008]. RNA-Seq data presented within this thesis
identified misregulation of Wnt as well as Notch pathway components and target genes in myoblasts isolated from Barx2\(^{-/-}\) mice compared to Barx2\(^{+/+}\) mice. In general, there was a trend for Wnt target/pathway genes to be downregulated in Barx2\(^{-/-}\) mice, whilst Notch target/pathway genes were mostly upregulated. Whether the latter effect is direct or due to feedback between Wnt and Notch pathways is yet to be determined. Overall, this differential pattern of Wnt and Notch pathway regulation is consistent with a reduction in differentiation of Barx2\(^{-/-}\) myoblasts in culture and a reduced capacity of Barx2\(^{-/-}\) mice to grow and repair muscle [Meech et al. 2012]. Although outside the scope of this study and not investigated further here, the possibility exists that Barx2 functions directly with components of the Notch signalling pathway such as RBP-Jk and/or Hes/Hey bHLH transcription factors to positively regulate expression of Notch target genes. In addition to this, Pax7 has been identified as a direct downstream target of Notch signalling in myoblasts [Wen et al. 2012]. Taken together, the functional antagonism between Barx2 and Pax7 may be an intermediate control in this Notch to Wnt signalling switch.
Whilst TOPflash was a valuable tool for the initial identification of Barx2, Pax7 and MRFs as modulators of Wnt signalling in myoblasts, it possesses no biological significance. Hence a major aim of this thesis was to identify ‘natural’ endogenous Wnt target genes in muscle that are also direct targets of Barx2 activation. The RNA-Seq analysis, and Wnt target and pathway PCR array (Qiagen) analysis produced highly concordant results. A cohort of Wnt target genes including Axin2, Follistatin, Wif1, Dlk1 and cyclinD1 were significantly and consistently downregulated in Barx2\(^{-/-}\) myoblasts. However, due to the germline deletion of \textit{Barx2} in the Barx2-LacZ knockin
mouse model, there is a possibility that the near-normal development and growth of Barx2\(^{-/-}\) mice involves compensatory effects such as upregulation of other gene pathways involved in myoblast function. Furthermore, the Wnt signalling pathway is complex, consisting of multiple levels of regulation by both positive and negative feedback loops. Absence of Barx2 expression may indirectly alter expression of many components and targets of the pathway.
To begin to elucidate *direct* Barx2 target genes a C2C12 Barx2 Tet-ON cell line was generated. This allowed for over-expression of Barx2 and analysis of expression of potential downstream targets. Although no specific differentiation-associated target genes were identified via this method, the expression of downstream Wnt targets Axin2 and cyclinD1 was significantly increased by Barx2. Importantly, the regulation of these two target genes was consistent with the aforementioned RNA-Seq and PCR array analysis of Barx2\(^{+/+}\) and Barx2\(^{-/-}\) myoblasts. Further analysis of cyclinD1 and Axin2 as downstream targets of Barx2 strongly suggested that promoter TCF/LEF binding sites were involved in this response. The ability of both Barx2 and \(\beta\)-catenin to activate cyclinD1 and Axin2 promoter constructs was blocked by the addition of dnTCF4 and was significantly decreased upon mutation of the core sequence of the TCF/LEF motifs. A more in-depth analysis of Barx2-mediated activation of Axin2 was undertaken and this revealed many parallels between Axin2 and TOPflash regulation. These studies revealed that multiple TCF/LEF motifs were required for activation of the Axin2 promoter by Barx2, with ChIP assays demonstrating recruitment of Barx2 and endogenous \(\beta\)-catenin to these motifs following Barx2 over-expression. An assessment of histone modifications showed that stimulation by Wnt3a ligand or
over-expression of β-catenin or Barx2 induced changes in histone acetylation across the Axin2 TCF/LEF motifs, which is consistent with a more permissive, active state. This is likely to be mediated in part by the histone acetyltransferase GRIP-1, which was demonstrated to interact with Barx2 within this study, and has previously been identified to interact with β-catenin [Li et al. 2004; Song & Gelmann 2005].
The model of opposing functions for Barx2 and Pax7 in regulation of Wnt-responsive genes that was first suggested by studies of TOPflash also applied to the regulation of Axin2. Although Pax7 did not completely abolish β-catenin and Barx2-mediated activation of the Axin2 luciferase construct, it was significantly inhibitory. The study of Pax7-mediated repression of Axin2, in conjunction with TOPflash, showed that Pax7 was recruited to the same TCF/LEF sites as Barx2 and β-catenin and inhibited Barx2-mediated histone acetylation when over-expressed. The data presented in this thesis suggest that Pax7 mediates repression through a physical interaction with HDAC1. This interaction might maintain HDAC1 (and other co-repressors) at TCF/LEF sites in a manner that is dominant over β-catenin-mediated co-repressor dismissal, although due to technical constraints ChIP experiments could not confirm Pax7 mediated recruitment of HDAC1 at Axin2 or TOPflash promoters. Overall, these data suggested an involvement of HDAC1 and GRIP-1 in the Pax7/β-catenin/TCF repressing complex and the Barx2/β-catenin/TCF activating complex, respectively (Figure 7.1). A more detailed analysis of protein-protein interactions and complex formation involving Barx2 and Pax7 in proliferating versus differentiating myoblasts by means of affinity purification-mass spectrometry analysis may generate meaningful data in regards to these interaction networks. This may further reveal mechanisms and
enhance our understanding of the opposing functions of Barx2 and Pax7 in Wnt target gene regulation.
**Figure 7.1: Model for the function of Barx2 and Pax7 downstream of Wnt signalling**
(A): Under normal growth conditions, in the absence of a Wnt ligand, the Barx2\textsuperscript{low}/Pax7\textsuperscript{high} expression ratio in myoblasts maintains the cells in a proliferating state. Pax7 interacts with β-catenin and the co-repressor HDAC1 at target gene promoters and may function to block dismissal of such co-repressors from the TCF/LEF complex. (B): Barx2 protein is induced by Wnt3a whilst Pax7 is reduced, resulting in a Barx2\textsuperscript{high}/Pax7\textsuperscript{low} expression ratio. With the Pax7/HDAC1 repression removed, Barx2 associates with β-catenin-TCF/LEF complexes and the co-activator GRIP-1 to activate Wnt-responsive target genes such as Axin2 via TCF/LEF binding motifs. Whilst this represents a model for the feedback and termination of Wnt signalling via regulation of Axin2, and possibly other Wnt/TCF-responsive target genes, it does not describe a model for regulation of myogenesis. For a more detailed discussion on these two models, please refer to Hulin et al. 2016.
The role that Axin2 plays as a component of the Wnt signalling pathway is well established. Axin2 is a key player in the termination of the transient Wnt response via its involvement in the destruction complex with GSK-3β and APC to phosphorylate and destabilise β-catenin [Behrens et al. 1998; Yamamoto et al. 1998; Stamos & Weis 2013]. As we and others have demonstrated, Axin2 is a direct downstream target of Wnt signalling [Jho et al. 2002; Leung et al. 2002]. Axin2 therefore works in a feedback loop to regulate its own expression and to attenuate Wnt signalling. Given very recent evidence suggesting that β-catenin is redundant in adult muscle, but that excessive signalling through β-catenin is deleterious to muscle differentiation and repair [Murphy et al. 2014], an understanding of how β-catenin activity is controlled or terminated is important for understanding the overall role of canonical Wnts in adult muscle. It is therefore possible that Barx2, which promotes Axin2 induction, is an important factor in this feedback loop. Consistent with this idea, the phenotype resulting from uncontrolled expression of constitutively active β-catenin in myoblasts *in vivo* is similar to that of loss of Barx2 *in vivo*: after muscle injury there is delayed expression of genes controlling differentiation, decreased ability to differentiate, continued presence of myocytes, and unresolved fibrosis [Meech et al. 2012; Murphy et al. 2014].
Work presented within this thesis has also demonstrated a role for canonical Wnt signalling upstream of Barx2 in primary myoblasts. A significant increase in Barx2 mRNA was observed following treatment with Wnt3a, however this translated to only a small increase in Barx2 protein. The evidence to date suggests that regulation of Barx2 by Wnt3a is via an indirect mechanism, but that it at least partially involves
stabilisation of Barx2 protein. Taken together, the studies presented here suggest a novel explanation for the muscle phenotype of *Barx2* null mice: specifically, a lack of Barx2 protein induction in null muscle by Wnt signals associated with growth and repair may impair Axin2 induction and thus the timely attenuation of the Wnt signal. In this model, Barx2 is important for preventing the deleterious effects of uncontrolled Wnt signalling through limitation of either signal duration or intensity.
In contrast to the effect of Wnt3a, no increase in Barx2 mRNA or protein was observed following β-catenin lentiviral transduction, and thus the role of Wnt3a in mediating Barx2 expression is likely independent of β-catenin. Recent work indicates that β-catenin is redundant for muscle regeneration [Murphy et al. 2014], however it is unclear if this redundancy extends to the Wnt ligand/receptor signalling complex itself. It is formally possible that ‘canonical’ Wnt signals are in fact required for myogenesis (e.g. myoblast differentiation), but that the function of β-catenin downstream of this signalling event is not. The possible β-catenin-independent effects of canonical Wnt ligands in myoblasts are an important topic for further investigation. Ongoing work in the laboratory using CRISPR/Cas9 genome editing techniques to ablate β-catenin expression in primary myoblasts will allow for the functions of ‘canonical’ Wnt ligands such as Wnt3a (including inducing Barx2 and differentiation) to be explored in the absence of the canonical effector β-catenin. Importantly, this model will also help to establish the precise role that β-catenin plays in Barx2-mediated activation and Pax7-mediated repression of canonical Wnt target genes.
In addition to the role of Axin2 in controlling β-catenin levels, negative feedback to
Wnt signalling also occurs at the ligand-receptor complex by factors such as Wif1, Sfrps, and Dkk1. Wif1 was identified as a potential target of Barx2 in both RNA-Seq and PCR array analysis, yet was not tested in the C2C12 Barx2 Tet-ON stable lines; the roles of Sfrps and Dkk1 downstream of Barx2 have not yet been assessed. It would be interesting to test the ability of Barx2 to regulate these targets genes, particularly Dkk1, which contains TCF/LEF consensus binding sites within the promoter region and is a direct target of Wnt signalling [Niida et al. 2004].
A major question raised by the studies presented here is the extent to which Barx2 and β-catenin target genes are directly involved in controlling myogenesis (e.g. myoblast differentiation), versus regulation of the Wnt signalling feedback network. In particular, to date our studies have not clearly identified a network of differentiation-associated genes that are regulated by Barx2 and β-catenin through TCF/LEF motifs. A ChIP-Seq experiment to identify promoter regions that may be co-bound by Barx2 and β-catenin was undertaken as part of this project. However, due to time constraints this data could not be fully analysed and was thus not presented here. A thorough analysis of this data combined with additional ChIP-Seq experiments and the aforementioned affinity purification-mass spectrometry could potentially identify cohorts of genes that are regulated by different complexes involving Barx2 and β-catenin. Presently it is hypothesised that these genes may fall into two categories: those with a role in differentiation of myoblasts, and those which are involved in feedback and termination of a canonical Wnt signal.
Degenerative diseases of skeletal muscle such as DMD represent a significant cause of morbidity and mortality for which there are few effective therapies currently
available. It is clear, however, that a recapitulation of signals to and from the satellite cell niche are critical for effective regeneration. As such, a more detailed understanding of the biological pathways and regulatory networks which govern skeletal muscle development and regeneration following injury could potentially lead to development of novel therapeutics. Specifically, soluble factors such as Wnts which signal to the satellite cell niche and are able to activate satellite cells or promote myoblast proliferation and differentiation represent potential targets for therapeutic manipulation. Characterisation of the downstream pathways that mediate Wnt signalling could facilitate development of Wnt-based approaches to improve such muscle stem cell therapies, perhaps through stimulation of satellite cells to more effectively compensate for damage, thus reducing symptoms and extending life. The study presented in this thesis has revealed new molecular interaction networks controlling muscle differentiation and thus regeneration and repair. These molecular networks which involve Barx2, Pax7, β-catenin and TCF/LEF factors provide critical new information on muscle-specific mechanisms of Wnt signalling that may provide new avenues for intervening in muscle disease by enhancing endogenous regenerative myogenesis.
Appendices
| Reagent | Supplier |
|----------------------------------------------|--------------------------------------------------------------------------|
| **Buffer Chemicals** | |
| Acetic acid | Ajax Finechem, New South Wales, Australia |
| Boric acid | Sigma-Aldrich, New South Wales, Australia |
| Bovine serum albumin (BSA) solution | New England Biolabs (NEB), Massachusetts, USA |
| Bromophenol blue | Sigma-Aldrich |
| CaCl$_2$.2H2O | Ajax Finechem (Thermo Fisher Scientific), Victoria, Australia |
| Dimethyl sulfoxide (DMSO) | Merck, New Jersey, USA |
| Ethylenediaminetetra-acetic acid, disodium salt (EDTA) | Astral Scientific, New South Wales, Australia |
| Glycerol | Amresco, Ohio, USA |
| Glycine | Amresco |
| HCl | VWR, Pennsylvania, USA |
| Isopropanol | Chem-Supply, South Australia, Australia |
| KCl | Amresco |
| KH$_2$PO$_4$ | Amresco |
| Methanol | Chem-Supply |
| Na$_2$HPO$_4$ | Ajax Finechem |
| NaCl | Astral Scientific |
| Nondiet P-40 | Sigma-Aldrich |
| Proteinase K | NEB |
| Sucrose | Astral Scientific |
| Sodium dodecyl sulphate (SDS) | AG Scientific, California, USA |
| Tris[hydroxymethyl]aminomethane (Tris) | Astral Scientific |
| Xylene cyanol FF | Sigma-Aldrich |
| **Mammalian Tissue Culture** | |
| Actinomycin D | Sigma-Aldrich |
| Cycloheximide | Sigma-Aldrich |
| Doxycycline | Sigma-Aldrich |
| Dulbecco’s modified Eagle’s medium (DMEM) | Invitrogen (Thermo Fisher Scientific) |
| Foetal calf serum | Bovogen Biologicals, Victoria, Australia |
| Genetin (G418) | AG Scientific |
| Ham’s F-10 Nutrient Mix | Life Technologies (Thermo Fisher Scientific) |
| Chemicals and Reagents | Supplier |
|------------------------|---------|
| MEM non-essential amino acids | Invitrogen (Thermo Fisher Scientific) |
| MEM sodium pyruvate | Invitrogen (Thermo Fisher Scientific) |
| Penicillin Streptomycin (Pen Strep) | Life Technologies (Thermo Fisher Scientific) |
| Puromycin | Astral Scientific |
| Tissue culture flasks and plates | Nunc, Roskilde, Denmark |
| Trypsin-EDTA | Invitrogen (Thermo Fisher Scientific) |
| Trypan blue | Sigma-Aldrich |
**Transfection and Reporter Gene Assays**
| Chemicals and Reagents | Supplier |
|------------------------|---------|
| Dual-luciferase Reporter Assay System | Promega, Wisconsin, USA |
| Lipofectamine 2000 | Invitrogen (Thermo Fisher Scientific) |
**Bacterial Culture**
| Chemicals and Reagents | Supplier |
|------------------------|---------|
| Agar | Amresco |
| Ampicillin | Aspen Pharmacare, New South Wales, Australia |
| Kanamycin | Sigma-Aldrich |
| Luria Broth (LB) EZMix | Amresco |
**DNA Detection, Purification and Modification**
| Chemicals and Reagents | Supplier |
|------------------------|---------|
| 30% Acrylamide/Bis solution 19:1 | BioRad, California, USA |
| Agarose | Astral Scientific |
| Ethidium bromide | Amresco |
| Restriction enzymes | NEB |
| QIAGEN Plasmid Midiprep kit | Qiagen, Victoria, Australia |
| QIAprep Spin Miniprep kit | Qiagen |
| QIAquick Gel Extraction kit | Qiagen |
| QIAquick PCR Purification kit | Qiagen |
| Quick Ligation kit | NEB |
**RNA Purification and cDNA Synthesis**
| Chemicals and Reagents | Supplier |
|------------------------|---------|
| Amplification grade DNase I | Life Technologies (Thermo Fisher Scientific) |
| Chloroform | VWR |
| TRIzol | Life Technologies (Thermo Fisher Scientific) |
| NxGen M-MuLV Reverse Transcriptase | Lucigen, Wisconsin, USA |
| NxGen RNase Inhibitor | Lucigen |
**Polymerase Chain Reaction (PCR)**
| Chemicals and Reagents | Supplier |
|------------------------|---------|
| Deoxynucleotide-triphosphate mix (dNTP) | NEB |
| Oligonucleotides | Geneworks or Integrated DNA Technologies |
| Product Name | Supplier |
|--------------------------------------------------|-----------------------------------------------|
| Phire HotStart DNA Polymerase | Thermo Fisher Scientific |
| Phusion High-Fidelity DNA Polymerase | Thermo Fisher Scientific |
| GoTaq qPCR master mix | Promega |
| 30% Acrylamide/Bis solution (29:1) | BioRad |
| Ammonium persulphate | Amresco |
| BioRad Protein Assay Reagent | BioRad |
| Complete Proteinease Inhibitor tablets | Roche Diagnostics, South Australia, Australia |
| N,N',N''-Tetramethyl-1-,2-diaminomethane (Temed) | Sigma-Aldrich |
| Skim milk powder | Fonterra Brands, New Zealand |
| SuperSignal West Pico chemiluminescent (ECL) HRP substrate | Thermo Fisher Scientific |
| Trans-blot nitrocellulose membrane | BioRad |
| Tween-20 | Astral Scientific |
| ChIP grade Protein G magnetic beads | Cell Signaling Technology, Massachusetts, USA |
| Formaldehyde | Sigma-Aldrich |
| Protein A sepharose beads | GE Healthcare, New South Wales, Australia |
| Basic fibroblast growth factor (murine) | Cell Signaling Technology |
| Collagen | Gibco (Thermo Fisher Scientific) |
| Collagenase | Gibco (Thermo Fisher Scientific) |
| Dispase | Gibco (Thermo Fisher Scientific) |
| c-Myc | Santa Cruz (sc-40), Texas, USA |
| Barx2 | Santa Cruz (sc-9128) |
| Pax7 | Santa Cruz (sc-7748) |
| GRIP-1 | Santa Cruz (sc-8996) |
| HDAC1 | Santa Cruz (sc-7872 X) |
| β-catenin | Cell Signaling Technology (9562L) |
| Active (non-phospho) β-catenin | Merck Millipore (05-665), Victoria, Australia |
| MyoD | Santa Cruz (sc-32758) |
| DAPI (4',6-diamidino-2-phenylindole) | Sigma-Aldrich |
| Normal rabbit IgG | Cell Signaling Technology (2779S) |
| Histone H3K acetylation | Merck Millipore (06-599) |
| Histone H3K4 tri-methylation | Merck Millipore (07-473) |
| Histone H3K27 tri-methylation | Merck Millipore (07-449) |
| Antibody | Source and Details |
|--------------------------------|------------------------------------------------------------------------------------|
| CD34 PE rat-anti-mouse | BD Biosciences (551387), New Jersey, USA |
| CD45 APC rat-anti-mouse | BD Biosciences (559864) |
| Scal FITC rat-anti-mouse | BD Biosciences (557405) |
**Secondary Antibodies**
| Antibody | Source and Details |
|---------------------------------|------------------------------------------------------------------------------------|
| Donkey anti-Rabbit IgG-Horseradish Peroxidase conjugate | Jackson ImmunoResearch, Pennsylvania, USA |
| Donkey anti-mouse IgG-Horseradish Peroxidase conjugate | Jackson ImmunoResearch |
| Rabbit anti-goat IgG-Horseradish Peroxidase conjugate | Jackson ImmunoResearch |
| DyLight 488 Horse-anti-mouse | Vector Laboratories (DI-2488), California, USA |
| DyLight 594 Goat-anti-rabbit | Vector Laboratories (DI-1594) |
| Donkey-anti-mouse Cy5 | Jackson ImmunoResearch (26558) |
| Donkey-anti-goat Alexa 546 | Jackson ImmunoResearch (7191) |
## Appendix 2
### Chromatin Immunoprecipitation
**Lysis Buffer 1 (Cell Lysis)**
- 1% Nonidet P40
- 15 mM Tris pH 8.0
- 0.5 mM EGTA
- 15 mM NaCl
- 60 mM KCl
- 300 mM Sucrose
- 0.5 mM B-mercaptoethanol
**Lysis Buffer 2 (Nuclear Lysis)**
- 1% SDS
- 10 mM EDTA
- 50 mM Tris pH 8.0
**Dilution Buffer**
- % SDS
- 1% Triton X-100
- 1.2 mM EDTA
- 16.7 mM Tris pH 8.0
- 150 mM NaCl
**High Salt Wash Buffer**
- 0.1% SDS
- 1% Triton X-100
- 1 mM EDTA
- 20 mM TrisCl pH 8.0
- 500 mM NaCl
**LiCl Buffer**
- 1% NP-40
- 1% deoxycholic acid sodium salt
- 1 mM EDTA
- 10 mM Tris pH 8.0
- 250 mM LiCl
**TE Buffer**
- 1 mM EDTA
- 10 mM Tris pH 8.0
**Elution Buffer**
- 20 mM Tris pH 8.0
- 5 mM EDTA
- 50 mM NaCl
- 1% SDS
### Co-immunoprecipitation
**Hypotonic Lysis Buffer**
- 20 mM Tris pH 7.4
- 10 mM MgCl$_2$
- 10 mM KCl
- 1 mM EDTA
- 10% glycerol
- 1% Triton X-100
- 1 mM DTT
- 2.5 mM glycerol-2-phosphate
### Electrophoretic Mobility Shift Assay
**Hypotonic Lysis Buffer**
- 20 mM Tris pH 7.4
- 10 mM MgCl$_2$
- 10 mM KCl
- 1 mM EDTA
- 10% glycerol
- 1% Triton X-100
- 1 mM DTT
- 10 mM glycerol-2-phosphate
**Nuclear Extract Buffer**
- 20 mM HEPES
- 420 mM NaCl
- 5 mM EDTA
- 10% glycerol
- 10 mM glycerol-2-phosphate
**EMSA Buffer**
- 10 mM Tris pH 8
- 100 mM NaCl
- 1 mM MgCl$_2$
- 20% glycerol
Dear Dr. Kudo and Dr. Kii,
Thank you very much for your help in identifying the precise sequence of the TOP-EGFP transgenic mouse promoter region. Unfortunately we were not able to amplify the promoter from the mouse genomic DNA using primers corresponding to the sequence that you sent. However, we were able to amplify the promoter region using a forward primer in the HS4 insulator and a reverse primer in the EGFP gene. We sequenced this PCR product and regret to inform you that the mice do not appear to contain the promoter region from the TOP-flash vector as you described.
Instead the region between the HS4 insulator and the EGFP gene contains 6 copies of a 44bp sequence from the Epstein Barr Virus LMP2B gene promoter. This 44bp sequence contains two copies of the RBP-Jk consensus element (C/T)GTGGGAA. Thus the promoter contains in total 12 RBP-Jk binding elements and no TCF/LEF sites. I have attached the sequence and our analysis to this email as a word file.
Basically, the mice contain a Notch reporter gene not a Wnt reporter gene. Curiously, in our experiments primary myoblasts from the mice did respond to Wnt3a with about a 4-fold increase in EGFP mRNA. This could be due to Wnt signals secondarily inducing Notch signaling.
The mice were obtained from the RIKEN BRC under the Resource number/name RBRC02229/TOP-EGFP. Our shipping records confirm that these were the mice sent and we have no other EGFP-containing mice in our animal facility that they could have been mixed up with. Therefore I think that the mice distributed as your TOP-EGFP mice by the RIKEN BRC are not correct.
While it is possible that the BRC just sent me a wrong breeder pair, I cannot find any Notch reporter strain in their catalog that they could have sent me by mistake. Thus I wonder if their entire colony is in fact wrong and I think that they should check the colony identity by PCR and sequencing. You may also want to check your laboratory records regarding the mice that were deposited.
I am sorry to send you this news.
Kind regards,
Robyn
Robyn Meech, Ph.D.
ARC Future Fellow
Department of Clinical Pharmacology
Flinders University
Bedford Park, 5042, S.A.
Australia
Ph. 8204 4795 (ext 6-4795)
Fax. 8204 5114
Reply email from Dr Kudo
From: Akira Kudo
Sent: Tuesday, 9 July 2013 11:54 AM
To: Robyn Meech
Cc: KII Isao
Subject: Re: TOP-EGFP mice - promoter error
Dear Dr. Meech
Thank you for sending this information. I am very surprised to see your data because we have never touched the Notch reporter construct and mice. I have transferred this E-mail to my collaborator Dr. Saga who contributed this mouse to Riken BRC. Alternatively, I recommend you to use another TOP-EGFP mouse or TOP-GAL mouse (RBRC02228). Sincerely, Akira Kudo Tokyo Institute of Technology
Notice from RIKEN BioResource Center identifying strain mixup
July 18, 2013
[Urgent Notice for users of TOP-EGFP (02229) mouse strain]
Dear Dr. Robyn Meech,
firstname.lastname@example.org
We, the RIKEN BioResource Center, regret to inform you that the TOP-EGFP (02229) which was sent to you on March 28, 2011 was a wrong strain. We sent you TP1-Venus, instead. The depositor sent us a wrong strain by mistake and we did not recognize this mistake until the depositor informed us on July 9, 2013. We understand that mistake of the mouse strain might cause serious scientific damage. But, it is our hope that the damage is the minimum.
Please do not use this mouse strain ‘TOP-EGFP (02229)’ any more unless you have a compelling reason to keep using the mouse strain. The TP1 contains twelve Rbpj binding sites and a minimum promoter [1, 2], while the TOP contains six Tcf/Lef consensus binding sites and a minimum promoter [De Souza et al. 2004], thus, visualizing different signals such as activation of Notch and canonical Wnt signals, respectively.
Unfortunately, neither the depositor nor we have the authentic TOP-EGFP strain. However, we have TOP-GAL which can be used as a replacement of TOP-EGFP and expresses b-galactosidase instead of EGFP under the control of the TOP promoter. If you would like to use TOP-GAL mice, we will provide you the mice as a replacement. Regarding refund of the distribution fee and shipping cost, we will write you as soon as the paper work is finished.
If you have published a scientific paper using the TOP-EGFP (02229) mice, please let us know. If you need, we will send a letter to an editor of a journal and explain the details of this accident.
The mouse was deposited as TOP-EGFP at RIKEN BRC on May 15, 2007. Since then, we have genotyped by using PCR, maintained and distributed the mice to scientists in Japan and abroad. The primer design for the genotyping to amplify only a part of EGFP gene was instructed by the depositor. Immediately after report of the mistake of this mouse strain from the depositor on July 9, 2013, we analyzed DNA samples of deposited mice and detected a part of the TP1 sequence and Venus as reported by the depositor.
We have been operating mouse resource center in Japan since 2001 and distributing nearly 3,000 mice annually around the world. Quality control of mouse strains is the most important task for us. Through this unfortunate lesson, we will continue every effort to establish an accurate method for rigorous quality control to serve better to the scientific community. We appreciate you for your support and understanding for our activities.
If you have any question and concern on this matter, please feel free to contact me.
Sincerely yours,
Atsushi Yoshiki, Ph. D.
Head
Experimental Animal Division
RIKEN BioResource Center
References:
[1] Kohyama J, Tokunaga A, Fujita Y, Miyoshi H, Nagai T, Miyawaki A, Nakao K, Matsuzaki Y, Okano H. Visualization of spatiotemporal activation of Notch signaling: live monitoring and significance in neural development. Dev Biol. 286(1):311-25 (2005). http://www.sciencedirect.com/science/article/pii/S0012160605005221
[De Souza et al. 2004] Sasaki N, Kiso M, Kitagawa M, Saga Y. The repression of Notch signaling occurs via the destabilization of mastermind-like 1 by Mesp2 and is essential for somitogenesis. Development 138:55-64 (2011). http://dev.biologists.org/content/138/1/55.long
[De Souza et al. 2004] Moriyama A, Kii I, Sunabori T, Kurihara S, Takayama I, Shimazaki M, Tanabe H, Oginuma M, Fukayama M, Matsuzaki Y, Saga Y, Kudo A. GFP transgenic mice reveal active canonical Wnt signal in neonatal brain and in adult liver and spleen. Genesis 45(2):90-100 (2007). http://onlinelibrary.wiley.com/doi/10.1002/dvg.20268/abstract
Appendix 4
Exon 1
#2clone DELISFXDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
#7clone DELISFXDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
#8clone DELISFXDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
#1clone DELISFXDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Variant4 MFQLNGGGGDDLGANDELISFKDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Variant2 MFQLNGGGGDDLGANDELISFKDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Variant1 MFQLNGGGGDDLGANDELISFKDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Variant6 MFQLNGGGGDDLGANDELISFKDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
#6clone DELISFXDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Variant5 MFQLNGGGGDDLGANDELISFKDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Variant3 MFQLNGGGGDDLGANDELISFKDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Variant7 MFQLNGGGGDDLGANDELISFKDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
#5clone DELISFXDEGEQEEKNSENSSAERDADVSSLVNESETQNQSSS
Exon 2
#2clone DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
#7clone DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
#8clone DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
#1clone DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Variant4 DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Variant2 DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Variant1 DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Variant6 DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
#6clone DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Variant5 DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Variant3 DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Variant7 DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
#5clone DSEERRPPRSESFRDKSRESLEEAKRQDGGLFKGPYPYGYPFIMIPDLITSPYLPGNS
Exon 3
#2clone LSPIARI1HFQSGSTHYSAYKTIIEHOIAIQVLQMWPPLLDVQAGSLQSROTLKDARSFSP
#7clone LSPIARI1HFQSGSTHYSAYKTIIEHOIAIQVLQMWPPLLDVQAGSLQSROTLKDARSFSP
#8clone LSPIARI1HFQSGSTHYSAYKTIIEHOIAIQVLQMWPPLLDVQAGSLQSROTLKDARSFSP
#1clone LSPIARI1HFQSGSTXYSAYKXIEHOIAIQVLQMWPPLDVQAGSLQSROTLKDARSFSP
Variant4 LSPIARI1HFQSGSTHYSAYKTIIEHOIAIQVLQMWPPLLDVQAGSLQSROTLKDARSFSP
Variant2 LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
Variant1 LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
Variant6 LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
#6clone LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
Variant5 LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
Variant3 LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
Variant7 LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
#5clone LSPIARI-----------------VLQMWPPLLDVQAGSLQSROTLKDARSFSP
Exon 4
#2clone AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
#7clone AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
#8clone AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
#1clone AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
Variant4 AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
Variant2 AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
Variant1 AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
Variant6 AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
#6clone AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
Variant5 AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
Variant3 AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
Variant7 AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
#5clone AHIVSNKFVVQHPHHVHPLTPLITYSNEHTFGNFPFHLPAVDVPDKSIIPRPFHPDDIS
| Exon 7 | Exon 8 |
|--------|--------|
| #2clone | FYYPLSPGTVGQIPHPLGW |
| #7clone | FYYPLSPGTVGQIPHPLGW |
| #8clone | FYYPLSPGTVGQIPHPLGW |
| #1clone | PHPLGW |
| Variant4 | FYYPLSPGTVGQIPHPLGW |
| Variant2 | FYYPLSPGTVGQIPHPLGW |
| Variant1 | FYYPLSPGTVGQIPHPLGW |
| Variant6 | FYYPLSPGTVGQIPHPLGW |
| #6clone | FYYPLSPGTVGQIPHPLGW |
| Variant5 | FYYPLSPGTVGQIPHPLGW |
| Variant3 | FYYPLSPGTVGQIPHPLGW |
| Variant7 | FYYPLSPGTVGQIPHPLGW |
| #5clone | FYYPLSPGTVGQIPHPLGW |
| Exon 9 | Exon 10 |
|--------|--------|
| #2clone | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| #7clone | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| #8clone | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| #1clone | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Variant4 | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Variant2 | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Variant1 | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Variant6 | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| #6clone | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Variant5 | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Variant3 | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Variant7 | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| #5clone | HMVPPHHTLHTITGIPHAIAIVPTVKQESSQSDDVGLSHSSKHQDSKGEEEKKKPHIKKPLN |
| Exon 11 |
|---------|
| #2clone | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| #7clone | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| #8clone | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| #1clone | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Variant4 | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Variant2 | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Variant1 | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Variant6 | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| #6clone | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Variant5 | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Variant3 | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Variant7 | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| #5clone | AFMLYMKEMRAKVVAECTLKEASAAINQILGRWHALSREEQAKYELYELKERQLHMQLYP |
| Exon 12 | Exon 13 | Exon 17 |
|---------|---------|---------|
| #2clone | GWSARDNYEKKKKRRDKQFGEINHEHSECFLNPCLSLPITI |
| #7clone | GWSARDNYEKKKKRRDKQFGEINHEHSECFLNPCLSLPITI |
| #8clone | GWSARDNYEKKKKRRDKQFGEINHEHSECFLNPCLSLPITI |
| #1clone | GWSARDNYEKKKKRRDKQFGEIN |
| Variant4 | GWSARDNYEKKKRSLHT |
| Variant2 | GWSARDNYEKKKKRRDKQFGEIN |
| Variant1 | GWSARDNYEKKKKRRDKQFGEINHEHSECFLNPCLSLPITI |
| Variant6 | GWSARDNYEKKKKRRDKQFGEINHEHSECFLNPCLSLPITI |
| #6clone | GWSARDNYEKKKKRRDKQFGEIN |
| Variant5 | GWSARDNYEKKKKRRDKQFGEIN |
| Variant3 | GWSARDNYEKKKKRRDKQFGEINHEHSECFLNPCLSLPITI |
| Variant7 | GWSARDNYEKKKKRRDKQFGEIN |
| #5clone | GWSARDNYEKKKKRRDKQFGEIN |
Exon 14
#2clone PLQMEAY
#7clone PLQMEAY
#8clone PLQMEAY
#1clone PLQMEAY
Variant4 PLQMEAY
Variant2 WCGPCSTL
Variant1 WCGFCRRKKCVRYIQGEGSCLSPSSDGSLLDSPPFSPHLLGSPFPQDAKSQTEQTQPLS
Variant6 PLQMEAY
#6clone PLQMEAY
Variant5 PLQMEAY
Variant3 PLQMEAY
Variant7 PLQMEAY
#5clone PLQMEAY
Exon 17
#2clone LSLKPDPFXAHXSXMPPPPALXXXEAAHGKASALCPNGALDLFPAALQPSMVPSSSLQAQPS
#7clone
#8clone
#1clone
Variant4
Variant2
Variant1
Variant6 LSLKPDPLAHLSMMPPPPALLAEAHHGKASALCPNGALDLFPAALQPSMVPSSSLQAQPS
#6clone
Variant5
Variant3
Variant7
#5clone
NCBI listed variants
Exon boundaries
Protein stop
No sequencing
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Multilevel Combinatorial Optimization Across Quantum Architectures
HAYATO USHIJIMA-MWESIGWA\textsuperscript{†,‡}, Fujitsu Laboratories of America, Inc.
RUSLAN SHAYDULIN\textsuperscript{†,‡}, School of Computing, Clemson University
CHRISTIAN F. A. NEGRE, Theoretical Division, Los Alamos National Laboratory
SUSAN M. MNISZEWSKI, Computer, Computational, & Statistical Sciences Division, Los Alamos National Laboratory
YURI ALEXEEV, Computational Science Division, Argonne National Laboratory
ILYA SAFRO\textsuperscript{†}, School of Computing, Clemson University
Emerging quantum processors provide an opportunity to explore new approaches for solving traditional problems in the post Moore’s law supercomputing era. However, the limited number of qubits makes it infeasible to tackle massive real-world datasets directly in the near future, leading to new challenges in utilizing these quantum processors for practical purposes. Hybrid quantum-classical algorithms that leverage both quantum and classical types of devices are considered as one of the main strategies to apply quantum computing to large-scale problems. In this paper, we advocate the use of multilevel frameworks for combinatorial optimization as a promising general paradigm for designing hybrid quantum-classical algorithms. In order to demonstrate this approach, we apply this method to two well-known combinatorial optimization problems, namely, the Graph Partitioning Problem, and the Community Detection Problem. We develop hybrid multilevel solvers with quantum local search on D-Wave’s quantum annealer and IBM’s gate-model based quantum processor. We carry out experiments on graphs that are orders of magnitudes larger than the current quantum hardware size, and we observe results comparable to state-of-the-art solvers in terms of quality of the solution.
Reproducibility: Our code and data are available at [1]
CCS Concepts: • Mathematics of computing → Graph algorithms; Combinatorial optimization; • Hardware → Quantum computation.
Additional Key Words and Phrases: NISQ, Quantum Annealing, Graph Partitioning, Modularity, Community Detection
1 INTRODUCTION
Across different domains, computational optimization problems that model large-scale complex systems often introduce a major obstacle to solvers even if tackled with high-performance computing systems. The reasons include a large number of variables and even larger number of interactions, dimensionality required to describe each variable or interaction, and time slices. The combinatorial and mixed-integer optimization problems introduce additional layers of complexity, with integer variables often making the problem NP-hard (e.g., in cases of nonlinearity and nonconvexity). A common practical approach for solving these problems is to use iterative methods. The iterative methods, while
\textsuperscript{†}Both authors contributed equally to this work.
\textsuperscript{‡}Corresponding authors.
\textsuperscript{‡}Work on this paper was in part performed while the author was affiliated with Clemson University.
Authors’ addresses: Hayato Ushijima-Mwesigwa, email@example.com, Fujitsu Laboratories of America, Inc. Sunnyvale, CA, 94085; Ruslan Shaydulin, firstname.lastname@example.org, School of Computing, Clemson University, Clemson, SC, 29634; Christian F. A. Negre, Theoretical Division, Los Alamos National Laboratory, Los Alamos, NM, 87545; email@example.com; Susan M. Mniszecki, Computer, Computational, & Statistical Sciences Division, Los Alamos National Laboratory, Los Alamos, NM, 87545; firstname.lastname@example.org; Yuri Alexeev, Computational Science Division, Argonne National Laboratory, Argonne, IL, 60439; Ilya Safro, email@example.com, School of Computing, Clemson University, Clemson, SC, 29634.
2020. Manuscript submitted to ACM
being composed with completely different algorithmic principles, typically share a common property: several fast improvement iterations are followed by a long tail of slow improvement iterations [46, 100]. Usually, in such iterative algorithms, solving a large-scale system by using first-order optimization (e.g., gradient descent) or limited observable information (e.g., local search) methods per iteration leads to a local optimum. In other words, local methods tend to converge to a local optimum, which often corresponds to a solution of much lower quality than the true global optimum [37]. Moreover, in some cases, another problem may exist within each iteration: the algorithms used to solve them are not necessarily exact. In order to accelerate the solvers at each iteration, various heuristics, parallelism-friendly methods, and ad hoc tricks are employed, which often reduce the quality of the solution.
In this paper, we take steps towards building more robust solvers for mid- to large-scale combinatorial optimization problems by fusing two areas whose simultaneous application is only beginning to be explored, namely, quantum computing and multiscale methods. Recent advances in quantum computing provide a new approach for algorithm development for many combinatorial optimization problems. However, Noisy Intermediate Scale Quantum (NISQ) devices are widely expected to be limited to a few hundred, and for certain sparse architectures up to a few thousands qubits. The current state of quantum computing theory and engineering suggests moderately optimistic expectations. In particular, it is believed that in the near future, we will witness relatively robust small-scale architectures with much less noise. This would allow algorithms like the Quantum Approximate Optimization Algorithm (QAOA) and Quantum Annealing (QA) to be run on hardware with minimal error correction efforts. Given the realistic level of precision and, in the case of QAOA, ansatz depth, these algorithms are widely considered to be prime candidates for demonstrating quantum advantage, that is solving a computationally hard problem (such as NP-hard) faster than classical state-of-the-art algorithms. Such algorithms are our first building block.
The multiscale optimization method is our second building block. These methods have been developed to cope with large-scale problems by introducing an approach to avoid entering false local attraction basins (local optima), a complementary method to stochastic and multistart strategies that help escape it if trapped. Because of historical reasons, on graph problems, they have been termed multilevel (rather than multiscale), which we will use here. The multilevel (or multiscale) methods have a long history of breakthrough results in many different optimization problems [14, 18, 29, 31, 33, 43, 53, 57, 71, 72, 74, 75, 77, 78, 83, 84] and have been implemented on a variety of hardware architectures. The success of multilevel methods for optimization problems supports our optimism about the ideas proposed in this paper.
No unique prescription exists for how to design multilevel algorithms, but the main idea behind them is to think globally while acting locally on a hierarchy of coarse representations of the original large-scale optimization problem. A multilevel algorithm therefore begins by constructing such a hierarchy of progressively smaller (coarser) representations of the original problem. The goal of the next coarser level in this hierarchy is to approximate the current level problem with a coarser one that has fewer degrees of freedom and thus can be solved more effectively. When the coarse problem is solved, its solution is projected back to the finer level and further refined, a stage that is called uncoarsening. As a result of such a strategy, the multilevel framework is often able to significantly improve the running time and solution quality of optimization methods. The quality of multilevel algorithms in large part depends on that of the optimization solvers applied at all stages of the multilevel framework. In many cases, these locally acting optimization solvers are either heuristics that get stuck in a local optimum or exact solvers applied on a small number of variables (i.e., on subproblems). In both cases, the quality of a global solution can significantly suffer depending on the quality of the solution from the local solver. The optimization algorithms running on the NISQ devices that may replace such local solvers are expected to be a critical missing component to achieve a game-changing breakthrough in multilevel
methods for combinatorial optimization. Although the performance of these NISQ-era optimization algorithms is not fully understood (see Sec. 2.3 for an overview), in this work we do not attempt to rigorously benchmark them. Rather, we focus on the problems arising when integrating these optimization algorithms into a multilevel framework. The proposed synergy between multilevel algorithms and future quantum devices is intended to bridge the gap between slow exact solvers (that are unrealistic to cope with relatively large instances in a reasonable time neither for classical nor NISQ devices) and fast suboptimal heuristics (that are practically employed everywhere) that may never achieve the optimal solution no matter how much time they are given.
In this paper, we introduce Multilevel Quantum Local Search (ML-QLS), which uses an iterative refinement scheme on NISQ devices within a multilevel framework. ML-QLS extends the Quantum Local Search (QLS) [87, 88] approach to solve larger problems. This work builds on early results using a multilevel framework and the D-Wave quantum annealer for the graph partitioning [96]. We demonstrate the general approach of solving combinatorial optimization problems with NISQ devices in a multilevel framework on two well-known problems. In particular, we solve the Graph Partitioning Problem and the Community Detection Problem on graphs up to approximately 29,000 nodes using subproblem sizes of 20 and 64 that map onto NISQ devices such as IBM Q Poughkeepsie (20 qubits) and D-Wave 2000Q (∼2048 qubits). Such graphs are orders of magnitude larger than those solved by state-of-the-art hybrid quantum-classical methods. To implement this approach, we develop a novel efficient subproblem formulation method.
In contrast, some of the authors of this paper have previously developed quantum and quantum-classical algorithms for the Graph Partitioning Problem and the Community Detection Problem for multiple parts (∼ 2) [61, 95]. These did not use a multilevel approach, instead an all at once or concurrent approach was employed.
The rest of this paper is organized as follows. In Section 2, we discuss the relevant on quantum optimization and multilevel methods, and define the problems. In Sections 3 and 4, we discuss the hybrid quantum-classical multilevel algorithm and computational results, respectively. A discussion of the outlook and important open problems that represent major future research directions are presented in Section 5.
2 BACKGROUND
The methods proposed and implemented in this work aim to solve large graph problems by integrating NISQ optimization algorithms to a multilevel scheme. In this section, we provide a brief introduction into all three components: target graph problems (Sec. 2.1), quantum optimization (Sec. 2.2) and multilevel methods (Sec. 2.4)
Many optimization problems discussed in this work are posed in Ising form. The Ising model is a common mathematical abstraction used to represent the energy of \( n \) discrete spin variables \( \sigma_i \in \{-1, 1\}, 1 \leq i \leq n \), and interactions \( J_{ij} \) between \( \sigma_i \) and \( \sigma_j \). For each spin variable \( \sigma_i \), a local field \( h_i \) is specified. The energy of a configuration \( \sigma \) is given by the Hamiltonian function:
\[
H(\sigma) = \sum_{i,j} J_{ij} \sigma_i \sigma_j + \sum_i h_i \sigma_i, \quad \sigma_i \in \{-1, 1\}.
\]
An equivalent mathematical formulation is the Quadratic Unconstrained Binary Optimization (QUBO) problem. The objective of a QUBO problem is to minimize (or maximize) the following function:
\[
H(x) = \sum_{i<j} Q_{ij} x_i x_j + \sum_i Q_{ii} x_i, \quad x \in \{0, 1\}.
\]
2.1 Problem Definitions
Let $G = (V, E)$ be an undirected graph with vertex set $V$ and edge set $E$. We denote by $n$ and $m$ the numbers of nodes and edges, respectively. For each node $i$, define $\forall_i \in \mathbb{R}$ as the volume of node $i$ and $A_{ij} \in \mathbb{R}$ as the positive weight of edge $(i, j)$. For a fixed integer $k$, the Graph Partitioning Problem is to find a partition $V_1, \ldots, V_k$ of the vertex set $V$ into $k$ parts with equal total node volume such that the total weight of cut edges is minimized. A cut edge is defined as an edge whose end points are in different partitions. A requirement of equal total sizes of $V_i$ for all $i$ is sometimes referred as perfectly balanced graph partitioning, otherwise an imbalancing parameter is usually introduced to allow imbalanced partitions [16]. However, in this work we deal with perfect balancing constraints and limit the number of parts to $k = 2$. In this case we can write the GP problem as the following quadratic program
$$\max \quad s^T As$$
s.t.
$$\sum_{i=1}^{n} \forall_i s_i = 0$$
$$s_i \in \{-1, 1\}, \ i = 1, \ldots, n,$$
which, as shown in [95], can be reformulated into the following Ising model:
$$\max \quad s^T (\beta A - \alpha \forall \forall^T)s$$
s.t.
$$s_i \in \{-1, 1\}, \ i = 1, \ldots, n,$$
for some constants $\alpha, \beta > 0$, where $\forall$ is a column vector of volumes such that $(\forall)_i = \forall_i$.
Maximization of modularity is a famous problem in network science where the goal is to find communities in a network through node clustering (also known as modularity clustering) [62]. For the graph $G$, the problem of Modularity Maximization is to find a partitioning of the vertex set into one or more parts (communities) that maximizes the modularity metric. The modularity matrix is a symmetric matrix given by
$$B_{ij} = A_{ij} - \frac{k_i k_j}{2|E|},$$
where $k_i$ is the weighted degree of node $i$, namely, $k_i = \sum_j A_{ij}$. Whereas the modularity is typically defined on unweighted graphs, within the multilevel framework, due to the coarsening of nodes, we primarily work with weighted graphs. It can equivalently be written in matrix-vector notation as
$$B = A - \frac{1}{2|E|} \mathbb{k} \mathbb{k}^T$$
where $\mathbb{k}$ is a vector of weighted degrees of the nodes in the graph. For two communities, the Modularity Maximization Problem, also referred to as the Community Detection Problem, can be written in Ising form as follows:
$$\max \quad \frac{1}{4|E|} s^T \left( A - \frac{1}{2|E|} \mathbb{k} \mathbb{k}^T \right) s$$
s.t.
$$s_i \in \{-1, 1\}, \ i = 1, \ldots, n$$
where the objective value of (6), for a given assignment of resulting communities, is referred to as the modularity. For more than 2 communities, the Ising formulation of the Community Detection Problem is given in [61].
Note that the above formulation of Modularity Maximization can be viewed as the Graph Partitioning Problem in the Ising model given in equation (3) where the volume of a node is defined as the weighted degree and the penalty constants $\beta = 1, \alpha = \frac{1}{2|E|}$. We exploit this deep duality between the two problems in our implementation.
### 2.2 Optimization on NISQ devices
In recent years we have seen a number of advances in quantum optimization algorithms that can be run on NISQ devices. The two most prominent ones are the Quantum Approximate Optimization Algorithm (QAOA) and Quantum Annealing (QA), which are inspired by the adiabatic theorem. There are many formulations of the adiabatic theorem (see [6] for a comprehensive review), but all of them stem from the adiabatic approximation formulated by Kato in 1950 [44]. Adiabatic approximation states, roughly, that a system prepared in an eigenstate (e.g., a ground state) of some time-dependent Hamiltonian $H(t)$ will remain in the corresponding eigenstate\(^1\) provided that $H(t)$ is varied “slowly enough.” The requirement on the evolution time scales as $O(1/\Delta^2)$ in the worst case [25], where $\Delta$ is the minimum gap between the ground and first excited state of $H(t)$.
Quantum Annealing is a special case of AQC limited to stochastic Hamiltonians. The transverse field Hamiltonian
$$H_M = \sum_i \sigma_i^x$$
is used as the initial Hamiltonian. The final Hamiltonian is a classical Ising model Hamiltonian with the ground state encoding the solution of the original problem:
$$H_C = \sum_{ij} J_{ij} s_i s_j + \sum_i h_i s_i, \quad s_i \in \{-1, +1\}.$$
The evolution of the system starts in the ground state of $H_M$ and is described by a time-dependent Hamiltonian
$$H(t) = \frac{t}{T} H_C + \left(1 - \frac{t}{T}\right) H_M, \quad t \in (0, T).$$
QAOA extends the logic of AQC to gate-model quantum computers and can be interpreted as a discrete approximation of the continuous QA schedule, performed by applying two alternating operators:
$$W(\beta_k) = e^{-i\beta_k H_M} \text{ and } V(\gamma_k) = e^{-i\gamma_k H_C},$$
where $W(\beta_k)$ corresponds to evolving the system with Hamiltonian $H_M$ for a period of time $\beta_k$, and $V(\gamma_k)$ corresponds to evolving $H_C$ for time $\gamma_k$. Similarly to QA, the evolution begins in the ground state of $H_M$, namely, $|+\rangle^{\otimes n}$. Alternating operators are applied to produce the state:
$$|\psi(\beta, \gamma)\rangle = e^{-i\beta_0 H_M} e^{-i\gamma_0 H_C} \ldots e^{-i\beta_n H_M} e^{-i\gamma_n H_C} |+\rangle^{\otimes n} = U(\beta, \gamma) |+\rangle^{\otimes n}.$$
An alternative implementation was proposed, inspired by the success of the Variational Quantum Eigensolver (VQE) [69, 104]. A variational implementation of QAOA combines an ansatz $U(\beta, \gamma)$ (that can be different from the alternating operator described above) and a classical optimizer. A commonly used ansatz is a hardware-efficient ansatz [40], consisting of alternating layers of entangling and rotation gates. The algorithm starts by preparing a trial state by applying the parameterized gates to some initial state: $|\psi(\beta, \gamma)\rangle = U(\beta, \gamma) |+\rangle^{\otimes n}$. In the next step, the state
---
\(^1\)A note on terminology: a Hamiltonian $H$ is a Hermitian operator. The spectrum of $H$ corresponds to the potential outcomes if one was to measure the energy of the system described by $H$. $|\psi\rangle$ is an eigenstate of a system described by Hamiltonian $H$ with energy $\lambda \in \mathbb{R}$ if $H |\psi\rangle = \lambda |\psi\rangle$. In other words, $|\psi\rangle$ is an eigenvector of $H$ with real eigenvalue $\lambda$.
$|\psi(\beta, y)\rangle$ is measured, and the classical optimization algorithm uses the result of the measurement to choose the next set of parameters $\beta, y$. The goal of the classical optimization is to find the parameters $\beta, y$ corresponding to the optimal QAOA “schedule,” that is, the schedule that produces the ground state of the problem Hamiltonian $H_C$:
$$\beta^*, y^* = \arg \min_{\beta, y} \langle \psi(\beta, y) | H_C | \psi(\beta, y) \rangle.$$ \hspace{1cm} (10)
Both QA and QAOA have been successfully implemented in hardware by a number of companies, universities, and national laboratories [5, 20, 63, 65, 66, 70].
### 2.3 On the Scalability of Quantum Optimization Heuristics
The question of asymptotic scaling is the central question in the analysis of algorithms. Unfortunately, for many of the most promising quantum optimization algorithms, rigorous analysis (such as provable approximation ratios) beyond the most simple problems is unavailable. Therefore researchers have to resort to experimental evaluations and back-of-the-envelope projections. Such approaches give rise to the second major complication, namely, the fact that empirical results on small problem instances are almost totally uninformative about the overall scaling behavior. Famously, the adiabatic quantum algorithm initially appeared to be practically useful for solving NP-complete problems in polynomial time based on numerical simulations of problems of up to tens of variables [26, 27]. Later analysis, however, has shown that for many problems, both synthetic ones that are classically easy and hard problems like 3-SAT [97], eigen gaps diminish exponentially, leading to exponential worst-case running time for the adiabatic quantum algorithm [6]. This provides a cautionary example for researchers trying to analyze modern quantum optimization approaches. The exact number of variables needed for the separation between polynomial and exponential scaling to become apparent varies from problem to problem, and the separation might not be clear for small problem instances (i.e., the scaling that is in fact exponential looks polynomial for small instance sizes). However, the increased size of the simulations as well as the hardware (in the case of quantum annealers, reaching thousands of qubits) provides increasing confidence in the potential of quantum optimization heuristics.
Performance on the D-Wave quantum annealer depends on the input, the solver, and the hardware platform [23, 45, 49, 56]. Changes to the solver include modifying the anneal time or schedule. In this case the platform is the D-Wave 2000Q. Preprocessing strategies such as variable reduction, error mitigation, and improved embeddings applied to the input contribute to more optimized performance. The solver tuning strategies include finding an optimal anneal time dependent on the problem, as well as modifying the anneal schedule. Longer anneal times may be required for larger problems. Performance scaling for quantum applications is usually assessed by measuring the dependence of the time to solution (TTS) (for optimized run parameters) on the problem size, as often done for classical applications.
Considering the ground-state success probability for the Sherrington-Kirkpatrick (SK) model and MAX-CUT problems of increasing size was shown to be helpful in understanding the scaling [34]. When evaluating the TTS, one should optimize the run parameters as much as possible, in particular the optimal annealing time.
Work focused on determining the optimal anneal time on a quantum annealer over classical simulated annealing (SA) for logical-planted instances demonstrated a scaling advantage over SA on the D-Wave quantum annealer [7]. A scaling advantage in both system size and inverse temperature was demonstrated for simulation of frustrated magnetism in quantum condensed matter for the D-Wave quantum annealer over classical path-integral Monte Carlo [48]. An approach to benchmarking quantum annealers using specially crafted problems with varying hardness has been proposed [45]. Using a specially crafted problem class, a scaling advantage of algorithms simulating quantum annealing
over simulated annealing has been demonstrated numerically for problems too large to be represented on available quantum hardware [23]. This class of problems has been extended and used to show that D-Wave quantum annealer can significantly outperform non-tailored classical state-of-the-art solvers [49].
A D-Wave API is available for collecting timing information on the details of the Quantum Processing Unit (QPU) access time [21]. The QPU access time consists of programming time, sampling time, postprocessing time, and a small amount of time spent for the QPU to regain its temperature per sample. Programming time measures how long it takes to initialize the problem on the QPU. The sampling time is further broken down into per sample times for the anneal, readout, and delay. With this API, runtime scaling for the quantum isomer search problem on the D-Wave QA was shown to grow linearly with problem size [94]. In this case the problem size is defined by the number of carbon atoms $n$ in an alkane, which translates to $4(n - 2)$ variables; and the number of isomer solutions increases with the number of carbon atoms.
The scaling of Quantum Approximate Optimization Algorithm (QAOA) is particularly hard due to two factors, namely the presence of outer-loop optimization and the lack of understanding of the scaling of the depth of QAOA circuit required to achieve a good solution. The first factor complicating the analysis of QAOA is the outer-loop optimization, i.e., the need to optimize parameters $\beta, \gamma$ in Eq. 9. As the landscape is known to be highly non-convex [82, 85, 105], this optimization becomes a daunting task. Little is known about the structure of this landscape, making it hard to provide an upper bound on the computational hardness of the problem. At the time of writing the best known upper bound is that the problem of optimizing $\beta, \gamma$ is as hard as finding a global minimizer to a nonconvex problem, where even verifying a feasible point is a local minimizer is NP-hard [58]. However, in practice a number of techniques have been developed to successfully solve this problem. While the structure is hard to analyze, there have been successful attempts to leverage it using machine learning techniques [28, 47, 98] or accelerate search with multi-start optimization [85]. These results make us hopeful that with the help of a pre-trained model, high-quality QAOA parameters can be found in a small number of objective evaluations. There have been promising results showing that in higher-depth regime for some problems it is possible to avoid optimization altogether and use a smoothly extrapolated set of parameters reminiscent of an adiabatic schedule [105].
The second factor in the lack of analytical and empirical results on QAOA behavior in low- to medium-depth regime (e.g., $5 \leq p \leq 100$). Analytically, QAOA appears to be hard to analyze beyond $p = \{1, 2\}$ for non-trivial problems [13, 92, 102]. At the same time, even for very simple problems and small instance sizes it is clear that achieving a good solution requires going beyond at least $p = 5$ [19, 82, 92]. Therefore we have to rely on empirical results to answer the question of exactly how large the $p$ needs to be in order to achieve a good solution. This empirical evaluation is impeded by the complexity of simulating QAOA in medium depths. On one end, traditional state-vector based simulators have running time exponential in number of qubits, limiting the problem sizes to tens of variables. On the other end, tensor network based simulators have running time that is exponential in the number of gates, limiting the depth of the QAOA circuit that can be simulated. At the time of the writing, the state-of-the-art simulators were limited to simulating a thousand qubits to depth $p = 5$ [38]. These two constraints (on number of qubits for one simulation approach and on the depth for the other) make it challenging to numerically analyze QAOA performance in the crucial zone of medium-sized problems (hundreds to thousands of variables) and medium-depth circuit ($p > 10$). The high levels of noise and small number of available qubits make this analysis impossible on the currently available quantum hardware. All of the aforementioned complications contribute to the lack of the results showing how QAOA depth $p$ scales with the size of the problem. At the same time, results presented in [19, 105] indicate that at least for the problem sizes small enough to fit on near-term quantum computers, $10 \leq p \leq 30$ is sufficient to achieve high-quality solutions.
Due to the limitations of the available hardware, in this paper we do not run full QAOA ansatz on the IBM Q hardware. Instead, we use a shallow-depth hardware-efficient ansatz (HEA) [40]. Much less is known about the potential of such ansatzes to produce quantum speedup. Numerical experiments on small problem instances do not show that quantum entanglement provides an advantage in optimization [59]. At the same time, recent analytical results show that HEAs are efficiently simulatable classically in constant depth [60] and suffer from exponentially vanishing gradients in polynomial depth [55] (here depth is a function of number of qubits). A recent result shows that in logarithmic depth regime gradient vanishes only polynomially, making HEAs trainable in this regime [17]. This result indicates a potential for quantum advantage using HEAs in logarithmic depth, as they are both hard to simulate classically and do not suffer from exponentially vanishing gradients. Evaluating the potential for quantum advantage from using logarithmic-depth HEAs in QAOA setting for optimization remains an open problem.
2.4 Multilevel Combinatorial Optimization
The goal of the multilevel approach for optimization problems on graphs is to create a hierarchy of coarsened graphs $G_0 = G, G_1, ..., G_k$, in such a way that the next coarser graph $G_{i+1}$ "approximates" some properties of $G_i$ (that are directly relevant to the optimization problem of interest) with fewer degrees of freedom. After constructing such a hierarchy, the coarsening is followed by solving the problem on $G_k$ as best as we can (preferably exactly) and then the uncoarsening projects the solution back to $G_0$ through gradual refinement at all levels of the hierarchy, with a refined solution at level $i + 1$ serving as the initial solution at level $i$. The entire coarsening-uncoarsening process is called a V-cycle. Other variations of hierarchical coarsening-uncoarsening schemes include W- and F-cycles [15]. Figure 1 presents an outline of a V-cycle.
Fig. 1. V-cycle for a graph problem. First, the problem is iteratively coarsened (left). Second, the coarse problem is solved using a NISQ optimization solver (bottom). Finally, the problem is iteratively uncoarsened and the solution is refined using a NISQ solver (right).
Typically, when solving problems on graphs in which nodes represent the optimization variables (such as those in the partitioning and community detection), having fewer degrees of freedom implies a decreased number of nodes in each next coarser graph: \(|V_0| > |V_1| > |V_2| > \ldots > |V_k|\).\(^2\) With a smaller number of variables at progressively coarser levels, one can use more sophisticated but possibly slower refinement algorithms. However, it is still not sufficient to solve the whole problem until the coarsening reaches the coarsest level. As a result, at each level, the actual solution is produced by a refinement. Refinement is typically implemented with a decomposition method that uses a previous iteration or a coarser-level solution as an initialization. The multilevel algorithms rely heavily [101] on the quality of refinement solvers for small and local subproblems at all levels of coarseness. Thus, the most straightforward way to use NISQ devices in multilevel frameworks is to iteratively apply them as local solvers to refine a solution inherited from the coarse level. Because the refinement is executed at all levels of coarseness, even a small improvement of a solution at the coarse level may cause a major improvement at the finest scale. Typically, this is the most time-consuming stage of the multilevel solvers which is expected to be fundamentally better if improved by NISQ devices.
Most refinement solvers in multilevel frameworks rely on fast but low-quality heuristics, rather than on the ability to compute an optimal solution. Moreover, in many existing solvers, the number of variables in such local subproblems is comparable with or smaller than the size of the problems that can be directly embedded on the NISQ devices (see examples in [33, 53]), making them a perfect target for NISQ optimization algorithms. In most multilevel/multiscale/multigrid-based optimization solvers, a refinement consists of covering the domain (or all variables) with small subsets of variables (i.e., small subproblems) such that solving a small local problem on a subset improves the global solution for the current level.
Multilevel graph partitioning and community detection algorithms are examples of the most successful applications of multilevel algorithms for large graphs, achieving an excellent time/quality trade-off [16]. In this paper, we deliberately use the simplest version of coarsening (in order to focus on the hybrid quantum-classical refinement) in which the edges of the fine level graph are collapsed and create coarse level vertices by merging the fine level ones. There are several classes of refinement for both problems but in all of them, at each step a small subset of nodes (or even a singleton) is reassigned with partition (or cluster) that either better optimizes the objective or improves constraints. Some variants of stochastic extensions also exist.
### 2.5 On Scalability of Multilevel Methods
If we do not consider algorithmic frameworks with very limited space (such as streaming), the scalability of a correctly designed in-memory multilevel framework with its instance graphs is practically limited (or proportional) to the available memory size. Requirements to keep graphs in memory (not necessarily RAM) for multilevel partitioning and community detection are similar to those of matrices for multigrid [13], so the complexity is also comparable up to the factor of refinement. Theoretically, the multilevel and multigrid frameworks exhibit \(O(|E|)\) or \(O(\text{number of non-zeros in a matrix})\) complexity. However, for optimization on graphs, the refinement stage is typically computationally more expensive than that for the multigrid (e.g., compare Gauss-Seidel relaxation sweeps [54] and Kernighan-Lin or min-cut/max-flow refinement in graph partitioning [16]) because at each step of the refinement, an integer problem has to be solved. Refinement for the relaxed versions of integer problems (e.g., for the minimum 2-sum or bandwidth [77]) are usually faster but the quality suffers and in the end they should follow some rounding scheme for integer solution. However,
\(^2\)Note that this does not necessarily imply \(|E_0| > |E_1| > |E_2| > \ldots > |E_k|\).
even if the refinement complexity is linear in the number of edges or corresponding matrix non-zeros, some overhead is typically introduced for the integer problems.
In this paper, we deliberately use a simple coarsening which folds edges by merging pairs of nodes. The situation with the scalability of multilevel frameworks if high-order interpolation coarsening is involved (e.g., algebraic multigrid inspired weighted aggregation [76] when nodes can be split into several fractions, and different fractions form coarse nodes) is different. The high-order interpolation coarsening may result in increasing number of edges at several fine levels immediately implying increased running time. In such cases, the complexity can increase to $\max_{\text{level}} O(E_i)$. Subsequently, a larger graph at each level requires more intensive refinement. In addition, the number of refinement calls required to achieve a very good solution strongly depends on the coarsening quality which makes it difficult to get a complexity required for a nearly optimal solution. The only practical solution to that is artificially limiting the number of refinement calls (see all major solvers such as Metis, Jostle, Kahip, and Scotch reviewed in [16]).
The criteria for limiting the number of refinement calls is never ideal. The refinement algorithms always heuristically decide what vertex or group of vertices should be optimized with respect to the current assignment of vertices to clusters (or parts) to make the current solution better. Typically, they take so called “boundary” nodes in all parts, i.e., those whose move from part to part can potentially improve the solution and optimize them or their groups. Therefore, the scalability of multilevel graph partitioning and clustering frameworks can be loosely described in terms of $|V|$ and $|E|$. Instead, it is better to describe it in terms of expected cut similar to the analysis in [42]. To the best of our knowledge, there is no analysis that connects the size of the graph and performance of multilevel algorithms providing any practically useful theoretical bounds. Currently, the best way to describe the scalability of multilevel graph partitioning and clustering solvers is to use $O(|E|)$. However, the hidden constant in the linear complexity depends on the type of refinement. Thus, we anticipate that with the advent of reliable quantum hardware, one can expect a significant improvement in the running time and quality of the refinement in multilevel frameworks which will eliminate computationally expensive solvers to locally optimize groups of variables. We refer the reader to one of the most recent examples of multilevel scalability in [22] (e.g., see Table IV) in which a graph with 3.8B edges was (suboptimally) solved in 255 seconds.
3 METHODS
An iterative improvement scheme is a common approach for solving large scale problems with NISQ devices. Traditionally, this is done by formulating the entire problem in the Ising model or as a QUBO and then solving it using hybrid quantum-classical algorithms (see, for example, “qbsolv” from D-Wave systems [11]). These methods decompose the large QUBO into smaller sub-QUBOs or decrease the number of degrees of freedom to fit the subproblem on the hardware (for example, using a multilevel scheme), and iteratively improve the global solution by solving the small subproblems (sub-QUBOs). One of the main limitations of this approach is the size and density of the original QUBO. For example, in the graph partitioning formulation given by Equation 3, the term $vv^T$ leads to the formulation of a completely dense $n \times n$ QUBO matrix regardless of whether or not the original graph was sparse. Storing and processing this dense matrix can easily make this method prohibitively computationally expensive even for moderately sized problems. In our implementation of Quantum Local Search (QLS) [88] we circumvent this limitation by developing a novel subproblem formulation of the Graph Partitioning Problem and Modularity Maximization as a QUBO that does not require formulating the entire QUBO.
Another concern is the effectiveness of selection criteria of candidate variables (or nodes) to be included in each subproblem. A common metric used in selecting whether or not a variable is to be included in the subproblem is whether
or not changing the variable value would reduce (increase) the objective value for a minimization (maximization) problem. Thus, since computing the change in objective value for a small change in the solution is performed multiple times, it is important to ensure that this computation is efficient. We derive a novel efficient way to compute the change in the objective value of the entire QUBO also without formulating the entire QUBO and thus provide an efficient refinement scheme using current NISQ devices.
We begin by introducing an efficient QUBO subproblem formulation for the Graph Partitioning Problem, and the Community Detection Problem. Then we present an efficient way to compute the gain and change in the objective of the entire QUBO. Finally, we put it all together and outline our algorithm.
3.1 QUBO formulation for subproblems
Let $M$ be an $n \times n$ symmetric matrix that represents the QUBO for a large scale problem such that it is prohibitively expensive to either generate or store $M$. However, for QLS we need to generate constant-size sub-QUBOs of $M$ which in turn represent subproblems of the original problem. In order to generate a sub-QUBO, let $k$ be the size of the desired sub-QUBO. In other words, the sub-QUBO will have $k$ variables and $n - k$ fixed variables that remain invariant for this specific sub-QUBO. We refer to the $k$ variables as free variables. Without loss of generality, let the first $k$ variables of $\mathbf{s}$ be the free variables, then we write $\mathbf{s}$ as
$$\mathbf{s} = \begin{bmatrix} \mathbf{s}_v \\ \mathbf{s}_f \end{bmatrix},$$
where $\mathbf{s}_v$ represents the $k$ free variable terms and $\mathbf{s}_f$ represents the $n - k$ fixed terms. In the next step, $M$ can be represented using block form
$$M = \begin{bmatrix} M_{UU} & M_{UF} \\ M_{UF}^T & M_{FF} \end{bmatrix}$$ \hspace{1cm} (11)
such that $M_{UU}$ is a $k \times k$ matrix. Next, we can write $\mathbf{s}^T M \mathbf{s}$ as
$$\mathbf{s}^T M \mathbf{s} = \mathbf{s}_v^T M_{UU} \mathbf{s}_v + \mathbf{s}_v^T (2M_{UF} \mathbf{s}_f) + \mathbf{s}_f^T M_{FF} \mathbf{s}_f$$ \hspace{1cm} (12)
Since $\mathbf{s}_f$ are fixed values, we have $\mathbf{s}_f^T M_{FF} \mathbf{s}_f$ as a constant thus
$$\min \mathbf{s}^T M \mathbf{s} = \min \mathbf{s}_v^T M_{UU} \mathbf{s}_v + \mathbf{s}_v^T (2M_{UF} \mathbf{s}_f)$$ \hspace{1cm} (13)
From equation (11), we have
$$\mathbf{vv}^T = \begin{bmatrix} \mathbf{v}_U \mathbf{v}_U^T & \mathbf{v}_U \mathbf{v}_F^T \\ \mathbf{v}_F \mathbf{v}_U^T & \mathbf{v}_F \mathbf{v}_F^T \end{bmatrix}$$ \hspace{1cm} (14)
Therefore, from equation (13), we have
\[
\min s^T vv^T s = \min s_u^T v_u v_u^T s_u + 2s_v^T v_u v_f^T s_f
\]
(15)
The formulation in (15) is particularly important because it shows that the matrix \(vv^T\) does not need to be explicitly created at each iteration during refinement. This is a crucial observation because \(vv^T\) is a completely dense matrix.
As described in Sec. 2.1, the Community Detection Problem is given by
\[
\max \frac{1}{4|E|} s^T \left( A - \frac{1}{2|E|} \mathbb{k} \mathbb{k}^T \right) s
\]
or
\[
\min s^T \left( \frac{1}{2|E|} \mathbb{k} \mathbb{k}^T - A \right) s
\]
and the Graph Partitioning Problem is given by
\[
\min s^T \left( \alpha vv^T - \beta A \right) s.
\]
In the above formulation, modularity clustering can be viewed as the Graph Partitioning Problem in a QUBO model, where the volume of a node is defined as the weighted degree and the penalty constant is \(\frac{1}{|E|}\). Therefore, in both cases we can perform a refinement while defining fixed values as
\[
\min s^T \left( \frac{1}{2|E|} \mathbb{k} \mathbb{k}^T - A \right) s = \min s_u^T \left( \frac{1}{2|E|} \mathbb{k}_u \mathbb{k}_u^T \right) s_u + s_v^T \left( \frac{1}{|E|} \mathbb{k}_v \mathbb{k}_f^T \right) s_f - s^T As
\]
(19)
and
\[
\min s^T \left( \alpha vv^T - \beta A \right) s = \min s_u^T \left( \alpha v_u v_u^T \right) s_u + s_v^T \left( 2\alpha v_u v_f^T \right) s_f - \beta s^T As
\]
(20)
with
\[
\min -\beta s^T As = \min -\beta s_u^T A_{uv} s_u - s_v^T (2\beta A_{vf} s_f)
\]
(21)
The formulation in (19) and (20) are particularly important during the refinement step because this implies that the complete dense (and therefore prohibitively large) QUBO or Ising model does not need to be created at each iteration. These formulations also demonstrate a close relationship between the Graph Partitioning Problem and the Community Detection Problem.
### 3.2 Efficient Evaluation of the Objective
In order to select the free variables for the subproblem, we need to be able to efficiently compute the change of the objective function by moving one node from one part to another. In other words, for each vertex \(v\), we need to efficiently compute the gain, which is the decrease (or increase) in the edge-cut together with penalty if \(v\) is moved to the other part.
For a symmetric matrix \(M\), the change in the value \(Q = s^T M s\) by flipping a single variable \(s_i\) corresponding to the node \(i\) is given by
\[
\Delta Q(i) = 2(\sum_{j \in C_1} M_{ij} - \sum_{j \in C_2} M_{ij})
\]
(22)
where \(C_1\) and \(C_2\) correspond to all variables with \(s_j = -1\) and \(s_j = 1\) respectively. Next, we define
\[
deg(v, C) := \sum_{j \in C} A_{vj}; \quad Deg(C) := \sum_{i \in C} k_i; \quad Vol(C) := \sum_{i \in C} v_i
\]
then
\[ 2\left(\sum_{j \in C_1} A_{ij} - \sum_{j \in C_2} A_{ij}\right) = 2\text{deg}(v_i, C_1) - 2\text{deg}(v_i, C_2) \]
and finally
\[ 2\left(\sum_{j \in C_1} (\mathbb{v} \mathbb{v}^T)_{ij} - \sum_{j \in C_2} (\mathbb{v} \mathbb{v}^T)_{ij}\right) = 2\left(\mathbb{v}_i \sum_{j \in C_1, i \neq j} \mathbb{v}_j - \mathbb{v}_i \sum_{j \in C_2} \mathbb{v}_j\right) \]
\[ = 2\mathbb{v}_i (V\text{ol}(C_1 \setminus i) - V\text{ol}(C_2)), \]
where we assume that \( i \in C_1 \). This expression can be computed in \( O(1) \) time.
In the same way
\[ 2\left(\sum_{j \in C_1} (\mathbb{k} \mathbb{k}^T)_{ij} - \sum_{j \in C_2} (\mathbb{k} \mathbb{k}^T)_{ij}\right) = 2\left(k_i \sum_{j \in C_1, i \neq j} k_j - k_i \sum_{j \in C_2} k_j\right) \]
\[ = 2k_i \left(\text{Deg}(C_1 \setminus i) - \text{Deg}(C_2)\right) \]
can also be computed in \( O(1) \) time given \( \text{Deg}(C_1) \) and \( \text{Deg}(C_2) \), where \( \text{Deg}(C_i) \) represents the sum of weighted degrees of nodes in community \( i \).
Therefore, the change in modularity is given by
\[ \Delta Q(i) = \frac{k_i}{|E|} \left(\text{Deg}(C_1 \setminus i) - \text{Deg}(C_2)\right) - 2\left(\text{deg}(v_i, C_1) - \text{deg}(v_i, C_2)\right) \]
(23)
and change in edge-cut together with penalty value is given by
\[ \Delta Q(i) = 2\alpha \mathbb{v}_i \left(V\text{ol}(C_1 \setminus i) - V\text{ol}(C_2)\right) - 2\beta \left(\text{deg}(v_i, C_1) - \text{deg}(v_i, C_2)\right) \]
(24)
For each node \( i \), both expressions (23) and (24) can be computed in \( O(k_i) \) time, where \( k_i \) is the unweighted degree of \( i \).
At no point during the algorithm should the complete QUBO matrix be formulated. This also applies to the process of evaluating a given solution. In other words, evaluating the modularity for the Community Detection Problem or edge-cut together with penalty term for the Graph Partitioning Problem should be done in \( O(1) \) time and space. The term is
\[ s^T \mathbb{v} \mathbb{v}^T s = \left(V\text{ol}(C_1) - V\text{ol}(C_2)\right)^2 \]
where as
\[ s^T As = 2(|E| - 2\text{cut}). \]
Therefore,
\[ s^T (\alpha \mathbb{v} \mathbb{v}^T - \beta A)s = \alpha \left(V\text{ol}(C_1) - V\text{ol}(C_2)\right)^2 - 2\beta (|E| - 2\text{cut}) \]
(25)
and
\[ s^T \left(\frac{1}{2|E|} \mathbb{k} \mathbb{k}^T - A\right)s = \frac{1}{2|E|} \left(\text{Deg}(C_1) - \text{Deg}(C_2)\right)^2 - 2(|E| - 2\text{cut}) \]
(26)
where equations (25) and (26) give the formulations for computing the modularity and edge-cut with corresponding penalty value respectively without creating the QUBO matrix.
Algorithm 1 Multilevel Quantum Local Search
function ML-QLS(G, problem_type)
if problem_type is modularity then
G = UpdateWeights(G)
$G_0, G_1, \ldots, G_k$ = KahIPCoarsen(G)
if $|V_k| \leq \text{HardwareSize}$ then
// solve directly
QUBO = FormulateQUBO($G_k$)
solution = SolveSubproblem(QUBO)
else
// use QLS
initial_solution = RandomSolution($G_k$)
solution = RefineSolution($G_k$, initial_solution)
for $G_i$ in $G_{k-1}, G_{k-2}, \ldots, G_0$ do
projected_solution = ProjectSolution(solution, $G_i$, $G_{i+1}$)
solution = RefineSolution($G_i$, projected_solution)
return solution
function RefineSolution($G_i$, projected_solution)
solution = projected_solution
while not converged do
$\Delta Q = \text{ComputeGains}(G_i, \text{solution})$
$X = \text{HighestGainNodes}(\Delta Q)$
QUBO = FormulateQUBO($X$)
// using IBM UQC or D-Wave QA
candidate = SolveSubproblem(QUBO)
if candidate > solution then
solution = candidate
return solution
3.3 Algorithm Overview
Now we can combine the building blocks described in the previous two subsections. Let $G = (V, E)$ be the problem graph. ML-QLS begins by coarsening the problem graph. During the coarsening stage, for some integer $k$, a hierarchy of coarsened graphs $G = G_0, G_1, \ldots, G_k$ is constructed. In this work, we used the coarsening tools implemented in KahIP Graph Partitioning package [80]. We used the coarsening implementation that is performed using maximum weight matching with “expansion”$^{2n}$ metric as described in [36]. The maximum edge matching is found using the Global Path Algorithm [36]. In the next step, a QUBO is formulated for the smallest graph $G_k$ and solved on the quantum device. If $|V_k|$ is greater than the hardware size\footnote{more specifically, greater than the maximum number of variables in a problem that can be embedded on the device}, QLS [88] with a random initialization is used to solve for $G_k$. Then, the solution is iteratively projected onto finer levels and refined using QLS. The algorithm overview is presented in Alg. 1.
For the Graph Partitioning Problem, the initial weight of each node is one by definition, therefore coarsening of the nodes keeps the total node volume constant at each coarsening level. For the Community Detection Problem, the initial weight of each node is set to the degree of the node. This ensures that the size of the graph (total number of weighted edges) is also kept constant at each level. Note that Graph Partitioning is defined with respect to total node volume ($|V|$), while modularity is defined with respect to the size ($|E|$, the total number of weighted edges) of the graph.
3.4 Addressing the Limited Precision of the Hardware
One of the subproblem solvers we used in this work is Quantum Annealing, which we ran on the LANL D-Wave 2000Q machine. The D-Wave 2000Q is an analog quantum annealer with limited precision. In this work, we used a simple coarsening that constructs coarser graphs by aggregating nodes at a finer level to become a single node at the coarser level (i.e. many nodes on the finer level are merged into one node at the coarser level, with the volume of the new node set to be the sum of the volumes of the nodes on the coarser level). This causes the precision required to describe the node volumes and edge weights for coarser graphs to increase dramatically, especially for the large scale problems. Thus, a QUBO describing the coarsest graph could require significantly more precision to represent compared to the finest graph. For example, in Graph Partitioning where the QUBO problem to be minimized is $A - \alpha vv^T$, the range of values in the matrix $A$ increase at a different rate than the range of values in the matrix $vv^T$ during the coarsening process, increasing the precision required to describe the overall QUBO formed at each level (see an example on Fig. 2a). Thus, if the QUBO $A - \alpha vv^T$ is directly scaled to accommodate the limited precision of the device, the quality of the results can suffer. In our experiments, we observe that directly scaling the QUBO returned feasible, but low quality solutions. In order to overcome this challenge, for the problems solved on the D-Wave device, we first scaled the matrices $A$ and $\alpha vv^T$ separately, and then formed the QUBO to be optimized. This approach then resulted in achieving results with high quality solutions on the D-Wave device.
4 EXPERIMENTS AND RESULTS
Implementation. The general framework for ML-QLS is implemented in Python 3.7 with NetworkX [32] for network operations. We have used the coarsening algorithms available in the KaHIP Graph Partitioning package [80] which are implemented in C++. The code for the general ML-QLS framework is available on GitHub [1].
Systems. The refinement algorithms presented in this work require access to NISQ devices capable of solving problems formulated in the Ising model. To this end, we have used the D-Wave 2000Q quantum annealer located at Los Alamos National Laboratory, as well as IBM’s Poughkeepsie 20 qubit quantum computer available on the Oak Ridge National Laboratory IBM Q hub network together with the high-performance simulator, IBM Qiskit Aer Simulator [8]. However, our framework is modular and can easily be extended to utilize other novel quantum computing architectures as they become available.
The D-Wave 2000Q is the state-of-the-art quantum annealer at this time. It has up to 2048 qubits which are laid out in a special graph structure known as a Chimera graph. The Chimera graph is sparse, thus the device has sparse connectivity. Fully connected graphs as dense problems need to be embedded onto the device, which leads to the maximum size of 64 variables. We have used the embedding algorithm described in [12] to calculate a complete embedding of the 64 variable problem. We found this embedding only once and reused it during our experiments. We utilized D-Wave’s Solver API (SAPI) which is implemented in Python 2.7, to interact with the system. The D-Wave system is intrinsically a stochastic system, where solutions are sampled from a distribution corresponding to the lowest energy state. For each subproblem, the best solution out of 10,000 samples is returned. The annealing time for each call to the D-Wave system was set to 20 microseconds.
In order to solve problems formulated in the Ising model on IBM’s Poughkeepsie quantum computer and simulator, we implemented QAOA using the SBPLX [73] optimizer to find the optimal variational parameters. We allowed 2,000 iterations for SBPLX to find optimal parameters for QAOA. At each iteration, the circuit is executed 5,000 times (5,000 “shots”) to obtain the statistic on the objective function. After the optimal parameters are found, the solution corresponding to best of 5,000 samples produced by running the ansatz with optimal parameters is returned. Due to the limitations of NISQ devices available in IBM Q hub network [86], we used the RYRZ variational form [3] (also known as a hardware-efficient ansatz) as the ansatz for our QAOA implementation. For the experiments run on IBM quantum device Poughkeepsie, we perform the variational parameter optimization on the simulator locally and run QAOA on the device via the IBM Q Experience cloud API. This is done due to the job queue limitations provided via the IBM Q Experience. However, we expect to be able to run QAOA variational parameter optimization fully on a device as more devices are becoming available on the cloud. We have used GNU Parallel [93] for the large-scale numerical experiments performed on the quantum simulator.
Considering the fact that solutions from the NISQ devices and simulator do not provide optimality guarantees, we have also solved various subproblems formulated in the Ising model using the solver Gurobi [64] together with modeling package Pyomo [35]. The results using Gurobi as a solver for each subproblem are denoted as “Optimal” in our plots. Note that while each subproblem was solved and proven to be optimal for subproblem size 20, the same is not always true for subproblem size 64. For subproblem size 64 we occasionally observe non-zero gaps.
Instances. A summary of the graphs used in the experiments together with their properties is presented in Table 1. For the Graph Partitioning Problem, we evaluate ML-QLS on five graphs, four of which are drawn from The Graph Partitioning Archive [90] (4e1t, bcsttk30, cti and data) and one from the set of hard to partition graphs (vsp_msc10848_300sep_100in_1kout, denoted in figures as SSS12) [78]. For the Modularity Maximization Problem, we evaluate ML-QLS on six graphs. The graphs roadNet-PA-20k and opsahl-powergrid are real-world networks from the KONECT dataset [51]. Graphs msc23052 and finan512-10k are taken from the graph archive presented in [79]. The graphs finan512-10k and roadNet-PA-20k are reduced to 10,000 and 20,000 nodes respectively by performing a breadth-first search from the median degree node. Note that due to the high diameter of these networks and their
| Network name | $|V|$ | $|E|$ | $d_{\text{avg}}$ | $d_{\text{max}}$ |
|--------------------|-------|--------|------------------|------------------|
| SSS12 | 21996 | 1221028| 111.02 | 722 |
| 4elt | 15606 | 45878 | 5.88 | 10 |
| bcssstk30 | 28924 | 1007284| 69.65 | 218 |
| cti | 16840 | 48232 | 5.73 | 6 |
| data | 2851 | 15093 | 10.59 | 17 |
| roadNet-PA-20k | 20000 | 26935 | 2.69 | 7 |
| opsahl-powergrid | 4941 | 6594 | 2.67 | 19 |
| msc23852 | 5722 | 103391 | 36.14 | 125 |
| finan512-10k | 10000 | 28098 | 5.62 | 54 |
Table 1. Properties of the networks used to evaluate ML-QLS. $d_{\text{avg}}$ is average degree, $d_{\text{max}}$ is maximum degree
| Network name | $|V|$ | $|E|$ | $d_{\text{avg}}$ | $d_{\text{max}}$ | $\gamma$ | $\beta$ | $\mu$ |
|--------------------|-------|--------|------------------|------------------|----------|---------|-------|
| GirvanNewman | 10,000| 75,000 | 15.0 | 15 | 1 | 1 | 0.1 |
| lancichinett1 | 10,000| 76,133 | 15.22 | 50 | 2 | 1 | 0.1 |
Table 2. Properties of synthetic networks used in the Modularity evaluation. $d_{\text{avg}}$ is average degree, $d_{\text{max}}$ is maximum degree, $\gamma$ is the exponent for the degree distribution, $\beta$ is the exponent for the community size distribution and $\mu$ is the mixing parameter. For a detailed discussion of the parameters the reader is referred to Ref. [52]
structure (portfolio optimization problem and road network), this preserves their structural properties. GirvanNewman is a synthetic graph generated using the model introduced by Girvan and Newman (GN) [30]. The graph lancichinett1 is a synthetic graph generated using a generalization of the GN model that allows for heterogeneity in the distributions of node degree and community size, introduced by Lancichinetti et al. [52]. Table 2 shows the parameters used to generate the synthetic graphs.
**Experimental Setup.** Our experiments are performed in order to compare the solutions from ML-QLS with those of high-quality classical solvers, and the best known results, if available. For the Graph Partitioning Problem, the results are compared to those produced by KaHIP [80] which is a state-of-the-art multilevel Graph Partitioning solver. The best known results are taken at The Graph Partitioning Archive [90] where applicable. In order to make our approach more comparable to KaHIP, we follow the user guide [4], and use the kaHIPe version of the solver with the option --mh_enable_kabaP for high quality refinement for perfectly balanced parts. We use the option --preconfiguration=fast to ensure results are compared with a single V-cycle. Our results (cut values) are normalized with either the best known value when applicable or by the smallest cut value found by any of the solvers used.
For the Modularity Maximization Problem, we compare our solutions using ML-QLS with two classical clustering methods, Asynchronous Fluid Communities [67] (implemented in NetworkX [32]) and Spectral Clustering [89, 99] (implemented in Scikit-learn [68]). Note that even though these methods solve the same problem (namely, Community Detection or clustering), they do not explicitly maximize modularity. Therefore, it is unfair to directly compare the modularity of the solution produced by them to ML-QLS, which is explicitly maximizing modularity. However, they provide a useful baseline. Moreover, since the maximum possible modularity for at most 2 communities is 0.5, the best solutions found by all methods are no more than 1%–10% away from the optimal (see Table 3).
| Network name | Best modularity |
|----------------------|-----------------|
| finan512–10k | 0.499 |
| GirvanNewman | 0.459 |
| lancichinettil | 0.452 |
| msc23052 | 0.499 |
| opsahl–powergrid | 0.497 |
| roadNet–PA–20k | 0.499 |
Fig. 3. Highest modularity value found by all methods for a given problem. The highest possible modularity value for at most 2 communities is 0.5.
The experimental results are presented in Figure 4. We have made all raw result data available on Github [2]. For each problem and method (except for QAOA on IBM Q Poughkeepsie quantum computer, labeled “QAOA (IBMQ Poughkeepsie)” in Figure 4), we perform ten runs of a single V-cycle with different seeds. For “QAOA (IBMQ Poughkeepsie)”, we perform just one run per each problem due to the limited access to quantum hardware.
Observations. We observe that ML-QLS is capable of achieving results close to the best ones found by other solvers for all problems. For Graph Partitioning, Figure 4 shows significant variability in the quality of the solution across different solvers and problem instances. This effect is also observed for the state-of-the-art Graph Partitioning solver KaHIP, when run for a single V-cycle. This is partially due to the fact that we normalize the objectives to make them directly comparable. For example, for the graph 4e1t the best known cut value presented in The Graph Partitioning Archive [90] is 139. Therefore, an absolute difference of 28 edges in cut obtained by a solver translates into a 20% relative difference presented in Figure 4. However, the same absolute difference of 28 edges would translate into ≈ 0.44% for the graph bcsstk30 (best known cut 6394). The graph S5512 is specifically designed to be hard for traditional Graph Partitioning frameworks [78]. This explains the high variation in the performance of KaHIP on it.
It is worth noting that QAOA on the IBM quantum computers (see “QAOA (IBM Q Poughkeepsie)” in Figure 4) takes more iterations to converge to a solution compared to D-Wave. This is partially due to the fact that we perform the QAOA variational parameter optimization on the simulator and only run once with the optimized parameters on the device. As a result, the learned variational parameters do not include the noise profile of the device, limiting the quality of subproblem solutions. As devices become more easily available, we expect to be able to run full variational parameter optimization on the quantum hardware.
To project the performance improvements for future hardware, we simulate the performance of ML-QLS as a function of hardware (subproblem) size shown in Figure 5. As the subproblem size increases, the average quality of the solution found by ML-QLS improves and variation in results decreases. This shows that performance of ML-QLS can be improved as larger size quantum devices and better quantum optimization routines are developed. Note that this makes the assumption that the subproblem is solved to optimality or to a solution that is close to optimal. Evaluating the scaling of quantum optimization algorithms used for solving the subproblems falls outside of the scope of this paper (we provide an overview of relevant recent results in Sec. 2.3).
4.1 Scaling and running time estimates
The proposed ML-QLS approach is based on the traditional multilevel methods for graph partitioning and graph clustering and therefore a lot of scaling and running time considerations are shared between the two family of methods. Concretely, in our implementation we use the coarsening available in KaHIP graph partitioning package [80], making
Fig. 4. Quality of the solution and the number of iterations for all problems and solvers. The height of the bars is the median over 10 seeds. Error bars (black) are 25th and 75th percentiles. For the objective function (Cut or Modularity) all results are normalized by the best solution found by any solver (for Graph Partitioning this includes the best known cuts from The Graph Partitioning Archive [90]). Number of iterations is the number of calls to the subproblem solver (ML-QLS only).
Fig. 5. Modularity (Approximation ratio) as the function of the size of the subproblem (hardware size). The performance is projected using Gurobi as the subproblem solver. Fig. 5a presents the mean approximation ratio averaged over the entire benchmark. Fig. 5b presents the standard deviation. As the hardware size increases, the quality of the solution found by ML-QLS improves.
Fig. 6. The number of iterations (calls to optimizer) to solution for the modularity maximization problem as a function of problem size. The performance is projected using Gurobi as the subproblem solver with subproblem size 20 and allowing it to solve each subproblem to optimality, as well as using D-Wave as the subproblem solver with subproblem size 64. For Gurobi, the subproblem size was limited to 20 to guarantee that each subproblem is proven to be solved optimally.
the problem on the coarsest level does not scale with problem size, as the size of the coarsest level is fixed to be equal to the hardware size. Therefore in this section we will focus on the analysis of the refinement stage.
To evaluate how the proposed approach scales with the problem size, we construct a series of graphs with the number of nodes ranging from 1,000 to 128,000. The graphs are constructed in the same way as the graph roadNet–PA–20k, namely by performing a breadth-first search from the median degree node of roadNet–PA [50] and including nodes until the desired size is reached. We fix the subproblem size to 20 for Gurobi and to 64 for D-Wave. The results are presented in Fig. 6. We note that the number of iterations scales roughly logarithmically with the problem size, as we observe roughly constant number of iterations per uncoarsening level. As we do not constrain the number of refinement iterations, this indicates that the solution projected from coarser levels is of high quality and does not need to be significantly changed at the refinement stage, indicating that the coarsening has successfully constructed a multilevel hierarchy that preserves problem structure. The success of coarsening in this example might be due to the simplicity of the problem structure (planar graph of a road network). However, in all major multilevel solvers the number of refinement calls is artificially limited, preserving the scaling (see Sec. 2.5 for an in-depth discussion).
Due to the high overhead of queuing system and remote execution on cloud quantum computers, the actual observed running time in our experiments is not representative of the algorithm performance. To give the reader a sense of the running time of our approach, we use the number of iterations to solution presented in Fig. 4 and 6 to compute rough estimates of the running time of the algorithm. To do that, we briefly discuss the running time of QAOA and quantum annealing for our problems. We observe that as the running time of coarsening is approximately 1 second for the problems in our benchmark, the overall running time is dominated by refinement. Same is true of this class of multilevel algorithms in general (see Sec. 2.5).
To understand the running time of QAOA, we need to understand two of its components: the “training time” (time to find good QAOA parameters) and the “execution time” (time to sample from QPU with optimal parameters). In this work, we train our variational quantum optimizer (which can be considered a version of QAOA as described in Section 2.2) purely classically in simulation. This results in running time of ≈ 300 seconds for 20 qubits and 2000 iterations of outer-loop optimization using quantum simulator Qiskit Aer and these runtimes can be improved using other more efficient state-vector simulators [103]. However, this approach becomes unrealistic as problem size grows. While novel tensor-network based approaches allow purely classical training of certain class of QAOA instances [91], they are not applicable to the problems considered in this paper due to the full connectivity of the problem. Therefore there are currently no viable approaches to classically training QAOA for larger modularity and graph partitioning problems. Running time for larger problems can be estimated by taking the “execution time” and multiplying it by number of iterations of outer-loop optimization. At the time of writing, IBM Quantum Experience did not allow us to directly measure the execution time of the quantum circuit with optimal parameters. Therefore we use the running time reports available in the literature, from which we estimate the walltime of ≈ 1s for 5,000 shots [9, 41]. Combined with the purely classical training time reported above, for a problem that takes 60 iterations to solve (e.g. modularity maximization for 4e1t), this gives projected running time of ≈ 30 minutes. The actual running time observed in experiment has been larger due to the additional overhead introduced by the queue system (up to hours per iteration, depending on queue state).
For Quantum Annealing on the D-Wave system, the overall running time spent on the device is directly proportional to the number of iterations of the algorithm as reported in Figure 6. For a fixed annealing time, and number of samples requested, the running time on the device is approximately constant per iteration. For an annealing time of 20 microseconds, together with 1000 samples, in our experiments we observed an overall running time of approximately 5
seconds for the 15 iterations when applied to the graph of 1000, while taking about 15 seconds when applied to the graph of approximately 127,000 nodes.
5 OPEN PROBLEMS AND DISCUSSION
Revising (un)coarsening operators in anticipation of the new class of high-quality refinement solvers is the first major open problem. The majority of multilevel algorithms for combinatorial optimization problems are inspired by the idea of “thinking globally while acting locally”. However, there is a crucial difference between these algorithms for combinatorial problems and such methods as multigrid for continuous problems or multiscale PDE-based optimization. In multigrid (e.g., for systems of linear equations), a relaxation at the uncoarsening stage is convergent [14], and in most cases assumes an optimal solution (up to some tolerance) for a subset of relaxed variables given other variables are invariant (i.e., a fixed solution for those variables that are not in the optimized subset). Examples include easily parallelizable Jacobi relaxation, as well as hard to parallelize Gauss-Seidel relaxation in which most variables are typically optimized sequentially, and many more. Both coarsening and uncoarsening operators (also known as the restriction, and prolongation in multigrid) assume this convergence which in the end provides guarantees for the entire multilevel framework. However, for the combinatorial multilevel solvers, the integer variables make this assumption practically impossible, even for subproblems containing tens of variables optimized simultaneously. With the development of less noisy quantum devices, we can assume that in our hands will be extremely fast heuristics to produce nearly (if hypothetically not completely) optimal solutions for combinatorial optimization problems of up to several hundreds of variables. In order to use the multilevel paradigm correctly, there will be a critical need to revise (un)coarsening operators that take this feature into account because (to the best of our knowledge) all existing versions of coarsening operators do not consider optimality of the refinement. Moreover, most existing multilevel frameworks exhibit more emphasis on computational speedup rather than on the quality of the solution to better approximate the fine problem.
The second problem is not unique to multilevel methods but to most decomposition based approaches. Even if quantum devices become fully developed and become more accessible for the broad scientific community, they will still remain more expensive than regular CPU based devices. The decomposition approaches split the problem into many small local subproblems, while multilevel methods may need even more of them because solving subproblems is required at all levels of coarseness. Thus, there is a critical need in developing an extremely fast routing classifier for a subproblem that will decide whether solving a particular subproblem on the NISQ device will be beneficial in comparison to the CPU.
The third consideration is the sparsity of the problem. The methods outlined in this work are evaluated on sparse problems, and we expect them to perform well only under the assumption on sparsity of the problem. We make this assumption because the standard benchmarks for the problems we consider are sparse (see, for example, The Graph Partitioning Archive [90] and DIMACS Graph Partitioning and Graph Clustering Challenge [10, 81]). Development of decomposition methods specifically targeting dense problems is an interesting future direction. Typically, in existing multilevel solvers, the fact of density at some level serves as a stopping criterion, i.e., when the problem is originally dense, the multilevel hierarchy construction is terminated which is clearly insufficient thing to do for many distributions of accumulated edge weights. In other words, this problem exists not only for multilevel quantum but for classical solvers as well. In multilevel algorithms, the problem density requires a different approach such as sparsification [39].
6 CONCLUSION
Current Noisy Intermediate-Scale Quantum (NISQ) devices are limited in the number of qubits and can therefore only be used to directly solve combinatorial optimization problems that exhibit a limited number of variables. In order to overcome this limitation, in this work we have proposed the multilevel computational framework for solving large-scale combinatorial problems on NISQ devices. We demonstrate this approach on two well-known combinatorial optimization problems, the Graph Partitioning Problem, and the Community Detection Problem, and perform experiments on the 20 qubit IBM gate-model quantum computer, and the 2048 qubit D-Wave 2000Q quantum annealer. In order to implement an efficient iterative refinement scheme using the NISQ devices, we have developed novel techniques for efficiently formulating and evaluating sub-QUBOs without explicitly constructing the entire QUBO of the large-scale problem, which in many cases can be a dense matrix that makes it computationally expensive to store and process. In our experiments, for the Graph Partitioning Problem, five graphs were chosen such that the smallest graph had 2851 nodes while the largest had 28924 nodes, while for the Community Detection Problem, the smallest graph had 4941 nodes and largest had 10,000 nodes. For both problems, for comparison purposes, we run one V-cycle of the multilevel framework with the different NISQ devices multiple times and compared the results to the state-of-art methods. Our experimental results give comparable results to the state-of-the-art methods and for some cases we were able to get the best-known results. This work therefore provides an important stepping stone to demonstrating practical Quantum Advantage. As the capabilities of NISQ devices increase, we are hopeful that similar methods can provide a path to adoption of quantum computers for a variety of business [24] and scientific applications.
ACKNOWLEDGMENTS
The authors thank anonymous referees whose valuable comments helped to improve this work. This work was supported in part with funding from the Defense Advanced Research Projects Agency (DARPA). The views, opinions and/or findings expressed are those of the author and should not be interpreted as representing the official views or policies of the Department of Defense or the U.S. Government. This work was supported in part by NSF award #1522751. High-performance computing resources at Clemson University were supported by NSF award MRI #1725573. This research used resources of the Oak Ridge Leadership Computing Facility, which is a DOE Office of Science User Facility supported under Contract DE-AC05-00OR22725. This research also used the resources of the Argonne Leadership Computing Facility, which is DOE Office of Science User Facility supported under Contract DE-AC02-06CH11357. Yuri Alexeev and Ruslan Shaydulin were supported by the DOE Office of Science. The authors would also like to acknowledge the NNSA’s Advanced Simulation and Computing (ASC) program at Los Alamos National Laboratory (LANL) for use of their Ising D-Wave 2000Q quantum computing resource. LANL is operated by Triad National Security, LLC, for the National Nuclear Security Administration of U.S. Department of Energy (Contract No. 89233218NCA000001). Susan Mniszewski and Christian Negre were supported by the ASC program at LANL. Assigned: Los Alamos Unclassified Report 19-30113.
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A D-WAVE TIMING RESULTS
For Quantum Annealing on D-Wave, each iteration of the refinement process requires the execution of a single Quantum Machine Instruction (QMI) which includes the QUBO parameters and annealing-cycle parameters sent to the D-Wave system for processing. The total time accessing the QPU (QPU Access time) for a single QMI can be broken down into 4 parts. The first is the one-time initialization step to program the QPU performed at every independent QPU call. Then for each sample requested we have the following times. The annealing time, followed by the time needed to wait for the QPU to regain its initial temperature, referred to as the QPU Delay Time, and lastly the time needed to read the sample from the QPU referred to as the QPU Readout Time. In other words,
\[
qpu\_access\_time = qpu\_programming\_time + N \ast (annealing\_time + delay\_time + readout\_time)
\]
(27)
where \(N\) is the number of samples requested in a single QMI. The timing \(N \ast (annealing\_time + delay\_time + readout\_time)\) is referred to as the QPU Sampling time. In our experiments we request 1000 samples for each QMI and fixed the annealing time to 20µs per sample. The annealing time as a user parameter can be either increased or reduced. However significantly reducing this parameter could greatly affect the QPU’s ability to find lower energy states, thus affecting the number of iterations of refinement algorithm, and subsequently the entire outcome of the method. In order to test and demonstrate scalability of the proposed approach on the D-Wave system, similar to the experiments presented in Figure 6, we varied the number of nodes for a road network graph from approximately \(10^3\) nodes up to \(10^5\) nodes and computed the maximum modularity of each graph. Similar to the case in Figure 6 where each QUBO was solved up to optimality we observe a logarithmic scaling in the number of calls to the D-Wave system (number of iterations) as shown in Figure 6. Figure 7 gives a breakdown of the total time (Total QPU Access time) for all iterations to compute the modularity for a given input graph where the smallest graph with approximately 1000 nodes required a QPU Access time of 5 seconds while the largest graph with approximately 127,000 nodes required a QPU Access time of approximately 15 seconds. However, the majority of the QPU Access time was actually in the QPU Readout time. Requiring less than 2 seconds of total annealing time for 1000 samples is an impressive result for a graph of approximately 127,000 nodes. This time could be significantly trivially reduced by requesting a smaller number of samples per iteration, however this may affect the solution quality. Note that the QPU Access time is a linear function...
in the number of iterations of the refinement method. Due to the heuristic nature of the proposed approach, the total number of iterations by itself is not a strictly increasing function in the number of nodes of the input graph. Thus for example, we observe in Figure 6, the number of iterations is not a strictly increasing function and the graphs with $2K$ and $8K$ nodes required a smaller number of iterations than the graphs with $1K$ and $4K$ nodes respectively. This is subsequently observed in the running times as shown in Figure 7.
Fig. 7. D-Wave timing results showing a breakdown of the total time accessing the QPU as the problem size represented by the number of nodes of the graph increases. |
Hey Folks, new to the area?
Where to go...what to do?...
Find it right here in The Village View!
Serving the villages of Canadensis, Cresco, Buck Hill Falls, Mountainhome, Tannersville, Swiftwater, Scotrun and Mount Pocono
LOOK INSIDE FOR INFORMATION ON THE FOLLOWING SERVICES
Art Galleries
Veterinarian
Exterminator
Notary
Garage Doors
Cafes
Live music
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Cleaning Service
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Log Homes
Roofing
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..and much more
Tools
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...and More!!
Steele's ACE Hardware
Tannersville 570.629.3406
Cresco 570.595.2501
www.SteelesHardware.com
the Gift Shop at Steele's
come visit us at our Cresco Location
Summer is here, the Poconos are full!
If you are thinking of selling NOW is the time!
Thinking of Selling? Call Diane!
Thinking of Buying? Call Diane!
Just thinking?? Call Diane
RE/MAX of the Poconos
1111 N. 5th Street Stroudsburg
570-421-2345
Diane Edwards,
570.269.9031
570.421.2345
Monroe Hearing Aid Center
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Visit our showroom to see the great selection of flooring we carry & schedule your free estimate!
(570) 595.7066 | email@example.com
984 Route 390, Cresco, PA 18326
Well, it’s that time of year again when the kids go back to school, and the graduates go on to college.
Our son, Ryan, is in his third year at college, and this year after living in the campus dorms for the first two years, decided to get an apartment with three other fraternity brothers.
All summer this was the main topic of conversation, as he anxiously awaited August 23, the big day when he could move in. He scoured around our attic for old pots, pans, dishes, and any other item that could be considered useful in an apartment.
Meanwhile, his mother was viewing this from a totally different perspective. To her, this meant that he would not be coming home next summer, as he now has his own home, and weekends would be limited to coming here only when necessary. Several tears were shed whenever the topic came up, and I, being in the middle of all this, trying to share in Ryan’s excitement, without making his mother feel like I actually approve of his new venture, felt like our floors were made of fresh eggs. It’s not an easy job being husband and father at times like this.
Patti, meanwhile, graciously accepted his decision, and reaching into her mothering instincts, went about doing everything she could to make sure he had everything he would need for his new “pad.”
When the day came to move into his new apartment Patti and our daughter Heather decided they would help move by driving our van loaded with his new belongings, and do what they could to help him settle in. I would have been there to help also but other commitments made this impossible.
Now, Patti, like most mothers, has done her best throughout her children’s lives to make a comfortable home for them to grow up in. She always made sure our home was clean, safe, and “homey.”
When they got to the new apartment, she was slightly taken back by the size of it. It seems that his bedroom, that he was sharing with another lad, was not about to accommodate all the “stuff” that they had to bring in. Also, the hallway was so small, that as the other boys were bringing in a couch, they turned a corner and forcibly made a last ditch effort to get the couch through the narrow passageway. This was not to be, as the legs stuck into the wall. There it hung, like a work of art.
Now, the problem was they couldn’t get it out either, for there was no room to “back it out.”
Being that a saw wasn’t thought of as being a requirement for an apartment, a quick trip to the hardware store was called for. Off came the legs.
After moving the legless couch into its final position in the “living room,” the legs came out of the wall and were laid on the seat of the couch to be re-installed at a later date. Then the wall was patched, sort-of.
When Patti and Heather came home with the “tales of the apartment from hell,” along with, “he won’t like it there, he’s not used to being in such a cooped up place,” and “he’s going to be homesick for his own bedroom,” I just nodded my head in agreement like a good husband would do.
But, going back in time, I kind of remember my thinking when I was Ryan’s age, my reaction would’ve been “Wow!! my very own apartment. This is it!! I’m on my own!! Freedom! Freedom! Freedom! No one to tell me to keep my room clean, no one to tell me not to stay out late, no one to supervise my comings and goings.”
I want to tell Patti that no matter what she thinks of his apartment, he is one happy dude right now, and as to the size restrictions, HE DOESN’T CARE! But of course I just nod my head and listen. After all, this is all part of the growing up cycle, and who am I to throw it out of rotation.
Pocono Historic Trolley Tour Now Operating from Original Stop
Collaborative effort marks return of trolley services nearly a century later
August 3, 2022 – The Pocono Historic Trolley Tour, offered by Pocono Day Tripper, is now operating from The Historic Castle Inn in Delaware Water Gap, marking the first time in 94-years that trolley services have returned to what was once an original stop along a busy tourism route.
Now in its second season, the hour-long, narrated tour takes riders to local landmarks from Shawnee on Delaware to Portland and places in between. Guests are picked up and dropped off at The Historic Castle Inn, a once critical stop along the Stroudsburg/Water Gap/Portland trolley route, which ran through 1928.
In its heyday, Delaware Water Gap was the country’s second most popular inland tourist destination, hosting 500,000 visitors annually. While the nearby train station transported tourists from major metropolitan areas, the trolley line ran locally among dozens of hotels and inns. The Historic Castle Inn was the last grand resort built in Delaware Water Gap, and the area’s first with running spring water and electricity.
“The Pocono Historic Trolley Tour provides a ride down memory lane, all from the comfort of a recently-restored, open-air trolley dating back to the 1980s,” said Peter Luck, owner of Pocono Day Tripper. “This effort to bring history full circle was a collaboration between two local businesses, whose shared mission is to preserve the Poconos’ past, as well as the borough of Delaware Water Gap. I am thankful to all who saw the vision and helped bring it to life.”
Tours are offered mid-week and weekends, April-October. Tickets are available for purchase at The Historic Castle Inn and online at PoconoDay-Tripper.com.
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**2022 Township Clean-up**
8am – 12pm
May 7, 2022 ● June 4, 2022 ● July 9, 2022
August 6, 2022 ● September 10, 2022 ● October 1, 2022
Items accepted ONLY on these dates/times. Please no calls during the week.
| Items | Rates |
|------------------------------|----------------|
| Automobile Load | $10.00 |
| SUV or Mini-Van or Small Pick-Up | $30.00 |
| Full Size Pick-Up Load | $40.00 |
| One-Ton Load | $50.00 |
| Utility Van | $60.00 |
| Single Axle Dump | $75.00 |
| Tires (car & small truck) | $10.00 ea. |
| Tires (20” and larger) | $15.00 ea. |
| Rims | $5.00 ea. |
| Fridge, freezer, AC | $55.00 |
| Box Vans U-Hauls 6-8 ft | $50.00 |
| Box Vans U-Hauls 8-10 ft | $80.00 |
| Trailer (8ft or smaller) | $40.00 |
| Trailer (longer than 8 ft) | $60.00 |
| Anything enclosed over 10 ft| $150.00 |
No charge for TV’s, CRV’s, Monitors etc.
PLEASE NOTE: Electronic devices covered under the Covered Device Recycling Act (computers, TVs, monitors, printers, laptops, etc.) are accepted free of charge. Vehicles containing only covered electronic devices will not be charged a load fee.
Clean-Up takes place at the Barrett Township Maintenance Facility, 194 Sandspring Rd, Cresco, PA. Clean-up is for Barrett Township residents only. Must show valid ID when checking in.
**Items NOT Accepted:** Household Trash, Oils/Chemicals etc., Paint Cans
Note: All Loose Screws/Nails must be in a container.
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PLEASE NOTE: We can no longer accept cash payments over $50. Make checks payable to: Barrett Township
Can you believe the SPAM® Brand is celebrating its 85th birthday this July? It’s a classic ingredient with a proven track record of making delicious dishes, which explains its continued popularity worldwide. More than 9 billion cans have been produced around the world and sold in 48 countries, where it is known as the SPAM® Brand, no matter the language!
From the late 1930s to today, the brand has made an iconic evolution from a wartime delicacy to a trending ingredient on TikTok, a 16,000 square foot museum, a celebrity chef staple, an annual Hawaiian street festival and so much more. During its 85-year reign, SPAM® products have consistently been used to create delicious meals and snacks from home cooking to fine dining – all while inspiring, celebrating and connecting consumers around the world.
If you haven’t prepped SPAM® products before or if it has been a while, check out these four tips for cooking with this beloved ingredient.
1. Choose a flavor
While you might be most familiar with SPAM® Classic, there are eleven SPAM® varieties to complement and elevate any dish.
If you’re in the mood for something sweet yet savory, try SPAM® Teriyaki. If you’re in the mood for something spicy, SPAM® Jalapeno may be just what you’re looking for to make an afternoon snack like nachos really pop.
Other flavors include bacon, turkey and hickory smoked. No matter what you’re craving, there’s a flavor for you. Try a few out and see which ones you prefer based on your tastes and preferences.
2. Decide on a dish
Now that you’ve chosen a flavor, it’s time to decide on a dish. The great thing about SPAM® products is that they’re incredibly convenient so you can throw together a quick meal or snack for your friends and family.
An excellent and easy recipe for a mid-week dinner or as a utensil-free meal for an outdoor gathering is SPAM® Street Tacos. This creative take on the classic street taco takes only 20 minutes to make, so you can enjoy this tasty treat in no time.
SPAM® products are such a flexible and creative ingredient that you can even make it into a cake. Check out this SPAM® Musubirthday Cake recipe, a creative spin on classic Musubi that is ironically perfect for the brand’s birthday celebration.
3. Don’t slice it too thin or thick
One of the most common mistakes people make when cooking with SPAM® products is not knowing how to slice it to suit a dish. While you may be tempted to create thin slices like a cold cut, you won’t be able to fully enjoy the flavor in your sandwich. On the other hand, you don’t want to slice it too thick either or you might overpower the other sandwich ingredients.
For making stir-fry dishes or adding it to a casserole, it’s a good idea to chop the product into small cubes that are easy to fry or bake quickly. The more you cook it, you’ll discover your preference for how to prepare the meat to suit your meal or snack.
4. Decide how to cook it
While SPAM® products are known for their signature sizzle in the pan, your favorite varieties can be cooked just about any way—frying, baking, boiling, grilling and more. How you cook the product will depend on your chosen recipe and the texture you prefer, but moist and crispy is a fan favorite. A trending and simple way to make crispy SPAM® products is to use an air fryer. All you need to do is cube or slice it, add it to the air fryer basket with some oil, and cook it for about 10 minutes. Once it’s done, you can eat it on its own as a snack or add to a salad or as a breakfast side dish.
No matter what flavor or recipe you choose or what preparation and cooking method you use, it’s easy to get creative when cooking with the SPAM® Brand. To find some inspiration and recipes for your next meal, visit SPAM.com/Recipes.
**SPAM® Street Tacos**
**Ingredients:**
- 1 (12-ounce) can SPAM® Classic, sliced into strips
- 1/4 teaspoon ground cumin
- 1/4 teaspoon garlic powder
- 1/4 teaspoon salt
- 1/4 teaspoons chili powder
- 1/4 teaspoon paprika
- 1/4 teaspoon ground black pepper
- 1/4 teaspoon red pepper flakes
- 1 tablespoon olive oil
- 1 (8-ounce) package WHOLLY® Guacamole Classic
- 1 small onion, diced
- 1 small Serrano pepper, seeded and diced
- 1 (10-count) package taco size flour tortillas
- Fresh cilantro, for garnish
**Directions:**
In a bowl, combine the SPAM® Classic, cumin, garlic powder, salt, chili powder, paprika, and black pepper, then set aside.
In a large skillet, heat oil and cook the SPAM® Classic until lightly browned. Add seasoning and continue to heat for 1-2 minutes.
Place the SPAM® Classic in tortillas with guacamole, onion, and serrano pepper. If desired, garnish with cilantro sprigs.
Greetings Monroe County,
As we continue to deal with everyday life and look to make it simple or enjoyable, there are so many distractions that turn us around from what is important. The struggles of today come from the struggles of yesterday. We should not let yesterday’s issues take us back to a time that was ugly in America.
Monroe County United has 2 upcoming events that take away from the negative and are geared to bring all walks of life together, fellowshipping with one another, interacting with one another, and having candid conversations that will lead to Building Relationships and Breaking Barriers which are essential to our Humanity.
On August 20, 2022, MCU and the Pleasant Valley Presbyterian Church, in Brodheadsville, PA will be hosting the series, Humanity at its Best in our Community. You don’t want to miss it! THIS DISCUSSION WILL BEGIN AT 10:00 A.M till 12 Noon. All are welcome to attend.
This Friday 8/5/22 at 6:30 P.M, the planning committee for our upcoming 2nd Annual Faith Blue and You event will be meeting at the Wesleyan Church in Stroudsburg. All are welcome to participate.
Attached are Flyers of Community Programs and Events that will make a difference in our community.
We Are Stronger Together
Thank You
Dr. Thomas B. Jones
President
Monroe County United
Please use this form when dropping off items at clean-up
BARRETT TOWNSHIP SUPERVISORS
Phone: 570-595-2602 Fax: 570-595-7550
BARRETT MUNICIPAL BUILDING
995 ROUTE 390 • CRESCO, PA 18326
www.BarrettTownship.com
2022 Spring Clean Up
| May 7 | June 4 | July 9 | Aug 6 | Sept 10 | Oct 1 |
|-------|--------|--------|-------|---------|------|
Name: ____________________________________________________________
Street Address: _______________________________________________________
(please print)
[Physical address of premises NOT mailing address]
Phone: ____________________________________________________________
Automobile Load $10.00 _____ Box Vans U-Hauls 6-8 ft $50.00 _____
SUV, Mini-Van or Small Pick up $30.00 _____ Box Vans U-Hauls 8-10 ft $80.00 _____
Full Size Pick-up Load $40.00 _____ Anything enclosed over 10 ft $150.00 _____
Trailer (8ft or smaller) $40.00 _____
Trailer (longer than 8 ft) $60.00 _____
One-Ton Load $50.00 _____
Utility Van $60.00 _____
Single Axle Dump $75.00 _____
Tires (car & small truck) $10.00 ea. _____
Tires (20” and larger) $15.00 ea. _____
Rims $5.00 ea. _____
Fridge, freezer, AC $55.00 _____
No charge for TV’s
By signing this form, I certify that I am a resident of Barrett Township. I also hereby hold Barrett Township harmless from any injuries or damage that may occur to my person or property while I am on Township property.
_______________________________________________
Signature
Many of the authors I read who have greatly affected me with their words of wisdom and encouragement, incorporate meditation in their daily lives. Some mention this off-handedly while others devote whole chapters to explaining why meditation helps them be their best and find inspiration and peace.
I’ve always wanted to meditate and become one of those calm, peaceful folks who seem to gracefully manage life. (Sadly, the words “calm,” “peaceful,” and “graceful” have seldom - ok, never - been used to describe me.) Since I truly have no idea how to go about learning to meditate, I approached this as I do many things in my life - by visiting Amazon.com. I spent a bunch of time reading reviews about various meditation CD’s until I finally found one that seemed about my speed - sort of a *Meditation for Complete Imbeciles* type thing.
Yesterday the CD arrived and this morning I decided to give it a whirl. I sat cross-legged in bed (it was the closest thing to yoga that my body would agree to) put on my headphones, and prepared to be swept away to whatever blissful place the rest of the meditating world gets to visit. It went something like this:
*Now I’d like you to sit up straight, imagining a cord running along your spine and through your head, pulling you upward.* (Well, THAT doesn’t sound too comfortable. A cord running from my backbone through my skull? Like Pinocchio? Excuse me?) *Notice your breathing. Breathe in deeply. Fully. Deep into your chest. Feel the deep breath. Breathe deeper, deeper.* (My God! When do I get to exhale? This woman is killing me.) *Gently breathe out now, completely, fully.* (Finally!!) *And in that pause between breaths...you will find God.* (What? What pause between breaths? I don’t pause, I just go right on breathing.) *Pause. Pause. Feel God. He is in between the breaths.* (Oh, now I get it. I’ll find God because I’ll be DEAD if I don’t start breathing again.) *Now as you continue your natural breathing, look deep inside and notice....a tiny pin-prick of light.* (Huh? Where?) *Keep watching that small light.* (Wait! Help! I still haven’t seen the pin-prick, for God’s sake!) *See it begin to grow larger?* (No! Shut up for a minute and let me find the pin-prick, already!) *The light is growing and growing. It is beautiful and welcoming.* *Watch the light.* (Oh, man. No light. No damn light. No pin-prick. No growing. No beautiful, welcoming anything. Now what am I supposed to do?) *Become part of the light. Merge with the light. You ARE the light and the light is YOU.* *Feel the beauty.* (OK, this isn’t going well. How can I merge with something I CAN’T DAMN WELL SEE????) *Go deep into the light.* *Relax. Let go.* (Arggg!!!! Seriously…still no light!!!)
After 15 agonizing minutes looking for that %#=$*@! light, I finished up no more inspired, fulfilled, or peaceful than when I started. In fact, one might actually say that just the opposite occurred.
Grumbling, I went to the kitchen, poured a cup of coffee, and walked out to the porch where I deposited my un-enlightened self onto the swing. Then a cool thing happened. As I watched a beautiful cardinal hop from branch to branch across the forest canopy, listened to the far-a-way call of a mourning dove, and felt a soft breeze blow by, everything got very, very calm and steady inside me. It suddenly occurred to me that this lovely morning with its sights and sounds and textures was, in a way, a meditation.
Maybe I hadn’t seen that stupid pin-prick of light or found divinity in between my breaths. It could be that studying at an ashram or following a spiritual guru isn’t going to happen for me and it’s a good bet that I’ll never be mature enough to quiet my mind and simply “listen.”
But I do know this: There are - thank God - many paths that lead to the heart. Some may find peace in nature, some through physical exercise, some by learning new skills, some through artistic expression, and some…by breaking meditation CD’s into tiny little pieces with a hammer.
Firecall
by Charlie
Barrett Township Volunteer Fire Co.
July 2022 alarms
7/1 - 11:39pm - 8 men - 1 truck - vehicle accident - Canadensis Creek Rd.
7/7 - 5:08pm - 6 men - 1 truck - assist station #25 - 1 tanker for structure fire.
7/9 - 6:47pm - 6 men - no trucks - auto alarm - Laurel Grove Ct. - no fire.
7/10 - 1:50am - 5 men - 1 truck - vehicle accident - Rt. 447.
7/11 - 7:40am - 8 men - 1 truck - brush fire - Preacher Hill Rd.
7/11 - 4:44pm - 4 men - no trucks - auto alarm - Rt. 390 - no fire.
7/19 - 6:15pm - 12 men - 1 truck - assist EMS - Fab Circle.
7/20 - 4:06pm - 8 men - 1 truck - tree on wires - Rt. 447 & Spruce Cabin Rd.
7/20 - 5:27pm - 6 men - 1 truck - golf cart rollover - Bunting Rd.
7/22 - 10:34am - 7 men - 1 truck - Med-E-Vac landing - Barrett School.
• 7/22 - 11:26am - 9 men - no trucks - auto alarm - Wychwood Dr. - no fire.
7/27 - 11:45 am - 8 men - 1 truck - assist EMS - Roth Lane.
Pack 89 attended Akelaland Cub Scout summer camp in July.
The Pack has many more Summertime activities. Youth who might be interested in joining Cub Scouts in the fall are invited to attend one or more summertime activities to meet the other Cubs and their families and have fun. If interested in getting more information to participate in a summertime activity or information about the Pack contact Cubmaster Wayne Gross at firstname.lastname@example.org.
Pack 89 is sponsored by the Rotary Club of the Pocono Mountains (http://rotaryclubthepoconomountains.com/) and serves the families of youth in Barrett, Paradise, Coolbaugh Townships, Mt. Pocono Borough, and Newfoundland and other surrounding areas.
Your Hosts
The Pipolo Family
BASSO
Cucina Italiana M.
Restaurant & Wine Bar
570-595-0500
Buratta Salad
Val’s after dinner coffees
Kim’s Peanut Butter Cheesecake
www.bassoitaliana.com
Hours: Tues thru Sat. – 4:30 to 10 pm
Open Sunday and Monday for Private Parties
COME VISIT US
at the
FROG TOWN CHOPHOUSE
OPEN 7 DAYS A WEEK 5PM - 9PM!
Sundays
PRIX FIXE MENU
3 Courses - $29.95
Mondays
HAPPY HOUR SPECIAL
All night happy hour!
Tuesdays
S.I.N. - SERVICE INDUSTRY NIGHT
Tuesdays - Featured drink & 20% off food for those in the service industry
The Frogtown Chophouse
p. 570.895.4460
e. email@example.com
472 Upper Swiftwater Rd., Swiftwater, PA
CHOP LIVE!
Every Thursday @1pm on Facebook Live
RESTAURANT 360 PODCAST!
THEFROG TOWNCHOPHOUSE.COM
Barrett Township Volunteer Fire Co
Chicken B-B-Q
Drive Thru
AND TAKE OUT ONLY
At the FireHouse on rt. 191 Cresco
CANCELLED
Simple, eco-friendly changes matter, all the way down to the toilet seat
(BPT) - From organic bedding to reusable produce bags, there is no shortage of useful, sustainable products made in the United States. You may strive to use these products every day so you can feel good about making a difference for Mother Earth. However, there are many things you use daily that you may not even know can be made sustainably, like your toilet seat.
Think about it: There is one product you use every day that touches your skin in a very direct way and it’s your toilet seat. As you add sustainably made products to your home, make sure to consider your toilet seat, too.
Traditional toilet seats
Most toilet seats are made from wood or plastic, or a combination of the two. Many plastic toilet seats are made from a material called polypropylene, a low-density plastic that is resilient and resists breaking. Other options are made from wood, oftentimes with an enamel coating to protect the wood, provide a smooth surface and a white or cream color.
Many toilet seat manufacturers do not use sustainable practices to reduce waste. Plastic does not decompose and wood may be sourced from forests, causing more trees to be cut down. Additionally, if the toilet seats are produced overseas, this impacts overall carbon output due to the transportation necessary to get the product to the U.S. and distributed to stores.
Eco-friendly toilet seats
Many people are surprised to learn that there are sustainably made toilet seats available and by making this simple choice you’re helping protect the planet. For example, Bemis enameled wood toilet seats like the Weston model are made in the U.S. with eco-friendly processes that respect the environment and leave a forest of trees standing.
How does this happen? Each year the company sources 70 million pounds of scrap wood from Wisconsin window and door manufacturers for use in their products. They also collect 3 million pounds of scrap and 1.5 million pounds of airborne dust from their molding operations. This is ground and blended into wood flour, the main material in their enameled wood seats. Each seat is painted with water-based paint and packaged in recycled and recyclable packaging.
Bemis also purchases over 2.5 million pounds of plastic regrind to incorporate into their durable plastic toilet seats. This innovative process saves 550,000 pounds of waste plastic per year from being landfilled. Going green doesn’t mean sacrificing comfort or quality. Each Bemis sustainably made toilet seat is durable, warmer to the touch than alternatives and designed to be complementary to many decor styles. Learn more at ToiletSeats.com.
5 fun, easy and affordable ways to brighten up your outdoor space
If you love entertaining friends and family outdoors, you’re not alone. Transforming outdoor areas into extended living spaces continues to be a huge trend, as anything and everything from smaller balconies to spacious porches and patios creates an opportunity to expand your home environment well into the evening hours with one crucial design element: lighting.
Lighting an outdoor space can make a world of difference in creating ambience, lending additional functionality to a space or improving aesthetics within a space — making or breaking an evening barbecue, party or intimate gathering. Luckily, lighting choices are one of the most affordable ways you can enhance any area of your home, and outdoors is no exception. Even small changes like swapping your light bulbs creates the perfect opportunity to have some fun and express your personality with different colors and design styles.
“Most homeowners don’t appreciate the power of stylish yet functional light bulbs to make a design statement both inside and out,” said Bethany Wood, senior merchant of light bulbs at The Home Depot.
“The Home Depot’s exclusive light bulb brand EcoSmart was designed to inspire DIYers to create better, brighter room atmospheres. It’s important to choose light bulb features unique to your lifestyle that’ll also allow you to customize your space, from switching through shades of light to match your mood, saving on energy bills with automatic on/off, helping you complete a task or creating your ideal ambience.”
Here are some easy and affordable ways to transform your outdoor areas for effortless warm-weather entertaining.
1. Get the party started
To create an upbeat mood, nothing is more fun and festive than bright, vibrant colors, so consider upgrading your entertaining space with a Color Changing Party LED Light Bulb from The Home Depot. You’ll bring any indoor occasion to life using red, green, blue and yellow light, with five lighting effect options to choose from. EcoSmart light bulbs are equipped with user-friendly and innovative features, meaning you can easily switch between colors using a toggle on each bulb or conveniently cycle between colors with the simple flip of a standard wall switch.
2. Pump up the jam
A party atmosphere isn’t complete without music. Set the tone for an exciting night with your guests and keep them dancing or singing all night long with a Bluetooth Speaker LED Light Bulb. This EcoSmart bulb combines color selectable lighting with Bluetooth technology. Simply connect to your favorite Bluetooth device, without the need for any extra wiring or a hub.
3. Go vintage
Everything vintage and retro style is all the rage right now, but it’s not always easy to create the look and be practical at the same time. One fun option is to use strands of Edison bulbs to give your deck or patio a “bistro” atmosphere. Or if you want a more intimate old-fashioned look, illuminate the night with the warm glow of EcoSmart Flame LED Light Bulbs, which create an alluring ambience by simulating a warm and realistic flickering flame effect without emitting any heat. Better yet, you won’t have to worry about the risk that real flames from candles or torches can bring.
4. Enjoy a bug-free shindig
Your light bulbs can even help you keep those pesky pests away from your get-together in a more natural way. Opt for outdoor yellow Bug LED Light Bulbs, which help to repel insects and can be used as an alternative to bug sprays.
5. Be ready for anything — even outages
Don’t let summer storms rain on your parade! In case your power goes out, Battery Backup LED Light Bulbs are energy efficient and equipped with a power failure battery that will automatically turn on in the event of a power failure — and can last up to 3 hours. When in regular use the internal battery will charge, ensuring that you’ll always have an option for light during an outage.
You can set up your backyard for all kinds of entertaining with these and many other selections by exploring the wide variety of innovative features and the latest lighting options from EcoSmart. Whether your plans include hosting backyard barbecues or creating a refreshing outdoor oasis, lighting up your space has never been easier. Check out the curated collection of eco-friendly, energy-efficient EcoSmart options available exclusively in-store at The Home Depot or online at HomeDepot.com.
Marcel is a swan. She is a trumpeter swan in fact. This is her second year of residence here at Lake in the Clouds. Marcel arrived with her fellow swans during the spring of 2021. Lake in the Clouds is a popular rest stop of choice for migrating birds. Our eagle-eyed bird observers have seen yearly visits from: Common Merganser, Common Loon. (Of course, we have several year-round loons here in Lake in the Clouds), Hooded Merganser, Ring Necked Duck, Pier Billed Grebe, Rudy Duck, and Osprey
Something unfortunate happened to Marcel last spring. She developed “Angel Wing” on her left side leaving a wing that was badly injured and deformed. The Water Fowl Society informs us that “Angel wing occurs when the growth of the wing feathers outstrips the muscle ability to hold the wing in the natural position. It is nearly always due to an imbalance in feeding: too many calories and a deficiency of essential elements. Left untreated, the bird will be unable to fly properly.” Whatever happened to Marcel, occurred in the spring of ‘21’ as clearly, she was able to fly here. She cannot fly now. When her fellow swans left (flat leavers that they are), Marcel remained here at the lake. When we first saw her, she had a fishhook stuck in her beak and fishing line entangled in her left wing. Initially, we thought that was the cause of her deformed wing. Our friend and neighbor, Tina, an extraordinarily kind and caring person, and her husband, Bob were bravely able to remove the fishhook and untangle and remove the fishing line. Fish and Wildlife organizations were called by several residents and callers were told that they (the organization) would care for the swan if “we captured it and brought it to them”. Easier said than done. This was not going to happen through fear of injury to captors or to the captive. Swans are strong and mean and violent. As fall came, we believed that Marcel, being unable to fly, would not survive the winter. Yet, this spring, she was back! We don’t know how she survived the winter. We don’t know where she went to survive the winter. Clearly, someone took care of her.
Tina named the swan Marcel. We were not sure until this year if Marcel was male or female, but we discovered her gender during some rather nasty episodes. More on that later. Tina also rescued, treated and fed a duck with a broken leg. Yes, it was the proverbial “lame duck”.
Marcel is the only swan on the lake now, but she is not alone. She has been adopted by some of the lakeside residents. Our friend, Jan, calls Marcel our mascot. As a result, she is fed and watched over by many “Clouders”. We feed her corn and she loved it ………for a while. She is a very sloppy eater. She will eat the corn out of your hand but for every kernel she gets, she knocks 10 in the water. She will then eat those floating on the surface and then those that have sunk to the bottom. Then, she opens and closes her beak (emitting no sound) indicating a request for more. If you want to feed swans give them fresh bread (mold is poisonous to them and NOT white bread – white bread can cause Angel Wing), grain such as wheat or corn, and fresh greens such as lettuce or spinach. The food should be thrown onto the water so that they can swallow water with the food
We know when Marcel is heading for Bob and Tina’s from the loud honking announcing her imminent arrival as she crosses the lake on her mission for food. Sounds are amplified over water and she can be heard from quite far away. When they are not there…..she comes to us or several other food source docks on the lake. Tina told us that once, when they were away for the day she left a container of corn on the lawn for Marcel. The next day 20 ducks and an antler-budding buck showed up.
Marcel has even attracted groupies. There are two ducks that occasionally shadow her, staying 10ft or so away – we believe it is an invisible force field – and no closer, waiting to swoop in after she has left for other areas, to look for any remaining food. They are usually disappointed as Marcel is thorough.
Trumpeter Swans are quite large—males average over 26 pounds, making them North America’s heaviest flying bird. To get that much mass aloft the swans need at least a 300 ft. long “runway” of open water: running hard across the surface, they almost sound like galloping horses as they generate speed for take-off. Trumpeter swans can be distinguished by their straight purely black bills. They are, on average, considered to be the largest living species of swan. Large as she is, Marcel is quite friendly and will approach people at their docks. She doesn’t like boats though and paddles away when approached. In case you were wondering, there are three species of swans in North America. The Trumpeter Swan (Cygnus buccinator) and Tundra Swan (Cygnus columbianus), sometimes known as the Whistling Swan, are native to North America. The Mute Swan (Cygnus olor) is an invasive Eurasian species that has been introduced and now breeds in the wild in some areas.
This spring Marcel was attacked by a group of three migrating swans, at least twice. That’s how we deduced that Marcel is a female. The bullies were much larger than her, leading us to believe they were males, which would indicate that Marcel is female. Swans are very territorial, and aggression reflects an overlap in resource use, and so there is competition or food and shelter. Or, the melee could have been an intense argument over Tchaikovsky’s romantic ballet, Swan Lake. Which is the better recording? Boston Symphony conducted by Seiji Ozawa or the New York Philharmonic conducted by Leonard Bernstein? Marcel evidently prefers the Philharmonic. Tina and Bob spent almost an hour one day defending her (Marcel likes to rest on their lawn) from the gang attack. Several days later, our neighbors, Bill and Kelley had to defend her from the same assailants on their lawn. Eventually, the internal migration clock alarm went off for the three swans and they left to continue their journey. Will we see them again in the fall?
Recently, Marcel stopped eating our corn. Whenever we see her making her way towards our dock in the evening, Margaret will dash up to the house and get some corn. Back comes Margaret, Marcel now takes a handful of corn, eats a few kernels and spits the rest out and then she turns her back to us and paddles away. I could swear she lifted her tale and wagged it in contempt at what she considered our feeble attempt at food service. Or she wasn’t hungry anymore as swans will not overeat.
On one occasion, while sitting on the dock I was fortunate to observe a mother duck supervising the maturing ducklings attempts at flight. Like children learning to ride a two-wheel bicycle, the first several attempts failed but then one by one…………flight. They were so happy. Merrily quacking to each other sharing their triumph. Marcel attempts to fly several times a day. She zooms across the surface, wings flapping for 25 yards or so but she is unable to get air born. Sad.
Adult swans who develop Angel Wing will not regain the ability to fly. Marcel will never fly again. Summer will end. Fall will follow and then winter. What will become of Marcel? Her future is uncertain but know this, Marcel is a survivor.
Greening Mountainhome series Knocking Out Knotweed
Regrowth to Be Zapped in September
Brodhead Watershed Association
Along this stretch of Mill Creek in the Brodhead watershed, fast-growing invasive knotweed was cut knee-high in late June, near Preacher Hill in Mountainhome.
It looked pretty dead in June, but the plants have regrown, as expected—sucking all the strength from the roots.
From the bridge on Spruce Cabin Road, the regrowth looks like it was never cut!
But this process is a one-two punch—the next step is to spray the regrowth.
So, about the end of September, licensed pesticide applicators from Strausser Nature’s Helpers will spray the regrowth with an herbicide that is safe to use near water. Within three weeks, most of the regrowth will wither and die.
Because this two-step process forces the plants to use up so much energy, only a very little knotweed will grow here next spring. That will be cut and sprayed again, to knock out the knotweed for good.
For more details about knocking out knotweed—and how you can get rid of knotweed in your landscape—go to https://brodheadwatershed.org/greening-mountainhome/
The Friendly Community Center has a program called Walking for Wellness. When weather permitting, a group of members meet at 9:30 and hike at Mt. Wismeisler. Here is a group who hiked at Mt. Wismeisler.
Ron McCall
Ernie Camlet
Joan Griffin
Barbara Carr
Janet Biondolillo
Kat Lauer
Penny Burlingame
Ernie Biondolillo
Full Moon is the Sturgeon Moon – Noted by chanteuse, Madonna on her recording of Like a Sturgeon
1. 1981 - Saturday MTV made its debut at 12:01 a.m. The first music video (this was when the M originally indicated Music) shown was Video Killed the Radio Star, by the Buggles. And, in answer to the inevitable question; the second video was Pat Benatar, You Better Run. MTV has since gone on to cultural icons such as Jersey Shore, 16 and Pregnant, Laguna Beach, Date My Mom, The Ashley Simpson Show,, and Engaged and Underaged
2. 1610 - Monday In a minor navigational error, Henry Hudson sailed into what is now known as Hudson Bay in Canada, thinking he had made it through the Northwest Passage and reached the Pacific Ocean. He suspected he was in the wrong place when the only beer offered was Labatt Blue.
3. 1811- Saturday Happy Birthday, Elisha Otis, American inventor. Otis did not invent the elevator; he invented the automatic safety brake for elevators. This later made high-rise buildings practical. Prior to this many elevator technology had its ups and downs.
4. 1755 - Monday “A horse may be coaxed to drink, but a pencil must be lead” …..Stan Laurel………Joyeux Anniversaire! Nicolas-Jacques Conté, French painter and inventor who was the first to use graphite - and that is still used as the basis for making pencil leads today.
5. 1957 – Monday American Bandstand, featuring lip-synching recording artists and dance trend setting teens, made its network debut on ABC. Bandstand began as a local program on WFIL-TV Channel 6 in Philadelphia. It was first hosted by Bob Horn and called Bob Horn’s Bandstand. After a brief scandal involving the host and underage girls, the show got a new host in July 1956, clean-cut 26-year-old Dick Clark, P.S., the only artist not to lip synch on Bandstand was B.B King.
6. 1753 - Monday Professor Georg Richmann was rendered kaput during an experiment with lightning. Richmann attached a wire to the top of his house and led it down to an iron bar suspended above “the electric needle” and a bowl of water partly filled with iron filings. During a storm, Richmann was struck while about a foot from the bar, as he observed the needle. A witness description - “A globe of blue and whitish fire about four inches in diameter” came from the bar struck Richmann’s forehead” with “an explosion like that of a small cannon.”
7. 1782 - Wednesday George Washington created the Order of the Purple Heart, as a decoration to recognize merit in enlisted men and noncommissioned officers. Washington devised a badge, “for any singularly meritorious Action, that was the “figure of a Heart in Purple Cloth or Silk edged with narrow Lace or Binding.” This Badge of Military Merit, was affixed to the uniform coat above the left breast
8. 503 - Saturday –After meeting on eMonarchy.com, and texting just forever!, King James IV of Scotland married thirteen year old, Margaret Tudor, daughter of King Henry VII of England .The affair was catered by Harry’s Haggis of Holyrood. Music provided by DJ Bagpipes Du Tartan. The groom was resplendent in a kilt by Ralph Lauren the bride glowed in a traditional Highland sporran by Vera McWang. The nuptials would eventually result in James great grandson becoming King of England 100 years later.
9. 1593 – Monday- “FISH: an animal that grows the fastest between the time it’s caught and the time the fisherman describes it to his friends” ………For all you fishermen out there - Happy Birthday, Izaak Walton, English naturalist who wrote The Compleat Angler, the first book on fishing.
10. 1833 - Why did the mammoth cross the road?A: Because they didn’t have chickens in the Ice Age. …….Archeologists using an early mammogram, discovered the complete skeleton of a thirty-six foot long and fifteen-foot high mammoth in St. James, Nebraska
11. 1807 - Monday Happy Birthday, David Atchison. Atchison was actually president for one day, March 4, 1849. President Zachary Taylor refused to be inaugurated on a Sunday. As President Pro Tem of the U.S Senate Atchison served before Taylor was inaugurated. Hail to the Chief was played really really fast.
12. 1981 – Wednesday- IBM introduced the PC personal computer. The first PC ran on a 4.77 MHz Intel 8088 microprocessor and used Microsoft’s MS-DOS operating system….all yours for $1565, although a fully loaded version with color graphics would run you $6000.
13. 1888 - Monday- Happy Birthday, John Logic Baird, Scottish engineer, who was the first man to televised outline pictures of objects in 1924. This was followed the next year by recognizable human faces. By 1926, he was able to demonstrate TV for moving objects at the Royal Institution, London.
14. 1457 – Friday The oldest known exactly dated printed book, the Mainz Psalter, was printed in the Fust-Schöffer shop, 21 years after Johannes Gutenberg invented the printing press with replaceable/moveable wooden or metal letters in 1436
15. 1877 - Wednesday Thomas Edison coined the telephone greeting “Hello.” The use of Hello to answer the phone triumphed over the use of Ahoy as suggested by inventor Alexander Bell.
16. 1988 - Tuesday “One word sums up probably the responsibility of any vice president, and that one word is ‘to be prepared’….. George H.W. Bush selected intellectual Indiana Sen. Dan Quayle to be his Vice-Presidential running mate on the Republican ticket.
17. 1978 – Thursday The Double Eagle II completed the first transatlantic balloon flight when it landed near Paris. It took 137 hours after lifting off from Presque Isle, Maine to get to Paris, or about the same time it takes to get out of Newark Airport when there are thunder storms in the vicinity.
18. 1909 – Wednesday- The first race was held at the Indianapolis Motor Speedway. It is now the home of the world’s most famous motor racing competition, the Indianapolis 500.
19. 1960 - Friday- Sputnik 5, carrying two dogs, was launched into space. They were later retrieved as the first living organisms from space. The dogs then developed as alien pods and took over the minds of anyone who petted them and mutated into people who abuse the use of handicapped parking spaces.
20. 1833 – Tuesday- Happy Birthday, Benjamin Harrison, 23rd President of the United States, 1889-1893. Benjamin was the ham for the Grover Cleveland Presidential Sandwich. Cleveland preceded and succeeded him as president. Harrison’s Vice President was Levi Morton. Benjamin was the grandson of William Henry Harrison, briefly the 9th President.
21. 1841 - Saturday How do you make a Venetian blind? Poke him in the eye….John Hampson of New Orleans, Louisiana was issued the first patent for Venetian Blinds. He did not invent them as Venetian blinds were actually invented in Persia and Venetian traders brought the blinds to Venice, hence, Venetian Blinds.
22. 1902 - Friday President Theodore Roosevelt became the first U.S. President to ride in an automobile. The joy ride took place in Hartford, Connecticut. The President called “shotgun” and then hogged the radio choosing only classic rock while yelling “hey babeeee” at attractive women.
23. 1609 - Sunday The telescope was first demonstrated by Galileo Galilei. Working in Venice, he pointed the instrument toward Padua, and the Tower of Saint Giustina, thirty-five miles away. The very first telescopes were believed to have appeared around the year 1608 and were credited to opticians Hans Lippershey and Zacharius Janssen.
24. 1853 - Wednesday It has been claimed that the first potato chips were prepared by Chef George Crum, an American Indian, at Moon’s Lake House in Saratoga Springs, NY. When gazillionaire Commodore Cornelius Vanderbilt was dining there, he sent his fried potatoes back to the kitchen, complaining they were “too thick.” Chef Crum retaliated by slicing paper thin strips of potatoes and frying them to a crisp. Vanderbilt loved these “Saratoga Chips” and they became an instant success.
25. 325 – Tuesday- The Council of Nicaea, the first ecumenical debate held by the early Christian church, ended with the establishment of the doctrine of the Holy Trinity. The Council had been convened by Roman Emperor Constantine I in May.
26. 1909 – Thursday- An almost perfectly preserved Cro-Magnon man skeleton was discovered by paleontologist Otto Hauser. It was later identified as Keith Richard.
27. 1894 - Monday- A sad day as the first graduated income tax was passed. As is done today, some sleazoid congressman snuck the tax into another bill. President Cleveland fought it and the Supreme Court voted it unconstitutional. The TAX had to wait until 1913 when it was passed as the 16th amendment to the Constitution.
28. 1922 - Monday The first radio commercial aired on WEAF in New York City. It was a 10-minute blurb, a really long time when you think about it. It was an advertisement for the Queensboro Realty Co., which had paid $100 for five days of sponsorship.
29. 2005 - Monday Hurricane Katrina made landfall near New Orleans, Louisiana, as a Category 4 hurricane. Despite being only the third most powerful storm of the 2005 hurricane season, Katrina was the worst natural disaster in the history of the United States.
30. 1983 – Tuesday- Guion S. Bluford Jr. became the first black American astronaut to travel in space, aboard the shuttle Challenger.
31. 2012 - Friday Good news for lupine fans, Gray wolves in the state of Wyoming were dropped from the US government’s list of endangered species after a successful twenty year program to repopulate the species. The repopulation program encouraged wolves to join singles and mingle nights, speed dating, and the popular Howlers Like Us website in order to mate and propagate. New rules stated the Wyoming needs to maintain at least ten pairs of breeding wolves and cannot have less than one hundred of the animals.
The following individuals waived their rights to a preliminary hearing:
• Stiveng Cuevas Reyes, 23, of Philadelphia, charged with DUI, use/possession of drug paraphernalia, possession of marijuana, and 2 counts of traffic violations.
• Jose Adrian Hernandez, 47, of Long Pond, charged with retail theft, and receiving stolen property.
• Cameron James Burge, 21, of Greenville, SC, charged with 2 counts of manufacturing, delivery, or possession with intent. 2 counts of possession of a controlled substance, and 2 counts of use/possession of drug paraphernalia.
• Shateek Burks, 18, of Mount Pocono, charged with 2 counts of burglary, conspiracy, receiving stolen property, possession of firearms without a license, 4 counts of theft, criminal trespass, and 3 counts of flight to avoid apprehension.
• Khalil Caldwell Adams, 27, of Pocono Summit, charged with 2 counts of theft, 2 counts of receiving stolen property, and 2 counts of bad checks.
• Gregory Torres, 61, of Mount Pocono, charged with 2 counts of DUI, and careless driving.
• Eric C. Lee, 34, of Tobyhanna, charged with 2 counts of DUI, and following too closely.
• Kiara Lynn Williams, 23, of Tobyhanna, charged with possession of marijuana, use/possession of drug paraphernalia, and 1 traffic violation.
• Amber Marie Bilal, 18, of Bartonsville, charged with possession of marijuana, and use/possession of drug paraphernalia.
• George Thomas Royal, 72, of Long Pond, charged with criminal mischief.
• Kelly A. Halliday, 37, of Brooklyn, NY., charged with retail theft, 2 counts of possession of a controlled substance, and use/possession of drug paraphernalia.
• Ashley Ann Rodriguez, 29, of Hamden CT., charged with theft.
Charges against the following individuals were held for court:
• Solomon Ad Akpor-Mensah, 27, of Bethlehem, charged with 2 counts of DUI, and 2 counts of traffic violations.
• Jim Akers, 30, of East Stroudsburg, charged with making terroristic threats, simple assault, resisting arrest, criminal mischief, and harassment.
OOPS!
Joe decides to take his boss Phil to play nine holes of golf. Both men are playing excellently but were often held up by two women in front of them, moving at a very slow pace.
Joe offers to talk to the women and see if they can speed it up a bit. He gets about 3/4ths of the way, stops and jogs back. His boss asks what the problem is.
Joe said, “Well, one of those women is my wife and the other is my mistress.”
Phil just shook his head at Joe and started toward the women. He was determined to finish his round of golf. He was prepared to ask the ladies to hurry their game. He too stopped short and turned around.
Joe asked, “What’s wrong?”
“It’s a small, small world Joe, and you’re fired.”
Greetings, everyone! Summer days are flying by quickly and kids will soon return to school. The Library can help with the transition! Stop in and select some fun, recreational reading to ease back into the groove of reading for classes. Try audiobooks (downloadable digital, Wonderbooks, & other formats) to spark interest and appeal to different learning styles. Need support with academics? Look for the Brainfuse link on our website. Brainfuse caters to learners of all ages, with an emphasis on assisting students in grades K-12. Online tutoring is available to anyone with a library card. Brainfuse support for adults includes preparing for the GED, career based exams, and help with writing resumes and preparing for interviews, too. Library staff are glad to help you find what you need.
**Library Hours:**
Mon, Tue, Thu, Fri, Sat: 10am – 5pm
Wed: 10am – 8pm
The Library will be closed on Mon, Sep. 5, in observance of Labor Day
Our “Tale on the Trail” program now has permanent stations in the Barrett Township Community Park at Ice Lake! **Follow the trail behind the pavilion and turn right to embark on this outdoor reading adventure.** Enjoy a picture book as you stroll along the path. The path is about 0.12 miles from beginning to end, and then you can continue around the lake or turn around to return to the pavilion. The trail is mostly flat, but rough and rocky in places. Very young children may need help or prefer to ride in a stroller. New stories will be featured regularly, so check back often!
When you visit us during the month of August, please consider bringing unopened, unexpired cat or dog food to donate to Monroe County Meals on Wheels pet food drive. Each of the libraries in the area has a collection box this month to help MOW clients take care of their pets, a source of great comfort and support to many.
The Bard will soon return! We’re looking forward to resuming meetings of the Shakespeare group at the Library in September. Please contact Lynn for details if you’re interested in attending.
Check out some local history. Our Searchable History Project is in the process of digitizing materials in three local history collections, beginning with items from the Buck Hill Falls community. The items that have been digitized are now available online, so you can view and explore the collection. So far, there are images from the early 1900s and Buck Hill Breeze issues from the 1920s, ‘30s, and ‘40s. Look for the Searchable History link on our website.
Have you checked out our Book Sale Corner lately? We have an abundance of items that have been trimmed from the collection and we will continue adding more as we work our way through the Library! At the moment, we have a lot of Large Print & Biography, as well as Juvenile and Adult Fiction. Bag Sale: All items (books, audiobooks, DVDs) $5 a bag. What a bargain!
**Please note that we CANNOT accept used book or DVD donations until further notice**
We are accepting donations of gently used costume jewelry to replenish our ongoing sale at the Library. Stop in and browse a unique selection of earrings, necklaces, bracelets, and pins at very affordable prices! All proceeds benefit library programs and services.
Computer use: We recommend that you call ahead of time to schedule an appointment, but walk-ins are welcome as space allows.
**PROGRAMS:** Current programs & descriptions below. Check our Facebook page for additional programs, posts, and opportunities: [www.facebook.com/BPFLibrary](http://www.facebook.com/BPFLibrary). Our live videos can be seen at [www.facebook.com/BPFLibrary/live/](http://www.facebook.com/BPFLibrary/live/). You don’t need a Facebook account to view.
**Programs for Children**
Contact Chelsea or Jen with questions: 570-595-7171 or email Ms. Chelsea at firstname.lastname@example.org.
Take & Make Mini-activities:
Pick up coloring pages and simple crafts, then complete the projects on your own at home. Activities are available in the Children’s Area.
**Story Time at Ice Lake:**
**Tuesdays in August & September 10:30-11am.**
Ages 0-5. All children are welcome to join us under the pavilion at The Barrett Township Community Park at Ice Lake for stories, songs, and games! Visit with therapy dog Stanley and his owner Roseanne. Registration is not required. If it is raining on story time day, please check our Facebook page or call the Library for updates.
**Saturday Night Library: TikTok on the Block**
Saturday, August 27, 7pm on Zoom. Pickup supplies beginning August 25. Let’s end the summer together with a virtual Block Party. There will be games, snacks, and dancing. Pickup a party kit at the Library and join us on Zoom as we celebrate the end of summer and attempt some dance challenges. Please email [email@example.com](mailto:firstname.lastname@example.org) to register for this virtual program.
**Story Time at the Library, Fall Session: Thursdays, September 8, 15, 22, & 29, 10:30am.**
Ages 0-5. Please join Ms. Chelsea for stories and songs in the Weiler Family Community Room. Space is limited and sign ups are required for this four-week session. Please call the Library to register.
**Tale on the Trail at Ice Lake:**
See info above.
**Adult Programs**
Registration is required for each program. For more information or to register, please call: 570-595-7171 or email Lynn at [email@example.com](mailto:firstname.lastname@example.org).
**Adult Take-Home Craft: Pressed Flower Lanterns**
Make your own pressed flower lantern. This beautiful candle holder is easy to make and adds brightness to your home.
We supply all the materials. You must register for this craft. Pickup begins Monday, August 15.
**Tuesday, August 16: Virtual Afternoon Book Club 1:00pm**
Join our virtual afternoon book club on Zoom. This month, we will discuss *The Good Sister* by Sally Hepworth. If you’re interested in joining, please call the Library for more details.
**Tuesday, August 30: Virtual Evening Book Club 7:00pm**
Join our virtual evening book club on Zoom. This month, we will discuss *The Vanishing Half* by Brit Bennett. If you’re interested in joining, please call the Library for more details.
**Thursday, September 8: Virtual Writing Group 6:30pm**
Join us on Zoom to discuss the art of writing while sharing work with the group. Contact Lynn for details and the Zoom link.
Below are a few of the online resources available through the Library. Take advantage of technology! Visit our website to browse more online resources and get details on using them.
**HeritageQuest**
Explore your family history through census records, books, obituaries, and more!
**Newspapers World Collection:**
The largest online newspaper archive consisting of 1.79 million+ pages of historical newspapers from 20,000+ newspapers from around the United States and beyond. Newspapers provide a unique view of the past and can help us understand and connect with the people, events and attitudes of an earlier time.
**Hoopla!**
Borrow movies, music, audiobooks, ebooks, comics and TV shows to enjoy on your computer, tablet, or phone – and even your TV!
**OverDrive:**
Download and enjoy e-books, audio books, and magazines on your computer, phone, or portable device. The collection includes fiction and nonfiction materials for all ages.
Library Info: [www.barrettlibrary.org](http://www.barrettlibrary.org); email [email@example.com](mailto:firstname.lastname@example.org); 570-595-7171.
Read often and stay safe & healthy!
Mary Ann, currently reading *The Vanishing Half* by Brit Bennett, this month’s Evening Book Club selection.
**CLASSIFIEDS**
**Health & Fitness**
Dental insurance - Physicians Mutual Insurance Company. Covers 350 procedures. Real insurance - not a discount plan. Get your free dental info kit! 1-888-623-3036 www.dental50plus.com/58#6258
Attention oxygen therapy users! Inogen One G4 is capable of full 24/7 oxygen delivery. Only 2.8 pounds. Free info kit. Call 877-929-9587
**Miscellaneous**
The Generac PWRcell solar plus battery storage system. Save money, reduce reliance on grid, prepare for outages & power your home. Full installation services. $0 down financing option. Request free no obligation quote. 1-855-270-3785
**Power during power outages**, so your home & family stay safe & comfortable. Prepare now. Free 7-yr extended warranty $695 value! Request a free quote today! Call for terms & conditions. 1-844-334-8353
**Eliminate gutter cleaning forever!** LeafFilter, the most advanced debris-blocking gutter protection. Schedule free LeafFilter estimate today. 15% off Entire Purchase. 10% Senior & Military Discounts. Call 1-855-995-2490
**AT&T Internet. Starting at $40/month w/12-mo agmt. 1 TB of data/mo. Ask how to bundle & SAVE! Geo & svc restrictions apply. 1-888-796-8850**
**BATH & SHOWER UPDATES** in as little as ONE DAY! Affordable prices - No payments for 18 months! Lifetime warranty & professional installs. Senior & Military Discounts available. Call: 855-761-1725
**Donate Your Car to Veterans** Today! Help and Support our Veterans. Fast - FREE pick up. 100% tax deductible. Call 1-800-245-0398
**Update your home with beautiful** new blinds & shades. Free in-home estimates make it convenient to shop from home. Professional installation. Top quality - Made in the USA. Free consultation: 877-212-7578. Ask about our specials!
**DISH TV $64.99 for 190 channels + $14.95 high speed internet.** Free installation, smart HD DVR included, free voice remote. Some restrictions apply. Promo expires 1/21/22. 1-833-872-2545
Stop worrying! SilverBills eliminates the stress & hassle of bill pmts. Household bills guaranteed to be paid on time as long as appropriate funds are available. No computer necessary. Free trial/custom quote 1-855-703-0555
Become a published author. We want to read your book! Dorrance Publishing trusted since 1920. Consultation, production, promotion & distribution. Call for free author’s guide 833-719-3029 or visit dorranceinfo.com/acp
**Paying top cash for men’s sportswatches!** Rolex, Breitling, Omega, Patek Philippe, Heuer, Daytona, GMT, Submariner and Speedmaster. Call 833-603-3236
**Wanted To Buy**
Wants to purchase minerals and other oil and gas interests. Send details to P.O. Box 13557 Denver, CO 80201
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**Super Crossword**
**Answers**
| A | C | E | D | J | A | S | A | O | D | R | I | Z | A |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| M | G | H | A | V | E | R | I | N | G | T | Y | S | M |
| D | A | S | C | H | E | R | F | I | C | E | C | A | C |
| I | S | S | K | I | N | S | I | N | G | O | N | K |
| S | H | E | B | I | N | G | O | N | H | A | B |
| E | F | R | E | O | N | D | A | S | E | A | S |
| S | S | A | H | I | L | L | I | S | T | I | C |
| S | P | E | C | T | R | A | L | L | A | C |
| A | L | E | R | I | L | L | E | R | I |
| T | E | R | O | M | I | S | A | G |
| C | A | L | E | S | G | E | N | A | L |
| H | B | I | L | L | K | I | O | P |
| A | S | T | C | H | E | R |
| J | I | N | K | Y | A | N | D |
| R | A | T | E |
| L | A | I | N | A | T |
| A | X | O | S |
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**CryptoQuip**
**Answer**
| 5 | 2 | 8 | 7 | 1 | 4 | 6 | 1 | 9 | 3 |
|---|---|---|---|---|---|---|---|---|---|
| 9 | 6 | 1 | 3 | 5 | 8 | 4 | 2 | 7 |
| 4 | 7 | 3 | 9 | 1 | 2 | 5 | 8 | 6 |
| 6 | 1 | 2 | 5 | 8 | 4 | 7 | 3 | 9 |
| 3 | 5 | 4 | 6 | 7 | 9 | 2 | 1 | 8 |
| 9 | 8 | 7 | 1 | 2 | 3 | 4 | 5 | 6 |
| 2 | 3 | 6 | 4 | 9 | 5 | 8 | 7 | 1 |
| 1 | 8 | 9 | 2 | 6 | 7 | 3 | 5 | 4 |
| 7 | 4 | 5 | 8 | 3 | 1 | 9 | 6 | 2 |
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**For Sale**
16 inch Grizzly bandsaw Rarely used!
570-595-2808
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**Reader Advisory:** The National Trade Association we belong to has purchased the above classifieds. Determining the value of their service or product is advised by this publication. In order to avoid misunderstandings, some advertisers do not offer employment but rather supply the readers with manuals, directories and other materials designed to help their clients establish mail order selling and other businesses at home. Under NO circumstance should you send any money in advance or give the client your checking, license ID, or credit card numbers. Also beware of ads that claim to guarantee loans regardless of credit and note that if a credit repair company does business only over the phone it is illegal to request any money before delivering its service. All funds are based in US dollars. Toll free numbers may or may not reach Canada.
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**Weekly SUDOKU**
**Answer**
| 5 | 2 | 8 | 7 | 1 | 4 | 6 | 1 | 9 | 3 |
|---|---|---|---|---|---|---|---|---|---|
| 9 | 6 | 1 | 3 | 5 | 8 | 4 | 2 | 7 |
| 4 | 7 | 3 | 9 | 1 | 2 | 5 | 8 | 6 |
| 6 | 1 | 2 | 5 | 8 | 4 | 7 | 3 | 9 |
| 3 | 5 | 4 | 6 | 7 | 9 | 2 | 1 | 8 |
| 9 | 8 | 7 | 1 | 2 | 3 | 4 | 5 | 6 |
| 2 | 3 | 6 | 4 | 9 | 5 | 8 | 7 | 1 |
| 1 | 8 | 9 | 2 | 6 | 7 | 3 | 5 | 4 |
| 7 | 4 | 5 | 8 | 3 | 1 | 9 | 6 | 2 |
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**Wade Brothers Excavation LLC**
John Wade (570) 335-1333
Benjamin Wade (570) 994-6695
email@example.com
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**Green Man Exterminator.Com**
Specializing in Nuisance Wildlife & Stubborn Pests:
- Bats
- Skunks
- Fleas
- Feral Cats
- Squirrels
- Roaches
- Groundhogs
- Ants
- Termites
- Raccoons
- Bed Bugs
- Ticks & More
PA Game Commission & Department Of Agriculture Certified
Residential • Commercial • Industrial
Eco Friendly Pest Control Proudly Serving North East, PA
Licensed, Bonded & Insured
570.851.4863
firstname.lastname@example.org
John R Smith Jr
TRIVIA
You could combine the water of the remaining four great lakes and Lake Superior is still bigger. Superior is approximately 1,330 feet deep, 350 miles long, and 160 miles wide. It contains enough water to cover the land mass of North and South America.
Business card page
Display your card for $30 per issue.
Color $40
TRIVIA
Paper towns are fake towns created by cartographers, or map makers, meant to trap or catch anyone who is violating copyright protection and stealing someone else’s map work. In addition to creating these paper towns, mapmakers might throw in some fake rivers and roads as well.
The worst natural disaster in Barrett Township History occurred 67 years ago when the remnants of two hurricanes, Connie and Diane, hit the northeast only 5 days part. With the ground already saturated by Connie, Diane would dump an additional 10 inches of rain in less than 24 hours leading to a flood like none before or since. During this program we are asking those who remember the flood to come and share their stories. We also hope to record the narratives of those that lived through it so that future generations can hear first-hand accounts of the devastation wrought on Barrett on August 19, 1955 and how the community responded.
This program is open to the public and will be held at The Friendly Community Center, 6683 PA 191, Mountainhome, PA 18342 on August 19, 2022 at 7 pm. For more information, please call 570-481-4622 or email email@example.com.
First Rule of Takanakuy
The South American country of Peru has an interesting tradition held every year on December 25. In addition to Christmas, they celebrate Takanakuy. Takanakuy is when you settle your grudges for the year. Men, women, and kids all participate. They challenge each other, they fight each other, and when it’s all done they make peace and move on.
Tips to attract buyers when selling your home
Preparing your home for sale may start with ideas for staging the house or spackling and painting over nail holes, however, it also requires a considerable amount of planning and organization. Before opening your home to tours, either virtual or in person, be aware of what buyers might notice.
“Getting your home ready for sale may seem like an overwhelming task, but it’s important to make your home as attractive as possible,” said Bonnie Lee, vice president of property claims at Mercury Insurance. “Not only does it give a favorable first impression, but it also shows that the home was well maintained and cared for. Most buyers expect to tour and eventually purchase a clean, well-cared for home.”
Walk through each room of your home and take note of what needs to be cleaned, repaired or replaced.
Eliminate clutter
For many homeowners the beginning of the home selling process is the chance to clear out any unwanted items. Take this time to throw away, donate or sell items that are no longer purposeful. Remember that potential buyers are likely to open closet doors and built-in cabinet drawers to determine the amount of storage space available, meaning you won’t be able to simply store unwanted items in a closet. Buyers want to visualize themselves and their belongings within the living space so depersonalize and remove any large visual distractions such as large, distinct artwork or family photos.
Bulkier items such as furniture can change the perceived size of a room. Make sure buyers are able to walk around living spaces without bumping into furniture. If you don’t plan to take certain large items with you, check if your local municipality will pick them up.
Deep clean your home
Before scheduling tours of your home, do a deep clean, especially in areas like the kitchen and bathrooms. Home buyers are savvy and can detect when candles or air fresheners are being used to mask unpleasant scents of a home.
“A home that hasn’t been cleaned can be perceived as needing a lot of work or has underlying serious problems like water or structural damage,” Lee said. “Keeping your home clean will boost that ever-important first impression and maximize the selling cost.”
Make small repairs
Wear and tear from everyday living is normal. However, fixing these small repairs before listing your home might be a slight inconvenience for you, but might be seen as part of a larger, underlying issue to a potential buyer. Thoroughly go through each room of your home and touch up any dings on baseboards or doors. Make any minor repairs like filling in and repainting any holes left in the walls from hanging items. Check for leaking faucets or running toilets and replace any worn or damaged caulking around sinks, showers, bathtubs or windows.
Curb appeal
Your home’s exterior is the first thing buyers see as they approach the house. Trim any trees or shrubs outside of your property, especially along walkways, for a well-manicured look. Inspect any trees around your home to make sure they aren’t scraping shingles off of your roof or blocking gutters. Keep walkways and driveways free of clutter such as gardening tools or children’s toys. Replace or repair any damaged screens or windows and make sure that any house numbers are visible.
“A well maintained outdoor area that has been properly cared for is not only aesthetically pleasing but can also be a reflection of how well the home was cared for overall,” Lee said.
Get a CLUE
A Comprehensive Loss Underwriting Exchange (CLUE) report provides a detailed history of any insurance claims that may have been filed on the house within the last seven years. While this report is extremely useful to buyers, it can be equally important to sellers. “Sellers whose homes have had no insurance claims within the last seven years can use a CLUE report as a selling tool. It gives potential buyers the assurance that they are not buying a home with a history of problems and increase a seller’s chance of selling their home quickly,” Lee said.
Under the federal Fair Credit Reporting Act, you can request a copy of your CLUE report from LexisNexis by calling 1-866-312-8076 or by visiting consumer.risk.lexisnexis.com.
The Friendly Community Center (THE FCC)
Stay Healthy, Keep fit & Have Fun!
Located at 6683 Route 191, Mountainhome PA
For more information about programs, how to become a member or to sign up for the weekly newsletter call Nicole Abrams at 570-481-4330 and leave a message or send an email to: firstname.lastname@example.org.
For a full listing of programs and more information visit The FCC’s website www.thefriendlycommunitycenter.org. Follow us on Facebook or Instagram Classes are offered IN PERSON and ONLINE to members.
BARRE FIT
Time: Thursdays from 4:30 - 5:30 PM
Instructor: Ashley Meinking, IBBFA Certified
Membership: Unlimited or Unlimited Quarterly $195 Annually or $55 Quarterly
BARRETT BIRDING CLUB
Time: 2nd Tuesday of the month 7 PM-Outdoor locations announced via email
Facilitators: Darryl & Jackie Speicher and Tim Grover
Membership: Basic $30 Annually
CARDIO TONE
Time: Mondays from 4:30 – 5:15 PM
Instructor: Ashley Meinking, IBBFA Certified
Membership: Unlimited or Unlimited Quarterly $195 Annually or $55 Quarterly
CHAIR YOGA
Time: Mondays and Wednesdays 1:30-2:30 PM
Instructor: Kimberly Matthew
Membership: Member Plus $50 Annually
DANCE & MOVEMENT
Time: Tuesdays at 1:00 PM
Instructor: Natalie M. Schultz-Kahwaty, PhD
Please call 570-481-4330 or send an email to: email@example.com to register for this class. This program is free and open to the public
BREATHE & VIBE HEALING SOUND BATH
Time: Monday, August 22nd @ 6PM
Instructor: Kim Matthew
Cost: $10 per person- Membership is not required to attend- Registration is required via email
Where: Skywood Park -Rt 191, Cresco PA, in the event of rain, meet at The FCC
Bring: A blanket, yoga mat or chair
“IN STITCHES” KNITTING & MORE
Time: Thursdays from 1 – 2:30 PM
Membership-Basic $30 Annually
Instructor: Carol Hillestad
LINE DANCING
Time: Every Wednesday (Except the 2nd Wed of the month) at 4 PM
Membership: $30 Annual Basic
Instructor: Barbara Camlet
LOSS SUPPORT GROUP
Facilitator: Marilyn Schultz
Time: 2nd and 4th Mondays of the month at 3:30PM
This program is free and open to the public. Please call 570-481-4330 to register to attend.
MAH JONGG
Time: Thursdays at 1:00 PM
Membership: Basic $30
MOVEMENT and MEDITATION
Instructor: Ann Merli
Time: 11:00 AM on the 2nd & 4th Thursdays of the month
Membership OR Pay By Class: Member Plus or $5 per class
SEATED TO THE BEAT (The FCC version of Seated Zumba)
Time: Tuesdays from 2 - 3 PM
Instructor: Natalie Schultz-Kahwaty, PhD
Membership: Member Plus $50 Annually
MEN GET FIT
Time: Mondays and Thursdays at 3:00 PM
Instructor: Bob Larsen NASM, C-PT, CES, PES, ENFA BTS
Membership: Unlimited or Unlimited Quarterly $195 Annually or $55 Quarterly
DANCE TO THE BEAT (The FCC version of Zumba)
Time: Tuesdays from 3:15 -4:15 PM
Instructor: Natalie Schultz-Kahwaty, PhD
Membership: Unlimited or Unlimited Quarterly $195 Annually or $55 Quarterly
QI GONG AT SKYWOOD PARK
Time: Thursdays at 9:30 AM- Class will be held at The FCC if raining
Instructor: Kimberly Matthew
Membership: Member Plus $50 Annually
YOGA TWICE A WEEK
Time: Tuesdays at 10:00 AM At the FCC & Online via Zoom
Instructor: Ann Merli, LMT, RMT, RYT500, AYS
Time: Saturdays at 10 AM AT the FCC & Online via Zoom
Instructor: Colleen LaScala
Membership: Unlimited or Unlimited Quarterly $195 Annually or $55 Quarterly
WEEKLY WALKERS
Time: Tuesdays at 9:30AM, weather permitting
Hike Guides: Kathleen Lauer and Ernie Camlet
Membership: Basic
MATCH THE DAILY NUMBER FUNDRAISER- Tickets on sale now! Purchase a ticket for $5, if your number matches the evening draw during October, you win $50!
PURCHASE A LEGACY BRICK IN MEMORY OR TO HONOR SOMEONE SPECIAL
Purchase an engraved brick in memory, recognition, honor of someone special, or to display your favorite saying. The cost of each 4” x 8” brick is $100. Bricks will be prominently displayed along the ramp walkway at The FCC, or you may choose to display at your home.
Super Crossword
ACROSS
1. Year-end (6)
2. Z or N (4)
3. A locale (5)
11. Fruity (5)
14. Dear nuts (4)
19. Celebrate! (5)
20. Overstuffed (7)
21. Bible book (5)
22. PC title (4)
23. Brighten, cause (5)
24. Change? (5)
25. Drain pipes (5)
26. "I've got it" (5)
28. He's just asleep (5)
29. Crossing with missing map (5)
31. Crimes (5)
33. Lure, attract (5)
34. Slang (5)
35. Rancid (5)
37. Fluent in (5)
38. A place where you roam to get (5)
42. Imbibe (5)
43. Sore (5)
47. Lurid (5)
48. Hullo, yo! (5)
50. Stare (5)
52. Calamities (5)
56. Ulysses (5)
57. Model (3)
60. In the rain (5)
62. Raggedy (5)
63. Pesticide (5)
64. Why am I afraid to eat in (5)
65. Aerial craft (5)
70. Etc. (5)
71. Sports name (5)
72. From long ago (5)
73. Once-a-day reminder (5)
74. Sulked (5)
78. Occupation when in Regia (5)
80. Slats in lumber (5)
81. Missing map (5)
82. VIP space (5)
84. A place we visit (5)
87. Cork exploder (5)
88. Shaggy (5)
89. "Nosey" (5)
90. By Chapter (5)
91. Annoyed (5)
92. For a good meal (5)
94. To find (5)
96. Sun — in it (5)
97. Unassuming (5)
98. Use in brief (5)
100. Place (5)
101. Deep black (5)
104. Thing, generally (5)
105. Pajama (5)
106. Grub (5)
107. Grand Chamber (5)
109. Greek ship (5)
111. Kingly title (5)
112. Cake egg (5)
113. Action word, often in (5)
114. "I'm up" (5)
115. Make a difference (5)
116. "I'm not" (5)
117. Forced recipe (5)
119. Foul sport (5)
122. Habit (5)
123. Largest city in Ireland (5)
124. Not a pet (5)
125. "I'm not" (5)
126. Cakes (5)
127. "I'm not" (5)
129. Occur amid fit (5)
130. A bit of (5)
131. Hair or ore (5)
132. Keep on (5)
133. Please a g (5)
134. Given (5)
135. Vastness (5)
136. A style (5)
DOWN
1. Misunderstand (5)
2. Just so (5)
3. Chopping tool (5)
4. Work with (5)
5. Converge (5)
6. Longer (5)
7. Misunderstand (5)
8. Just so (5)
9. Chopping tool (5)
10. Work with (5)
11. Converge (5)
12. Longer (5)
13. Misunderstand (5)
14. Just so (5)
15. Chopping tool (5)
16. Work with (5)
17. Converge (5)
18. Longer (5)
19. Misunderstand (5)
20. Just so (5)
21. Chopping tool (5)
22. Work with (5)
23. Converge (5)
24. Longer (5)
25. Misunderstand (5)
26. Just so (5)
27. Chopping tool (5)
28. Work with (5)
29. Converge (5)
30. Longer (5)
31. Misunderstand (5)
32. Just so (5)
33. Chopping tool (5)
34. Work with (5)
35. Converge (5)
36. Longer (5)
37. Misunderstand (5)
38. Just so (5)
39. Chopping tool (5)
40. Work with (5)
41. Converge (5)
42. Longer (5)
43. Misunderstand (5)
44. Just so (5)
45. Chopping tool (5)
46. Work with (5)
47. Converge (5)
48. Longer (5)
49. Misunderstand (5)
50. Just so (5)
51. Chopping tool (5)
52. Work with (5)
53. Converge (5)
54. Longer (5)
55. Misunderstand (5)
56. Just so (5)
57. Chopping tool (5)
58. Work with (5)
59. Converge (5)
60. Longer (5)
61. Misunderstand (5)
62. Just so (5)
63. Chopping tool (5)
64. Work with (5)
65. Converge (5)
66. Longer (5)
67. Misunderstand (5)
68. Just so (5)
69. Chopping tool (5)
70. Work with (5)
71. Converge (5)
72. Longer (5)
73. Misunderstand (5)
74. Just so (5)
75. Chopping tool (5)
76. Work with (5)
77. Converge (5)
78. Longer (5)
79. Misunderstand (5)
80. Just so (5)
81. Chopping tool (5)
82. Work with (5)
83. Converge (5)
84. Longer (5)
85. Misunderstand (5)
86. Just so (5)
87. Chopping tool (5)
88. Work with (5)
89. Converge (5)
90. Longer (5)
91. Misunderstand (5)
92. Just so (5)
93. Chopping tool (5)
94. Work with (5)
95. Converge (5)
96. Longer (5)
97. Misunderstand (5)
98. Just so (5)
99. Chopping tool (5)
100. Work with (5)
101. Converge (5)
102. Longer (5)
103. Misunderstand (5)
104. Just so (5)
105. Chopping tool (5)
106. Work with (5)
107. Converge (5)
108. Longer (5)
109. Misunderstand (5)
110. Just so (5)
111. Chopping tool (5)
112. Work with (5)
113. Converge (5)
114. Longer (5)
115. Misunderstand (5)
116. Just so (5)
117. Chopping tool (5)
118. Work with (5)
119. Converge (5)
120. Longer (5)
121. Misunderstand (5)
122. Just so (5)
123. Chopping tool (5)
124. Work with (5)
125. Converge (5)
126. Longer (5)
Answers on page 20
CryptoQuip
1. O BZP PN UNPDOI IQUH NP ESZE
NUK INBJOE EN UYAE NAA ESO
DINCPK. YFF PNF ESICFF-INIEFH.
CryptoQuip Answers on page 20
Weekly SUDOKU
by Linda Thistle
DIFFICULTY THIS WEEK: ◆◆◆ Moderate ◆◆◆◆ Challenging ◆◆◆◆◆ HOO BOY!
A man giving a long-winded speech finally says, "I'm sorry I talked so long. I left my watch at home." A voice from the crowd says, "There's a calendar behind you."
Hey, have you heard about the latest anonymous sperm bank being established by the State of Indiana? It will be called "Hoosier Daddy!"
A spiritual leader asked his pupils if they saw a $20 bill and a $100 bill on the floor which one they'd pick up. Nobody answers but finally one guy meekly blurts out, "$100." The spiritual leader simply says, "I see." After a small pause, of his pupil asks him, "Which one would you have picked up, oh Wise One?" Looking straight into his eyes the leader answers, "I'd have picked up both."
This is my step ladder...I never knew my real ladder.
Her: At least invite me out to dinner.
Him: I don't go out with married women.
Her: But I'm your wife.
Him: I make no exceptions.
A five year old boy went for a weekend trip with his grandparents. On the way home, they stopped at a country restaurant for lunch. The little boy left the table to use the restroom by himself. A moment later he returned with a confused look on his face. He says, "Grandpa, am I a rooster or a hen?"
After learning the Lamaze method of natural childbirth, I was admitted to the delivery room with my wife. It seemed like an eternity before the doctor finally announced, "I've got the head now; just a few more minutes." "Is it a girl or boy?" I asked excitedly. The doctor replied, "I don't know. It's hard to tell by the ears."
Sustainable beef: How cattle are part of the climate solution
(BPT) - Beef has gotten a bad rap when it comes to environmental sustainability, and the important role cattle play in environmental conservation is often omitted from headlines. It’s true that cattle produce methane, a greenhouse gas, and industry leaders are working to reduce the amount of methane cattle’s digestive systems produce.
Dr. Ermias Kebreab, associate dean for global engagement in University of California-Davis’ College of Agricultural and Environmental Sciences, is studying the most effective feed supplements to limit climate impact. This, paired with the ecosystem benefits cattle provide, demonstrates cows are vital in sustaining healthy environments.
“My research is focused on how we can make cattle more sustainable and reach climate neutrality. Cattle already provide natural benefits by enriching soil quality through carbon sequestration. I want to take cattle’s environmental benefits one step further,” says Kebreab.
All too often the untold story is how cattle farmers and ranchers are actually helping to reduce the amount of carbon dioxide, the world’s most abundant greenhouse gas, in the environment through grazing cattle.
Through grazing management and other sustainable practices, cattle ranching is positively impacting the environment – from the open space it preserves for wildlife habitat to the way cattle naturally regenerate soil and plant life which then capture carbon.
Still skeptical? Read on to see how cattle and sustainability can go hand in hand.
Capturing carbon
By simply grazing, cattle take part in carbon sequestration – the process of plants capturing and storing carbon dioxide underground [1]. In fact, proper grazing management is one of the best ways to store carbon in the soil [2]. This is because cattle recycle nutrients through the soil. They consume and digest plants and their manure enriches the soil, allowing new, healthy plants to grow quickly and effectively, and in turn, capture carbon [3].
Why is cattle’s role in carbon sequestration so important? U.S. soil holds up to 30% of the world’s carbon, and all that stored greenhouse gas is protected by the farmers and ranchers who graze cattle on that land [4]. If you were to develop on that land, you’d release all the stored carbon and rob the soil of its ability to capture additional carbon in the future [5].
Protecting biodiversity
Cattle and bison have naturally preserved the North American ecosystem for centuries [6]. Today, farmers and ranchers across the country graze cattle on varying landscapes and in a range of climates, preserving land that is home to countless species of plants and wildlife [7]. In fact, the land that U.S. ranching families manage preserves the habitat of hundreds of animal species, like butterflies, waterfowl, songbirds, elk, deer and countless others, including many that are on the endangered list [7,8].
Without farmers and ranchers grazing cattle on the land, habitats could be permanently destroyed by development, leading to the endangerment and possible extinction of plant and wildlife species.
Part of the climate solution
Through decades of research, innovation and improvement, the U.S. is the leader in sustainable beef production, but it doesn’t stop there. The beef industry is committed to continuous improvement and through programs like the Beef Checkoff-funded Beef Quality Assurance program, farmers and ranchers across the country have access to the training and tools they need to continue to protect the land.
While grazing and grasslands are already storing carbon, offsetting emissions in the atmosphere and preserving open space, cattle farmers and ranchers know it is their duty to protect the land they have been entrusted to manage.
References:
1. Smith, P. 2012. Soils and climate change. Current Opinion in Environmental Sustainability 4: 539-544.
2. Schuman, et al. 2002. Soil Carbon dynamics and potential carbon sequestration by rangelands. Environmental Pollution 116: 391-396.
3. Scott, Dave. 2018. Livestock as a Tool: Improving Soil Health, Boosting Crops. NCAT.
4. Silveira, et al. 2012. Carbon sequestration in grazing land ecosystems. University of Florida Extension.
5. Follett, R.F., J.M. Kimble, and R. Lal. 2001.?The Potential of U.S. Grazing Lands to Sequester Carbon and Mitigate the Greenhouse Effect. Boca Raton, FL: Lewis Publishers.
6. Neiburger, E.J. 1986. Central States Archaeological Journal. Vol. 33, No. 3, pp. 140-143.
7. Brunson, MW and L. Huntsinger. 2008. Ranching as a Conversation Strategy: Can Old Ranchers Save the New West? Rangeland Ecology & Management 61(2): 137-147.)
8. Barry, Sheila. 2021. Beef Cattle Grazing More Help than Harm for Endangered Plants and Animals.
Why Wait? Get Into a Home Sooner with Private Mortgage Insurance
For the past several years, homebuyers have faced a hot housing market and home prices have risen at what can seem like an intimidating rate. In today’s market, it could take a family earning the national median income up to 14 years to save for a 20% down payment plus closing costs, according to U.S.
Mortgage Insurers (USMI). It is understandable that prospective homebuyers might be discouraged and want to wait. However, purchasing a home in an affordable and sustainable way is possible with a low down payment mortgage backed by private mortgage insurance (MI).
Here is how it works. Private MI helps a borrower with less than 20% down qualify for a home loan and the average down payment for purchasing a home with private MI is 7%, according to USMI. Private MI is typically paid monthly along with the mortgage payment. The benefit is not just that the borrower is able to qualify for a home sooner, but also that the cost is temporary. Unlike government-insured mortgages backed by the Federal Housing Administration (FHA), private MI cancels once a homeowner establishes 20% equity either through payments or home price appreciation. When the private MI is canceled, your monthly mortgage bill goes down.
Let’s look at how this would work in today’s market. Consider you want to purchase a $407,600 home, the median sales price for a single-family home in 2022. A 5% down payment is $20,380 versus $81,520 for 20% down. With a 740 credit score at today’s MI rates, your monthly MI payment would be about $171. This is included in your monthly mortgage payment, and can be canceled, typically after five years once you reach 20% equity in your home.
But is it the right time to buy? The right time to purchase a home is different for everyone, especially nowadays. Rising home prices mean homes will cost much more in the coming years. With higher home prices come higher down payments and, thus, more time required to save. Other factors such as rapidly changing interest rates can also make mortgage financing pricier down the line. Purchasing a home sooner allows you to begin building equity and the long-term wealth that comes with homeownership. As we adapt to this changing world, it is important to know that it is possible to purchase a house now without exhausting your savings. Mortgage financing backed private MI makes this possible, helping borrowers gain access to housing sooner and succeed as sustainable homeowners.
According to USMI, private MI has helped more than 37 million families become homeowners over the past 65 years. In 2021 alone, nearly 2 million families accessed mortgage financing sooner because of private MI.
If you’re interested in learning more about private MI, check out lowdownpaymentfacts.com to calculate your cost and learn more about your options.
Butter
Summer Hours
Thurs / Fri & Sat
5 to 9
Butter Outside
Sunday and Monday 5 to 9
2468 Route 390 Canadensis
570-595-6282
butter-bistro.com
Kasa’s Pizza
OUTDOOR DINING AVAILABLE
6172 PARADISE VALLEY RD
CRESCO, PA
570-839-8634
$2.00 OFF ANY PIZZA
ONE COUPON PER PERSON PER VISIT |
THE STRUCTURE AND PROPERTIES OF DIAMOND*
BY
SIR C. V. RAMAN
As is well known, a study of the forms and properties of crystals enables them to be grouped in 32 symmetry classes, five of which appear in the cubic system. These symmetry classes are identified in theoretical crystallography with the 32 point-groups, these having as their subclasses the various space-groups which specify the patterns of atomic arrangement within the crystal. In actual experience, crystals exhibiting a high degree of symmetry often contain far fewer atoms in each lattice cell than the full number of asymmetric particles required by theory to give such symmetry. This becomes possible when the atoms are located at special positions in the space-lattice, namely, at the intersection points of the axes and planes of symmetry of the crystal. If the atoms were mere geometrical points, their positions alone would determine the symmetry of the crystal. Actually, however, the atoms with their enveloping electronic clouds have a finite extension. It follows that the atoms themselves must possess certain symmetry characters to permit of their occupying such privileged positions in the space-lattice. The orientations of the atoms must accordingly be taken into consideration, and should be such as to satisfy the symmetry requirements of the crystal. Indeed, it may well happen that in an actual case, the orientations of the atoms are such that the crystal has a lower degree of symmetry than would be the case if the atomic positions alone determined its form and physical properties.
2. THE ALLOTROPIC MODIFICATIONS OF DIAMOND
That a situation of the kind stated above may arise in the case of a diamond is *a priori* evident. As is well-known, the structure of this crystal embodies two interpenetrating face-centred cubic lattices of carbon atoms so located that each atom
in either lattice is symmetrically surrounded by four atoms in the other. The number of atoms per unit cubic cell in the structure is eight, four belonging to each lattice. To permit of such a simple structure for a cubic crystal, each carbon atom must itself possess a high degree of symmetry. The minimum symmetry which must be assumed is that of a tetrahedron. Assuming the atoms to possess only tetrahedral symmetry, the question arises as to how they are orientated in the unit cell.
Several distinct possibilities may be envisaged. We may, for instance, assume each atom to be orientated in the same way as its four nearest neighbours along the body-diagonals of the cube, in the positive or negative sense. The structure would then not possess any centre of symmetry and would belong to the space-group $T_d^2$ in the hexakis-tetrahedral class of symmetry (E. V. Chellam, 1942). Alternatively, each atom may be oppositely orientated to its four nearest neighbours. Here again, there
**Fig. 1**
Possible orientations of the carbon atoms in diamond.
(Models and photographs by Dr. C. S. Venkateswaran)
are two distinct possibilities, since either the vertices or the bases of the opposing tetrahedra may face each other. In either of these two cases, it is apparent that the crystal would exhibit the full symmetry of the cubic system, its space-group being $C_4^2$ in the hexakis-octahedral class. It is thus seen that there are four distinct possibilities, in two of which the diamond has only tetrahedral symmetry, and in the other two, the full symmetry of the octahedron.
It is possible that we may also be concerned with combinations (in a quantum-mechanical sense) of the different arrangements represented in Fig. 1. If, for instance, types I (a) and I (b), or if similarly types II (a) and II (b) are superposed, the individual atoms as well as the crystal as a whole would possess octahedral symmetry. On the other hand, combinations of I and II (one each) would make the atoms in the two lattices possess different symmetries, while the crystal as a whole would possess only tetrahedral symmetry. Mr. G. N. Ramachandran (1942) has shown that all the different arrangements here contemplated would give zero intensity for the X-ray reflections by the (200) planes of the crystal, in agreement with observation. On the other hand, the so-called "forbidden" X-ray reflections, e.g., those by the (222) and (622) planes, would appear with some models and not with others, the actual intensity varying with the combination chosen.
3. THE CRYSTALLOGRAPHIC FACTS
Mineralogists are familiar with various special types of twinning as the result of which the true symmetry of a crystal is often disguised and forms of higher symmetry are closely imitated. In the hexakis-tetrahedral class, for example, an interpenetration twinning of "positive" and "negative" tetrahedra would enable the forms of highest symmetry of the cubic system to be exhibited. Since the positive and negative forms are physically similar and differ only in external orientation, such interpenetration would not easily be detectable by ordinary methods. The true symmetry of the crystal in such cases may, however, be inferred from its physical properties and also from the evidence of such facts as the unequal but symmetric development of four out of the eight octahedral faces, the appearance of octahedra with grooved edges, as also occasionally of single tetrahedra, of duplex tetrahedra, and of complete crystals exhibiting the 24 faces of the hexakis-tetrahedron. That the majority of diamonds have in reality only tetrahedral and not octahedral symmetry and that the higher kind of symmetry exhibited by the observed crystal forms arises from an interpenetration of positive and negative tetrahedra, is indeed evident from a study of the observed crystal forms of diamond. Examples illustrating each of the special crystal forms mentioned above will be found pictured by Sutton in his book (1928) based on 35 years' study at the South African mines. There is no doubt, however, that diamonds do occasionally appear which possesses the true symmetry of the hexakis-octahedral class.
The exact nature of the interpenetration twinning which appears in diamond cannot, of course, be predicted from purely theoretical considerations. It may, of course, be the case that the boundaries of separation within the crystal of the
interpenetrating species are wholly arbitrary, viz., of irregular form and variable size. This may well happen when the two types are physically similar, e.g., the positive and negative tetrahedra of the hexakis-tetrahedral class. On the other hand, it may reasonably be expected that interpenetration twinning of physically different modifications may also, as in the case of quartz, occur parallel to certain crystallographic planes. An inspection of the models illustrated in Fig. 1 suggests that when twinning layers appear in diamond, they should be parallel to the octahedral planes. It is noteworthy in this connection that a lamellar structure parallel to one or more of the cleavage planes of the crystal is a characteristic feature exhibited by certain diamonds. The observed facts thus find a natural explanation in the ideas set forth above.
4. THE INFRA-RED ABSORPTION OF DIAMOND
Since the difference between the tetrahedral and octahedral types of diamond arises only from the relative orientations of the atoms, neither variety of diamond would give any indication of electric polarity. A striking difference should, however, appear between the two kinds of diamond in respect of their infra-red absorption spectra. For the tetrahedral variety of diamond lacks a centre of symmetry, while in octahedral diamond this is present. Accordingly, a periodic motion of the two interpenetrating lattices with respect to each other should give rise to an oscillating electric moment in tetrahedral diamond and should therefore be infra-red active, while in octahedral diamond such oscillation would give zero moment and would be infra-red inactive. In both cases, however, such oscillation should give rise to a periodically varying optical polarisability and should therefore be active in light-scattering. As was first shown by Nagendra Nath (1934), the intense line with a spectral frequency shift of 1332 wave-number which appears in the light-scattering by diamond is due to such an oscillation of the interpenetrating lattices. This frequency corresponds to a wave-length of about 8 μ in the infra-red spectrum. The well-known fact that an intense infra-red absorption in the neighbourhood of this wave-length is exhibited by the majority of diamonds, while such absorption is absent in a less common variety of diamond thus receives a simple and natural explanation. Indeed, this variation in the infra-red behaviour furnishes the clearest proof that we are dealing with distinct allotropic modifications of diamond.
5. THE LUMINESCENCE OF DIAMONDS
One of the most remarkable properties of diamond is the visible luminescence which it exhibits under ultra-violet irradiation. Unlike that of pearls or rubies, the luminescence of diamond varies very greatly from specimen to specimen, both in intensity and colour. This is illustrated in Fig. 2 of which the left and the right halves are photographs of the same jewel taken respectively by ordinary reflected light and by the luminescence in ultra-violet light. The 88 diamonds with which the jewel set (unlike the pearls, rubies and emeralds also seen in it) luminesce with enormous different intensities. Indeed, only the most strongly luminescent diamonds have come out in the picture owing to the moderexposures used, while the rest remain invisible. In the majority of diamonds, the colour of the emitted light is blue. Greenish-blue, green or greenish-yellow luminescence is, however, also observed in some diamonds. Strongly blue-fluorescent diamonds show a greenish-yellow phosphorescence which continues when the ultra-violet irradiation is cut off. Even when the luminescence is of the same colour,—blue for example—its intensity may vary by a large factor—up to say 10,000 in different diamonds.
The spectroscopic studies of P. G. N. Nayar (1941) and of Miss Anna Mani (1942) at Bangalore have greatly advanced our knowledge of the luminescence of diamonds. These investigators have found that in spite of the enormous differences mentioned above, the luminescence spectra of all diamonds (irrespective of their origin) are essentially similar and that this is also the case for the associated absorptions in the visible region of the spectrum. The principal features in all the spectra are the two narrow electronic bands at 4152 A.U. and 5032 A.U. respectively, appearing as bright lines in emission and as dark lines in absorption. Other radiations appear at longer wave-lengths in emission and at shorter wave-lengths in absorption than these electronic bands; these frequencies of
emission and of absorption in every case exhibit perfect mirror-image symmetry about the electronic frequencies, thus showing that the frequency differences represent the vibration-frequencies of the crystal lattice. The differences in intensity and colour of the luminescence are brought about by the variation of the absolute and relative intensities of the electronic emissions at 4132 A.U. and 5032 A.U. as well as of the associated radiations of longer wave-lengths. Corresponding differences in the absorption intensities are also exhibited.
The spectroscopic evidence clearly suggests that the luminescence is a characteristic property of diamond itself and not of any extraneous impurities which may happen to be present. This indication is further strengthened by the definite correlation which is found between luminescence and the other properties which differentiate the allotropic modifications of diamond. It is noticed, for instance, that diamonds which exhibit a blue luminescence, even if only feebly, possess the other properties, e.g., the absorption in the near ultra-violet, which characterise the lower type of symmetry. On the other hand, if diamond is completely non-fluorescent, it is usually found to be of the higher type of symmetry. Another interesting fact is that
**Luminescence and absorption spectra of green-fluorescent diamond at liquid air temperature.**
*(Photographs by Mr. P. G. N. Nayar)*
the fractured edges of cleavage plates of diamond luminesce far more strongly than either the polished faces or the interior of the crystal. This is an indication that the luminescence is excited by a purely physical cause, namely, a disturbance of the regularity of the crystal structure. The variations in the intensity of the luminescence are then readily explicable as arising from the variation in the number and extent of such irregularities within the diamond. It is evident that an intimate interpenetration of positive and negative tetrahedra in the diamond of lower symmetry, if it occurs, would constitute a disturbance in the regularity of crystal structure. Such interpenetration should therefore operate as an exciter of luminescence in diamond of this type, its intensity being determined by the area and distribution of the surfaces of separation. It is then unnecessary to postulate the presence of extraneous impurities in the diamond, and indeed if such impurities were the cause of luminescence, it would be difficult to understand why diamonds having the higher type of symmetry do not exhibit luminescence to anything like the same extent. On our present view, the latter fact finds a natural explanation in the circumstance that such interpenetration does not exist in the octahedral variety of diamond. The chemical or impurity theory is also discredited by the observation that strongly blue-luminescent diamonds are often of the highest quality in respect of transparency and freedom from colour.
6. X-RAY PHENOMENA
The explanation of the luminescence of diamond put forward above has found striking support in an investigation by P. S. Hariharan (1942) of the X-ray reflections by diamond, both by the Laue and the Bragg methods, in the latter case with oscillating crystals. He found that the X-ray reflections increased conspicuously in intensity pari passu with the strength of the blue luminescence of the diamond under ultra-violet irradiation. His results leave little doubt that the exciting cause of luminescence is to be found in the irregularities of crystal structure. He also found that the diamonds which belong to the lower symmetry class and exhibit the blue luminescence with the least observable intensity are also the diamonds which give the least observable intensities of X-ray reflection and are therefore the nearest approach to the ideal diamond. Per contra, the diamonds which are non-fluorescent and belong to the higher symmetry class give extremely large intensities of X-ray reflection. The (111) Laue spots in the X-ray patterns of these latter crystals show a fine ripple-like structure of straight lines parallel to the atomic reflecting layers; from this, it may be inferred that the atomic layers in these diamonds are not strictly plane but have a periodic waviness or rugosity. The enormously increased strength of the Bragg reflections given by an oscillating crystal of this class thereby becomes intelligible. It is scarcely to be doubted that these rugosities made evident by the X-ray reflections are closely associated with the lamellar structure of these diamonds and with the streaky restorations exhibited by them in the polariscope which run parallel to one or more of the octahedral cleavage planes of the crystal.
The difference between the tetrahedral and octahedral types of diamond also manifests itself in respect of the phenomenon of quantum or modified X-ray reflection. All diamonds of the tetrahedral class, whether weakly or strongly luminescent, exhibit the triple quantum reflections by the (111) planes in a conspicuous manner. These reflections have been explained by the present writer as due to the excitation of the lattice vibrations of wave-number 1332 by the impact of the X-ray photons. Certain writers, notably Born and Lonsdale, have, on the other hand, supported the suggestion
that they may arise from a "peculiar state of strain having cubic symmetry present in such diamonds". It is obvious that a state of strain having cubic symmetry cannot possibly maintain itself in a finite crystal free from external stress, and that even if such strain existed, it would not give any observable effect other than a minute alteration of the crystal spacings. It is also and irregular restoration of light between crossed nicols as the result of visible faults or inclusions. These facts are sufficient to show that the ad hoc suppositions made by Born and Lonsdale are wholly without any physical foundation.
As already mentioned, the classical X-ray reflections of the octahedral variety of diamond are extremely intense. Remarkably important to remark that it is precisely the kind of diamond which exhibits the quantum X-ray reflections that can be obtained as cleavage plates completely from any strain detectable between crossed nicols. It is also found that such strain-free plates exhibit the quantum reflections to exactly the same extent as other plates of the same variety of diamond which show a strong enough, however, the diamonds of this class fail to exhibit the triple quantum reflections. This is regarded by Born and Lonsdale as a refutation of the ideas put forward by the present writer for explaining the phenomena observed with the other type of diamond. A closer consideration of the facts shows, however, that this difference in X-ray behaviour actually forms
strong evidence for the correctness of the views put forward by the present writer. It will be recalled that the two types of diamond differ in their infra-red behaviour in respect of the lattice vibration of wave-number 1332, this being inactive in octahedral diamond and active in the tetrahedral variety. This difference is a direct consequence of the difference in crystal symmetry. Similar considerations of crystal modified X-ray reflection is the same high-frequency vibration in respect of which the two types of diamond show such a remarkable difference of behaviour in infra-red absorption.
7. PHOTO-CONDUCTIVITY
Diamond, as is well known, exhibits the very interesting property of becoming electrically conducting when illuminated by visible or ultra-violet light. Gudden and Pohl who studied this effect found that the diamonds which freely transmit ultraviolet radiations of shorter wave-length than 3000 A.U. exhibit the effect in a more striking manner than the diamonds which are practically opaque beyond that wavelength. They attributed this difference to the impurities which they assumed were present in the less transparent variety of diamond. This assumption, of course, has
no foundation, and we have to seek for a different explanation of the very remarkable experimental facts. Robertson and Fox (1934) showed that the greater transparency in the ultra-violet goes hand in hand with the absence of infra-red absorption at the wave-length 8 μ. It follows that the difference in ultra-violet transparency also arises from the difference in crystal structure, the tetrahedral diamonds being the less transparent and the octahedral diamonds the more. This difference in transparency cannot however, by itself, account fully for the striking differences in photo-conductivity, and it is evident that we have to seek for a further explanation on the same basis as for the difference in the luminescence properties. This question has been examined by Mr. D. D. Pant (1942) who has made observations with numerous specimens from the collection of diamonds in the possession of the present writer. From Mr. Pant's studies, it appears quite definitely that there is an inverse correlation between the primary effect in photo-conductivity and the luminescence of the diamond. Taking, for instance, the diamonds of the tetrahedral class, it is found that the more strongly luminescent they are, the smaller the photo-conductivity they exhibit. Indeed, the most feebly luminescent diamonds of this class exhibit the effect to an extent which is not vastly smaller than the non-fluorescent diamonds of the octahedral variety.
8. SOME CONCLUDING REMARKS
Many of the physical properties of the allotropic modifications of diamond differ very little. Other properties, however, as we have seen, exhibit striking differences which enable us to distinguish between them. The luminescence exhibited under ultra-violet irradiation is by far the most easily observed and striking of these, and as already remarked, it exhibits most remarkable variations in colour and intensity. Numerous specimens in the possession of the writer even show variations of colour and intensity in different areas of one and the same specimen. These variations often take the form of bands and patterns of colour parallel to the octahedral cleavages of the crystal. The observations suggest that the tetrahedral and octahedral species of diamond may intermingle in the same specimen and that such intermingling is responsible both for the development of strain patterns and of luminescence patterns in the specimen. This is confirmed by the existence of corresponding local variations of the ultra-violet transparency of the diamond. The fuller consideration of these matters must be reserved for some future occasion. |
Pramod Karan Sethi was born on 28 November 1927 in Varanasi. His father, Shri Nihal Karan Sethi was Professor of Physics at the Banaras Hindu University (BHU) since its inception in 1916, and a close associate of Pundit Madan Mohan Malaviya, the founder of the institution. Sethi once told me that in 1930, Malaviya called his father and told him that with his emoluments at the BHU, it would be difficult for him to marry his six daughters. So he should go to Agra College, Agra, where he would be better paid. That is when Sethi moved to Agra.
Sethi had attended St. John’s School (1932–33), Balwant Rajput Intermediate College (1934–42) and Agra College (1942–44).
He did his MBBS from Sarojini Naidu Medical College in 1949 with honors in surgery and six other subjects, and in 1952 passed his MS in General Surgery from the same institution. In 1954, he became a fellow of the Royal College of Surgeons. On his return to India, Sethi obtained the position of Lecturer in Surgery at the SMS Medical College and Hospital, Jaipur and rose to become Professor and Head of Department of Orthopaedics, and Director of the Rehabilitation Research Centre, SMS Hospital, a position he held till his superannuation in 1982.
Pramod Sethi used to tell us that he often met his amputees whom he had fitted with prosthesis, but who were not wearing the same, and soon realized that the reason was the foot piece, which did not fit their milieu. He set out to solve the rural patients’ need for a foot that would look like a bare foot, would be waterproof, and durable and flexible enough to allow for ease of walking over uneven ground and for its wearer to squat and sit cross-legged. Finally, it should be made of inexpensive and readily available materials. Thus began the journey of the development of the Jaipur foot. He first tried to modify the SACH foot then in vogue, but even after numerous modifications, nothing satisfactory emerged. Finally, the SACH foot assembly was eliminated completely and different components were used. The final product had flexibility and resilience, simulated subtalar, ankle and torsional movement, and was also durable. Sethi once asked me why tyres were only black, and then explained that carbonized rubber has the least wear rate. That is why the sole of the natural-looking Jaipur foot is still black. Sethi presented his first scholarly paper on the Jaipur foot at the Association of Surgeons of India’s annual conference held in Bangalore in 1970. The following year, he presented a paper on the modification for Syme’s amputees. That same year, Sethi reported on the foot at a meeting of the British Orthopedic Association at Oxford, England and received a standing ovation. The Western India Orthopedic Society presented Sethi with a Gold Medal in 1973. In 1974, international attention was again called to the foot when Sethi was asked to give the lead talk at the First World Congress on Prosthetics and Orthotics held in Montreux, Switzerland. He told me about an interesting episode of his visit to Switzerland. His baggage got lost in transit and so did his slides. Sethi made freehand sketches and proceeded to make the presentation.
He received numerous accolades for his pioneering work, namely Padma Shri (1981), Ramon Magsaysay Award (1981), Guinness Award for Scientific Achievement (1982), DSc (Honoris Causa), Rajasthan University (1982) and R. D. Birla Award for Outstanding Medical Research (1983). Sethi was invited to deliver the Gandhi Memorial Lecture at the Raman Research Institute, Bangalore in 1988 and was elected as a Fellow of the Indian Academy of Sciences (1989). He was awarded the Knud Jansen Medal and Oration, World Congress in Prosthetics and Orthotics, Kobe, Japan (1989). He received the Dr B. C. Roy National Award as Eminent Medical Man (1989), and an Honorary Fellowship of the Indian Orthopaedic Association (1999).
However, Sethi was not thrilled by the technical virtuosity of the design features of the Jaipur foot. He opined that better designs would soon overrun it. For him, it represented the first major departure from looking to the West for direction and inspiration. ‘It has also taught us that demystification of professional knowledge is a powerful tool to allow us to draw on a very large reservoir of talents, residing in our highly skilled craftsmen in our rural areas’. Not that he was tethered to traditional concepts and despised modern developments. We often asked him why we were still into aluminium sockets when the world was going plastic. He would just smile and point out how easy it was to fabricate the aluminium socket, to mould and alter it, to weld and repair it if it broke, even for the village blacksmith. ‘Can you do that to your polyethylene or polymer socket?’, he would ask.
Sethi’s desire and hope was that the Jaipur model of uniting the skills and services of doctors, craftsmen and volunteers be duplicated throughout India, so that the handicapped can be served closer to their homes. Village artisans should be trained in simple lessons and allowed to deal with his village amputees. ‘The problem is not of several million disabled and amputees in the country’, he would point out. ‘It is the problem of two or three in each village. That is the way to look at it and solve it’. It was the slow desertion of this vital concept that alienated him from a movement so close to his heart.
He was a surgeon par excellence. Once when I was assisting Sethi at surgery, he asked me ‘What are the qualities of a good surgeon?’. As he was always wont to do, he never gave the answer. He referred me to a book, *Surgery Heterodox and Orthodox* by W. Henage Ogilvie. The qualities listed by Ogilvie fitted PKS, as we his postgraduates affectionately called Sethi in private, to a T. ‘In judging a surgeon we must consider qualities of the head, the heart and the hand’, Ogilvie wrote.
Sethi’s excellent professional knowledge was indisputable. He spent at least one or two hours every day in the Robert
Heilig library of SMS Medical College, the largest medical library in Asia at one time. He was an avid reader. He was a member of an elite Book Lovers club which included several luminaries such as Daya Krishan, Unnithan, Mukund Laat, Loknathan, Rao, Hemlata Prabhu, and Anil Bordia. This diverse group met once a month to review a book, be it the latest bestseller, fiction or nonfiction, on literature or arts, metaphysics or philosophy, on management or behaviour, and so on. According to Bordia, Sethi was the only one who constantly read the book to be reviewed, and moreover he was the one who consistently bought the book to read it.
As a teacher, Sethi had few peers. ‘The relationship to be sought is not that between master and pupil, but between master craftsmen and apprentice’, and so it was with PKS. He would set us problems and tasks, and indicate a line along which they may be approached, no spoon-feeding but was ready to help not when difficulty arose, but when he was sure that an earnest attempt had been made to solve or accomplish them.
The first qualities of the heart, a surgeon must possess, and which Sethi did in ample measure, was humility. It was reflected in his response to the citation for the R D Birla National Award, which seemed to come straight from the heart. ‘The R. D. Birla Smarak Kosh has honoured our small team of doctors and artisans and the community of my town of Jaipur, without whose help and contribution it would not have been possible. For years our work went unnoticed because there was nothing exotic or glamorous about the simple, almost austere technology which was associated with it... the present award has lent credibility and legitimacy to the kind of clinical research which is meaningful and relevant for our country’s needs. Hopefully our research institutions and planning bodies would now be compelled to carry out some hard reappraisal of their priorities’.
The perfectionist that he was, Sethi was not given much to writing, for it took time to produce a perfect masterpiece of an article. He was kind enough to pass on some of these gems to me. One of them entitled ‘Orthopaedics in an unjust world – Whither Indian orthopaedics?’ was published in the *Indian Journal of Orthopaedics*, 2004, **38**, 216. The second ‘The doctor in the 21st century’ was published in the Seminar, 500, April 2001. It truly reflects his philosophy, and needs to be emulated by all of us.
Sethi had a versatile personality, coupled with a charming and pleasant countenance. Many of his postgraduates joined orthopaedics not out of a genuine love or craze for the subject, but because of his charisma. I was one of them. In the words of William Shakespeare in his play *Julius Caesar*, ‘Here was a Caesar. When comes such another?’.
P. K. Sethi passed away in the early hours of 6 January 2008. He is survived by his wife, three daughters, and a son.
Rakesh Bhargava
47, Moji Colony,
Pradhan Marg,
Malviya Nagar,
Jaipur 302 017, India
*e-mail: firstname.lastname@example.org*
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**Jagannath Ganguly (1921–2007)**
Jagannath Ganguly, an outstanding biochemist belonging to perhaps the first generation of biochemists of this country, passed away peacefully at the age of 86 on 12 December 2007 in Bangalore.
John Ganguly, as he was addressed by his close friends and admirers, was born in the small town of Seraijganj, his ancestral place in Pabna District, East Bengal under British India on 1 April 1921. He had his early education in his native town and obtained B Sc degree in first class in 1940 from Pabna College, affiliated to Calcutta University. He took up a job as a clerk in a post office in Darjeeling. It was perhaps providential that he met Haridas Bhattacharya, an eminent professor of comparative religions and philosophy, and Provost at the Dacca University, who was on a holiday in Darjeeling in the summer of 1941. Bhattacharya persuaded him to join Dacca University – one of the best centres of higher education at that time. Ganguly passed M Sc in chemistry with first class first rank. One of his M Sc viva voce examiners, S. N. Bose (of the famous Bose–Einstein equation) was much impressed with his performance and suggested that Ganguly should pursue his career at the Indian Institute of Science (IISc), Bangalore. He put Ganguly in touch with J. C. Ghosh, then the Director of IISc. Thus began what was to be an illustrious academic journey of Ganguly at IISc from 1944. Having already come in contact with K. P. Basu (an associate of Warburg), Ganguly took up biochemistry instead of continuing with pure chemistry. He secured the Lady Tata Scholarship and started working on the nutritive value of soybean milk, a problem that apparently did not excite him much. He decided to go abroad, got the Government of India Overseas scholarship and left for the National Institute of Research in Dairying at the Reading University, UK in 1946. There, he carried out pioneering work on establishing the conversion of beta-carotene to vitamin A in the intestine itself, but not in the liver as it was believed at that time. He had also shown the enzymatic hydrolysis of vitamin A esters in the intestine and received Ph D degree in 1949 for that work. During this time India had attained independence, also leading to partition of the country and Ganguly’s native place became part of East Pakistan (now Bangladesh). Consequently, his family had to leave Seraijganj for Cal- |
Public Bidden to View New County Hospital
County commissioners have designated today as formal inspection day when people, who have financed the county's new $1,100,000 hospital, may see how their money has been spent on structure in the county's charges at new medical center on Marquam hill. Pictured is characteristic view of building, which will be ready for occupancy in about three months.
—from the Oregon Daily Journal, Sunday morning, November 26, 1922. Oregon Historical Society photograph.
COUNTY PATIENTS IN NEW HOSPITAL ON MARQUAM HILL
The palatial $1,250,000 building which overlooks the city from the heights of Marquam hill began its use as a county hospital today when about 80 patients were transferred from the old quarters at Second and Hooker streets.
The new hospital, which was more than two years in the course of construction, is one of the finest in the Pacific Northwest and is striking contrast to the old building which was condemned as a dangerous firetrap by the city building inspector some time ago.
The new hospital has one of the best equipped operating rooms on the Pacific coast. It adjoins the University of Oregon medical school on Marquam hill.
The work of removing patients from the old hospital was under the direction of Dr. Harry R. Cliff, county physician, and Mrs. Emma E. Jones, superintendent of the nurses, and Miss Rose Weeks, superintendent of nurses, assisting.
The work started at 9 o'clock and by noon all the patients were comfortably settled in their new home. Ambulances were used for the weaker patients, while the rest rode in passenger automobiles. Because of the advanced age and weakened condition of most of the patients, extreme care was necessary.
The old frame building at Second and Hooker streets probably will be demolished in the near future. It once was a reservoir, and has long been considered inadequate as a county hospital.
The nurses, who formerly resided at Second and Woods streets, have new quarters on the third floor of the west wing of the new building.
The finishing touches have not yet been put on the new structure, but the building is far enough completion for inspection. The county commissioners plan to construct a new road up Marquam hill from Terwilliger boulevard to the hospital next year.
—from the Oregon Daily Journal, August 29, 1923
PAUPER OR KING
Patients occupied the new Multnomah county hospital for the first time yesterday.
There is more than a million dollars of public money in the new building. Taxpayers are the winners under the program of contributing it. A great deal has been said in derogation of those who built so ambitiously. But who would have thought that the day would come when the county would have to cut it out of the public institutions of Portland?
There is an element of gentleness in a city that wants as good care and accommodations for its sick paupers as for its sick wealthy. There is a feeling of satisfaction in seeing Portland reflect to that the spent and worn who were carted out to the new hospital yesterday are no longer in a firemen-shack.
There will be still a greater feeling of pride when Portlanders tell visitors who come to the city that the splendid structure that stands in bold outline on Marquam hill is the hospital for the county.
Well fares the land where there is civic pride. The whole strength of a nation rests on the estate held for all generations and for people's fields, so-called, are an indictment. "Rattle his bones with the stones," he's only a pauper whom nobody owns, a pauperment that should have no part in modern life.
The county hospital is not only a hospital but a clinic place and a great educational system, such as it ought to be the best, and it is the best.
It is one of the show places of the city and a place worth showing.
—Editorial from the Oregon Daily Journal, August 30, 1923
NEW COUNTY HOSPITAL ON VIEW TODAY
Public is Invited to Inspect
Huge Building on Marquam Hill Between 9 a.m., 4 p.m.
When Opened It Is Estimated It Will Represent Expenditure of More Than $1,000,000.
The county commissioners will hold open house today, between 9 o'clock this morning and 4 this afternoon, in the new monumental county hospital building that overlooks the city from the peak of Marquam hill.
"What is that?" strangers ask when they come to town, pointing to where the new building gleams through the mist or bask in the sunlight.
The building can be seen from anywhere on the east side and is hidden from view from the other three west sides, where the building at the head of Broadway intervenes. It has the appearance of a giant old castle, strategically located above the surrounding countryside.
PROUD OF BUILDINGS
Portlanders are beginning to take pride in building the new hospital, but they have gone up the hill to inspect it at first hand. So the commissioners decided on open house today, especially since the finishing touches will be put on now and patients will be moved in within six months.
The new hospital has been a storm center, politically speaking, since the commission began building it. A build-out from residence at the foot of Marquam hill, became a disgrace to the county, with grand jury after grand jury recommending that the county replace it.
The commission was divided, some favoring a new building at the foot of the hill, at Second and Hooker streets, where the present hospital stands.
OFFERED SITE
The county, however, was offered a site free from the top of the hill, near the University of Oregon medical school, and County Commissioner Rufus C. Holman led the fight for this choice. He finally prevailed, and in
—continued on page fourPublished by The Multnomah Hospital
Semicentennial Committee to commemorate the Fiftieth Anniversary of the opening of Multnomah Hospital on Marquam Hill, Portland, Oregon.
Gale Rankin, Chairman; Dr. Michael Baird, Mercedes Bates, Ramona Bennett, Barbara Browne, Maria Clark, Chaplain Dodson, Jack Haley, Ardyss Holcomb, Mary Jane Jones, Margaret Kortgen, June Lerma, Ruth Mercer, Frances Morse, Robert Nelson, Anna Jo Ness, Ken Norris, Shirley Schumann, Dorothy Smith, Father Alfred Williams, Thelma Wilson.
Editor ........................................ Kathy Mayo
May 6, 1973
POCKET FULL OF MEMORIES
Long-time employees of Multnomah remember well ... the time when young women waited too long to come to the hospital and delivered her baby in the admitting office right into Assistant Nursing Director Margaret Fox's white desk. ... the time when enterprising interns swiped a pair of Hospital Superintendent Emma Jones' bloomers ... the time when a flag pole ... the aroma of chocolate fudge filtering down the hall at night as nurses made candy in the ward kitchens to share with staff and patients ... when students were allowed to give up men's bathing on the roof of Emma Jones Hall because of low-flying aircraft ... when the annual Christmas parade of elephants marched single file up Sam Jackson Park Road, along with clowns and other performers to put on a show for patients Downbeach patients in the area where the administration building now stands ... how when it snowed student nurses would make bed pans to use as sleds on the TH Hospital hill ... when the residents and interns used to play football in the old parking lot behind the hospital ... when patients in surgery were summoned by a call from the third floor window ... the day when an operating room supervisor Alice Sharp caught a intern rolling a nurse student down the surgery hall in a laundry cart (the intern remembers well the lecture he got).
Two of Multnomah's Hospital administrators shown in photo taken at the Oregon University Oregon Medical School Alumni Banquet. They are Dr. Jarvis Gould, 1955-1972, and right, Dr. Charles Holman, who headed the hospital from 1945 to 1958.
Other administrators include Drs. Harry R. Cliff, 1923-1940; D. W. E. Baird, 1940-1946 and Michael Baird, present administrator.
Service Awards
25 years and more
Jacob Schaffer 33
Mabel Campbell 31
Margaret French 30
Shirley Schumann 26
Dorothy Smith 25
Virginia Hollow 25
Leonard Poole 25
Gale Rankin 25
20—24 years
Mary Campbell 24
Maria Kastner 24
Vivian F. Patton 24
Bertha Bowers 24
Louise Taylor 24
Edith Trykay 24
Beatrice H. Smith 23
Elizabeth Washington 23
Barbara Brown 22
Helen L. Smith 22
Odalle Robinson 22
Ramona Bennett 21
Lavonne Henry 21
Frances Morse 21
Verda Mitchell 21
Frances Smith 21
Loretta Smith 21
Robbie Johnson 20
Martha Hanecek 20
Carlena Seaberry 20
15—19 years
Ampara Avila 19
Dorothy Lee 19
June Lerma 19
Ruth Mercer 19
Helen Gregory 19
Murlene Johnson 18
Louise McCowan 18
Irene Davis 18
Freddie Paden 18
Orene Remmert 18
Nellie Thompson 18
Elmer Gieger 17
E. Marie Hall 17
Arda Holcomb 17
Opal Sanford 17
Genevieve Treadwell 17
Bernice Jane Ward 17
Ellen Wright 17
Leona Golden 16
Theodora Campbell 16
Iola Campbell 15
Devonia Sprout 15
Alfreda Smith 15
George Waterbury 15
10—14 years
Rosetta Barnes 14
Mercedes Bates 14
William Cobbs 14
Dora Henley 14
Florence Owen 14
Jacqueline 14
Alice Powell 14
Gladys Pruitt 14
Melba Smith 14
Manning Blake 13
Priscilla Jones 13
Kathy Riley 13
Viola Ray 13
Gertrude Schildklemm 13
Lemelia Talton 13
Marie Thomas 13
Dorothy G. Voss 13
Jean Arnold 12
Mary Ann Barlow 12
Mary B. Brown 12
Thelma Fredericks 12
Helin Heaton 12
Ruthie Moore 12
Patrick McAdams 12
Mary Lois Moore 12
Pete Parks 12
Betty O'Neal 12
Harold Sibley 12
Dorothy Smith 12
Paul Flynn 11
Elizabeth Pickering 11
Vernie Burroughs 10
Berthila Harrington 10
Maurine Henkins 10
Millicent Jones 10
Lois Peyton 10
F. E. Richardson 10
Elmer Upton 10
Willie Vick 10
Pauline Weaver 10
Lois Zapp 10
Jacob Schaffer, center; left to right: Margaret French, Dorothy Smith and Mabel Campbell.
Remember When?
Those words echoed over and over as four long-time Multnomah Hospital employees sat down recently to reminisce about 30 years of shared experiences.
Storekeeper Jacob Schaffer, with 32 working years behind him, was there to recall 1941, when the supply room was a one-man operation. "There were 3 of us. He started at $75.00, plus board and room, each month. 'I had a wife and home,' Jake said, "so the board and room was wanted on me." However," he chuckled, "after a while things improved. I got a 50-cent a month raise."
Paging operator Mary Campbell, who started on the switchboard in 1941, was there, too. She is still using her phenomenal memory for voices to track down patients and visitors across campus, towns or an ocean. It is not unusual for a UOMS physician lecturing in—for example Japan—to call saying, "Hello, Mary, where can I find campbell?" Her reply is apt to be an unperturbed, "Yes, Dr. Jones, Dr. Smith is in clinic—I'll ring him."
When she was one of paging operators in the first four switchboard operators handled the Hill calls. Today there are 14. Mabel once used an average of 14 record sheets daily, each listing 25 names and numbers. Now the paging operators list 26 to 30 pages of calls daily.
"Do you miss the old days?" somebody asked. "Well," said Mabel, "parking was no problem then."
Margaret French came to Multnomah Hospital in 1944 after taking her nursing diploma from Good Samaritan Hospital. After a year's training in the "Medical School's" nursing anesthetic course (terminated in 1948 when anesthesia evolved into a medical specialty), she began administering anesthetics in surgery. Nitrous oxide was the most common agent used then. A gauze-covered cone was placed over the patient's nose and mouth until fumes from the ether dripped daily onto the cone, anesthetized the patient. While this was going on, another nurse stood outside the surgery door working a bicycle pump to force air through a hose and into the ether bottle thus keeping the agent dripping properly.
"We did 12 tonsillectomies every Tuesday," Margaret French recalled, "and we were done by noon. Time and techniques change," she added, "but they're only done in one day and they're lucky to be finished by 2:30, but there's far less trauma involved for the youngsters."
One day in 1943 a young lady volunteer quit her service as a dental assistant at Multnomah Hospital. She had been trained by the Red Cross and wanted to do her part for the war effort. Thirty years later, Dorothy Smith is still doing her part, and then some. She has been an accounting clerk for the last 30 years, but has worked in every unit of the hospital, even in the operating rooms during the acute labor shortage of the war years.
After her initial stint—2½ years as a volunteer—she stayed home for two months "to empty my purse pocket." But Verda Mitchell, then director of nursing, persuaded her to come back as her secretary.
Dorothy remembers the old days with a great deal of nostalgia ... the protocol in the cafeteria which required everyone to stand when a senior staff member entered. Emma Jones came in you remained standing until she sat, so we ate a lot of cold food. She remembers the medical students who served them, that one of them was an efficient and agreeable young fellow named Bill Snell.
She remembers the wonderful birthday parties Christmas Eve, when everybody knew everybody and elderly patients cried when they had to go back home. (Some of them still do.)
She also recalls, though not so fondly, all those years of hot apple wassail for the nursing traditional Christmas party. "Would you believe it?" she said ruefully, "to this day I almost sick every time I smell hot cider!"
Before the original Doernbecher Memorial Hospital for Children was built in 1923, young ones were cared for in 2 South, now in 2 Center of Multnomah Hospital—and on the roof when weather permitted.
Every nice morning a rag-tag little parade marched down the long corridor into the elevator and up to the two-floored walled rooftop above the East wing.
There were wheezy patients and eerie pale column little babies patients in a straggly file, pale babies in nurses' arms, all of them headed for a little rest and hopefully, warming. These tasks were the doctor's orders and every nurse in the ward took her turn on roof detail. Head nurse Evelyn Walker (in photo center), too, wherever she could be away from the bed. So did the young interns, Drs. Morris Bridge- man, Marion LeCoq and Warren Hunter (in photo). Those were the days of many mastectomies and tonsillectomies as well as the usual varieties of broken bones, strep throat, diabetes and respiratory problems. Margaret Fox, who was assistant director of nursing until her retirement, remembers the roof detail as a bright spot in the day for many an ailing youngster.
"And for the nurses, too," she added.
In April 1952 when Dr. Charles Mayo was conducted on a tour of the nearly completed County Hospital he said, "The hospital is particularly fortunate in that because of the possibility it offers for cooperation with the Medical School....It is the finest hospital I have ever inspected and I expect it in the coming years will be a model for many advances in medical work in other places."
When the current group of 11 dietetic interns complete their training July 1, the program, headquartered at Multnomah, will boast 261 alumni. Started in 1947, the program is recognized as one of the finest in the United States with many of its graduates holding national leadership roles in the field.
NEW FACILITIES ADDED
The architects' original design for Multnomah Hospital included the future addition of two wings to form an H-shaped building from the initial U-shape erected in 1923. In 1950 the first section of the new construction wing was completed. In addition to other patient care areas, the $3.4 million new structure houses large steel glass and tile surgical suites with bacteria-free environments and individual temperature and humidity controls as well as eye, ear, nose and throat operating rooms containing some of the most advanced equipment in the nation.
Oregon's only psychiatric crisis center, designed and staffed to care for acutely disturbed patients is located on the ground floor of the new section. With completion of the second wing the hospital's bed capacity reached 334.
During the 1971-72 fiscal year 7660 patients were admitted to Multnomah Hospital and 1477 babies were born there.
At 8 a.m. on December 1, 1964, the newly constructed Emergency Unit at Multnomah Hospital opened its doors. The hours of operation were 24/7 and arrived before the day was over 40 persons had been seen. Today an average of 14 human patients a day are treated in the Unit, including 11 minor surgeries, a cast room, 11 examination and treatment rooms, a small laboratory, dormitory space for three doctors and a reception area. The $359,000 Unit described by Dean Emeritus Dr. D. W. E. Baird at the time it opened as "an immediate and invaluable addition to the community as well as the Medical School clinical teaching programs," provides medical and nursing students, residents and interns with a wide scope of practical experience in trauma.
NEW HOSPITAL
—continued from page one—
spite of criticism and wild rumors, the work has progressed steadily.
"Yes, sir," Holman said Saturday, in speaking of the reception. "Not since I was here at my first birthday party have I anticipated or appreciated an occasion as much as this."
County officials, architects and contractors have been invited to conduct parties through the building and over the grounds, explaining the arrangement and system of the new hospital, and showing off their ability, answering all questions.
The new hospital will have room for the first 250 beds ready in three months. The hospital was designed in such a way as to allow for two new wings when the need arises, which will increase the capacity to a total of 500 beds.
STAFF IS LARGE
When it is opened for patients, it is estimated that the cost of construction and equipment and the landscape work on the grounds will reach a total of $1,100,000.
Every modern convenience for the treatment and care of patients has been installed in the new building.
In addition to the corps of attendants to care for the sick, the University of Oregon medical school has on duty a staff of department heads and instructors who wish to exhibit the equipment of the medical school and show the work done in the laboratories and operating rooms.
OVERLOOKS RIVER
The new hospital and the medical school are located on Marquam hill, overlooking the Willamette River. The grounds are reached from a road which turns west from Tewlligaw Boulevard, after the first loop out of the city.
"We want to urge every person who possibly can to come out and inspect the building," said County Superintendent. "It is not generally known what a magnificent institution has been placed there on the hill, and we want it inspected by the neighborhood, for this alone will bring appreciation."
—from the Oregon Daily Journal, November 26, 1922
JOB DESCRIPTION:
FLOOR NURSE—1887
In addition to caring for your 50 patients, each nurse will follow these regulations:
1. Daily sweep and mop the floors of your ward, dust the patient's furniture and window sills.
2. Maintain an even temperature in your ward by bringing in a scuttle of coal for the day's business.
3. Light is important to observe the patient's condition. Therefore, each day fill kerosene lamps, clean chimneys, and trim wicks. Wash the windows once a week.
4. The nurse's notes are important in aiding the doctor's work. Make your pens carefully; you may write nibs to your individual taste.
5. Each nurse on duty will report every day at 7 a.m. and leave at 8 p.m., except on the Sabbath, on which day you will be off from 12 noon to 2 p.m.
6. Graduate nurses in good standing with the director of nurses will be given an evening off each week for courtship, but only two nights a week if you go regularly to church.
7. Each nurse should lay aside from each pay day a goodly sum of her earnings for her retirement during her declining years, so that she may become a burden. For example, if you earn $30 a month you should set aside $15.
8. When you smoke, use liquor in any form, get into debt, frequent beauty shop, or frequent dance halls will give the director of nurses good reason to suspect your worth, integrity and purity.
The nurse who performs her labors, serves her patients and doctors faithfully and without fault for a period of five years will be given an increase by the hospital administration of five cents a day providing there are no hospital debts that are outstanding.
This is actually done, and the benefits, covered and enclosed by our sins awning and when it rains the nurses and attending physicians are forced to don boots to make their way from bed to the dining room.
There were no funds available at this time for the erection of a new hospital so a counter proposal was made that surplus patients be cared for outside the city limits in Portland and a committee was appointed to investigate the feasibility of a plan such as this. This committee's report showed this to be impracticable, as the only hospital willing to cooperate under this plan was St. Vincent and their rates were considered too high. They offered to take care of the overflow at a flat rate of $8.00 per week, drugs, use of the surgery, anesthesia, etc., to save extra money. For many years Multnomah Hospital had managed to care for their patients at the low average of 78¢ per day per patient.
When the new hospital finally was built on Marquam Hill in 1923 it was Superintendent Jones who supervised moving the 80-some patients from the old Infirmary hospital on Burnside Street to the "palatial" new billowing towers.
Mrs. Jones continued to serve as Superintendent until her retirement in 1944. She moved to Chicago to live with her son, later moved to Pittsburg where she died June 22, 1958, at the age of 90 plus.
In honor of her contributions to the care of the convalescent and needy a memorial service, conducted in the name of Multnomah Hospital in 1927, was named Emma Jones Hall. It still stands—now as a memorial to her dedication.
FRENZIED SPENDING
The county hospital continues to be a scandal in the matter of public monies by an unrestrained commission. A report by the county auditor now discloses that contracts have been let for sums of $16,400, a sum equivalent to the customary 5 per cent commission on the total expenditure of $252,000 yet only $25,206 has so far been expended in rendering services. It is also disclosed that a new contract has been entered into with the architects providing for a further payment of $14,400 in the year 1921 or a total of $30,800 for architects' fees alone. This has been changed three times, each time adding the architects more money. On the basis of architects' fees now contracted to be paid the building cost at the close of 1921 was $451,000. At the end of spending on the institution not yet reached.
The progressive pressure on the county hospital appreciates the million-dollar mark more. The institution has been located on a high hill which, of the first, if not the first, height of Portland, and Portland has grown more than thirty years ago but yet remains undeveloped because of its isolation.
It is not reached by streets or by paved streets, but only by a steep, narrow, winding road or else by a long, roundabout route.
To save money vast quantities of earth excavated from the site were piled over the edge of the steep hill-side. Frequent slides of the earth have blocked one of the main highways leading into the city, causing untold inconvenience and have destroyed life and property. Day and day workers are required on two roads to warn approaching vehicles of impending danger.
On the other hand, home-made, durable and economical brick have been rejected and material imported from another state at higher cost because its color and texture pleased somebody's esthetic taste.
Manufacturers have unloaded on the county an expensive X-ray apparatus for use in the hospital, selling at the price it would have cost two years before it can be put to use.
To keep going the extravagance of the undertaking, money in the interest bridge fund which ought to be drawing interest has been diverted.
A county hospital which is an institution for the care of the sick, needs. But do indigents need a million-dollar hospital? Patients able to pay get care at St. Vincent's whose buildings are of an estimated value of $450,000, or at Good Samaritan, whose buildings have an estimated value of $1,000,000. The latter, with all its ornamentation and its furnishings was built with a bond issue of $500,000.
—from the Oregon Daily Journal, February 9, 1921 |
SCHOOL BOARD OF BREVARD COUNTY, FLORIDA
BOARD AGENDA ITEM – January 18, 2022
DEPARTMENT/SCHOOL INITIATED AGREEMENT 22-394-BW-JW Raptor Technologies, LLC
☒ (BW) Bids Waived ☐ (A) Agreement
REQUESTOR: District & School Security Legal Review Required: ☐ Yes ☒ No
Standard Template Used with No Changes: ☒ Yes ☐ No
Standard Template Type: Software License Addendum
| VENDOR NAME | AMOUNT AWARDED | REQUIRED PRODUCTS/SERVICES |
|----------------------|----------------|---------------------------------------------|
| Raptor Technologies, LLC | $50,600.00 | Raptor Visitor Management System |
Total $50,600.00
☒ Contract Renewal
☐ Recurring Contract
☒ New Contract
New Contract Amount $50,600.00
Previous Contract Amount $0.00
Variance $50,600.00
PRICE INCREASE / DECREASE EXPLANATION:
DISCUSSION:
Renewal of Raptor Technologies Access Fee for 88 Brevard Public School Sites. Raptor Technologies is an integrated school safety software service that enables our schools to screen visitors and maintain our volunteer data base. Raptor Technologies has been our Visitor and Volunteer Management system since January 2017.
The standard bids waived, and Software License Addendum agreement template has been used, which does not require legal review.
CONTRACT TERM:
The initial contract term shall commence January 15, 2022 and continue until December 31, 2022.
RECOMMENDATION:
It is the recommendation of, Robin Novelli, Chief Operating Officer and Major Brian Neal, Director of District & School Security to approve the attached software license addendum with Raptor Technologies, LLC in the amount of $50,600.00.
AUTHORITY FOR ACTION:
Florida Administrative Code 6A-1.012 (11)(b)
PROCUREMENT & DISTRIBUTION SERVICES
2700 JUDGE FRAN JAMIESON WAY
VIERA, FL 32940-6601
SOFTWARE LICENSE ADDENDUM
THIS SOFTWARE LICENSE ADDENDUM ("Software Addendum") is entered into by and between The School Board of Brevard County, Florida, a political subdivision of the State of Florida, located at 2700 Judge Fran Jamieson Way, Viera, Florida 32940, more commonly known as Brevard Public Schools (hereinafter referred to as "BPS") and Raptor Technologies, LLC whose business address is 631 W. 22nd St., Houston, Texas, 77008, (hereinafter referred to as "Contractor"), and is intended to supplement the agreement entered into between the parties effective upon issuance of Purchase Order under 22-394-BW-JW regarding software and/or Services to be provided by Contractor to BPS.
1. **TERM** – The term of this Software Addendum will coincide with the term of the agreement between the parties and may be renewed at the end of the term on the same or substantial similar terms by mutual written agreement of the parties.
2. **DEFINITION OF “AGREEMENT” AND CONFLICT** - As used herein, the term “agreement” shall mean Contractor’s standard form contracts and/or terms and conditions, any and all exhibits and attachments thereto, and any additional terms and conditions incorporated or referenced therein. Contractor’s standard terms and conditions in the agreement, and any additional terms and conditions incorporated or referenced therein, are, with the exceptions noted herein, acceptable to BPS. Nonetheless, because certain standard clauses that may appear in, or be incorporated by reference into, Contractor’s agreement cannot be accepted by BPS, and in consideration of the convenience of using those standard agreements without the necessity of specifically negotiating a separate contract document, the parties hereto specifically agree that, notwithstanding any provisions appearing in the attached Contractor’s agreement, the following provisions as set forth in this Software Addendum shall control in the event of a conflict and they are specific to The School Board of Brevard County, Florida as a local educational agency.
3. **DISPUTES** - Any references in the agreement to arbitration are hereby deleted. Jurisdiction resides in the Circuit Court in Brevard County, Florida, the local educational agency’s county. Agreements to engage in nonbinding mediation are permissible.
4. **HOLD HARMLESS** - Any clause requiring the BPS to indemnify or hold harmless any party is hereby deleted in its entirety. In addition, nothing in the agreement shall be deemed to be a waiver of the BPS’s rights, privileges, and immunities as set forth in Section 768.28, F.S.
5. **GOVERNING LAW** - The agreement shall be governed by the laws of the State of Florida. This provision replaces any references to any other State’s governing law.
6. **TAXES** - Provisions in the agreement requiring BPS to pay taxes are deleted. As a political subdivision of the State of Florida, BPS is generally exempt from Federal, State, and local taxes and will not pay taxes for any Contractor including individuals, nor will BPS file any tax returns or reports on behalf of Contractor or any other party.
7. **PAYMENT** - Annual licensing and maintenance costs are payable at the beginning of each renewal period. Payment for services will be in arrears. Any references to prepayment are deleted. In accordance with the Local Government Prompt Payment Act, found in Section 218.70, F.S., payment by BPS shall be made within forty-five (45) days of receipt of an invoice from Contractor.
8. **INTEREST** – Any provision for interest or charges on late payments is deleted. BPS has no statutory authority to pay interest or late fees.
9. **NO WAIVER** - Any language in the agreement requiring BPS to waive any rights, claims, or defenses is hereby deleted.
10. **FISCAL YEAR FUNDING** - Services performed under the agreement may be continued in succeeding fiscal years for the term of the agreement, contingent upon funds being appropriated by the Florida Legislature or otherwise being available for these Services. In the event funds are not appropriated or otherwise available for these Services, the agreement shall terminate without penalty at the end of BPS’s fiscal year on June 30. After that date, the agreement becomes of no effect and is null and void. However, BPS agrees to use its best efforts to have the amounts contemplated under the agreement included in its budget. Non-appropriation or non-funding shall not be considered an event of default.
11. **STATUTE OF LIMITATION** - Any clauses in the agreement limiting the time in which BPS may bring suit against Contractor, lessor, individual, or any other party are deleted.
12. **SIMILAR SERVICES** - Any provisions in the agreement limiting BPS’s right to obtain similar services or equipment in the event of default or non-funding during the term of the agreement are hereby deleted.
13. **ATTORNEY FEES** - BPS recognizes an obligation to pay attorney’s fees or costs only when assessed by a court of competent jurisdiction. Any other provision regarding attorney fees in the agreement is invalid and considered null and void.
14. **ASSIGNMENT** - Notwithstanding any clause to the contrary in the agreement, Contractor shall obtain the written consent of BPS prior to assigning the agreement.
15. **LIMITATION OF LIABILITY** –BPS, as a political subdivision of the State of Florida, cannot agree to assume the potential liability of a Contractor. Accordingly, any provision in the agreement limiting the Contractor’s liability for direct damages is hereby deleted. Limitations on special, incidental, or consequential damages are acceptable. In addition, any limitation is null and void to the extent that it precludes any action for injury to persons or for damages to personal property.
16. **RIGHT TO TERMINATE** –BPS shall have the right to terminate the agreement upon thirty (30) days’ written notice to Contractor. BPS agrees to pay Contractor for services received prior to the effective date of termination.
17. **TERMINATION CHARGES** - Any provision requiring BPS to pay a fixed amount or liquidated damages upon termination of the agreement is hereby deleted. BPS may only agree to reimburse Contractor for actual costs incurred or losses sustained during the current fiscal year due to wrongful termination by BPS prior to the end of any current agreement term.
18. **RENEWAL** - Any reference to automatic renewals are hereby deleted. The agreement may be renewed only upon mutual written agreement of the parties.
19. **INSURANCE** - Any provision requiring BPS to purchase insurance for Contractor’s property is deleted. BPS is self-insured and will provide a certificate of property insurance upon request. Contractor, if coming onto property owned or operated by BPS, shall maintain the following types of insurance at its sole expense:
a. Workers’ Compensation insurance in statutory amounts and Employer’s Liability in an amount not less than One Million Dollars ($1,000,000) each accident/disease. This insurance shall apply to all Contractor’s employees who will be engaged in the performance of the Services under the agreement.
b. Commercial General Liability insurance, including products and completed operations and contractual liability, arising from any and all claims for property damage and bodily injury, including death, in an amount not less than One Million Dollars ($1,000,000) each occurrence and Two Million Dollars ($2,000,000) aggregate. This policy must include The School Board of Brevard County, Florida, its board members, employees, and representatives as additional insured.
c. Automobile Liability insurance, including all owned, non-owned, and hired vehicles used in conjunction with providing Services outlined in the agreement, for property damage and bodily injury, including death, in an amount not less than One Million Dollars ($1,000,000) each accident. This policy must include The School Board of Brevard County, Florida, its board members, employees, and representatives as additional insured.
d. Professional Liability insurance for any and all claims as a result of an action, lack of action, error or omission by Contractor, its employees, or subcontractors in an amount not less than One Million Dollars ($1,000,000) each claim.
If such policy is written on a "claims-made" basis, coverage shall remain in effect for three (3) years after the expiration or termination of the agreement and any of its extensions.
20. **RIGHT TO NOTICE** – Any provision in the agreement for repossession of equipment without notice is hereby deleted. However, the BPS does recognize a right of repossession with notice.
21. **ACCELERATION** – Any reference in the agreement to acceleration of payments in the event of default or non-funding is hereby deleted.
22. **CONFIDENTIALITY** – Any provision regarding confidentiality of the terms and conditions of the agreement is hereby deleted. BPS contracts are public records under the Florida Public Records Laws and subject to disclosure upon request unless otherwise made confidential or exempt under the F.S..
23. **FERPA** – To the extent Services provided hereunder pertain to the access to student information, Contractor shall adhere to all standards included in the Family Educational Rights and Privacy Act (FERPA) and Sections 1001.41 and 1002.22, F.S. (the Protection of Pupil Privacy Acts), and other applicable laws and regulations as they relate to the release of student information.
24. **INDEMNIFICATION**
a. To the fullest extent permitted by law, CONTRACTOR shall indemnify and hold harmless SCHOOL BOARD, and its employees ("Indemnitees") from and against all claims, liabilities, damages, losses, and costs including, but not limited to, reasonable costs, and attorneys' fees at the pre-trial, trial, and appellate levels, arising out of, resulting from, or incidental to CONTRACTOR's performance under this Agreement or to the extent caused by negligence, recklessness, or intentional wrongful conduct of CONTRACTOR or other persons employed or utilized by CONTRACTOR in the performance of this Agreement. The remedy provided to the Indemnitees by this indemnification is in addition to and not in lieu of any other remedy available under this Agreement or otherwise. CONTRACTOR's available insurance under this Agreement, or otherwise, will not diminish or limit this indemnification obligation in any way. The remedy provided to the Indemnitees by this indemnification survives this Agreement. The provisions of this Section specifically survive the termination of this Agreement. The provisions of this Section are intended to require the CONTRACTOR to furnish the greatest amount of indemnification allowed under Florida law. If any indemnification requirement in this Agreement violates any law, the Parties agree the provision requires the greatest level of indemnification by the CONTRACTOR to the Indemnitees allowable under Florida law. CONTRACTOR acknowledges that indemnification by the SCHOOL BOARD may be unenforceable under Florida law and that the SCHOOL BOARD does not waive any legal defense based on the unenforceability of such indemnification position. This indemnification shall not apply to any claims, suits, actions, damages, losses, expenses, and/or a cause of action, arising from BPS's sole gross negligence or intentional misconduct. The agreement to indemnify, as outlined in this section, includes an obligation for Contractor to indemnify BPS for liability for any negligence on the part of BPS until/unless both Contractor and BPS agree that BPS was solely negligent. If the question of "solely negligent" should arise, a court agreeable to both Parties may be engaged to settle this dispute.
b. Nothing in this Agreement shall be deemed to affect the rights, privileges, or be deemed a waiver of, or limitation of, BPS's sovereign immunity protection and limitations of liability pursuant to Section 768.28, F.S. Any indemnity or assumption of liability by BPS hereunder shall be subject to BPS's rights to sovereign immunity and any other limitations of liability provided BPS pursuant to Florida law.
25. **PUBLIC RECORDS** – EFFECTIVE JULY 1, 2016 IF THE BIDDER HAS QUESTIONS REGARDING THE APPLICATION OF CHAPTER 119, FLORIDA STATUTES, TO THE BIDDER'S DUTY TO PROVIDE PUBLIC RECORDS RELATING TO THIS CONTRACT, CONTACT THE CUSTODIAN OF PUBLIC RECORDS AT 321-633-1000 ext. 11453. email@example.com. THE SCHOOL BOARD OF BREVARD COUNTY, FLORIDA, 2700 JUDGE FRAN JAMIESON WAY, VIERA, FL 32940.
a. The agreement and this Software Addendum are subject to and governed by the laws of the State of Florida, including without limitation Chapter 119, F.S., which generally makes public all records or other writings made by or received by the Parties. Contractor acknowledges its legal obligation to comply with Section 119.0701, F.S. Contractor shall keep and maintain public records, as that phrase is defined in the Florida Public Records Act, which would be required to be kept and maintained by BPS in order to perform the scope of services. Contractor shall comply with all requirements for retaining public records and shall transfer, at no cost to BPS, all public records in the possession of Contractor upon a request for such public records. See Section 119.0701(2)(b)4, F.S., for additional record keeping requirements.
b. A request to inspect or copy public records relating to BPS’s contract for services must be made directly to BPS’s Custodian of Public Records. If BPS does not possess the requested records, BPS’s Custodian of Public Records shall immediately notify Contractor of the request. Contractor must provide a copy of the records to BPS or allow the records to be inspected or copied within a reasonable time at a cost that does not exceed the cost provided in Chapter 119, F.S. If Contractor does not timely comply with BPS’s request for records, BPS shall be able to sue for breach of contract and the prevailing party shall be entitled to attorney’s fees.
c. Should Contractor fail to provide the requested public records to BPS within a reasonable time, Contractor understands and acknowledges that it may be subject to penalties under Sections 119.0701(3)(c) and 119.10, F.S.
d. Contractor shall not disclose public records that are exempt, or confidential and exempt, from public records disclosure unless specifically authorized by law for the duration of the agreement term and following the completion, expiration, or termination of same if Contractor does not transfer the records to BPS. Upon completion, expiration, or termination of the agreement, Contractor shall transfer, at no cost to BPS, all public records in its possession or keep and maintain public records required by BPS to perform the services. If Contractor transfers all public records to BPS, Contractor shall destroy any duplicate public records that are exempt, or confidential and exempt, from public records disclosure requirements. If Contractor keeps and maintains public records upon completion, expiration, or termination of the agreement, Contractor shall meet all applicable requirements for retaining public records and provide requested records to BPS pursuant to the requirements of this section. All public records stored electronically must be provided to BPS in a format that is compatible with the information technology systems of BPS.
26. **AMENDMENTS** – All amendments, modifications, alterations, or changes to the agreement or this Software Addendum shall be in writing and signed by both parties. No future amendment, modification, alteration, or change may be made to the agreement or this Software Addendum without the express written consent of the parties.
27. **INCORPORATION BY REFERENCE** – In addition to Contractor’s agreement, a copy of Contractor’s standard terms and conditions as they appear on the date of execution of this Software Addendum are attached hereto and incorporated herein as Exhibit “A.”
28. **E-Verify**. Under Executive Order 11-116, and Section 448.095, Fla. Stat., effective July 1, 2020, Contractor shall use the U.S. Agency of Homeland Security’s E-Verify system, [https://e-verify.uscis.gov/emp](https://e-verify.uscis.gov/emp), to verify the employment eligibility of all employees hired during the term of this Agreement. Contractor shall also require all subcontractors performing work under this Agreement to use the E-Verify system for any employees they may hire during the term of this Agreement. Contractor must provide evidence of compliance with 448.095, Fla. Stat by January 1, 2021. Evidence may consist of, but is not limited to, providing notice of Contractor’s E-Verify number. Failure to comply with this provision is a material breach of the Agreement, and BPS may choose to terminate the Agreement at its sole discretion. Contractor may be liable for all costs associated with BPS securing the same services, inclusive, but not limited to, higher costs for the same services and rebidding costs (if necessary).
IN WITNESS WHEREOF, BPS has made and executed this Software License Addendum and Contractor has made and executed this Software License Addendum on the day and year below written.
RAPTOR TECHNOLOGIES, LLC
By: [Signature] Date: 12/13/21
Authorized Representative Signature
Print Name: Donald J. Chad
Title: CFO
THE SCHOOL BOARD OF BREVARD COUNTY, FLORIDA
By: Misty Belford, Board Chairperson
EXHIBIT “A”
CONTRACTOR’S STANDARD TERMS AND CONDITIONS ATTACHED
Renewal Notice
Date: 11/1/2021
Renewal #: 22500
Your Service Ends
12/31/2021
To avoid loss of service, please pay renewal fee on or before the above service end date.
Bill To:
Brevard County Schools
Accounts Payable
2700 Judge Fran Jamieson Way
Viera FL 32940-6601
Ordered By:
Brevard County Schools
Raptor Technologies, LLC
631 W. 22nd St. :: Houston, TX 77008
FEIN: 45-4914152
Terms
RN N60
| Description | Qty | Price | Amount |
|--------------------------------------------------|-----|---------|------------|
| Raptor Visitor Management Annual Access Fee | 88 | $575.00 | $50,600.00 |
Subtotal $50,600.00
Tax Total $0.00
Total $50,600.00
Remit Checks to: Dept 141 :: PO Box 4458 :: Houston, TX 77210-4458
Email firstname.lastname@example.org for inquiries or to send POs
CLICK TO PAY NOW
APPROVED
By: ____________________________
Date: 11/8/21
APPROVED
By: ____________________________
Date: ____________________________ |
The Honorable Carteret County Board of Commissioners sat in regular session on Monday, August 16, 2021 at 6:00 p.m. Chairman Ed Wheatly, Commissioners Mark Mansfield, Robin Comer, Chris Chadwick, Bob Cavanaugh, and Jimmy Farrington were in attendance. Commissioner Shinn was absent.
Participating in the Commissioners’ Boardroom were: County Manager Tommy Burns, Assistant County Managers Dee Meshaw and Gene Foxworth, County Clerk Rachel Hammer, County Attorney Rob Wheatly, and IT Director Ray Hall.
I. MEETING CALLED TO ORDER/PLEDGE OF ALLEGIANCE/INVOCATION
Chairman Wheatly called the meeting to order and asked that Master Jude Fulcher provide the invocation. All recited the Pledge of Allegiance.
II. CONFLICT OF INTEREST/CELL PHONE STATEMENT
Chairman Wheatly called for any conflicts of interest by the Board and asked that all cell phones be turned off. Commissioner Farrington stated he would recuse himself from item VIII.
III. ADOPTION OF THE AGENDA
Chairman Wheatly advised that a motion was needed to move item 9., “Approval of the Contract with Moffatt & Nichol for the Bogue Sound Banks Master Nourishment Plan & Sand Search, Approval for the County Manager to Sign, and Approval of the Budget Amendment $1,000,000 to a regular agenda item as #VIIIa.
Motion: Commissioner Chadwick made a motion to move item #9 from the consent agenda and add it to the regular agenda as item VIIIa; seconded by Commissioner Farrington. Motion carried unanimously.
Commissioner Mansfield stated that he would like to add two items to the regular agenda: the first is item #IVa. Viewing of the Clip of the Meeting with the State Department of Transportation Regarding the Renaming of the North River Bridge to the Commissioner Jonathan Robinson Bridge. Also, adding to the regular agenda as item #VIIIb, Discussion with the Airport Authority Regarding a Request to Assist with Funds to Build Back the Airport Hangars.
Motion: Commissioner Cavanaugh made a motion to accept the recommended changes to the regular agenda; seconded by Commissioner Farrington. **Motion carried unanimously.**
Motion: Commissioner Comer made a motion to adopt the agenda as amended; seconded by Commissioner Mansfield. **Motion carried unanimously.**
The agenda was as follows:
CARTERET COUNTY BOARD OF COMMISSIONERS
REGULAR MEETING
COMMISSIONERS’ BOARDROOM
AUGUST 16, 2021
6:00 P.M.
I. Meeting Called to Order/Pledge of Allegiance/Invocation Chairman
II. Conflict of Interest/Cell Phone Statement Chairman
III. Adoption of Agenda Board
IV. Consent Agenda Board
1. Approval of July 19, 2021 Minutes
2. Tax Releases/Refunds/Collector’s Report
a. Tax Releases Under $100
b. Tax Releases Over $100
c. Tax Refunds Under $100
d. Tax Refunds Over $100
e. Tax Collector’s Monthly Report
f. NCVTS Motor Vehicle Refund Report
3. Request to Accept Additional Funding – Agreement Addendum 415, WIC Breastfeeding Peer Counselor & Approval of Budget Amendment: $9,500
4. Request to Accept Additional Funding – Agreement Addendum 716 COVID-19 Vaccination Program & Approval of Budget Amendment: $109,386
5. Approval of Proclamation Proclaiming September 11, 2021 as a National Day of Prayer, Service & Remembrance
6. Approval of Proclamation in Support of Carteret Literacy Council’s 19th & 20th Annual Literacy Spelling Bee
7. Approval of Proclamation in Recognition of International Literacy Day September 8, 2021
8. Approval of Budget Amendment to Roll Forward Funds for Uncompleted Projects in FY21: $1,845,965 & $69,145
9. Approval of Contract with Moffatt & Nichol for the Bogue Banks Master Beach Nourishment Plan Sand Search, Approval for County Manager to Sign & Approval of Budget Amendment: $1,000,000 (Item moved to the Regular Agenda as Item VIIIa. as amended)
10. Approval of Resolution Honoring Claud Roberson Wheatly, Jr. and Requesting that his Portrait be Hung in Superior Courtroom 1
11. Approval to Accept 361 ELC Funds from the State Department of Public Health for Temporary Funding for a Public Health Nurse to Act as a School Health Liaison
12. Approval to Release County Reserve Funds to the Broad & Gales Creek EMS to Purchase a New Life-Pak Monitor & Approval of Corresponding Budget Amendment: $22,500
IVa. Viewing of the Clip of the Meeting with the State Department of Transportation Regarding the Renaming of the North River Bridge to the Commissioner Jonathan Robinson Bridge (Item added as amended)
V. Public Comment
VI. Reading & Presentation of Resolution Honoring Claud Roberson Wheatly, Jr.
VII. Public Hearing to Request to Rezone a Total of 1.13-Acres Made from Parts of Five Current Parcels Located at 105, 109, 113, 117, and 121 Gales Shore Circle, Newport from R-15 (Single-Family Residential) to B-1 (General Business)
VIII. Public Hearing to Request to Rezone a 67.68-Acre Property Located off Highway 58 in Peletier from RA (Rural Agricultural District) and B-3 (Planned Business District) to B-1 (General Business District)
VIIia. Approval of the Contract with Moffatt & Nichol for the Bogue Sound Banks Master Nourishment Plan & Sand Search, Approval for the County Manager to Sign, and Approval of the Budget Amendment $1,000,000 (Item moved from Consent Agenda as Amended)
VIIib. Discussion with the Airport Authority Regarding a Request to Assist with Funds to Build Back the Airport Hangars (Item added as amended)
IX. Accept/Reject Offer for Purchase of County-Owned Property at 150 Lee Daniels Extension in Atlantic, North Carolina, PIN #749216749574000
X. Accept/Reject Offers for Purchase of County-Owned Property at 406-412 Pelican Harbor Road, Beaufort, North Carolina, Lots 36, 37, 38 and 39, SI Ward’s Creek Plantation, PIN #s 733800160386000, 733800161435000, 733800161594000, and 733800162681000
a. Aleksey Mezokh: $9,000
b. Wayne Langston: $2,000
XI. Manager’s Report
XII. Appointments
Commissioners
• 911 Communications Advisory Board
• Carteret County-Beaufort Airport Authority
• Carteret County Planning Commission
• Child Fatality Prevention Team
• Eastern Carolina Council Regional Aging Advisory Committee
• Highway 70 Corridor Commission
XIII. Commissioners’ Comments
Commissioners
XIV. Closed Session Pursuant to General Statute
143-318.11 for the Permitted Purpose of Discussing
(a) (1) Approval of the July 19, 2021 Closed
Session Minutes and (a) (3) Attorney-Client Privilege
XV. Adjournment
IV. CONSENT AGENDA
Motion: Commissioner Mansfield made a motion to adopt the consent agenda as amended; seconded by Commissioner Comer. Motion carried unanimously.
The Consent Agenda was as follows:
1. Approval of July 19, 2021 Minutes
2. Tax Releases/Refunds/Collector’s Report
a. Tax Releases Under $100
---
**RELEASE LESS THAN 100.00**
| Year | Type | Taxp# | Roll Number | Name Id | Name | Total Adjustment |
|------|------|-------|-------------|---------|------------|------------------|
| 2020 | P | 125222| P | 543258 | MARIA D ARIAS | 2.66 |
| 2020 | P | 125222| P | 74587 | JAMES EDWARD WILLIS | 15.00 |
| 2020 | P | 125222| P | 74587 | JAMES EDWARD WILLIS | 45.04 |
| 2019 | P | 124346| P | 74587 | JAMES EDWARD WILLIS | 48.40 |
| 2018 | P | 124346| P | 74587 | JAMES EDWARD WILLIS | 14.00 |
| 2018 | P | 166504| P | 74587 | JAMES EDWARD WILLIS | 49.200 |
| 2017 | P | 166504| P | 74587 | JAMES EDWARD WILLIS | 12.00 |
| 2016 | P | 166504| P | 74587 | JAMES EDWARD WILLIS | 14.120 |
| 2015 | P | 133850| P | 74587 | JAMES EDWARD WILLIS | 66.88 |
| 2014 | P | 133850| P | 74587 | JAMES EDWARD WILLIS | 68.88 |
| 2013 | P | 133850| P | 74587 | JAMES EDWARD WILLIS | 12.00 |
| 2012 | P | 133850| P | 74587 | JAMES EDWARD WILLIS | 12.00 |
| 2011 | P | 133850| P | 74587 | JAMES EDWARD WILLIS | 12.00 |
| 2020 | R | 106823| P | 92647 | ZELMAN CARDES | 65.00 |
| 2020 | R | 106823| P | 92647 | ZELMAN CARDES | 18.00 |
| 2018 | R | 148334| P | 443348 | BETTY RICE KETTERER | 70.01 |
| 2018 | R | 148334| P | 443348 | BETTY RICE KETTERER | 70.01 |
| 2017 | R | 283177| P | 443348 | BETTY RICE KETTERER | 88.22 |
| 2016 | R | 283177| P | 443348 | BETTY RICE KETTERER | 88.22 |
| 2015 | R | 844746| P | 443348 | BETTY RICE KETTERER | 38.00 |
| 2014 | R | 844746| P | 443348 | BETTY RICE KETTERER | 38.00 |
| 2013 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2012 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2011 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2010 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2009 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2008 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2007 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2006 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2005 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2004 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2003 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2002 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2001 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2000 | P | 284767| P | 51981 | DAVID J WILLIS D/B/A | 3.62 |
| 2019 | P | 120030| P | 51981 | DAVID J WILLIS D/B/A | 1.08 |
| 2020 | P | 120030| P | 51981 | DAVID J WILLIS D/B/A | 1.08 |
| 2020 | P | 120030| P | 51981 | DAVID J WILLIS D/B/A | 1.08 |
---
**FINAL TOTALS**
TOTAL 1,083.21
2021 Tax Levy Details: Tax bills mailed 8/1/2021.
Total Levy: 76,674,732.59
Total Collected: 604.06
Total Uncollected: 76,670,396.69
July Collection Rate Comparison
10 Year Tax Levy Details (2011-2020):
Total Collected: $575,186,942.66
Total Uncollected: $82,693,158.90
Refund Total: $2,378.08
Release Total: $2,730.21
2021 Collection Goal: 98.50%
Total Annual Tax Collection Rate
2011 - 2020
ACR TAX COLLECTION SYSTEM
BOC MONTHLY REPORT
CARTERET COUNTY
08/02/2021 08:13:13
Typ Bill Year Property Number Dist Twn Sch Special Districts Code
User Codes: 3 4 5 6 7 8 9 1 2 3 4 5 6 7 8 9 Flag Deferred Cnter MV Index Batch
Totals for Tax year 2011
# of Properties Processed 80,109
Total TAX Spec Amt Deferred CB Deferred Interest Fees
Original Balances 53,926,150.70 50,926,309.72 2,350,516.20 224,680.27 .00 437,999.20 25,000.00
Total Adjustments 1,000.00 1,000.00 1,000.00 1,000.00
Total Collections 53,974,129.91 50,999,214.72 2,299,758.78 579.69 .00 436,598.83 37,999.00
Unpaid Balances 3,010.07 1,149.35 282.00 .00 .00 1,411.09 167.63
Totals for Tax year 2012
# of Properties Processed 81,413
Total TAX Spec Amt Deferred CB Deferred Interest Fees
Original Balances 52,870,552.13 49,762,788.40 2,338,445.00 218,866.12 .00 473,243.51 27,943.10
Total Adjustments 1,000.00 1,000.00 1,000.00 1,000.00
Total Collections 52,743,393.01 49,860,857.43 2,316,038.92 934.59 .00 423,164.25 32,408.43
Unpaid Balances 13,338.41 51,773.41 9,493.01 662.99 .00 50,079.26 1,329.74
Totals for Tax year 2013
# of Properties Processed 76,271
Total TAX Spec Amt Deferred CB Deferred Interest Fees
Original Balances 52,740,552.84 49,465,852.92 2,534,465.00 229,998.75 .00 445,355.00 23,850.00
Total Adjustments 1,000.00 1,000.00 1,000.00 1,000.00
Total Collections 52,741,393.38 49,355,072.67 2,505,135.17 1,464.92 .00 382,324.55 25,340.07
Unpaid Balances 374,553.08 74,091.46 13,925.90 222,345.10 .00 63,030.60 1,160.02
Totals for Tax year 2014
# of Properties Processed 68,316
Total TAX Spec Amt Deferred CB Deferred Interest Fees
Original Balances 56,626,358.20 53,322,858.23 2,334,462.10 232,510.25 .00 458,080.85 24,367.88
Total Adjustments 1,000.00 1,000.00 1,000.00 1,000.00
Total Collections 56,625,357.41 53,216,754.02 2,332,132.22 2,732.94 .00 385,553.54 25,367.63
Unpaid Balances 193,589.67 98,132.92 19,675.24 562.21 .00 73,507.11 1,592.19
Totals for Tax year 2015
# of Properties Processed 74,040
Total TAX Spec Amt Deferred CB Deferred Interest Fees
Original Balances 55,706,440 51,122,448.39 3,374,842.00 425,473.60 .00 437,813.95 44,697.78
Total Adjustments 871,070.27 871,070.27 871,070.27 871,070.27
Total Collections 55,706,440 51,122,448.39 3,374,842.00 425,473.60 .00 437,813.95 44,697.78
Unpaid Balances 1,070.27 1,070.27 1,070.27 1,070.27
### ACS TAX COLLECTION SYSTEM
**BOC MONTHLY REPORT**
**CARTERET COUNTY**
**08/02/2021 08:39:33**
| Typ Bill | Year Property Number | Dist Code | Twn Code | Sch Code | Special Districts | User Codes | Deferred | Defer MV | Inelig Batch |
|----------|----------------------|-----------|----------|----------|------------------|------------|----------|----------|-------------|
| | | | | | | | | | |
#### Total Collections
- **Total**: $4,739,793.01
- **TAX**: $50,814,939.43
- **Spec Amt**: $3,537,594.88
- **Deferred**: $4,760.77
- **CB Deferred**: $0.00
- **Interest**: $346,231.55
- **Fees**: $36,266.68
#### Unpaid Balances
- **Total**: $258,615.12
- **TAX**: $131,860.52
- **Spec Amt**: $32,695.45
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $87,682.40
- **Fees**: $3,376.75
---
#### Totals for Tax year
- **Total**: $2016
- **TAX**: $79,526
- **Spec Amt**: $0.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
#### Original Balances
- **Total**: $57,623,623.01
- **TAX**: $52,998,428.93
- **Spec Amt**: $3,824,83.00
- **Deferred**: $430,947.88
- **CB Deferred**: $0.00
- **Interest**: $453,295.47
- **Fees**: $73,444.70
#### Total Collections
- **Total**: $56,346,623.18
- **TAX**: $52,446,048.39
- **Spec Amt**: $3,562,030.88
- **Deferred**: $4,812.07
- **CB Deferred**: $0.00
- **Interest**: $344,669.14
- **Fees**: $48,844.52
#### Unpaid Balances
- **Total**: $358,933.93
- **TAX**: $202,694.73
- **Spec Amt**: $40,599.16
- **Deferred**: $719.38
- **CB Deferred**: $0.00
- **Interest**: $108,426.33
- **Fees**: $6,494.31
---
#### Totals for Tax year
- **Total**: $2017
- **TAX**: $79,458
- **Spec Amt**: $0.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $399,702.00
- **Fees**: $10,200.00
#### Original Balances
- **Total**: $58,980,132.42
- **TAX**: $54,089,297.10
- **Spec Amt**: $3,929,933.00
- **Deferred**: $437,475.83
- **CB Deferred**: $0.00
- **Interest**: $582,682.11
- **Fees**: $88,682.11
#### Total Collections
- **Total**: $57,611,800.43
- **TAX**: $53,510,546.73
- **Spec Amt**: $3,738,491.01
- **Deferred**: $13,996.16
- **CB Deferred**: $0.00
- **Interest**: $250,665.45
- **Fees**: $38,762.78
#### Unpaid Balances
- **Total**: $427,122.71
- **TAX**: $257,035.38
- **Spec Amt**: $55,857.21
- **Deferred**: $719.38
- **CB Deferred**: $0.00
- **Interest**: $108,536.74
- **Fees**: $4,494.00
---
#### Totals for Tax year
- **Total**: $2018
- **TAX**: $79,633
- **Spec Amt**: $0.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $399,702.00
- **Fees**: $10,200.00
#### Original Balances
- **Total**: $60,038,074.78
- **TAX**: $55,344,937.36
- **Spec Amt**: $3,827,824.00
- **Deferred**: $430,947.88
- **CB Deferred**: $0.00
- **Interest**: $360,114.00
- **Fees**: $12,200.00
#### Total Collections
- **Total**: $58,807,113.12
- **TAX**: $54,808,141.00
- **Spec Amt**: $3,716,917.94
- **Deferred**: $15,000.71
- **CB Deferred**: $0.00
- **Interest**: $254,688.86
- **Fees**: $12,345.88
#### Unpaid Balances
- **Total**: $995,961.62
- **TAX**: $335,198.17
- **Spec Amt**: $73,625.09
- **Deferred**: $470,265.46
- **CB Deferred**: $0.00
- **Interest**: $102,028.35
- **Fees**: $3,631.03
---
#### Totals for Tax year
- **Total**: $2019
- **TAX**: $79,913
- **Spec Amt**: $0.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $399,702.00
- **Fees**: $10,200.00
#### Original Balances
- **Total**: $61,092,886.73
- **TAX**: $56,482,224.44
- **Spec Amt**: $3,827,489.98
- **Deferred**: $485,869.53
- **CB Deferred**: $0.00
- **Interest**: $429,987.00
- **Fees**: $12,916.17
#### Total Collections
- **Total**: $58,945,781.99
- **TAX**: $55,484,901.04
- **Spec Amt**: $3,670,781.65
- **Deferred**: $13,269.34
- **CB Deferred**: $0.00
- **Interest**: $149,333.00
- **Fees**: $6,033.85
#### Unpaid Balances
- **Total**: $1,147,314.62
- **TAX**: $999,911.90
- **Spec Amt**: $110,461.39
- **Deferred**: $472,439.10
- **CB Deferred**: $0.00
- **Interest**: $317,754.00
- **Fees**: $5,887.53
---
#### Totals for Tax year
- **Total**: $2020
- **TAX**: $81,476
- **Spec Amt**: $0.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
#### Original Balances
- **Total**: $76,493,557.46
- **TAX**: $69,914,325.19
- **Spec Amt**: $5,844,770.00
- **Deferred**: $498,298.38
- **CB Deferred**: $0.00
- **Interest**: $220,176.89
- **Fees**: $15,980.00
#### Total Adjustments
- **Total**: $620,723.32
- **TAX**: $284,573.31
- **Spec Amt**: $3,335,830.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $330.01
- **Fees**: $0.00
#### Total Collections
- **Total**: $73,875,419.46
- **TAX**: $68,436,689.02
- **Spec Amt**: $5,300,543.51
- **Deferred**: $14,507.30
- **CB Deferred**: $0.00
- **Interest**: $117,765.49
- **Fees**: $5,914.14
#### Unpaid Balances
- **Total**: $1,997,414.68
- **TAX**: $1,193,062.86
- **Spec Amt**: $208,413.49
- **Deferred**: $483,791.08
- **CB Deferred**: $0.00
- **Interest**: $102,411.40
- **Fees**: $9,735.85
---
#### Totals for Tax year
- **Total**: $2021
- **TAX**: $78,686
- **Spec Amt**: $0.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
#### Original Balances
- **Total**: $76,670,396.69
- **TAX**: $70,476,910.71
- **Spec Amt**: $5,704,972.65
- **Deferred**: $488,513.33
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
#### Total Adjustments
- **Total**: $3,731.84
- **TAX**: $3,088.84
- **Spec Amt**: $643.00
- **Deferred**: $0.00
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
#### Total Collections
- **Total**: $76,674,128.53
- **TAX**: $70,479,999.55
- **Spec Amt**: $5,704,972.65
- **Deferred**: $488,513.33
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
#### Unpaid Balances
- **Total**: $76,670,396.69
- **TAX**: $70,476,910.71
- **Spec Amt**: $5,704,972.65
- **Deferred**: $488,513.33
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
---
#### Totals for FINAL TOTALS
- **Total**: $856,841
- **TAX**: $662,970,932.43
- **Spec Amt**: $613,910,140.65
- **Deferred**: $40,423,906.00
- **CB Deferred**: $0.00
- **Interest**: $3,969,249.10
- **Fees**: $365,116.56
#### Total Adjustments
- **Total**: $4,993,790.87
- **TAX**: $1,930,853.97
- **Spec Amt**: $1,031,360.60
- **Deferred**: $1,993,644.53
- **CB Deferred**: $0.00
- **Interest**: $0.00
- **Fees**: $0.00
#### Total Collections
- **Total**: $575,186,942.66
- **TAX**: $538,553,642.27
- **Spec Amt**: $33,122,564.79
- **Deferred**: $71,000.58
- **CB Deferred**: $0.00
- **Interest**: $3,149,881.82
- **Fees**: $289,246.22
#### Unpaid Balances
- **Total**: $82,693,158.90
- **TAX**: $73,425,818.41
- **Spec Amt**: $6,269,980.61
- **Deferred**: $2,140,054.03
- **CB Deferred**: $0.00
- **Interest**: $819,367.28
- **Fees**: $37,938.37
---
f. NCVTS Motor Vehicle Refund Refund
| Payee Name | Primary Owner | Owner | Address 1 | Address 2 | Address 3 | Vehicle Type | Vehicle Number | Refund Description | Create Date | Line Type | Change Reason | Interest Rate | Total Change |
|--------------------|------------------------|-----------------|-----------------|-----------------|-----------------|--------------|----------------|---------------------------------------------------------------|-------------|-----------|---------------|---------------|--------------|
| ACERO, MARYGRACE | ACERO, MARYGRACE | ACERO, JOSE ANTONIO | 111 WHITEWATER CV | NEWPORT NC 28670 | Adjustment < $100 | CM14591 | Refund Generated due to adjustment on Bill #0059135237-2020-0000-00 | 07/13/2021 | 9010 Tax | ($63.56) | $0.00 | ($63.56) |
| BARNES, THEODORE LOUIS | BARNES, THEODORE LOUIS | 106 CAMPEN RD | BEAUFORT NC 28516 | Prorated | 0218761717 | SYK8884 | Refund Generated due to proration on Bill #0018761717-2020-2020-0000-00 | 07/22/2021 | 9010 Tax | ($17.46) | $0.00 | ($17.46) |
| BENSON, STEVEN EDWARD | BENSON, STEVEN EDWARD | 111 JANELL LIV | EMERALD ISLE NC 28594 | Adjustment < $100 | 0261761429 | CHA4036 | Refund Generated due to adjustment on Bill #0057745510-2021-0000-00 | 07/06/2021 | 9010 Tax | ($24.82) | $0.00 | ($24.82) |
| BRIGGSMAN, BRUCE EDWARD II | BRIGGSMAN, BRUCE EDWARD II | 407 QUAIL RIDGE CT | FELETER NC 28634 | Adjustment < $100 | 0391917129 | CN43665 | Refund Generated due to adjustment on Bill #0058543020-2020-0000-00 | 07/08/2021 | 9010 Tax | ($5.54) | $0.00 | ($5.54) |
| BRANNEN, ANDREW JEDEDAH | BRANNEN, ANDREW JEDEDAH | 138 WHITE OAK BLUFF RD | STELLA NC 28682 | Adjustment < $100 | 205774510 | HXQ4860 | Refund Generated due to adjustment on Bill #0061078561-2020-2020-0000-00 | 07/01/2021 | 9010 Tax | ($18.77) | $0.00 | ($18.77) |
| BROWN, LYNN WHITAKER | BROWN, LYNN WHITAKER | 114 E TERMINAL BLVD | ATLANTIC BEACH NC 28512 | Prorated | 0205453020 | FH85078 | Refund Generated due to proration on Bill #0058543020-2020-0000-00 | 07/19/2021 | 9010 Tax | ($38.16) | $0.00 | ($38.16) |
| BYRD, GEORGE WARNER | BYRD, GEORGE WARNER | 205 GLENN ABBY DR | MOREHEAD CITY NC 28557 | Prorated | 0226834628 | DHS12661 | Refund Generated due to proration on Bill #0058543020-2020-0000-00 | 07/01/2021 | 9010 Tax | ($37.85) | $0.00 | ($37.85) |
| COBURN, DONALD PAUL | COBURN, DONALD PAUL | 104 SUZANNE DR | NEWPORT NC 28670 | Prorated | 0261876661 | JES6568 | Refund Generated due to proration on Bill #0061078561-2020-2020-0000-00 | 07/07/2021 | 9010 Tax | ($12.52) | $0.00 | ($12.52) |
| CORBETT, EDNA FRAZIER | CORBETT, EDNA FRAZIER | 151 SALTY SHORE RD | NEWPORT NC 28670 | Prorated | 0001058667 | XSH6314 | Refund Generated due to proration on Bill #0061078561-2020-2020-0000-00 | 07/03/2021 | 9010 Tax | ($4.70) | $0.00 | ($4.70) |
| CRAWFORD, VAN ISAAC | CRAWFORD, VAN ISAAC | 2205 CAMBRIDGE DOWNS DR | MOREHEAD CITY NC 28557 | Prorated | 0551792027 | HEV8306 | Refund Generated due to proration on Bill #0058543020-2020-0000-00 | 07/14/2021 | 9010 Tax | ($41.07) | $0.00 | ($41.07) |
| DEESE, HENRY CLAYTON | DEESE, HENRY CLAYTON | 1920 CEDARWOOD VLG | MOREHEAD CITY NC 28557 | Prorated | 0291872744 | DJC7280 | Refund Generated due to proration on Bill #0058543020-2020-0000-00 | 07/29/2021 | 9010 Tax | ($3.16) | $0.00 | ($3.16) |
| DURRICE, JAMES ROY III | DURRICE, JAMES ROY III | 101 HUNTING LODGE RD | CLAYTON NC 28725 | Prorated | 0058755104 | CL28091 | Refund Generated due to proration on Bill #0058543020-2020-0000-00 | 07/08/2021 | 9010 Tax | ($30.10) | $0.00 | ($30.10) |
| ESNER, RANDALL PARMER | ESNER, RANDALL PARMER | 100 YACHT CLUB DR | NEWPORT NC 28670 | Prorated | 0043645680 | FH81014 | Refund Generated due to proration on Bill #0058543020-2020-0000-00 | 07/14/2021 | 9010 Tax | ($11.16) | $0.00 | ($11.16) |
| ELDERICK, LYNN HILL | ELDERICK, LYNN HILL | 318 DOON XING | EMERALD ISLE NC 28594 | Prorated | 0042780241 | WTL3474 | Refund Generated due to proration on Bill #004780241-2020-2020-0000-00 | 07/07/2021 | 9010 Tax | ($24.62) | $0.00 | ($24.62) |
| FEY, WILHELM EBENZER | FEY, WILHELM EBENZER | 350 GUARDIAN AVE APT 2A | MOREHEAD CITY NC 28557 | Adjustment >= $100 | 0056985978 | HCD7845 | Refund Generated due to adjustment on Bill #0056985978-2020-2020-0000-00 | 07/03/2021 | 9010 Tax | ($78.44) | $0.00 | ($78.44) |
| GLOTWISKI, CHRISTINE ANN | GLOTWISKI, CHRISTINE ANN | 3618 SUNNY DR | MOREHEAD CITY NC 28557 | Adjustment < $100 | 0205647473 | RAH6714 | Refund Generated due to adjustment on Bill #0058543020-2020-0000-00 | 07/16/2021 | 9010 Tax | ($9.67) | $0.00 | ($9.67) |
| HABECKER, DENNIS WILLIAM | HABECKER, DENNIS WILLIAM | 117 RADLEY LN | BEAUFORT NC 28516 | Adjustment < $100 | 0581473205 | JES5787 | Refund Generated due to adjustment on Bill #0061473205-2020-2020-0000-00 | 07/05/2021 | 9010 Tax | ($10.24) | $0.00 | ($10.24) |
| HABECKER, DENNIS | HABECKER, DENNIS | 117 RADLEY LN | BEAUFORT NC 28516 | Adjustment < $100 | 0081473434 | RRS8337 | Refund Generated due to adjustment on Bill | 07/05/2021 | 9010 Tax | ($22.94) | $0.00 | ($22.94) |
3. Request to Accept Additional Funding – Agreement Addendum 415, WIC Breastfeeding Peer Counselor & Approval of Budget Amendment: $9,500
Breastfeeding promotion and support are required components of the Special Supplemental Nutrition Program for Women, Infants, and Children (WIC) Program. The North Carolina WIC Program strives to increase the incidence and duration of breastfeeding among women enrolled in the Program. The Carteret County Health Department has been awarded a total of $28,000 to support the Breastfeeding Peer Counselor Program, $9,500 greater than the budgeted amount. The funding will be used to support the Breastfeeding Peer Counselor position.
We request the Board’s approval to accept this funding. Should you have any questions, please contact me. Copy of the budget amendment and Agreement Addendum are attached.
Due to the size of this document, it is being incorporated into these minutes by reference. A full copy will be retained in the County Manager’s Office.
4. Request to Accept Additional Funding – Agreement Addendum 716 COVID-19 Vaccination Program & Approval of Budget Amendment: $109,386
To: Carteret County Board of Commissioners
Carteret County Human Services Board
From: Nina Oliver
Health Director
Date: July 20, 2021
Subject: Request to Accept State Funding for COVID-19 mass vaccination planning and implementation, Agreement Addendum 716, Revision 1 CDC COVID-19 Vaccination Program, Additional $109,386
This Agreement Addendum provides funding for the Local Health Department (LHD) to help support activities associated with COVID-19 vaccination planning and implementation. This supplemental funding will be used to support and strengthen critical immunization response and activities to ensure effective, efficient, and equitable vaccinations of the statewide population. Additional funding provided to the LHD will be used to support expanding vaccine clinics, setting out those who should receive is recommended, training providers and partners on the appropriate storage and handling of the vaccine, equipping vaccine sites with the necessary equipment to store and administer it to patients, ensuring adequate clinic staff availability, and ensuring systems can track vaccines administered and provide recall tracking and notification to complete vaccine series.
If you have any questions, please feel free to contact me. Budget Amendment and Agreement Addendum attached.
Due to the size of this document, it is being incorporated into these minutes by reference. A full copy will be retained in the County Manager’s Office.
5. Approval of Proclamation Proclaiming September 11, 2021 as a National Day of Prayer, Service & Remembrance
Proclamation
WHEREAS, in an unprovoked and senseless act of terrorism on September 11, 2001, four civilian aircraft were hijacked and crashed in New York City, Pennsylvania and the Pentagon, resulting in a momentous loss of innocent lives; and
WHEREAS, Americans need to continue their involvement in the War on Terror by choosing to overcome evil with good, by loving their neighbors as they would like to be loved, contributing to relief efforts, and volunteering their time to aid those in need; and
WHEREAS, inspired by the heroism of our nation’s public service personnel, military service members and countless volunteers, our nation will continue on its path to find unity and strength; and
WHEREAS, from the tragedy of September 11th, America will continue in its effort to emerge as a stronger nation, renewed by the spirit of national pride, and a true love of country; and
NOW, THEREFORE, BE IT RESOLVED, that we, the Board of Commissioners of Carteret County, do hereby commemorate the twentieth anniversary of the tragedy of September 11, 2001, and proclaim September 11, 2021, as
NATIONAL DAY OF PRAYER, SERVICE AND REMEMBRANCE
BE IT FURTHER RESOLVED that we urge our citizens to recognize the heroism of our firefighters, rescue and law enforcement personnel, military service members, and the many volunteers who respond to tragic events with courage, selfless compassion, determination and skill, and to remember the victims and innocent lives lost as a result of the tragic events on September 11, 2001.
Adopted this the 16th day of August 2021.
Ed Wheatly, Chairman
Attest:
Rachel Hammer, Clerk to the Board
6. Approval of Proclamation in Support of Carteret Literacy Council’s 19th & 20th Annual Literacy Spelling Bee
PROCLAMATION
In Support of Carteret Literacy Council’s
19th & 20th Annual Literacy Spelling Bee
WHEREAS, literacy is not just about educating; it provides a unique and powerful tool to eradicate poverty and a strong means for creating sustainable societies; and
WHEREAS, education and literacy are central to an effort to improve the lives of all people and to strengthen the capabilities of individuals, families and communities; and
WHEREAS, the Carteret Literacy Council’s Adult Literacy & English as a Second Language (“ESL”) Program trains volunteers to provide literacy instruction to participating adults; and
WHEREAS, one of the main fundraising events of The Carteret Literacy Council is the Annual Literacy Spelling Bee which will be held on Friday, October 15, 2021, beginning at 6:00 p.m., in Morehead City.
NOW, THEREFORE BE IT RESOLVED that the Carteret County Commissioners do hereby endorse The Carteret Literacy Council’s 19th & 20th Annual Literacy Spelling Bee and urge our citizens that special recognition should be given to the importance of this event and the many hours of dedicated service being contributed by its volunteers.
Adopted this the 16th day of August 2021.
Ed Wheatly, Chairman
Attest:
Rachel Hammer, Clerk to the Board
7. Approval of Proclamation in Recognition of International Literacy Day September 8, 2021
PROCLAMATION
IN RECOGNITION OF INTERNATIONAL LITERACY DAY
September 8, 2021
WHEREAS, International Literacy Day is celebrated each year on September 8th to raise people’s awareness of and concern for literacy issues in the world; and
WHEREAS, the theme of this year’s celebration is “Literacy teaching and learning in the COVID-19 crisis and beyond,” and
WHEREAS, literacy is not just about educating; it provides a unique and powerful tool to eradicate poverty and a strong means for creating sustainable societies; and
WHEREAS, education and literacy are central to an effort to improve the lives of all people and to strengthen the capabilities of individuals, families and communities; and
WHEREAS, the Carteret Literacy Council’s Adult Literacy & English as a Second Language (“ESL”) Program trains volunteers to provide literacy instruction to participating adults; and
WHEREAS, in Carteret County, International Literacy Day will be celebrated throughout the month at the Carteret Literacy Council.
NOW, THEREFORE, BE IT RESOLVED that the Carteret County Board of Commissioners do hereby proclaim September 8, 2021 as International Literacy Day. We commend the efforts of the hundreds of volunteers who tutor adult learners who have worked through the Carteret Literacy Council’s Adult Literacy & ESL Program, and we urge all citizens to support the mission of the Carteret Literacy Council’s program to make our County a more literate community.
Adopted this the 16th day of August 2021.
Ed Wheatly, Chairman
Attest:
Rachel Hammer, Clerk to the Board
8. Approval of Budget Amendment to Roll Forward Funds for Uncompleted Projects in FY21: $1,845,965 & $69,145
CARTERET COUNTY FINANCE
Denise H. Meshaw, CPA
Assistant County Manager
Finance Department
Tel: (252) 728-8410
Fax: (252) 728-0133
firstname.lastname@example.org
www.carteretcountync.gov
To: Board of Commissioners
From: Dee Meshaw, Assistant County Manager
Date: August 16, 2021
Subject: Roll Forward Budget Amendment
Attached for your consideration is a budget amendment to roll forward funds uncompleted projects in fiscal year 2021. The budget amendment appropriates $1,845,965 in the General Fund for uncompleted building maintenance projects, and capital vehicles, Health Department federal funding, and various contracts. In addition, $69,145 is rolled forward in the Capital Improvement Fund for park lights maintenance that was not completed by June 30, 2021. Approval of the attached budget amendment is recommended.
Carteret County
Budget Amendment
Fiscal Year 2021-22
Fund: General Fund & Capital Improvements Fund
Date: 8/16/2021
Justification: Appropriate funding for projects not completed in FY21
| Fund | Description | Account Number | Increase |
|-----------------------|------------------------------------|--------------------|----------|
| General Fund | Revenues | | |
| | CCATS Capital Grant | 110.20.3456.306 | 256,000 |
| | Animal Control Grant | 110.10.3438.303 | 5,340 |
| | State PH Preparedness | 110.50.3513.308 | 444,665 |
| | Appropriated Fund Balance | 110.00.3990.990 | 1,139,960|
| | Total increase in Revenues | | 1,845,965|
| Expenditures | Capital Vehicles | 110.20.4560.51000 | 256,000 |
| | Capital | 110.20.4560.5000 | 14,345 |
| | Capital Vehicles | 110.10.4340.51000 | 55,755 |
| | Harbor Maintenance | 110.20.4540.35900 | 7,500 |
| | Communications Maintenance | 110.10.4350.35400 | 7,175 |
| | Communications Equipment | 110.10.4350.28000 | 50,000 |
| | Professional Services | 110.10.4380.19300 | 5,340 |
| | Contracted Services | 110.00.4140.44000 | 20,000 |
| | Contracted Services | 110.10.4310.28000 | 12,000 |
| | Building Maintenance | 110.00.4260.35000 | 424,050 |
| | Convenience Site Paving | 110.30.4724.35000 | 74,000 |
| | Building Maintenance | 110.10.4314.35000 | 146,000 |
| | Small Equipment / maintenance | 110.10.4310.28000 | 34,000 |
| | HD Supplies | 110.30.4724.10000 | 10,000 |
| | Salaries | 110.50.5110.12100 | 335,560 |
| | FICA | 110.50.5110.18100 | 33,250 |
| | Retirement | 110.50.5110.18200 | 44,120 |
| | 401K | 110.50.5110.18700 | 21,735 |
| | Health Department Bldg Maint | 110.50.5110.35100 | 204,000 |
| | Capital Vehicles | 110.50.5180.51000 | 44,820 |
| | DSS Window / Bldg Maint | 110.50.5180.51100 | 38,300 |
| | Park Maintenance | 110.80.6120.28000 | 2,775 |
| | Park Maintenance | 110.80.6125.35000 | 5,320 |
| | Total increase in Expenditures | | 1,845,965|
Capital Improvements Fund
| Fund | Revenues | Appropriated Fund Balance | 400.00.3990.990 | 69,145 |
|-----------------------|----------|----------------------------|----------------|--------|
| | Total increase in Revenue | | 69,145 | |
| Expenditures | Park Lights Maintenance | 400.80.8110.83300 | 69,145 | |
| | Total increase in Expenditures | | 69,145 | |
Approval Chairman, Board of Commissioners ____________________________
Date: ____________________________
9. Approval of Contract with Moffatt & Nichol for the Bogue Banks Master Beach Nourishment Plan Sand Search, Approval for County Manager to Sign & Approval of Budget Amendment: $1,000,000 (Item moved to the Regular Agenda as Item VIII.a. as amended)
10. Approval of Resolution Honoring Claud Roberson Wheatly, Jr. and Requesting that his Portrait be Hung in Superior Courtroom 1
Resolution
Honoring Claud Roberson Wheatly, Jr.
WHEREAS, Claud Roberson Wheatly, Jr., was born July 3, 1918 in Beaufort, North Carolina and passed away December 24, 2015, at 97 ½ years old; and
WHEREAS, Mr. Wheatly attended The Citadel Military College of South Carolina. He graduated from the University of North Carolina at Chapel Hill in 1939, receiving an A.B. Degree, and later received his LL.B Degree from the UNC School of Law in 1941; and
WHEREAS, Mr. Wheatly was admitted to the Carteret County Bar in October of 1941; being preceded by his father, Claud Sr. who himself began the practice of law in Carteret County in 1908. Father and Son practiced law together until Claud Sr.’s untimely death in 1947. Claud, Jr. was joined in practice by his son, Claud III, in 1972; and
WHEREAS, In January 1942, following the United States entry into World War II, Mr. Wheatly enlisted in the Army at Fort Bragg, North Carolina. The Army sent Mr. Wheatly to Officer Candidate School at Fort Sill, Oklahoma, where he earned a commission as a Second Lieutenant, Field Artillery Officer, in the newly established 78th Infantry “Lightning” Division. Lieutenant Wheatly was identified as a top officer and quickly rose through the ranks being promoted to Captain and serving as a Battery Commander, and later Battalion S-2, Intelligence Officer in the European Theatre of Operations in World War II; and
WHEREAS, Captain Wheatly’s Division took part in many of the major battles of World War II, including the Battle of the Bulge and the Remagen Bridgehead campaigns. At Remagen, Captain Wheatly’s Artillery Battalion, discovering the Remagen Bridgehead still intact, was the first artillery unit in the United States Army to cross the Rhine River into Germany, earning Captain Wheatly the Silver Star. Mr. Wheatly was very proud of his military service and in particular, had a deep and profound respect for the men with whom he served. Upon discharge from the Army on October 31, 1945, he returned home to Beaufort and resumed the practice of law with his father; and
WHEREAS, Mr. Wheatly’s prowess as a trial attorney quickly became evident and he was welcomed into the American College of Trial Lawyers in 1968, which recognizes the top 1% of trial attorneys in the Country. In June of 1989, he was inducted in the North Carolina Bar Association General Practice Hall of Fame; and
WHEREAS, Mr. Wheatly practiced law for almost seventy years in Carteret County, and was recognized and honored for his exemplary service, and his commitment to high ethical and professional standards as a general practitioner of the law; and
WHEREAS, the Carteret County Board of Commissioners in cooperation with the Clerk of Superior Court, has determined that a portrait of Mr. Claud Roberson Wheatly, Jr. should be displayed in Superior Courtroom 1 of the Carteret County Courthouse in recognition of his service as a mentor and role model of all lawyers in North Carolina, his full command, memory and passion for the law, and the impact that his vast legal mind had on Carteret County; and
NOW THEREFORE BE IT FURTHER RESOLVED; that the Carteret County Board of Commissioners, in recognition and appreciation of Mr. Wheatly’s many contributions to the community and to the legal profession, resolve that this Resolution be spread upon the minutes of the Board of Commissioners in testimony thereof and that a copy hereof be presented to the family of Claud R. Wheatly, Jr.
ADOPTED this the 16th day of August 2021.
Ed Wheatly, Chairman
ATTEST
Rachel Hammer
Clerk to Commissioners
11. Approval to Accept 361 ELC Funds from the State Department of Public Health for Temporary Funding for a Public Health Nurse to Act as a School Health Liaison
The Carteret County Health Department received an Agreement Addendum from the State Department of Public Health on August 6, 2021 that provides temporary funding for the Local Public Health Department to hire a school nurse position. The school nurse will serve as the health liaison for the coordination of COVID-19 screening, testing, and vaccine administration efforts in the county’s schools.
The funding will support a nursing position that will be placed in the school system and will ensure that the school system has access to a nurse during the pandemic. The department’s integral role in screening and testing, build upon the work already begun, and ensure a holistic approach to the health and safety of students and staff in our schools.
We respectfully request that the Carteret County Board of Commissioners approve this funding. The total amount of funding is $35,000.00 which includes the school nurse’s salary and benefits, equipment development and training, IT hardware and software, supplies including cell phones and office supplies, and travel.
Due to the size of this document, it is being incorporated into these minutes by reference. A full copy will be retained in the County Manager’s Office.
12. Approval to Release County Reserve Funds to the Broad & Gales Creek EMS to Purchase a New Life-Pak Monitor
The Carteret County Fire and EMS Commission met on Monday May 10, 2021.
Chic Melinda Ward respectfully requests County reserve money in the amount of $22,500.00 for the purchase of a new Life-Pak Monitor. She states that with two out the department is prepared to cover the second unit. The motion from the meeting is shown below:
Resolved. Mike Lewis made a motion to approve $22,500 from county reserves for the purchase of a new Life-Pak Monitor. Seconded by Lee Dixon. The motion was unanimously carried.
Thank you for your consideration of this request.
IVa. PRESENTATION OF THE NCDOT CEREMONY TO RENAME THE NORTH RIVER BRIDGE TO THE COMMISSIONER JONATHAN ROBINSON BRIDGE (Added as amended)
Commissioner Comer shared that he, Commissioners Chadwick, and Farrington went to Raleigh when they made the official dedication of the North River Bridge to the Jonathan
Robinson Bridge. Madam Clerk was able to edit the meeting video down to the portion where they read the resolution, and we wanted to show the clip of that meeting.
*Mr. Ray Hall, IT Director, played the video of the presentation from the meeting with the North Carolina Department of Transportation.*
Commissioner Comer stated it was a great moment. It was great for Carteret County and the Down East constituents, and he was glad to be a part of it.
Chairman Wheatly thanked the Commissioners that attended the NCDOT presentation to represent the Commissioners.
V. PUBLIC COMMENT
**Amy Perry, 213 Rudolph Drive, Beaufort.** The people in this room, the people in the hall, and all of the people in the overflow room, we elected you to represent us. We are confused. There has been a parade of people coming to this podium requesting that you do not sell our water system. We have sent you emails; we have called you; we have had you at our neighborhood meetings, all to instruct you not to sell our water. Not one person has stood at this podium and said yes, please sell. Yet, there you sit month after month wringing your hands. Making statements like, we have lots of information to look at; there are many facts involved; we need to negotiate a contract. We don’t want a contract. We don’t care if a contract says we will pay $5 a month or $500 a month for the next 50 years. We don’t care if a contract says the purchase price is $9M or $90M. We don’t want a contract. You represent us. You have complained that the system is bleeding money as if somehow, it’s our fault or the infrastructure’s fault. Your predecessors and yourselves have mismanaged our tax dollars and our water fees. That’s on you. You represent us. You are smart people; we have made it easy for you to do your job. We have told you for five months what we want you to do. Can you blame us for swirling up conspiracy theories? Shame on you. You represent us. More accurately, you should represent us, but I think looking at your actions of the past five months, it is clear you do not represent me and my community, and everyone in this room knows how to fix that problem.
**Steve Bolding, 235 Rudolph Drive, Beaufort.** I still oppose the sale of the County water system to a private for-profit company. I would ask that the Commissioners, if they are going to dispose of this system, to look for co-op opportunities like Carteret-Craven Co-op. They are in the power business, but they are also in the water business. Very small, but maybe they would like to expand. I don’t think that we as the citizens can kick off that discussion with them, and I would ask that the Commissioners look at what it would take to do the research and discovery on the possibility. I think there are synergies in their business model and their system, and I think citizens of the County would be comfortable with them if you need to dispose of the system. If it is possible, I would ask that the Commissioners give the public an update during the Commissioners’ comments section tonight, or hold another session to provide that update. We are very interested in any
activity that has taken place since the last session with any of the bidders or any thoughts that the Commissioners have on how to move forward.
VI. READING & PRESENTATION OF RESOLUTION HONORING CLAUD ROBERSON WHEATLY, JR.
Commissioner Mansfield stated he is here to present a Resolution honoring Claud Roberson Wheatly, Jr., proud member of Saint Paul's Episcopal Church, an avid sailor, and best known for his skills in the courtroom. If you have ever watched a series of Matlock, he was the living version. If you went in the courtroom and he was not on your side, you probably weren't going to come out on the winning end. He lived in Beaufort, North Carolina. He represented Carteret County proudly. He probably could have left and gone on to the Supreme Court, but chose to stay here in Beaufort where he called home for his whole life. It really is a privilege to be able to present this Resolution. Commissioner Mansfield read the Resolution and presented a framed copy to Chairman Wheatly and County Attorney Wheatly.
---
**Resolution**
**Honoring Claud Roberson Wheatly, Jr.**
WHEREAS, Claud Roberson Wheatly, Jr. was born July 3, 1918 in Beaufort, North Carolina and passed away December 24, 2015, at 97 years old; and
WHEREAS, Mr. Wheatly attended The Citadel Military College of South Carolina. He graduated from the University of North Carolina at Chapel Hill in 1939, receiving an A.B. Degree, and later received his LL.B Degree from the UNC School of Law in 1941; and
WHEREAS, Mr. Wheatly was admitted to the Carteret County Bar in October of 1941; being presented by his father, Claud Sr., who himself began the practice of law in Carteret County in 1905. Father and Son practiced law together until Claud Sr.'s untimely death in 1947. Claud, Jr. was joined in practice by his son, Claud II, in 1972; and
WHEREAS, In January, 1942, following the United States entry into World War II, Mr. Wheatly enlisted in the Army at Fort Bragg, North Carolina. After many years of training, to Officer Candidate School at Fort Sill, Oklahoma, he earned a commission as a Second Lieutenant, Field Artillery Officer, in the newly established 78th Infantry "Lightning" Division. Lieutenant Wheatly was assigned to the 306th Field Artillery Battalion, 78th Infantry Division, and served there serving as a Battery Commander, and later Battalion S-2, Intelligence Officer in the European Theatre of Operations in World War II; and
WHEREAS, The 78th Infantry Division took part in many of the major battles of World War II, including the Battle of the Bulge and the Remagen Bridgehead campaigns. At Remagen, Captain Wheatly's artillery battalion, discovering the Remagen Bridgehead, was instrumental in artillery unit in the United States Army to cross the Rhine River into Germany, earning Captain Wheatly the Silver Star. Mr. Wheatly was very proud of his military service and in particular, had a deep and profound respect for the men who served. Upon his return to Carteret County on October 31, 1945, he returned home to Beaufort and resumed the practice of law with his father; and
WHEREAS, Mr. Wheatly's prowess as a trial attorney quickly became evident and he was welcomed into the ranks of the most influential and respected trial attorneys in the State and in the country. In June of 1980, he was inducted in the North Carolina Bar Association General Practice Hall of Fame; and
WHEREAS, Mr. Wheatly practiced law for almost seventy years in Carteret County, and was recognized and honored for his exemplary service, and his commitment to high ethical and professional standards as a general practitioner of the law; and
WHEREAS, the Carteret County Board of Commissioners in cooperation with the Clerk of Superior Court, has determined that a portrait of Mr. Claud Roberson Wheatly, Jr. will be displayed in Superior Courtroom 1 of the Carteret County Courthouse in recognition of his service as a mentor and role model of all lawyers in North Carolina, his full command memory and passion for the law, and the impact that his life has had on Carteret County; and
NOW THEREFORE BE IT FURTHER RESOLVED; that the Carteret County Board of Commissioners, in recognition and appreciation of Mr. Wheatly's many contributions to the community and the legal profession, resolve that this Resolution be spread upon the minutes of the Board of Commissioners in testimony thereof and that a copy hereof be presented to the family of Claud R. Wheatly, Jr.
ADOPTED this the 16th day of August 2021.
Ed Wheatly, Chairman
ATTEST
Rachel Hammer
Clerk to Commissioners
VII. PUBLIC HEARING TO REQUEST TO REZONE A TOTAL OF 1.13-ACRES MADE FROM PARTS OF FIVE CURRENT PARCELS LOCATED AT 105, 109, 113, 117, AND 121 GALES SHORE CIRCLE, NEWPORT FROM R15 (SINGLE-FAMILY RESIDENTIAL) TO B-1 (GENERAL BUSINESS)
Mr. Gene Foxworth stated that 35th Street Professional Center is requesting to rezone 1.13-acres which is five parcels made up of 105, 109, 113, 117, and 121 Gales Shore Circle. This is the back portion of those properties. If you are familiar with Camp Albemarle, this is part of the properties that are on the east side of Camp Albemarle. They redeveloped that, and are looking at transferring those portions of the properties to Camp Albemarle. The zoning is currently R-15 and they are requesting to rezone it to B-1, which is consistent with the zoning of the rest of the camp. There were 23 surrounding property owners that were notified. There were zero objections, two no objections, and the Planning Commission voted on June 12, 2021 to recommend approval, six to zero.
**Motion:** Commissioner Mansfield made a motion to go into public hearing. Seconded by Commissioner Cavanaugh. **Motion carried unanimously.**
No one wished to speak during the public hearing.
**Motion:** Commissioner Mansfield made a motion to go out of public hearing; seconded by Commissioner Cavanaugh. **Motion carried.**
**Motion:** Commissioner Mansfield made a motion to approve the total of 1.13-acres made from the parts of the five current parcels located at 105, 109, 113, 117, and 121 Gales Shore Circle, Newport from R-15 Single-Family Residential to B-1 General Business District; seconded by Commissioner Cavanaugh. **Motion carried unanimously.**
**Motion:** Commissioner Mansfield made a motion to approve the statement of plan consistency and reasonableness; seconded by Commissioner Cavanaugh. **Motion carried unanimously.**
INTENTIONALLY LEFT BLANK
DATE: August 16, 2021
TO: Carteret County Board of Commissioners
CC: Tommy Burns, County Manager
FROM: Eugene Foxworth, Assistant County Manager & Planning Director
RE: Request to rezone a total of 1.13-acres made from parts of 5 current parcels located at 105, 109, 113, 117 and 121 Gales Shore Circle Newport, NC 28570 from R-15 (Single-Family Residential District) to B-1 (General Business District).
- 35th St Professional Center is requesting to rezone a total of 1.13-acres made from parts of 5 current parcels located at 105, 109, 113, 117 and 121 Gales Shore Circle Newport, NC 28570 from R-15 (Single-Family Residential District) to B-1 (General Business District). The land is then planned to be purchased by Camp Albermarle and recombined with the 28.90-acre parcel to the east.
- Currently, the property is occupied by mature timber. The subject property is bordered by Highway 24 to the north, timber and Bogue Sound to the south, Camp Albermarle to the east, and timber to the west.
- The subject property is bordered by R-20 and B-1A zoning to the north, R-15 zoning to the south, B-1 zoning to the east, and B-1 zoning to the west.
- The subject property is situated within the Limited Transition CAMA Land Use Plan classification. Areas included within the Limited Transition classification are areas that will experience increasing development during the next five to ten years. This request is consistent with the CAMA Land Use Plan.
- 23 surrounding property owners have been notified. To date, staff has received 0 objections and 2 no objections. Staff is happy to answer any questions that you may have.
- On July 12th, 2021, the Planning Commission voted 6 to 0 to unanimously recommend rezoning of a total of 1.13-acres made from parts of 5 current parcels located at 105, 109, 113, 117 and 121 Gales Shore Circle Newport, NC 28570 from R-15 (Single-Family Residential District) to B-1 (General Business District). I am happy to answer any additional questions that you may have.
---
**REZONING APPLICATION**
Applicant: Local Gov Navigators, LLC
Address: PO Box 1154
Morehead City, NC 28557
Telephone: 252-241-9847
E-mail: email@example.com
Owner (If not Applicant): 35th St Professional Center
Address: PO Box 1143
Beaufort, NC 28516
Telephone: 252-720-2826
E-mail: firstname.lastname@example.org
Signature:
Date: June 14, 2021
Property address/ location: back portion of 105,109,113,117,121 Gales Shore Circle
PIN: 63360322-0881,1799,0621,0802 & 638603129473
Current Zoning: R15
Proposed Zoning: B1
Please explain why the rezoning that you are requesting is warranted:
Camp Albermarle desires to purchase the back portions of the parcels above. The property will be recombined with the larger camp parcel which is currently zoned B1. The request is to rezone the property in question to B1 in keeping with the zoning on the larger Camp Albermarle parcel. A recombination plat has been submitted in conjunction with this rezoning request.
For Staff Use Only:
Application Number:
Amt. Rec'd:
Received by:
Date:
35th Street Professional Center Rezoning Request
R-15 to B-1
105, 109, 113, 117 and 121 Gales Shore Circle
Newport, NC 28570
Vicinity
Subject Property
Prepared By:
Carteret County Planning & Development
Aerial Map
Buffer Map
FLUP Map
Future Land Use Classifications
- Developed
- Limited Transition
- Community
- Rural
- Rural With Services
- Protected Lands
- Conservation
Subject Property
Prepared By:
Carteret County Planning & Development
Prior to adopting or rejecting any zoning amendment, the governing board shall adopt a statement describing whether its action is consistent with an adopted comprehensive plan and explaining why the board considers the action taken to be reasonable and in the public interest. The planning board shall advise and comment on whether the proposed amendment is consistent with any comprehensive plan that has been adopted and any other officially adopted plan that is applicable. The planning board shall provide a written recommendation to the board of county commissioners regarding the approval or rejection of the proposed amendment. The failure of the planning board to find for the planning board that a proposed amendment is inconsistent with the comprehensive plan shall not preclude consideration or approval of the proposed amendment by the governing board.
(NCGS 160D-605)
**REZONING MAP AMENDMENT:**
Applicant: Local Gov Navigators, LLC
Owner: 35th Street Professional Center
Address: 108, 109, 113, 117, and 121 Gales Shore Circle Newport, NC 28570
Tax Map and Parcel(s): 633603220881000, 633603221799000, 633603220621000, 633603220502000, 636603129473000
Parcel Size: 1.13-acres
**REQUEST:** Rezone from R-15 (Single-Family Residential District) to B-1 (General Business District).
**STATEMENT OF CONSISTENCY, REASONABleness, & RECOMMENDATION:**
At their meeting on July 15, 2021 the Planning Commission voted to recommend **approval** of the proposed rezoning map amendment and made the following statements:
- The Planning Commission find and determine that case number 2021-000044 **is consistent** with the goals, objectives, and policies of the CAMA Land Use Plan because:
- Is reasonable and in the public interest because:
Motion to approve/deny by: Bruce Rogers
Seconded by: Will Rogers
Followed by a unanimous 6-0 vote of approval
---
Prior to adopting or rejecting any zoning amendment, the governing board shall adopt a statement describing whether its action is consistent with an adopted comprehensive plan and explaining why the board considers the action taken to be reasonable and in the public interest. The planning board shall advise and comment on whether the proposed amendment is consistent with any comprehensive plan that has been adopted and any other officially adopted plan that is applicable. The planning board shall provide a written recommendation to the board of county commissioners regarding the approval or rejection of the proposed amendment. The failure of the planning board to find for the planning board that a proposed amendment is inconsistent with the comprehensive plan shall not preclude consideration or approval of the proposed amendment by the governing board.
(NCGS 160D-605)
**REZONING MAP AMENDMENT:**
Applicant: Local Gov Navigators, LLC
Owner: 35th Street Professional Center
Address: 108, 109, 113, 117, and 121 Gales Shore Circle Newport, NC 28570
Tax Map and Parcel(s): 633603220881000, 633603221799000, 633603220621000, 633603220502000, 636603129473000
Parcel Size: Combined 1.13-acres
**REQUEST:** 35th Street Professional Center is requesting to rezone a total of 1.13-acres made from parts of 5 current parcels located at 108, 109, 113, 117, and 121 Gales Shore Circle Newport, NC 28570 (PIN#: 633603220881000, 633603221799000, 633603220621000, 633603220502000, 636603129473000) from R-15 (Single-Family Residential District) to B-1 (General Business District). The land is then planned to be purchased by Camp Albermarle and recombined with the 28.90-acre parcel to the east.
**STATEMENT OF CONSISTENCY & REASONABleness:**
At their meeting on August 19, 2021 the County Commissioners voted to **approve / deny** the rezoning map amendment and made the following statements:
- The Commissioners find and determine that case number 2020-000044 **is consistent / is not consistent** with the goals, objectives and policies of the CAMA Land Use Plan because:
- Is / is not reasonable and in the public interest because:
Motion to approve/deny by:
Rezoning Request: 35th Street Professional Center is requesting to rezone a total of 1.13-acres made from parts of 5 current parcels located at 105, 109, 113, 117 and 121 Gales Shore Circle Newport, NC 28570 (PIN#: 633603220881000, 633603221799000, 633603220502100, 633603219473000) from R-15 (Single-Family Residential District) to B-1 (General Business District). The land is then planned to be purchased by Camp Albemarle and recombined with the 28.90-acre parcel to the east.
Mr. Barrow presented the request.
35th Street Professional Center is requesting to rezone a total of 1.13-acres made from parts of 5 current parcels located at 105, 109, 113, 117 and 121 Gales Shore Circle Newport, NC 28570 from R-15 (Single-Family Residential District) to B-1 (General Business District). The land is then planned to be purchased by Camp Albemarle and recombined with the 28.90-acre parcel to the east.
Currently, the property is occupied by mature timber. The subject property is bordered by Highway 24 to the north, timber and Bogue Sound to the south, Camp Albemarle to the east, and timber to the west.
The subject property is bordered by R-20 and S-1A zoning to the north, R-15 zoning to the south, B-1 zoning to the east, and R-15 zoning to the west.
The subject property is situated within the Limited Transition CAMA Land Use Plan classification. Areas included within the Limited Transition classification are areas that will experience increasing development during the next five to ten years. This request is consistent with the CAMA Land Use Plan.
23 surrounding property owners have been notified. To date, staff has received 0 objections and 2 no objections. Staff is happy to answer any questions that you may have.
There were no questions for staff.
Chairman Graham asked if there was anyone in the audience who would like to speak.
The applicant was present to answer any questions, but had nothing to add otherwise.
Chairman Graham asked the board if they had any questions.
Commissioner Kennedy made a motion to approve the rezoning request. Commissioner Spadaro seconded the motion, followed by a unanimous vote (6-0) of approval from the committee.
Chairman Graham informed the committee they needed to do a statement of consistency, reasonableness and recommendation. Chairman Graham read:
The Planning Commission find and determine that case number 2021-000044 is consistent the goals, objectives, and policies of the CAMA Land Use Plan and is reasonable and in the public interest.
Commissioner Bruce Rogers made a motion to approve. Commissioner Will Rogers seconded the motion; followed by a unanimous vote (6-0) of approval from the committee.
STATEMENT OF CONSISTENCY, REASONABleness, & RECOMMENDATION:
At their meeting on July 12, 2021 the Planning Commission voted to recommend approval of the proposed the rezoning map amendment and made the following statements:
- The Planning Commission find and determine that case number 2021-000044 is consistent with the goals, objectives, and policies of the CAMA Land Use Plan because:
- Is reasonable and in the public interest because:
PUBLIC NOTICE
Pursuant to Chapter 160D-801 of the North Carolina General Statutes, the Carteret County Board of Commissioners will hold a public hearing on August 16th, 2021 at 6:00 p.m. in the Board Room, Commissioners’ Conference Room, 402 Broad Street, Beaufort, NC (Beaufort Building, Beaufort, NC) to discuss a request to rezone a total of 1.13-acres made from parts of 5 current parcels located at 105, 109, 113, 117 and 121 Gales Shore Circle Newport, NC 28570 (PIN#: 633603220881000, 633603221799000, 633603220502100, 633603219473000) from R-15 (Single-Family Residential District) to B-1 (General Business District). The land is then planned to be purchased by Camp Albemarle and recombined with the 28.90-acre parcel to the east.
A copy of the proposed request is available for public inspection in the Carteret County Planning and Development Department, 402 Broad Street, Beaufort, NC.
Eugene Foxworth
Planning Director
Due to the size of this document, it is being incorporated into these minutes by reference. A full copy will be retained in the County Manager’s Office.
VIII. PUBLIC HEARING TO REQUEST TO REZONE A 67.68-ACRE PROPERTY LOCATED OFF HIGHWAY 58 IN PELETIER FROM RA (RURAL AGRICULTURAL DISTRICT) AND B-3 (PLANNED BUSINESS DISTRICT), TO B-1 (GENERAL BUSINESS DISTRICT)
Motion: Commissioner Comer made a motion to recuse Commissioner Farrington, seconded by Commissioner Mansfield. Motion carried unanimously.
Mr. Foxworth stated Dirt2Dreams, LLC, is requesting the rezoning of 67.68-acres of property located off of Highway 58 in Peletier from R-A (Rural Agriculture) and B-3 (Planned Business District) to B-1 (General Business District). Currently, the property is undeveloped. It’s bordered by timber to the north, south, and east, and Highway 58 to the west. The subject property is bordered by R-A to the north, R-15M and B-1 to the south, R-15M to the east, and RCP and B-1 zoning to the west. The property is situated in the limited transition CAMA Land Use classification. Those are areas that will see development in the next five to ten years. The request is consistent with the CAMA Land Use Plan. Forty surrounding property owners have been notified to-date. We received five objections, five no objections. On July 12, 2021, the Planning Commission met and voted six to zero to unanimously recommend approval of this request.
Motion: Commissioner Comer made a motion to go into public hearing; seconded by Commissioner Chadwick. Motion carried unanimously.
Mark Knigge, 346 Croatan Drive, Peletier. I was at that Board meeting, the rezoning for this property, the 67-acres. A couple of things that come to mind is Mr. Farrington, I understand is recusing himself because he has a financial interest in this property. Also, Mr. Comer since you represent me in Peletier, aren’t you also looking at a property that will ultimately be developed to something similar, that is the mobile home park across on 58, is that correct? Commissioner Comer stated no, sir. Mr. Knigge said OK, and Mr. Chadwick, do you have an interest in an RV park as well? Commissioner Chadwick responded he has one in Harkers Island. Mr. Knigge said so the thing that I’m pointing out here, is we have three Commissioners that have had or have interests in RV parks. It’s called a conflict of interest, and it’s called quit pro quo. If people have interests in certain areas, mobile home parks, they are tending to lean towards voting for their fellow man. I’m not accusing anybody of it, but it tends to mean that that is how they are going to vote in the future. So, I’m disappointed that there is nobody else being represented for that area around Peletier. Peletier has been surrounded now by a large interest of people that are developing outside of Peletier. Peletier doesn’t have much of a say anymore. The western side of Carteret County is going to be over developed or the land use is going to be inconsistent with the future. I can tell you that most of the people here that drive on 58 through Maysville and towards Emerald Isle, that is a thoroughfare for a large number of people. This development, and its been very sketchy as to what’s going on there. Nobody has released what’s going there. I think at the Board meeting something was coming up about three sports fields. Is that correct? Commissioner Comer stated this is about rezoning not planning. Mr. Knigge said OK, and like I said, I’m winging this, but there is a concern for all the residents in that area that as we go towards commercial enterprises and increasing the volume of commercial and renters, that 58 is going to be jam-packed with traffic. Once the Genie is out of the bottle, you are not going to be able
to put that cap back on it. You are not going to have a four-lane highway with all of these residents in Peletier thinking that we wish we had the choice 15-20 years ago to make the correct decisions about how they are going to utilize that area and that transportation. So, maybe I’m getting the cart before the horse and maybe we have to let everything play out to see how it’s going, but the reality is that there is a lot of concerned citizens that are looking at this area as the target for growth. If I am not mistaken, there is another property down towards the amphitheater that is going to also be developed. You are talking about thousands of more people just in that one area where you have limited access to 58. When you start adding 4,000-6,000 people in that area, you can see where it’s going. Thank you.
Ron Cullipher shared that he is the engineer for the Cullipher Group in Morehead City. We prepared the application for the Dirt2Dreams application for this rezoning. We presented this to the Planning Board last month, and they did recommend it going forward. There was a fair amount of discussion on the environmental and the traffic situation with this rezoning. Obviously, with rezoning, anything that comes back from a site plan for development will be going through DOT for access and improvements on the highway. We fully expect that there will be left and right turn lanes going into this piece of property and into the property across the street that you rezoned several months back. Those improvements, what we envision, is the north-south traffic on Highway 58 will be unimpeded by our activities and people making turns into our property will be provided access at the developers cost. We had some discussion about what could be there under its current zone which is R-A and B-3; R-A does allow group housing projects, and if the land supported it, you could have 67-acres of two-bedroom units and you could put 670 residential units on that property. That also creates some traffic. If they were three-bedroom units, it decreases a little bit to eight units per acre, that’s 536 units that could go onto this property. What my clients envision is more of a commercial application on the frontage, more of a storage application whether it’s enclosed, exterior, whatever the zoning would be for B-1. The potential for a plumber or electrician to have a shop to work out of, and we do have the potential for athletic fields, for-profit athletic field facilities. Obviously, this is a blanket rezoning request; it is not a conditional use. Those are the general uses that we have been discussing. We are working on the environmental aspects of the property. It will handle what it can handle from a waste water and stormwater stand point, and from a wetlands standpoint. The property, whether it is developed under the R-A or the B-1 are the same, with respect to run off pools, the DOT will handle the traffic. We respectively request approval of this application. Thank you.
Lauren Daniel, 125 Carter Shores Road. I just feel like this is not the last time we are going to have similar rezoning requests about this area in Peletier. It is no secret anymore that Peletier is a wonderful place to set up shop and plan a business or start a family. I invite you to incorporate more of a conversation about how this area can be developed with stormwater infrastructure in mind. Mr. Cullipher, I really commend you for being so transparent and easy to communicate with. I look forward to these properties being
developed the way that you want them to be, but I do want you to know that we do need to start talking about ways that these developments can be mitigated considering the impact on stormwater. I drive down West Firetower Road after a major storm event and wonder if I can get through a puddle, so to talk about whether or not the area can handle that stormwater after having x amount of trailers put on it, it's a toss-up. That's all I wanted to say, and thank you for listening to me and please consider ways that we can develop this area that don't result in more flooding and less sustainability for future hurricanes and what not. Thank you for your time.
**Motion:** Commissioner Cavanaugh made a motion to go out of public hearing, seconded by Commissioner Comer. **Motion carried unanimously.**
Chairman Wheatly advised that we need a motion to approve or deny the rezoning of the 67.8-acre property located off of Highway 58 in Peletier from R-A (Rural Agricultural District) and B-3 (Planned Business District) to B-1 (General Business District).
**Motion:** Commissioner Cavanaugh made a motion to approve the rezoning of the 67.8-acre property located off of Highway 58 in Peletier from R-A (Rural Agricultural District) and B-3 (Planned Business District) to B-1 (General Business District); seconded by Commissioner Mansfield.
Commissioner Mansfield stated that he has a question for Mr. Cullipher prior to the adoption of the motion.
Commissioner Mansfield asked Mr. Cullipher how many lots are in Cannonsgate? Mr. Cullipher stated 543. Commissioner Mansfield then asked Mr. Foxworth how many of those lots have been built on? Mr. Foxworth responded over half. Commissioner Mansfield stated no; there may be 100 homes in there now, probably 20% of the neighborhood. So, we talk about development all the time and we get focused on the particular project and if we go back to the Mr. Wheatly days if the people had their way back then, none of us would probably be here. Unfortunately, progress goes on. I remember when I was a kid, it was a much easier time, you didn't have these things with you all the time (mobile phones) and you didn't have someone calling you and bothering you 24-7, but times change. Things change, and there is a major highway coming to this area, I-42. We are going to have more redevelopment. We are going to have more people, but the last speaker made a great point that we have to be careful how we go about the planning and how to be careful to make sure that we do follow the stormwater rules. I have worked with Mr. Cullipher in the past on other projects and if Mr. Cullipher said something, you can take it to the bank. So, I don't think that he would be representing anybody who is not going to do the things that they are supposed to be doing. Highway 58, there is five entrances into Carteret County. Highway 24, Highway 58, Nine Mile Road, Highway 70, and Highway 101. Over the next 10-20 years, unfortunately, Highway 58 probably is going to be the area that is going to see the most significant growth of all
of those highways. Highway 24 used to be a dirt road when my mother-in-law was a child. I can’t stress enough that we have got to make sure that we plan accordingly and do the right thing. Right now, we are making the decision and I know that you are probably against it Mr. Knigge, but I think it is unfair to get up here and make representations that two Commissioners may be doing something with a bias because they may have owned an RV park at one time or own one currently. RV park people pay a lot of taxes in this County and have just as much right to services whether you live in a townhouse, a condominium, a mobile home, an RV, or a house. We hear a lot about equality these days, but it’s a hot topic and everybody likes to talk about it, but equal has got to be equal, not just when it meets your narrative.
Chairman Wheatly called the motion. Motion carried unanimously, with Commissioner Farrington recusing himself.
Motion: Commissioner Mansfield made a motion to approve the statement of plan consistency and reasonableness; seconded by Commissioner Chadwick. Motion carried unanimously, with Commissioner Farrington recusing himself.
Motion: Commissioner Mansfield made a motion to reinstate Commissioner Farrington; seconded by Commissioner Comer. Motion carried unanimously.
---
MEMORANDUM
DATE: August 16, 2021
TO: Carteret County Board of Commissioners
CC: Tommy Burns, County Manager
FROM: Eugene Foxworth, Assistant County Manager & Planning Director
RE: Request to rezone a 67.68-acre property located off Highway 58 in Peletier, NC 28584 (PIN#: 537601479582000) from RA (Rural Agricultural District) and B-3 (Planned Business District) to B-1 (General Business District).
- Dirt2Dreams LLC is requesting to rezone a 67.68-acre property located off Highway 58 in Peletier, NC 28584 from RA (Rural Agricultural District) and B-3 (Planned Business District) to B-1 (General Business District).
- Currently, the property is undeveloped. The subject property is bordered by timber to the north, south, east, and Highway 58 to the west.
- The subject property is bordered by RA zoning to the north, R-15M and B-1 zoning to the south, R-15M zoning to the east, and RCP and B-1 zoning to the west.
- The subject property is situated within the Limited Transition CAMA Land Use Plan classification. Areas included within the Limited Transition classification are areas that will experience increasing development during the next five to ten years. This request is consistent with the CAMA Land Use Plan.
- 40 surrounding property owners have been notified. To date, staff has received 5 objections and 5 no objections. Staff is happy to answer any questions that you may have.
- On July 12th, 2021, the Planning Commission voted 6 to 0 to unanimously recommend rezoning of a 67.68-acre property located off Highway 58 in Peletier, NC 28584 (PIN#: 537601479582000) from RA (Rural Agricultural District) and B-3 (Planned Business District) to B-1 (General Business District).
REZONING APPLICATION
Applicant: THE GULLIPHER GROUP, PA
Address: 151A NC HWY 24
MOREHEAD CITY, NC 28557
Telephone: 252-773-0080
E-mail: email@example.com
Owner (if not Applicant): DIRT2DREAMS LLC
Address: PO BOX 4892
EMERALD ISLE, NC 28594
Telephone: 252-723-0002
E-mail: firstname.lastname@example.org
Signature: [Signature]
Date: 6/3/23
Property address/location: ADDRESS NOT LISTED
PIN: 537601479582000
Current Zoning: RA & B3
Proposed Zoning: B1
Please explain why the rezoning that you are requesting is warranted:
THIS 67 ACRE TRACT IS PROPOSED FOR REZONING TO B-1 FOR GENERAL COMMERCIAL USE. LIMITED B-1 EXISTS ALONG THIS CORRIDOR AND COMMERCIAL DEVELOPMENT IS NEEDED TO SUPPORT SURROUNDING RESIDENTIAL USES.
For Staff Use Only:
Application Number:
Amt. Rec'd:
Received by:
Date:
Carteret County Department of Planning and Development
Eugene Fawcett, Director
Main Office: Courthouse Square
Beaufort, NC 28516-1896
Tel: (252) 728-8845
Fax: (252) 728-6683
Western Office: 701 Cedar Point Blvd.
Cedar Point, NC 28584-8013
Tel: (252) 222-5833
Fax: (252) 222-5825
Dirt2Dreams LLC
Rezoning Request
RA & B-3 to B-1
Highway 58
Peleliu, NC 28584
Vicinity
Subject Property
Prepared By:
Carteret County Planning & Development
Aerial Map
Dirt2Dreams LLC
Rezoning Request
RA & B-3 to B-1
Highway 58
Peletier, NC 28584
Vicinity
Surrounding Property Owners
Please see the attached property owner list.
Subject Property
Prepared By:
Carteret County Planning & Development
Buffer Map
FLUP Map
Future Land Use Classifications
- Developed
- Limited Transition
- Community
- Rural
- Rural With Services
- Protected Lands
- Conservation
Subject Property
Prepared By:
Carteret County Planning & Development
Zoning Map
Dirt2Dreams LLC
Rezoning Request
RA & B-3 to B-1
Highway 58
Peletier, NC 28584
Vicinity
Subject Property
Prepared By:
Carteret County Planning & Development
Prior to adopting or rejecting any zoning amendment, the governing board shall adopt a statement describing whether its action is consistent with an adopted comprehensive plan and explaining why the board considers the action taken to be reasonable and in the public interest. The planning board shall advise any county commission of whether the proposed amendment is consistent with any comprehensive plan that has been adopted and any other officially adopted plan that is applicable. The planning board shall provide a written recommendation to the board of county commissioners on the proposed amendment. A statement by the planning board that a proposed amendment is inconsistent with the comprehensive plan shall not preclude consideration or approval of the proposed amendment by the governing board.
(NCGS 160D-605)
**REZONING MAP AMENDMENT:**
Applicant: The Cullipher Group, PA
Owner: Dirt2Dreams LLC
Address: N/A
Tax Map and Parcel(s): 537601479582000
Parcel Size: 67.68 acres
**REQUEST:**
Dirt2Dreams LLC is requesting to rezone a 67.68-acre property located off Highway 58 in Peletier, NC 28584 from RA (Rural Agricultural District) and B-3 (Planned Business District) to B-1 (General Business District).
**STATEMENT OF CONSISTENCY, REASONABLENESS, & RECOMMENDATION:**
At their meeting on July 12, 2021 the Planning Commission voted to recommend approval/denial of the proposed rezoning map amendment and made the following statements:
- *The Planning Commission find and determine that case number 2021-000043 is consistent / is not consistent with the goals, objectives, and policies of the CAMA Land Use Plan because:*
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- *Is / Is not reasonable and in the public interest because:*
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Motion to approve/deny by: Will Rogers
Seconded by: Jeff Hunt
Followed by a unanimous 6-0 vote of approval.
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Due to the size of this document, it is being incorporated into these minutes by reference. A full copy will be retained in the County Manager’s Office.
VIIIa. APPROVAL OF CONTRACT WITH MOFFATT & NICHOL FOR THE BOGUE BANKS MASTER BEACH NOURISHMENT PLAN SAND SEARCH, APPROVAL FOR COUNTY MANAGER TO SIGN & APPROVAL OF BUDGET AMENDMENT: $1,000,000 (Item moved from Consent Agenda as Amended)
Chairman Wheatly stated that this was originally on the consent agenda, and the reason we removed it from the consent agenda is not because we were in opposition, it’s because when you mention a million dollars to some of the newer members, including myself, this amount catches our attention. I understand; I have read your emails, and I have read the reports, but I think there are some questions from the Board.
Mr. Rudolph stated that he appreciates that and understands it. I decided to bring the Chairman of the Beach Commission with me, Mr. Jimmy Normile, but the Beach Commission has been working on this contract for almost a whole year, so I thought his perspective would be better than mine.
Mr. Normile stated he was actually here to save the Board from a 300-slide PowerPoint presentation. You can thank me later for that. On a much more serious note, thank you first for allowing me to serve on the Beach Commission. I have really enjoyed my time there, and I think we are doing well there. We are blessed beyond measure to have Rudi do the heavy lifting behind us. Moving on to your topic, I will just speak very briefly at the 35,000-foot level and then Rudi will bring it down as well and put all of this into perspective. As you know, we recently completed the three-phase post Florence 21-mile beach nourishment. About 6M cubic yards of sand, that’s about 500,000 dump truck loads onto our 21-miles of beaches. We spent about $85M. Thanks to you, the Beach Commission, Rudi, Senator Burr, Representative McElraft and others, we spent that $85M not from our Ad Valorem taxes, but from our occupancy taxes that funnels into both the TDA and the Beach Commission. We are also very fortunate to build some dynamic grant applications through Moffatt & Nichol and others to receive substantial funding, about $50M from the Federal Government, more monies from Representative McElraft who represents us well at the State level, and again, the remaining dollars from our occupancy tax. Having said all that, we just used about 6M cubic yards of sand. We have about that much more currently on hand that we are permitted for to access in emergent times. However, if we were to be faced with another Florence-level storm, that would most likely deplete most of that 6M cubic yards. We don’t want to be in that position. So, really what we are doing here is vision casting for the future. We want to identify enough sand resources for our grandchildren so that they have those resources at their disposal. We are working with Moffatt & Nichol and Geodynamics here in Beaufort and spending occupancy tax dollars to do so, not County Ad Valorem taxes, not Municipal taxes – occupancy taxes for sand search to protect the future.
Mr. Rudolph stated it is an $85M project; $50M came from FEMA, $17.5M State, and $17.5M from occupancy tax. So, the small investment in finding sand for the next $85M project is a good return on investment. In terms of the occupancy tax, we spent $17.5M
over three years. In September of 2018, our occupancy tax reserves were $1,800; we just finished the $85M project and our occupancy tax reserves for September 2021 are going to be about $20M. As you know, our June numbers broke the $15M total. Our fiscal year was up 58% compared to last fiscal year. Total receipts for 2021 fiscal year was $11.5M compared to $7.2M. I know that sounds like a lot of money; it is a lot of money, but we have been going through this contract and how we go about it, scoping out the project and also working with the funding agencies on this sand search. We feel really good about moving forward, where we have been and where we are going.
Commissioner Cavanaugh stated that what puzzles him is this whole concept of a sand search, and why it’s going to cost $1M to $3M. To my mind, there is sand from here all the way to Europe. Why do we have to go out and search for sand and why does it cost so much? Mr. Rudolph responded that the State and Federal Government have all sorts of environmental, archaeological, and sampling requirements. We have to look at the density, the surface and x-ray for seismic, then we have to take all of that information and get a permit. So, when the next storm comes, we know where to get the sand. That all costs money, scientists, meetings with the regulators, etc.
Commissioner Farrington stated the Beach Commission has been an asset to Carteret County, and I was unable to make the meeting when you voted. What’s important, is that the Bureau of Ocean Energy Management (“BOEM”) has gotten involved now. Mr. Normile stated BOEM controls and manages our offshore resources. So, we the County don’t have the legal right to just go out to point X in the ocean and harvest sand and bring it back to the beach. In addition to BOEM, all the other agencies at the State level and National level, Fish & Wildlife, etc., all of those agencies must approve – just like we did when we applied for the 50-year plan, all the scientific studies, attorney opinions, all of that has to be compiled. This is not going to be a short project; it is going to take some time to get through this. On that same note, I think that possibly BOEM and NOAA and some others, will have some interest in what those soundings are and what is on the sea bed; it has not been mapped. So, I think there is the opportunity to partner with them financially to access the data that we will harvest. So, there is some interest in that, how much I do not know. I feel optimistic that we may not bare the entire projected cost, but we could recoup some of that through grant monies from NOAA, BOEM and some others.
Commissioner Farrington stated that working with Moffatt & Nichol and Geodynamics, both of those agencies have already looked at some of these areas; it is not a wild goose chase. I commend the Beach Commission and how it is set up and what Rudi has done over the years and when we get into these situations, a lot of times, we are already organized and we have the data. After I read it, it made a lot of sense.
Commissioner Comer stated the sand that you are going to go out and identify, is that an unknown volume at this time? Mr. Rudolph stated we do have an idea of how much sand we need in the course of the next 50 years; we have done that through our monitoring.
Commissioner Comer stated that the previous Board had the idea to put together a Beach Commission to look after our beaches and how to fund them so it is not a burden on the citizens of Carteret County. We did that by spreading the TDA (Tourism Development Authority) money. They have put together a master plan that goes through 2050. Part of this master plan is to have sand readily available at a time of need, but by having the plan of where you are going to get it, how are you going to put it on the beach, where are you going to put it; all the data that Mr. Rudolph puts together, he has put together a program that the Federal and State agencies love. We went after Florence and he got $68M in addition to our money to bring these beaches back together, and it is 100% based on these master plans that they have done. If he had not had this master plan in place or sand identified, we would be begging and pleading to try to get something done and it would have been a piecemeal job at best. It was put together to serve a purpose. Mr. Normile and his predecessors; I sat on the Beach Commission also; they have done a good job of laying the line, and Mr. Rudolph has done a good job of taking charge. A million dollars on the consent agenda is a lot of money and it is good to bring it out and talk about it, and this is a good conversation so people know what is taking place.
Commissioner Chadwick stated he will admit that he was the man that wanted a better explanation. I totally support beach renourishment. Our beach strand is the reason we have the lowest tax rate in the State, and Mr. Rudolph is doing a phenomenal job. I assume we are bidding out this work or do we have a long-term contract with them? Mr. Rudolph replied it is a long-term contract, as well as their track record.
Chairman Wheatly asked if this $1M is the first part of the $2.85M total price for this project and this is based on a 50-year time. Mr. Rudolph stated that basically, it is a budget amendment for this fiscal year; we are not going to spend all of the money in this year. The sand that we are going to find is going to last us for 50 years. Chairman Wheatly asked when you make these studies and you locate and identify the sand, when you have another major event such as Florence, does that not change the location of the sand. Mr. Rudolph replied that we are going so deep that the sea bed does not move that much.
Commissioner Mansfield stated we are just basically doing what is necessary to make sure in another storm event, we are permitted to harvest sand immediately. It also helps us secure funding from the State and Federal Government.
**Motion:** Commissioner Comer made the motion to approve the contract with Moffatt and Nichol for the Bogue Banks Master Nourishment Plan; seconded by Commissioner Mansfield. **Motional carried unanimously.**
**Motion:** Commissioner Comer made a motion to give the County Manager the authority to sign the contract and approve a budget amendment in the amount of $1,000,000 for the project; seconded by Commissioner Cavanaugh. **Motion carried unanimously.**
Commissioner Mansfield shared that twice we have put on a referendum to approve a quarter-cent sales tax which is a tax that would help fund things that happen in this County, not local citizens being taxed, but people who come down and use our resources and don’t help pay. I think that is something that people should really think about in the future if it ever comes back up again. We are a recreational and travel resort community and people travel here; that means those visitors pay a lot of revenue that help us keep our tax dollars low and provide services to the County.
Commissioner Comer shared that the one-quarter of a penny - we had a study done, and somewhere between 55%-60% of that would be paid by those outside the County. It is a big deal; we could take those dollars and use them for a lot of these sand projects and multiply them six times if you go to the State and get them to help.
Commissioner Chadwick shared that he feels that the money needs to be used for both dredging and cleaning out the ditches in the County. Commissioner Comer shared that unfortunately, you cannot state on the ballot what you want to do with the money.
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**Memorandum**
To: Carteret County Board of Commissioners (CBOC)
From: Greg Rudolph
Date: August 16, 2021
Re: Master Plan Sand Resource and Reserve (Sand Search) Project – Contract & Fee Estimate. Budget Amendment.
The CBOC is respectfully requested to consider and approve the attached Contract and Fee Estimate for the firm of Moffatt & Nichol and their sub-contractor GeoDynamics LLC from Newport for Phase I of the Master Plan Sand Resource and Reserve Project or affectionately known as our “Sand Search” Project. The Beach Commission unanimously approved the attached for your consideration subsequent to spending the past three of their meetings formulating this effort.
The Sand Search Project was conceived in the recent wake of completing all three Phases (I, II, and III) of the Post-Florence Nourishment Project utilizing ~6,000,000 cubic yards of sand across a collective shoreline distance of almost 21 miles extending between the towns of Emerald Island and New Clydes in maritime reach. The Post-Florence Nourishment Project was constructed under the guise of the Bogue Banks Master Nourishment Plan (Master Plan), which was formally initiated in 2010 when the County retained Moffatt & Nichol to develop a comprehensive shoreline management program using objective parameters to ensure beach health and trigger future nourishment events for the entire 25-mile long island of Bogue Banks. The Master Plan also addressed the management of Bogue Inlet and its relationship to the “static vegetation” line. Pursuant to fulfilling National and State Environmental Protection Act (NEPA and SEPA) coordination requirements, we received all the permits and authorizations necessary to implement what became the 50-year Master Plan in 2014 just before the arrival of Hurricane Florence. Thus we had all the regulatory vehicles in hand to rapidly construct the Post-Florence Nourishment Project and in a larger sense the Master Plan is also already fulfilling our other macroscopic goals we established through the program: (1) protect public resources/infrastructure from coastal development, (2) maintain each community’s eligibility for FEMA reimbursement of sand loss during a federally-declared disaster, and (3) consolidate the individual municipalities’ 25-year nourishment plans the State requires for static vegetation line exceptions (renewed in 2020).
One of the key components of the Master Plan was to identify suitable sand reserves for the 50-year life of the Master Plan – i.e., resolve borrow sources that are economically feasible to be used for shore protection along Bogue Banks. To this end, we identified roughly 21 million cubic yards (cy), which includes approximately 18.9 million cy from the ODMDS and Dredged Material Disposal Site (ODMDS) at Morehead City, which is the main U.S. Army Corps of Engineers (Corps) disposal area associated with the Morehead City Harbor Federal Navigation Project. Following the use of 6 million cy for the Post-Florence Remedial Nourishment (as referenced above), we quickly realized that there is 12.5 million cy remaining in the ODMDS that is truly reliable for the next 47 years and retrieving the last bit of sand from the ODMDS near the interface of the ODMDS and native seafloor is going to be difficult/costly. Much of the remaining balance of sand out of the 21 million cy introduced above is assigned to where we relocate Bogue Inlet, which will be sparsely done over the course of the next five decades.
Thus considering; (1) we are depleting the QDMDS at a rate higher than expected triggered by hurricane Florence, coupled with that fact that; (2) we have no way to find additional sand resources and not consider anything viable to date, and (3) we don’t have the mechanisms or the volumes necessary to fully exploit the “shoaled and dredged” resources emanating from the Morehead City Harbor; the Beach Commission/Shore Protection Office recognized we need to search and therefore identified the remaining viable sources of sand for the next 47 years of the Master Plan. This new Sand Search effort has been scoped in detail and is what is before you for your consideration at the August CBOC meeting.
The total maximum (not-to-exceed) contract cost of the Sand Search Effort is $2,953,911 and the bulk of the fees are related to the geophysical surveying component (i.e., the “Work to be Performed”). We are surveying 31 square miles which accounts for $2,213,869 (75%) of the overall fee estimate. As the CBOC can probably appreciate, the geophysical surveying estimate comprises a lot of work and there are many things that could materialize (e.g., endangered species considerations) could limit our planned 24-hour round-the-clock operations); and therefore, again for financial purposes, this is the *maximum* cost. Our reasonable estimate of the cost is approximately at $1.6 million or a three phases of the $85 million Post-Florence Renourishment Project thanks in large part to FEMA reimbursement and state funds. Our revenue value is more than $100,000 per month after Hurricane Florence was almost $18 million. That’s quite an accomplishment and we are currently in record territory month after month with respect to occupancy tax collections, meaning our “revenue” is growing much higher than we expected and can easily accommodate the proposed contract as we plan for the future.
Perhaps equally important however, we will do everything in our power to leverage any State and Federal funding opportunities available to us. On the State side we could look towards the Coastal Storm Damage Mitigation Fund especially if House Bill 500 (the Disaster Relief and Mitigation Act of 2021) is passed in its current form, which per Section 4.2, would provide $30 million to the Fund.
With respect to some federal opportunities, we are pursuing a few different angles; (1) NOAA’s nautical charts in Northern Onslow Bay have not been updated in a very long time AND the sounding spacing is not consistent with modern navigation standards. If we could get NOAA to quickly update/upgrade nautical chart(s), then there could be some cost savings. (2) U.S. Army Corps of Engineers (Corps). The Corps has recently expressed some interest in fully mapping/surveying the entire shoreline of Carteret County associated with the Morehead City Harbor and again we could realize some cost savings here. (3) BOEM – their Marine Minerals Program also holds some potential research which includes the identification of sand resources and leasing authorization/administration responsibilities in federal waters (>3 miles offshore). BOEM conducts regional type of sand assessments under the umbrella of their National Offshore Sand Inventory Program which could be better with the Sand Search Project and there may be opportunities to collaborate if BOEM elects to perform the same geophysical scope work within federal waters offshore of Carteret County using their own equipment, authorities and funding policies. BOEM also launched the Marine Mineral Information System (MMIS) in 2019, which serves as an interactive collection point for coastal management and represents BOEM’s NOS. We have already been in conversations with BOEM on future partnerships and several possibilities.
The Sand Search Project is a very progressive, “pay it forward” initiative for the Beach Commission/Shore Protection Office and an important one for the sustainability of our beaches which will therefore continue to bolster and enhance our economy deep into the future. We’re looking forward to this effort and will be glad to answer any questions the CBOC may have.
Shore Protection Office • P.O. Box 4297 • Emerald Isle, North Carolina 28594
www.protectthebeach.com
AGREEMENT BETWEEN CLIENT AND ENGINEER FOR PROFESSIONAL SERVICES
THIS AGREEMENT is made on the ___th day of ____________, 2021, by and between Carteret County, North Carolina hereinafter called CLIENT, and Moffatt & Nichol, hereinafter called ENGINEER, for the following Project (the “Project”):
Bogue Banks Master Beach Nourishment Plan Sand Search – Phase I
The CLIENT and ENGINEER for mutual consideration agree as set forth below:
1.0 ENGINEER’S SERVICES
The ENGINEER shall perform professional services in connection with the Project, as set forth below, which may be further described in Exhibit “A”.
Data Collection, GIS Development, Desktop Analyses, Field Investigations, Desktop Analyses, Agency Coordination, and Reporting as outlined in Exhibit A.
2.0 ENGINEER’S CHARGES
In accordance with this Agreement, the ENGINEER shall provide professional services for which the CLIENT shall compensate Engineer and the total compensation shall not exceed the dollar amount indicated herein, and as may be further described in Exhibit “B”.
☐ LUMP SUM. Compensation for these services shall be a Lump Sum of $2,953,911.
☐ TIME AND MATERIALS. Compensation for these services will not exceed $________________ without written authorization.
3.0 INSURANCE AND LIABILITY PROVISIONS
3.1 The ENGINEER shall acquire and maintain statutory workmen’s compensation insurance coverage, employer’s liability, comprehensive general liability insurance coverage and professional liability insurance coverage.
3.2 This Section left intentionally blank.
4.0 CLIENT’S RESPONSIBILITY
The CLIENT shall, unless otherwise provided for in this Agreement, at no cost to the ENGINEER:
4.1 Furnish to the ENGINEER all survey and all soils data, as well as other Project documentation as may be requested by ENGINEER, and upon which ENGINEER may reasonably rely.
4.2 The ENGINEER makes no representations concerning soil conditions and is not responsible for any liability that may arise out of the performance or failure to perform soils investigations and testing.
4.3 Guarantee full and free access for the ENGINEER to enter upon all property required for the performance of the ENGINEER’s services.
4.4 Give prompt written notice to the ENGINEER whenever the CLIENT observes or otherwise becomes aware of any condition or the effect of other event which may substantially affect the ENGINEER’s performance of services under this Agreement.
5.0 REIMBURSABLE EXPENSES
Reimbursable Expenses are in addition to ENGINEER’s compensation for services performed on an Hourly Rate basis and include expenditures made by the ENGINEER, his employees or his consultants in the interest of the Project.
6.0 PAYMENTS TO THE ENGINEER
6.1 Progress payments shall be made in proportion to services rendered or as otherwise indicated in this Agreement and shall be due and owing upon the ENGINEER’s submittal of any invoice. Past due invoices hereunder shall incur a late payment Finance Charge which will be computed at the periodic rate of 1% per month, which is an Annual Percentage Rate of 12%, and will be applied to any unpaid balance 30 days after the date of the original invoice.
6.2 The ENGINEER may, upon seven days written notice, suspend services if CLIENT fails to make payments.
6.3 No deductions shall be made from the ENGINEER’s compensation on account of penalty or other sums withheld from payments to Contractors.
6.4 Hourly Rates and Reimbursable Expenses shall be subject to periodic revision as stated on the Rate Schedule. In the event revisions are made during the lifetime of this agreement, any increases or decreases in said Hourly Rates and Reimbursable Expenses shall apply to all remaining compensation for services performed by the ENGINEER when such rates provide the basis for the ENGINEER’s compensation.
6.5 If the Project is delayed or if the ENGINEER’s services for the Project are delayed or terminated for more than three months without reason beyond the ENGINEER’s control, the ENGINEER may, after giving seven days written notice to the CLIENT, terminate this Agreement and the CLIENT shall compensate the ENGINEER in accordance with the termination provision contained hereinafter in this Agreement.
7.0 GENERAL PROVISIONS
7.1 The CLIENT shall not reuse any of the ENGINEER’s instruments of service on extensions of this Project or on any other project without the prior written permission of the ENGINEER. Any unauthorized use of such instruments is the CLIENT’s risk and the CLIENT agrees to define, indemnify, and hold harmless the ENGINEER for all claims, damages, and expenses including attorney’s fees arising out of such unauthorized reuse of the ENGINEER’s instruments of service by the CLIENT OR BY OTHERS ACTING THROUGH THE CLIENT. Provided however that all drawings, specifications, and other work done of the ENGINEER for the Project shall become the property of the CLIENT once the CLIENT has compensated the ENGINEER for said drawings, specifications, and other work done pursuant to the terms of this Agreement.
7.2 Neither the CLIENT nor the ENGINEER shall delegate his duties under this Agreement without the written consent of the other.
7.3 This Agreement may be terminated by either party by seven days written notice in the event of substantial failure to perform in accordance with the terms of this Agreement by the other party through no fault of the terminating party. If this Agreement is terminated, the ENGINEER shall be paid for services performed to the termination notice date including Reimbursable Expenses due plus Termination Expenses. Termination Expenses are defined as Reimbursable Expenses directly attributable to the termination.
7.4 This Agreement represents the entire and integrated agreement between the CLIENT and the ENGINEER and supersedes all prior negotiations, representations, or agreements, either written or oral. This Agreement may be amended only by written instrument signed by both the CLIENT and the ENGINEER.
7.5 Any dispute or claim arising out of this Agreement will be determined as follows: CLIENT and ENGINEER will negotiate in good faith to reach agreement. If negotiations are unsuccessful, ENGINEER and CLIENT agree the dispute shall be resolved by arbitration in Charlotte, North Carolina. If the dispute remain unresolved, the disagreement shall be decided by such remedies of law as they are available to the parties. This Agreement shall be governed by the laws of the State of North Carolina.
7.6 Should litigation occur between the two parties relating to the provisions of this Agreement, the litigation costs, including collection expenses, witness fees, court costs and attorney’s fees incurred by the prevailing party shall be paid by the non-prevailing party to the prevailing party.
7.7 Neither Party shall hold the other responsible for damages or delay in performance caused by acts of God, strikes, lockouts, accidents, or other events beyond the control of the other or the other’s employees and agents.
In the event any provisions of this Agreement shall be held to be invalid and unenforceable, the remaining provisions shall be valid and binding upon the parties. One or more waivers by either party of any provision, term, condition, or covenant shall not be construed by the other party as a waiver of a subsequent breach of the same by the other party.
7.9 The ENGINEER is not responsible for design and construction review services relating to Contractor’s safety precautions or to means, methods, techniques, sequences, or procedures required for safe Construction Work. Ordinarily services are not but are not limited to shoring, scaffolding, underpinning temporary retention of excavations and any erection methods and temporary bracing.
7.10 The ENGINEER intends to render his services under this Agreement in accordance with generally accepted professional practices for the intended use of the Project and makes no warranty either express or implied.
7.11 Any estimate or construction cost prepared by the ENGINEER represents his judgment as a design professional and is supplied for the general guidance of the CLIENT. Since the ENGINEER has no control over the cost of labor and material, or over competitive bidding or market conditions, the ENGINEER does not guarantee the accuracy of such estimates as compared to Contractor bids or actual cost to the CLIENT.
7.12 (a) The parties shall comply with all applicable federal, state, and local laws, ordinances, rules, regulations, and orders in effect on the date of this Agreement, including applicable non-U.S. laws and regulations.
(b) Neither party shall, directly or indirectly, undertake, cause or permit to be undertaken any activity related to this Agreement that is illegal under any applicable law, regulation, ordinance, rule or government contract, including without limitation, the U.S. Foreign Corrupt Practices Act and the UK Bribery Act. In addition, no Party shall give, offer, promise or authorize, directly or indirectly, any bribe, kickback or other payment, anything of value to an official, officer, employee or any other person in an official capacity for or on behalf of any government, state-owned enterprise, agents or advisors to other international organizations.
(c) If either party breaches any of the covenants contained in this Article, the non-breaching party shall have the right to immediately terminate this Agreement without penalty and shall be indemnified by the breaching party against all losses arising under this Article 7.12.
8.0 NOTICES
Any notices required to be given under this Agreement may be given by enclosing the same in a sealed envelope, postage prepaid, addressed as follows:
CLIENT: Carteret County
30 Courthouse Square
Beaufort, NC 28516
Attention: Greg Rudi Rudolph
email@example.com
4700 Falls of Neuse Rd., Suite 300
Raleigh, NC 27609
Attention: Patrick Graney, P.E.
Notices shall be deposited in the U.S. Postal Service. When so given, such notice shall be given from the time of mailing the same.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement which is in effect as of the day and year first above written when signed by both parties.
ENGINEER’s Federal Tax ID# 95-1951343
Attachments: Exhibits “A” & “B”
ENGINEER: BY:
MOFFATT & NICHOL TITLE:
A California Corporation
DATE: WITNESS:
CARTERET COUNTY
Tommy Burns, County Manager
This agreement has been pre-audited in the manner required by the Local Government Budget and Fiscal Control Act
APPROVED AS TO FORM & LEGALITY
Finance Director County Attorney
EXHIBIT “A”
STATEMENT OF SERVICES
Data Collection, GIS Database Development, Field Investigations, Desktop Analyses, Agency Coordination, and Reporting as attached.
Due to the size of this document, it is being incorporated into these minutes by reference. A full copy will be retained in the County Manager’s Office.
VIIIb. AIRPORT HANGAR CONSTRUCTION LOAN DISCUSSION (Added as amended)
Mr. Pat Joyce stated that they had damage during Hurricane Florence and we lost 28 hangars at the Airport. We were fortunate enough to apply to get a grant to help rebuild them along with the County’s insurance. Of course, as you all know, everything is going through the roof now. We had a plan and it was working until COVID came along and all the costs skyrocketed. Mr. Vinson worked hard to get this grant. It’s a different type of grant, an economic development grant, and you have got different guidelines. We have
the cash, but it is slow in coming the way it’s got to be funded. Mr. Joyce stated that he would let Mr. Vinson explain further.
Mr. Jesse Vinson stated the issue before us is not that we don’t have the money to do the project. We have the money. The issue is the way the EDA reimburses you on the expenses, puts us in a cash flow situation. With the EDA, unlike the Division of Aviation, when we get a grant from them, we have to pay a bill and then when the vendor cashes the check and the check flows through the bank, and the cancelled check comes back to us, then we can submit for those funds. The problem we are going to have is by the nature of this project, we are going to have some pretty large bills coming due at one time. We tried to run a cash flow estimate plan on this project. We are probably looking at an initial draw of around $500K, then very shortly after it, we are going to have another $500K. I think the third estimate is $1M. Now if it takes 30-60 days for the reimbursement process to work, then we find ourselves having bills coming due that we haven’t gotten the money back from the EDA that we have already spent, so we are sitting there in a crunch. So, what we are asking the Board to do, is to provide us with a credit line so to speak so that if I have $250K worth of bills, that’s more than we have in the bank, I can get a draw from the County. Cover that draw and then just as soon as our reimbursement comes, I can pay it back. So, that it’s in a nutshell. It’s regrettable that we are in this position, but we are. We started out, the grant gave us funds for 28 hangars and we honestly at one point thought we were going to be able to build 32. Those extra four evaporated. Right now, we are about $350K into our reserves over what the grant is going to pay. I approached the EDA, and said with the price of commodities going up like they are, can’t you make some concessions and help us out on the grant. The answer was no. What you’ve got is what you’ve got. So, that’s the position we are in.
Mr. Vinson explained that our airport is a destination airport. If you have a beach house, and you have an airplane, you don’t want to keep your plane in New Bern or Little Washington or Kinston, you want it close by, so it’s convenient. We are a society of convenience. We have got 56 as of today on the waiting list for a hangar at the airport. We can’t build but 28. It’s really frustrating and it would surprise you to see the demand that we have for hangar space. We have seven potential parcels at the airport that we can lease to individuals to build their own hangar. We have deposits on all seven. On these 56 that we have on the waiting list, they all understand when the truck pulls up with the steel, I’m going to call you and I need to see some money. If I don’t see money, your name is coming off the list. It’s just that simple. So, I ask for your help.
Commissioner Comer asked what does the EDA acronym stand for? Mr. Vinson responded it’s the Economic Development Administration. Commissioner Comer stated what you are saying is that basically, they want to see a cancelled check and a paid bill, then what is their turnaround time? Mr. Vinson said 30-60 days.
Commissioner Chadwick said you basically need a bridge loan. Mr. Vinson responded that is correct.
Commissioner Comer asked Mr. Burns is there any way to do any kind of bridge loan without having to go to the Local Government Commission ("LGC")? Mr. Burns responded no; you have to go to the LGC. Commissioner Comer then asked, do you anticipate that being a big deal? Mr. Burns said I think it will be a big deal. Chairman Wheatly asked what is the time on the LGC approval? Mr. Burns said 60-90 days. Commissioner Comer confirmed that it would be the Airport Authority going to the LGC. Commissioner Comer stated that there has been talk over the years about the airport getting out from under the County and stand alone, and I'm sure renting these units will be a big goal going forward in doing that. My understanding was we had some really cheap rent; we had older buildings and they were not really top-quality. We are coming back with some expensive buildings, have you looked at fair market rate on these units? Mr. Vinson responded yes; as a matter of fact, effective July 1, we adjusted all of the rent at the airport to a more equitable value. We got some complaints, but we had some folks that had a sweetheart deal, and we cured all of those. Commissioner Comer explained that boats pay fair market rates. Mr. Vinson shared that right now, our hangar rents are $0.30 a square foot. The new hangars, if we stayed at that same rate, would bring in another $115,000 annually. Mr. Vinson stated that it was up to their Board, and he plans to make a presentation to the Board, but it's going to be his recommendation to increase the rate per square foot. Commissioner Comer stated that he would love to get to the point where the airport is independent; I personally don't have a problem figuring out how to help you. Logistically, the County Manager and the Finance Director understand how the protocols work, but I think it will be a smart move to help you get the facilities built so you can get rent coming in.
Commissioner Mansfield asked does the EDA have a draw schedule or is it bill for bill? Mr. Vinson said we do a collection of accumulated expenses. Commissioner Mansfield asked if the airport could get a draw schedule to Ms. Meshaw. Mr. Vinson said we have a rough one, but it's not accurate. Mr. Joyce stated we were told that we had to spend 25% up front before we could make the draw. So, we are right now roughly $4.6M all in, and we are going to spend over $1M that we have up front, then we make the draw, but the bills are coming monthly. It will be two months before we get the first money back; we are running about a $1M short. When we get this project done, we should be almost self-sufficient with the land leases, and the rent collected. Now where we go from here all depends on grants. We have 56 people waiting and those planes do bring in tax base; we are going to keep growing.
Commissioner Comer asked, say you get this project done and you have another opportunity for another grant to build additional units, is there any way to set this LGC stuff up ahead of time so that we have an agreement in place? Ms. Meshaw responded no, because they have to actually see the bids that come in for the construction.
Mr. Burns asked Mr. Vinson with this project, where does the insurance proceeds off of the damaged hangars, where does that come into play? Mr. Vinson responded well the County match on this grant was $821,000. So, that money came out of insurance money. Then the $200K left over is extra funds going towards this project. We used it for the design engineers with the grant.
Commissioner Wheatly asked when you complete the 28 units, what will our total number of hangars be? Mr. Vinson said we would have 62. Chairman Wheatly asked if the airport is a County asset, why do we have to go to the LGC to get their approval to loan the money from the County to loan to the airport? County Attorney Wheatly said they control it, and it’s a special act giving them control of the airport; we own it, but it’s under their management.
Commissioner Chadwick asked after those 62 hangars, how much more land do you have and how many more hangars do you think you could build? Mr. Joyce said it depends on setbacks and runways; we have enough land to probably build another 30 hangars, but you have to go through all of the permitting processes, and you are limited because of what the FAA regulates on the setbacks and the runways, and you have to get a stormwater permit. Hangars without taxiways don’t work, and those are all expensive. We are working with what we have. These hangars were condemned. They were wood hangars. Everything going back is metal. Steel is going up another $70K on this package if the contract is not awarded by September 1st. So, it just gets deeper and deeper. We are where we are, and we have a good contractor.
Mr. Burns stated the Airport Authority has to go through a similar process as the beach renourishment; they do a master plan every ten years at the airport, and they have been very proactive in getting that updated to incorporate those areas where they could expand.
**Motion:** Commissioner Mansfield made a motion, if approved by the North Carolina Local Government Commission, the County will make a $2M construction draw/credit line/loan to the Airport Authority for the hangar project for the Carteret County-Beaufort Airport, and the funds will be disbursed on an invoice basis, with a draw schedule submitted by the Airport Authority to our Finance Director; seconded by Commissioner Cavanaugh.
Mr. Burns asked if we could get the application fee to the LGC included also? Commissioner Chadwick asked how much is that? Mr. Burns responded about $12K; response was that the application fee could be included.
Chairman Wheatly called the motion. **Motion carried unanimously.**
IX. ACCEPT/REJECT OFFER FOR PURCHASE OF COUNTY-OWNED PROPERTY AT 150 LEE DANIELS EXTENSION IN ATLANTIC, NORTH CAROLINA, PIN #749216749574000
Mr. Burns stated there is an offer to purchase County owned property. The County acquired the parcel that’s located at 150 Lee Daniels Extension, Tax ID number 749216749574000 as a result of a tax foreclosure. Our cost in the transaction was $5,175. We have received an offer to purchase from Mr. Charles Goodwin for $6,000 for this parcel. The Commissioners can accept or reject this offer. If it is accepted, then this property would be placed in the upset bid process that the Clerk would handle over the next ten days.
Commissioner Chadwick asked if this was the first offer; Mr. Burns responded that it was.
Motion: Commissioner Mansfield made a motion to accept the offer; seconded by Commissioner Comer. Motion carried unanimously.
MEMORANDUM
TO: Board of Commissioners
FROM: Tommy Burns, County Manager
SUBJECT: Offer to Purchase County-Owned Property
DATE: August 16, 2021
An offer of $6,000 has been submitted by Charles K. Goodwin for the purchase of certain property owned by Carteret County, more particularly described as follows: 150 Lee Daniels Extension, L3 Fulcher Heights Atlantic DM Fulcher Land, Tax ID#: 749216749574000.
The property was acquired by the County as the result of a tax foreclosure for $5,175.14. The current tax value is $23,225.
Commissioners may accept or reject the current offer. If accepted, the Clerk will be directed to start the upset bid process.
AFTERNOON,
I AM INTERESTED IN ACQUIRING A LOT IN ATLANTIC N.C. 150 LEE DANIELS EXT. PROPERTY ## 2022 E 7492.16.74. 9574000
I WOULD LIKE TO PLACE A BID ON THIS PROPERTY IN THE AMOUNT OF $6,000.00 SIX THOUSAND DOLLARS
Charles K. Goodwin
CHARLES K. GOODWIN
175 SEASURE DR.
SEALEVEL N.C. 28572
910-725-5483
150 Lee Daniels Extension
L3 Fulcher Heights Atlantic DM Fulcher Land
74188.8.131.5274000
.39 acre vacant residential lot
Outstanding Taxes and Fees: $5,175.14
Tax Value: $23,225
Estimated Market Value: $23,225
Subject Site Valuation
The subject site is located at the eastern terminus of Lee Daniels Road Extension. Its dimensions are 85' X 200', containing .39 acres. The site has 5.5' to 6.5' elevations. The tax assessment, prior to examining the site characteristics as a single property, is based on estimated lot value of $23,225.
A search was conducted for vacant land sales in the subject neighborhood and several were identified. Sites larger (almost an acre) than subject sold for $30,000 to $37,000. Similarly sized tracts sold for $22,000 to $26,000.
| PID | 74184.108.40.20674000 |
|-------|-------------------|
| COUNTY OF CARTERET | 2021 |
| 302 COURTHOUSE SQUARE | 23,225 FY Val |
| BEAUFORT NC 28511 | DEF |
| TWP ATLANTIC | 390 ACRES |
| CITY | RESCUE SEA LEVEL RESCUE |
| LOT | BLK |
| FIRE ATLANTIC FIRE | ADDRESS 000150 LEE DANIELS EXT ATLANTIC 28511 |
| USE 002100 COUNTY GOVERN | DEED 1624 28 |
| FL BR/FG | AICUZ |
| NEHD G20000 | PRINTED 5/18/2021 BY PHARRISO |
| LEGAL: L3 FULCHER HEIGHTS ATLANTIC DM FULCHER LAND | |
SALES
| IN Q RC M V | Sale Data | Sale Price | Number | Type | Description | BUILDING PERMITS |
|-------------|-----------|------------|--------|------|-------------|------------------|
| OT V 01 | I | 11/21/2018 | 5,500 | | | |
LAND
| Seq | Zone | Code | Use | Description | #Units UT | UTPrice | Adj1 | Adj2 | Adj3 | Adj4 | Fadj | Dadj | Nbhd Adj | Eff Rate | Value |
|-----|------|------|-----|-------------|----------|---------|------|------|------|------|------|------|-----------|----------|-------|
| 1 | | | | | | 230,000 | 1.00 | 1.00 | 1.00 | 1.00 | 1.07 | 1.11 | 1.000 | 273.235 | 23,225 |
COMMISSIONER'S DEED
Excise Tax: $11.00
Parcel Identifier No. 749216749574000 Verified by Carteret County on the ___ day of ____________, 20____.
By:
Mail/Box to: Wheatly, Wheatly, Weeks, Lupton & Massie, PA, P O Box 360, Beaufort, NC 28516
This instrument was prepared by: C. R. Wheatly, III
Brief description for the Index:
THIS DEED made this 21st day of November, 2018, by and between
GRANTOR
C. R. Wheatly, Commissioner
Wheatly, Wheatly, Weeks, Lupton & Massie, PA
P O Box 360
Beaufort, NC 28516
GRANTEE
County of Carteret, a Body Politic
302 Courthouse Square
Beaufort, NC 28516
The designation Grantor and Grantee as used herein shall include said parties, their heirs, successors, and assigns, and shall include singular, plural, masculine, feminine or neuter as required by context.
WITNESSETH:
THAT WHEREAS, C. R. Wheatly, III, was appointed Commissioner under an order of the District Court of Carteret County, North Carolina in the tax sale case "In re: Land Being owned County of Carteret by Candy Grandy Winchester, Grandy's husband Patrick Baines Grandy, Stephanie Bracken Smith, and husband, Gregory Tillman Smith" [File No. 17-CVD-881]; and C. R. Wheatly, III was directed by the order as Commissioner to sell the property hereinafter described at public sale after due advertisement according to law; and
WHEREAS, C. R. Wheatly, III, Commissioner, did on the 9th day of February, 2018, offer the land hereinafter described at a public sale at the Carteret County Courthouse doors, in Beaufort, North Carolina, and Carteret County being the last and highest bidder for said land for the sum of $5,175.14; and the sale having been confirmed; and C. R. Wheatly, III, Commissioner, having been ordered to execute a deed to the purchaser upon payment of the purchase money;
Now, in consideration of the premises and the sum of $5,175.14, receipt of which is hereby acknowledged, C. R. Wheatly, III, Commissioner, does, by these presents, hereby bargain, sell, grant, and convey to Carteret County and his successors, heirs and assigns, that property situated in Carteret County, North Carolina, and described as follows:
Parcel 4749216749574000 – Lying and being in Atlantic Township, Carteret County, North Carolina and Beginning at a point at the intersection of the southern boundary of Brown Street and the eastern boundary of Center Drive, as shown by that certain map of record in Map Book 8, Page 28, Carteret County Registry, which point is also contained in the northwesterly corner of Lot 3, in Plan 25, and thence N 58-48-34 E, 200.1 feet to a point in the western margin of Patton Drive; thence with the western margin of Patton Drive S 40-03-41 W, 85 feet to a point; thence N 58-48-35 W, 200.10 feet to a point in the eastern margin of Center Drive; thence with the eastern margin of Center Drive N 40-03-42 E, 85 feet to a point; thence with said road being described in Plan 3 in accordance with that plan of subdivision in Map Book 8, Page 25, Carteret County Registry, together with a right of ingress, egress and regress on that road known as Lee Daniels Road, formerly Patton Drive and its easement described in a Deed by and between John A. Styron, Pare of the said Parcel, Oden G. Fulcher and wife, Ruth Fulcher, dated May 25, 1961 and recorded in Book 206, Page 594, Carteret County Registry.
This conveyance is made subject to Carteret County taxes, the payment of which shall be assumed by the purchaser.
To have and to hold the aforesaid tract of land, to Carteret County and its successors, heirs and assigns forever, in as full and ample manner as C. R. Wheatly, III, Commissioner, is authorized and empowered to convey the same.
IN WITNESS WHEREOF, C. R. Wheatly, III, Commissioner, has hereunto set his or her hand and seal.
C. R. Wheatly, III, Commissioner
STATE OF NORTH CAROLINA
COUNTY OF CARTERET
I, the undersigned Notary Public of the County and State aforesaid, certify that C. R. Wheatly, III, Commissioner, personally appeared before me this day and acknowledged the due execution of the foregoing instrument for the purposes therein expressed.
Witness my hand and Notarial stamp or seal this 21st day of November, 2018.
My Commission Expires: 03/21/2023
Marty Taylor Mosier
NOTARY PUBLIC
CARTERET COUNTY
(SEAL)
X. ACCEPT/REJECT OFFER FOR PURCHASE OF COUNTY-OWNED PROPERTY AT 406-412 PELICAN HARBOR ROAD, BEAUFORT, NORTH CAROLINA, LOTS 36, 37, 38, AND 39, SI WARD’S CREEK PLANTATION, PIN #S 733800160386000, 733800161435000, 733800161594000, and 733800162681000
Mr. Burns stated this property are lots 36, 37, 38, and 39 in Ward’s Creek Plantation. It’s four lots. The County acquired this property for $8,812. The County has received two offers to purchase this property. One was from Mr. Wayne Langston for $2,000, and another offer was from Ms. Aleksey Mezokh. That offer was in the amount of $9,000. If you choose to accept either offer, then that would also start the upset bid process on these properties.
Commissioner Chadwick confirmed that these offers were for four lots.
**Motion:** Commissioner Chadwick made a motion to reject the offers.
Commissioner Comer shared that the value is only shown as $9,700. Commissioner Mansfield shared that the County has $8,800 in the property, and the map shows wetlands on all of it, so I don’t know if you can build on it. Commissioner Chadwick asked if the lots were on the water side of the road.
**Motion died due to the lack of a second.**
**Motion:** Commissioner Mansfield made a motion to accept the $9,000 offer and start the upset bid process; seconded by Commissioner Cavanaugh. Commissioners Wheatly, Cavanaugh, Comer, Farrington, and Mansfield voted aye; Commissioner Chadwick voted nay. **Motion carried five to one.**
Commissioner Chadwick confirmed that someone can still upset the bid by offering a higher bid.
---
**MEMORANDUM**
TO: Board of Commissioners
FROM: Tommy Burns, County Manager
SUBJECT: Offer to Purchase County-Owned Property
DATE: August 16, 2021
Two separate bids were received for the purchase of certain property owned by Carteret County, more particularly described as follows:
Lots 36, 37, 38 and 39, Si Ward’s Creek Plantation, PIN #s 733800160386000, 733800161435000, 733800161594000, and 733800162681000
- A bid in the amount of $2,000 was received from Wayne Langston
- A bid in the amount of $9,000 was received from Aleksey Mezokh
The property was acquired by the County as the result of a tax foreclosure for $8,812.10. The current tax value is $9,776.00.
Commissioners may accept or reject the current offers. If accepted, the Clerk will be directed to start the upset bid process.
Rachel Hammer
From: Wayne Langston <firstname.lastname@example.org>
Sent: Tuesday, July 27, 2021 9:09 AM
To: Rachel Hammer
Subject: Re: County property list
CAUTION: This email originated from outside of the organization. Do NOT click links or open attachments unless you recognize the sender and know the content is safe.
Rachel,
I would like to make offer of $500.00 per parcel, on lots below. Do I need to send a deposit?
Offer being made by Wild Goose Chase, LLC
P.O Box 172
Simpson, NC 27879
733800162681000
733800161594000
733800161435000
733800160386000
Sarah Davis
Carteret County Tax Administrator
302 Court House Square
Beaufort, NC 28516
Offer/Bid to Purchase County-Owned Property
Dear Ms. Davis:
My name is Aleksey Mezokh, and I am an investor interested in purchasing several county-owned properties from the “County Properties for Bid” document, which I found on the Carteret County tax website. I would like to make a bid for the following properties and amount:
Lots 36, 37, 38, and 39, Section 1, Ward’s Creek Plantation
Tax parcels and addresses:
#7338.00.16.0386000, Address 406 Pelican Harbor Rd
#7338.00.16.1435000, Address 408 Pelican Harbor Rd
#7338.00.16.1594000, Address 410 Pelican Harbor Rd
#7338.00.16.2681000, Address 412 Pelican Harbor Rd
My bid amount for the four properties above is $9,000.00 in total.
Thank you very much for your attention to this matter; I greatly appreciate your help! Please do not hesitate to contact me if you have any questions or about the status of my bid. I will contact your office periodically myself to check the status of my bid as well. My contact information is below:
Phone: (772) 607-4024; email: email@example.com
I look forward to hearing from you!
Respectfully,
Aleksey Mezokh
406 - 412 Pelican Harbor Rd (4 lots in Beaufort)
L36, 37, 38, and 39 S1 Ward’s Creek Plantation
Outstanding Taxes and Fees: $8,812.10
Tax Value: $9,776
Estimated Market Value: $9,776
Subject Site Valuation
The subject site is nearly 100% covered in wetlands and has elevations, primarily, from 1.7’ to about 2.5’. The tax assessment is based on the site having very little utility, because wetlands cannot be disturbed. Several residential lot sales – for buildable tracts – were identified in the neighborhood. No sales of similarly impaired sites were identified.
Buildable lots have sold from about $20,000 to $30,000, with a central tendency near the lower to midpoint of the range. The subject lot values have been adjusted downward 90% to reflect their diminished utility. The four lots total 2.68 acres.
NORTH CAROLINA, CARTERET COUNTY
This instrument and the tax parcels shown were filed at the date and time and in the Book and Page shown on the first page hereof.
STATE OF NORTH CAROLINA
COUNTY OF CARTERET
THIS DEED, made this 24th day of September, 2009, by Dennis M. Marquardt, Commissioner, Grantor, to County of Carteret, a Body Politic, of Carteret County, North Carolina whose address is: Courthouse Square, Beaufort, North Carolina, 28516, Grantee,
WITNESSETH
That whereas Dennis M. Marquardt was appointed Commissioner under an order of the Clerk of Court of Carteret County, North Carolina, in the tax foreclosure proceeding entitled "County of Carteret v. Down East Enterprises, a North Carolina General Partnership, et al." File No. 09-CVD-530 Dennis M. Marquardt was directed by the order as Commissioner to sell the property hereinafter described at public sale after due advertisement according to law; and
Whereas Dennis M. Marquardt, Commissioner, did on the 19th day of August, 2009, offer the land hereinafter described at a public sale at the Carteret County
Courthouse door, in Beaufort, North Carolina, and, County of Carteret became the last and highest bidder for said land for the sum of $8,812.10; and the sale having been confirmed, and Dennis M. Marquardt, Commissioner, having been ordered to execute a deed to the purchaser upon payment of the purchase money;
Now, in consideration of the premises and the sum of $8,812.10, receipt of which is hereby acknowledged, Dennis M. Marquardt, Commissioner, does, by these presents, hereby bargain, sell, grant, and convey to County of Carteret, its successors and assigns, that property situated in Carteret County, North Carolina, and described as follows:
Lying and being in Straits Township, State and County aforesaid, and more particularly described as follows: Being all of Lots 36, 37, 38 and 39, Section I, Ward’s Creek Plantation, as the same is shown on that plat recorded in Map Book 25, page 128, re-recorded in Map Book 26, page 37, Carteret County Registry.
To have and to hold the aforesaid tract of land, to County of Carteret, its successors and assigns forever, in as full and ample manner as Dennis M. Marquardt, Commissioner, is authorized and empowered to convey the same.
In witness whereof, Dennis M. Marquardt, Commissioner, has hereunto set his hand and seal.
[Signature]
Dennis M. Marquardt, Commissioner
NORTH CAROLINA
CARTERET COUNTY
O Joyce Carraway, a Notary Public of the aforesaid county and state, do hereby certify that Dennis M. Marquardt, Commissioner, Granlor, personally appeared before me this day and acknowledged the execution of the foregoing Deed.
Witness my hand and official seal this 24th day of September, 2009.
[Signature]
O Joyce Carraway
Notary Public
My Commission Expires: April 2, 2011
XI. MANAGER’S REPORT
Mr. Burns shared that last week, we received our redistricting files from the State and Federal Government regarding the 2020 census numbers. As a County, we are required to redistrict our elected districts every ten years with the new census. We are planning to meet with the redistricting committee. Based on what I have seen so far, I don’t anticipate any major changes. Commissioner Comer is helping us with that. We have the files, and our GIS Department is putting those in to see what a map would look like. Basically, once we came up with a map, we would then present it to the Commissioners and the Commissioners would then act on it or direct us to make any changes. In the past, we took a very simplistic approach and looked at the total populations and equally districted based on those seven electoral districts, and then come up with a map that was agreeable. Commissioner Comer stated if he remembers correctly, if anything changes it is also a direct effect on the school board? Mr. Burns replied yes, because a couple of years ago, we lined that up so that the districts are the same.
Mr. Burns shared that our new 911 Director started this month. He will be at the next meeting so you can meet him. He comes to us from Craven County where he worked in 911 Communications there for quite a while. I look forward for the Board to get to know him. He is a very nice guy. Very intelligent young man. I am expecting good things out of him.
The last thing, I wanted to congratulate Chairman Wheatly and Attorney Wheatly on the Resolution that was adopted tonight. I never met their Dad. He passed shortly before I came to work here, but I have gotten to know him through the years talking with all of you and folks in the community. I learned a lot about Mr. Wheatly just from reading up on different articles. Mr. Jim Cheatham did a series for the Chief Justice Commission on professionalism and you really got to see Mr. Wheatly talk about his legal career and all the fascinating cases that he was involved in. I think what struck me about it was the humility that he showed through all of that. He was an attorney that was well respected, but if you had just stopped with his military service alone, that would have been something that was a very commendable accomplishment. I think that is what I enjoyed the most about putting the Resolution together was doing some of the back research. Mr. Wheatly enlisted in the Army; a lot of people at the time were being drafted. He signed up. He had the opportunity to be in the JAG Corps of the Navy, but he said no. I want to fight. I think that, again, says something about the type of character that he was. So, the rest of the story unfolded in the Resolution. I have to think just in hearing these two talk about their Dad that Rob experienced Attorney Wheatly and Eddie Bo experienced Captain Wheatly.
XII. APPOINTMENTS
911 Communications Advisory Board
Commissioner Farrington recommended the Interim Chief, Mike Panzarella, for a vacant four-year term to replace Chief Waters who retired. Unanimously approved.
Carteret County-Beaufort Airport Authority
Commissioner Cavanaugh nominated Mr. Jon Brearey, Mr. John Floyd, and Mr. Thomas Higgins to be reappointed for two-year terms. Unanimously approved.
Carteret County Planning Commission
Commissioner Chadwick nominated Mr. Michael Laws for a three-year term. Commissioner Comer asked to table the other nomination. Unanimously approved.
Child Fatality Prevention Team
Commissioner Comer made a motion to reappoint Ms. Claudia Johnson for a three-year term. Unanimously approved.
Eastern Carolina Council Regional Aging Advisory Committee
Commissioner Chadwick made a motion to reappoint Mr. Clint Lewis for a three-year term. Unanimously approved.
Highway 70 Corridor Commission
Commissioner Comer made a motion to table the nomination; appointment tabled.
XIII. COMMISSIONERS’ COMMENTS
Commissioner Chadwick stated he would like to congratulate Master Jude Fulcher on the prayer and Pledge of Allegiance; I believe it is the best one that we have had yet. We had the Sarah James Fishing Tournament down at Cedar Island this weekend. I think they had over 600 participants and the difference between a 50” fish and a 51” fish was $63,500. Mr. Gabe Gillikin and Mr. Sanders won that for catching a 51” drum. That’s a big economic boost. Those guys are young people from Harkers Island and they work at Cherry Point. I would like to congratulate Mr. Claud Wheatly. From what I knew of him, he was a very smart man, with an excellent memory. He could rattle things right on back to many many years ago. I think he had a chance to become a Federal Judge one time, but he said he wasn’t interested in taking a pay cut. So, he stayed right here in the County. He didn’t over spend that’s for sure. He was a pillar of the community and well respected. Other than that, we did touch on some issues in the County. There is a lot of money being spent at the airport and for beach renourishment. There is a direct need in this County to clean our ditches out, from one end of the County to the other. That is something that we are going to have to apply for some grants for, or find the right avenue because just in the Marshallberg area, I know there were some people’s houses that flooded three times with fresh water. Never flooded during a hurricane, just when we have a large rain event. The ditches are filled in and have not been cleaned out. That’s something that we are going to have to work on. I know that with House Bill 500, there is a lot of money appropriated for that.
Commissioner Farrington stated he would like to praise Mr. Jude for getting up; that was very emotional. What a great kid, very well spoken. I wanted to congratulate the honoring of Mr. Wheatly. I have lived in the County my whole life and I think I actually saw your
Dad a couple of times, but I never got a chance to meet him. My Dad knew him. He might have known him for the wrong reasons; he might have represented him. No, he was on a jury duty one time and met him. I hear that he was a great man. So, he received a silver star. Speaking of Peletier, the Week’s farm, down there; there is a gentleman named Mr. Wisey Weeks, that was buried on that farm and he was in WWI. He got the distinguished service cross, which is the second highest military decoration that can be awarded to a member of the U.S. Army. So, it’s just an honor to know your Dad got the silver star. We need to really remember all of those folks. That’s pretty special for Carteret County. I had to listen to the President’s speech before I came here tonight, and it’s unfortunate that the Country is going through all of the hardships that we are going through. I told somebody that it seems as though we are back to square one with COVID. It’s back to washing your hands, keeping your distance, taking care of the elderly, but it’s just frustrating to see what’s going on in our Country right now. I never do this and it’s not about politics, but 8,000 children were let in our Country last week, not counting how many adults were let into our Country and it’s just hard to put it all together. It’s frustrating. My mom just turned 83 years old. She is probably home watching the news and it’s depressing. I called my brother and my sister today; it’s not my week to take care of her. We shift back and forth to make sure everybody gets to see her, but we need something good to happen.
Commissioner Comer stated that it’s good to see those little economic engines that you don’t hear about or see much of like the beach renourishment and the airport. We have got some positive core progress going on with those. That’s good. I’m still excited that I was there at the naming of the Commissioner Jonathan Robinson Bridge. What a great remembrance to have Mr. Wheatly’s picture hung up in the District Courtroom. I have sat with him a many of times. He loved to tell stories. He liked to talk, but it was never not fascinating to listen to him. He was a good friend of my father, and he loved your Dad. I think you know that. COVID, yes, it’s showing a rebound all over the Country. I just remind everybody, don’t let your guard down. I personally think the washing of hands, and keeping a respectful distance is one of the best things you can do. I see some gentlemen here with masks, and that’s a good way, too. If you are health compromised, if you have some age on you or weight; age and weight seems to be the real enemy of this disease. You need to look after yourself. It’s been around long enough now if you know you are health compromised or you are overweight, there is a little personal responsibility to stay out of harms way. I highly recommend everybody doing that.
Commissioner Cavanaugh stated going to Commissioner Farrington’s comments about some of the war heroes we have in the County, last weekend, I attended the commissioning of the Coast Guard Cutter Glenn Harris at Fort Macon. He was a WWII landing craft pilot. He was involved in several operations in the Pacific Islands during the war. He was the boat driver. It was quite an honor to have a ship dedicated and named after him; these are multi-million-dollar boats. His bravery was astounding. I hope we never have a war like that again. I guess they are all going to be cybersecurity wars going forward. On a different item, one of our first public comments was about how the Commissioners have failed in our duty to listen to the people. We serve the public with their consent. Consent is initially given when we win our election. It’s a continuing
process after that; as different items come up for consideration, we take in public comments and information. On this water issue, initially, it was offered to the Town of Beaufort for free. They didn’t want it, then we got unsolicited bids to buy the system and that has been the process going on. The bids and counterbids. During this period of time, we were inundated with emails and phone calls and written letters about don’t sell the water system. They stated they are willing to pay more money; we are happy with the quality of water and we want to leave it the way it is. We all got the same emails, phone calls, and letters. We are listening to the people, meanwhile, the process is still playing on. Part of the problem is the State considers this a distressed system because it wasn’t paying for itself. It had to be supported by an additional tax which was the water district tax, which added 5% on to the people along that water route, added on to their property value tax. Well the State doesn’t like that, and they considered it a distressed system. Now the way to get the State off our backs, was to make the system pay for itself so we had to increase the rate 95%. That was the solution to satisfy the State. We still haven’t made a decision about whether to sell the system or not. But when the rate got raised up, now we are hearing from the folks who are affected by this rate increase. So far, we have 83 different customers on the system that are on fixed income, others are just upset with the fact that we doubled our rate just like that; what gives you the right to do that, and why we weren’t informed. In response to Ms. Amy Perry, we are doing our duty. We are listening to the public. There are two sides to the whole thing. You just can’t make snap decisions; you have got to listen to the people, take all things into consideration and then we deliberate among ourselves to come up with hopefully, a reasonable solution that satisfies most of the people. You are not going to make everybody happy. The one thing you don’t want to do is make everybody mad. So, I really take offense at her remarks that we are not doing our duty, that we are failing the public and shame on us. Those types of remarks are uncalled for. She doesn’t understand the process, and to just stand up there and sling arrows at us is so unfair.
Commissioner Mansfield stated Mr. Bolding asked for some type of response or update on the water during his comments and I think that is a valid question, but I would like to go back to Commissioner Cavanaugh’s comments on Ms. Perry’s comments. If she had been to all of the meetings or she watched the replays, or she listened to what we said, she would understand that we talked about the process in the beginning that there was a bid then an upset bid, an upset bid, etc. Then there was going to be a contract, and that would have to go to attorneys and prior to this meeting, we still didn’t have a contract we could look at to either reject or approve. So, to her dismay, we are doing our job. I take offense also. She is correct that we do represent the constituents. We represent 68,700+ of them. Less than 1% are on that water system, and for a long time, a lot of us have subsidized that water system with our Ad Valorem tax dollars. The rest of us haven’t gotten the benefit from it. It’s $9.5M; I was willing to give it to the Town of Beaufort. If the County is going to be in the water business, it needs to be in the water business for the whole County, not for a select group. I agree with Mr. Bolding; I have sat down and met with him and I told him I understand everything he is saying, and I agree with everything he is saying. My thing is more from running a business, less than a $2M business; the County has to be all in or out. That’s just my opinion though, and I am just one of seven. Right now, it is probably split. With Commissioner Shinn not here tonight, we could have
voted to not sell the water system and it probably would have been three to three and because not voting would not have been an issue. But I’m not going to do anything on a technicality to slide something through. If it’s going to pass, it’s going to pass on its merits when it comes to that point, but we are not to that point yet. We will advertise it when we are going to vote on it. Nothing has been hid. We responded to most emails. I do think Ms. Perry has the right to come here and voice her concerns and her frustrations, and I understand her frustration. But, to say that we are not doing our job, I probably lose money doing this job, but I do it because I love where I’m from and I try to give back to the community. But when you hear people like that come and attack you, it makes it real hard to want to give up your time.
The start of the meeting was awesome. Jude hit a homerun. If we could spend more time on more things like that, things we can agree on and empathize with, that’s where we need to spend more time. Commissioner Farrington hit on it too, we need to turn the news off. They are trying to pick fights and create dissent, and ruin this Country. We are naïve enough and gullible enough to let people do it, to the point that we pick a team and no matter what that group tells us, we follow that playbook because we are on that team. I have played sports and I have coached sports, and I tell my players when we get teams that are bickering and fussing with each other, we have them beat. We are going to win this game, just hang in there. They are falling apart. That’s where other Countries are putting us right now. We use to have a thing called freedom of speech. But because we have all gotten on social media, it’s being silenced because one side controls it. If you put something on there that they don’t like, they lock you out. If you start another network, they don’t allow you on the different phones. We let people into our lives, big brother is in your house now. You put up an Echo or an Alexa, and they listen to everything you say. If you don’t think they are not using that information, the next time you go on that social media and look whatever you are talking about that night, you are going to have an advertisement popping up on your screen. We are giving everything away. You go to a store, if you use that little card to get that discount, they are tracking everything you buy and they are analyzing that data and they are using it to manipulate you and make money off of you. Corporations are taking you over along with foreign governments, and we are too naïve and too busy to realize it. We are fighting over should you wear a mask or should you not wear a mask. If you want to wear a mask, wear one. I’m not going to tell you to take it off, but don’t get mad at the guy who doesn’t, just stay six feet away from him. It’s really not that hard. The virus is a serious pandemic. When it started, we didn’t know what was going to happen; we were talking about all of these people are going to die. All of these things were going to happen, we are 18 months into it, and 60 people in Carteret County have died. Now if you are one of those 60, it’s awful. Extremely awful. Don’t get me wrong; I’m not making light of the situation. If it was your husband or your wife or your mother, etc., there is nothing worse than that. But right now, you have the choice to go get vaccinated. I recommend you go get vaccinated. But, I’m not going to tell you have to go get vaccinated. We are giving away our personal freedoms over a crisis. Soon they are going to create more crises to take over your personal freedoms if you allow them to. I don’t think I should be telling you what to do. That’s what this Country was founded on was freedom. It was founded on democracy where the majority rules.
At some point when we get back to the water system, it will be a majority of the vote wins. It doesn’t make my opinion the right one. I’m fine being in the minority.
We have got to get back to where we actually talk to one another and like another and do good deeds and try to do the right thing instead of playing ‘gotcha’ all the time. There are hundreds of thousands of people who have died for our freedoms; they have given their lives because they believe in our Country. We have kids that we send off to war that have lost limbs and organs, some even lost their life. They come back with mental health issues and what do we do to help them? They are strung out on drugs because we do not even take care of them. We have wasted trillions of dollars in Afghanistan and all we got out of it was a bunch of our people maimed and mentally hurt. We need to start taking care of our own, then the people that help us over there, we are debating if we should bring them to America when we let millions illegally come in at the southern border, and I don’t know what they are coming in for. At least those people helped us; why don’t we bring them here and give them a chance to be an American and have some freedom. I think we all just need to turn the news off and all get back to going about our life trying to do the things that make a difference. If you don’t want to wear a mask, I am not going to make you wear a mask. But if you want to wear one, I think you should wear one. If you want to wear three, I think you should wear three. If you want to stay 12 feet away from people, I think you should. If you can afford to stay home or if your employer will let you work from home, I think that is great. But for us to tell people what they are going to do or what they are not going to do, I do not think that is freedom. The thing that really gets me is the hypocrisy that’s almost laughable when you hear people talk about abortion and you hear the comment, it’s my body my choice. I think that is a valid statement, but I don’t know if my religious beliefs let me agree with it, but I think it is a good point. But why all of a sudden, when we start talking about taking the vaccine, when it’s okay to have my body my choice, it’s no longer a choice. I don’t think we should make you take it. That is just my opinion. You can’t be for something one way and not be for something the other way. Then we turn around and say, oh well if you don’t get vaccinated, you are murdering somebody. Prove it. I can tell you if you go have an abortion, I can prove you are murdering somebody. I am not here to argue that one way or the other as to whether I am for it or against it. I am just saying that we all have the right to have an opinion and we ought to respect one another for which way you choose. If you want to do something, do it; if you don’t want to do it, don’t do it, but don’t get mad at your neighbor. Don’t be rude to people somewhere because you cannot hear them good because they are wearing a mask or they are behind a plexiglass. People right now can’t get employees to work. We are paying people more to sit at home than if they go do their job. This is a crazy world that we are living in. It’s amazing to me. I think we need to take a step back and think about things and try to respect one another and try to be nice to one another and have civil conversation and civil obedience. We need to put the disobedience on hold. Why do we go and tear up our cities and towns because we don’t agree with somebody on something? The only people we are hurting are our ourselves because when you tear something up, someone has to pay to fix it and they are going to raise the costs. If you raise costs, you are going to raise prices; it is all relative. I don’t care if the minimum wage is $2.00 per hour or $30.00 per hour; all it does is change the cost of what you do. The only people that it does not affect are the ultra-wealthy. You are
experiencing it now at the gas pump; if you are purchasing a home, if you are renting a home or building a home. You heard it with the Airport Authority today.
So, I think everybody needs to take a long hard look at what’s going on, but I encourage you to put down your phones and quit looking at social media and quit watching the news. Get involved in your community. We have the community big sweep; we have Hope Mission you can volunteer at. There are a ton of places like the Boys and Girls Club; we need to try and help people. Rising tides raise all ships. We are firing cannonballs at one another; we are having a pirate invasion every day. I’m off my soap box, but I think we need to figure out how to help one another. One good deed at time; we need to be respectful of one another. I’m thankful to the employees we have and the hard work they do and the conditions they put themselves in every day. Some of our staff have had the virus or lost loved ones, and I do not want to make light of it in any way. The delta variant is way more contagious, but it is not as deadly as the original one. If you will get vaccinated, you stand a much better chance. Hospitalizations are up, but there are not as many people on the ventilator and until last week, we had not had a death until the beginning of July. It is not what the media portrays it as, even though I think it is very serious and I think you should get vaccinated. I have taken the vaccine, along with my wife, and my mother, but I am not sure I would want my daughter to take it because I think the risks could be worse than the side effects. I had someone in my office that took the vaccine and they are having to go see a cardiologist; there are risks in taking the vaccine, but in most cases, I think it is worth the risks. I highly recommend you get vaccinated. I think currently the people in the hospital, about 65% are unvaccinated and 35% are vaccinated. If you get vaccinated, you can still get the virus, but your chances of living are greatly enhanced. Please get vaccinated.
Chairman Wheatly stated one of the gentleman that spoke tonight talked about the increase in traffic in his area. His idea, as I understood it to control that traffic, was to stymie growth. He is living up on Highway 58, Highway 24 and that area which is a high growth area, and I’m sorry, but the traffic is not going to decrease. It’s going to increase. I believe that people who own property that are within the guidelines and the setbacks and all of the things that they have to do to develop their property. As long as they are within those guidelines, I want to support them and try to help them to do what they need to do. I’m not going to support and help them if it is going to hurt the people who are already there. I believe in property rights; I believe in personal property rights. I believe that people should be able to develop and use their property as long as they are within the guidelines. I’m going to continue to do that in every occasion. We took the million-dollar beach fee off of the consent agenda, as I told them, not because we questioned it, I just wanted everyone to understand what it was for. Our beaches are our big economic engine and we need to continue to maintain those beaches to maintain our economy and to maintain our occupancy tax. The occupancy tax has grown by leaps and bounds, even during a pandemic. So, our beaches are very important. Next, I want to thank Commissioners Comer, Farrington and Chadwick, along with Mr. Burns and Mr. Foxworth, for attending the NCDOT event in Raleigh. That was a good thing; you represented us well. The biggest success story tonight in this room was little Jude Fulcher. If you knew the story on him, you would all agree with me. Keep him in your
mind, because you will see and hear from him again as the years progress. He is a movie star down east, and tonight, I wanted to introduce him to the rest of the County. He is truly a success story and he is a mentor for all of us. I want to thank you for the Resolution for my father. Thank you.
XIV. CLOSED SESSION PURSUANT TO NCGS 143-318.11 FOR THE PERMITTED PURPOSE OF DISCUSSING (a) (1) APPROVAL OF THE JULY 19, 2021 CLOSED SESSION MINUTES, AND (a) (3) ATTORNEY-CLIENT PRIVILEGE
Motion: Commissioner Mansfield made a motion to go into closed session pursuant to NCGS 143-318.11 for the permitted purpose of discussing (a) (1) approval of the July 19, 2021 closed session minutes, and (a) (3) attorney-client privilege; seconded by Commissioner Chadwick. Motion carried unanimously.
Motion: Commissioner Mansfield moved to return to regular session; Commissioner Comer seconded. Motion carried unanimously.
Upon returning to open session, the following motion was made:
Motion: Approval for the Chairman to sign the necessary documents to approve the Opioid Settlement Plan on or before the due date of September 3, 2021. Motion carried unanimously.
XV. ADJOURNMENT
Motion: Commissioner Comer made a motion to adjourn; seconded by Commissioner Mansfield. Motion carried unanimously.
Ed Wheatly, Chairman
Rachel Hammer, Clerk |
“Taking JESUS to Neighborhood Children, Youth, and Families”
A Tribute to Volunteers
BY KEVIN REYNOLDS, CO-FOUNDER, EXECUTIVE DIRECTOR
April 2018
“A hundred years from now it will not matter what my bank account was, the sort of house I lived in, or the kind of car I drove... but the world may be different because I was important in the life of a child.”
Many people know this quote but may not know the source. FOREST E. WITCRAFT, a leader in the Boy Scouts of America, first said this in the October 1950 issue of Scouting magazine. I love these words and often use the consideration of a hundred years from now as a way to evaluate the real value of a current action. One thing that I sincerely believe is that A hundred years from now, when we hear the words, “Well done good and faithful servant”, he will also be talking to the true heroes of this ministry - our volunteers. Heroes such as Alexis, pictured here teaching. She and the others inside are the ones who make it all happen. Hear from these unsung heroes of House of Faith… in their own words.
Space does not permit us to highlight the hundreds of volunteers it really takes to keep this place going. Please know that we appreciate and love each and every one of you! Your selfless and Christ-like faithfulness week-in and week-out are an inspiration to us. You ARE important in the lives of SO MANY children & youth and the world IS DIFFERENT because of YOU!!!! God bless YOU in the name of the Lord Jesus Christ!
In Him and for them,
Kevin
Alexis’ Story
I’ve been volunteering since November, when I first came back home. So, I have several roles at my clubs, and they differ for each one and each day. I do Grape Creek on Wednesdays and Bradford on Thursdays. At Grape Creek I am the person that runs to the babies if they’re hurt and takes them to the nurse, as well as watch the field. I’m also the water dispenser, and the “main event” at the bench. During the lesson I am the “shh”-er and the “I need you to move over here and pay attention” person, I am also the memory verse screamer for my 3rd-5th boys and girls, so I teach the memory verse. Now, at Bradford I am the cousin who watches her cousins, as well as the soccer game coordinator, I’m also the water dispenser and ice-pack-getter. I also dabble in stopping little girl gossip, and little boy arguments. My van babies call me “Step Mom”, so I’m often being the stepmom that they have made me to be. Then during lesson I am the “shh”-er and the “okay boys, we’re having a good day” person. I do memory verse at Bradford too, so I’m doing motions and jumping around like a crazy person, trying to make them remember it. Then it’s off to the van, and catching up on my babies’ “relationships” that they are in that week. Okay, so, volunteering at House of Faith is so incredibly important to me because I actually went to BBC and Xodus and Refuge. I’ve been around this organization basically all my life, the things that they have done for me and for so many people, I have always wanted to be a part of it. I found Jesus through this afterschool program, got saved at their summer camp, and baptized at that same summer camp 6 years later. House of Faith changes lives and brings Jesus into your playing field of life. I wouldn’t be the person I am today if it weren’t for this family and the Jesus they showed me. Volunteering isn’t just a thing I do on my days off, this is where God wants me, and this is where I’ll stay until he decides otherwise. Besides, I wouldn’t want to be anywhere else.
-Alexis Benavides (18 yrs. old), BBC Volunteer, Sitel
I honestly can’t remember when I began volunteering with House of Faith. My best guess is that it was 14 years ago. I teach at one of the Backyard Bible Club locations, help for summer events, and serve on the Board of Directors. Serving at House of Faith is important to me because we are doing exactly what Jesus said to do when He told us to go into the world and make disciples. I completely believe in House of Faith and what they are doing to reach the children, youth and families of San Angelo. Jesus is truly our only hope and I want the children to have a hope and a bright future with our Lord and Savior! **Susan Woods**
**BBC Leader and HOF Board of Directors**
I started volunteering with House of Faith about 6 years ago. My primary responsibilities include helping drive a van of kids home after club as well as playing with them. I initially became involved with HOF to give my life more purpose and to give back. It didn’t take me long to realize that I get so much more back from the time I spend with the kids. **It truly is the most uplifting part of my week** because I am part of something bigger than myself that impacts the community in a profound, positive, Godly way. I get to witness God’s touch on kids and the change it can have. This community benefits greatly as HOF continues to love these kids and passes on God’s Word to the generations to come. **Mark Sites**
**BBC Driver & Leader, Nurse**
My journey of serving House of Faith began 6 years ago when I was 12. Growing up as a homeschool student, I have had the flexibility of time and schedule to be able to serve in ways that other students cannot. **Serving at House of Faith is a huge opportunity to invest in children at an important time in their lives.** What happens to them at a young age may completely change how they decide to live the rest of their lives and what better way to influence them than with Jesus! I have loved growing up volunteering with HOF, I’ve learned so much along the way and had a lot of fun while doing so! **Joy Zesch**
**BBC Leader, Homeschooler**
I have always known about House of Faith and been interested in working with them, but it wasn’t until 2 years ago that God opened a door for me to begin serving House of Faith through their Monday evening youth program. My primary task involves registering students and greeting each one with a warm smile, but you’ll also find me helping in the kitchen, speaking on a panel for Q&A night, or even holding a precious baby so that their mother can enjoy the worship time and just be a carefree teenager for a little bit. I have been blessed to see these students grow throughout their weekly Monday night gatherings.
Stacey Dahl, 321 Leader, Bookkeeping Manager
To be honest, I wasn’t sure if I would have enjoyed volunteering at House of Faith, but after 3 years at 3 different schools for Backyard Bible Clubs, I am so glad that I stuck with it. I choose to volunteer because I believe in giving back to the community. I really enjoy getting to talk with the students about Jesus as well as being a role model for them. I take it seriously knowing that they look up to me. Erik Armstrong, BBC Leader, Homeschool/ASU Student
I have been volunteering with House of Faith for the last 8 years, working with the kinder-1st graders at the San Jacinto Backyard Bible Club. I believe I am called to spread the Good News of Jesus Christ and who better to teach the Good News to than children. I have loved volunteering and work with a fun loving team of people that make it an absolute joy to serve each week!
Shelley Blanton
BBC Team Leader, Retired Teacher
The work House of Faith does is really one of a kind. They are taking the love of God outside the 4 walls of a building to children, youth, and families all over the city. We are thankful that House of Faith exists and for the small ways we have been able to partner with House of Faith to impact the city.
Benjamin & Mary Beaver, PU Facilitators/Real Estate Agent & Mother
House of Faith Volunteers
The heartbeat of House of Faith. We cannot accomplish all God has called House of Faith to without our army of weekly, special event and special project volunteers! We are so grateful to the Lord for their stories and the part they play in advancing the Kingdom!
I have been volunteering at House of Faith for 8 years! I first started helping at a Backyard Bible Club on Wednesday’s with my grandpa. I was 10 years old. I am now 18 and help with two Backyard Bible Clubs!
I help with both Goliad BBC and Austin, teaching children with the House of Faith curriculum. Building connections with these kids and making sure that the seed of hope and trust in Jesus is planted is probably the most important role I have as a volunteer.
I am a full time college student while working two jobs. It would make my life less busy if I didn’t spend hours a week volunteering, but it would also change my life completely. House of Faith is where relationships are built. I have met some of my best friends through House of Faith, that ranges from a staff member to a child, who runs up and hugs me in the middle of Walmart. I know these relationships matter more than my time because investing into the life of a child, parent, or even staff member is something that
Seth Lowrance, BBC Leader/ASU Student
Weekly, Special Event and Project Volunteers
Abbey Weed
Abell Rivera
Abigail Milhauser
Abigail Perusquia
Alexis Benavides
Alyssa Zimmer
Ambleside School of San Angelo
Annette Mayer
Annissa Vasquez
Arielle Reynolds
Ashlee Pallanez
Austin Weed
Bailee Broddrick
Bailey Schmitz
Becky Hart
Benjamin Ingalls
Bill Gillum
Brandon Berry
Brandon K. Moore Financial, LLC
Brielle Felts
Brittany Preston
Caden Dorman
Caitlyn Slaton
Callie Dupree
Cambry Dorman
Cannon Griffith
Carol Edmonds
Carol Rowley
Carter Milhauser
Cathy Menchaca
Cathy Brown
Central H.S. Key Club
Central H.S. ROTC
Cherri Romo
Chloe Young
Charlotte Cyphers
Christopher Sweet
Christine Scott
Chris Jones
Christian Church of San Angelo
Chuck Romo
Colin Feldhaus
Cole Swanner
Cornerstone Christian School
Dakotta Daniels
David Jones
Debbie Young
Delia Rivera
Destiny Davis
Dillon Matthews
Donnie Weed
Ellie Armstrong
Erik Armstrong
Esther Guajardo
Everson Armstrong
Faith Ramos
Faith Webber
Ferd Koehn
Fernando Tapia
Frankie Muniz
Gabby Blake
Gayla Holik
Glenella Scarborough
Grace Smith
Grace Fellowship Church, Paradise TX
Guinevere Rogers
Guy Garcia
Isabelle Ingalls
Jack Webber
Jackson Fee
Jacqueline Lujan
James Hassell
Jana Barnard
Janet Berry
Kitty Baucom
Jenny McClure
Jeremy Valdez
Jim Farmer
Jim Stanley
Jimmie Zesch
Job Morales
Joe Romo
John Emmons
John Adams
Jonathan Criner
Jordan Halpin
Joseph Brady
Joshua Milhauser
Joy Zesch
Jules Karasira
Julia Beaver
Justin Hayes
Justin McClure
Kacy Hancock
Kam Goolsby
Karla Wilson
Kassadee Rodriguez
Kat Ingalls
Katy Kissko
Kay Decuir
Kenna Bowie
Kenny Smith & the Glen Meadows Baptist Cooking Crew
Kira Cox
Kota Prcin
Krystal Preston
Kyle Hooks
Landa Huddleson
Lauren Hayes
Leann Waldron
Linda Emmons
Liz Reynolds
Logan Reynolds
Luke Milhauser
Weekly, Special Event and Project Volunteers, Continued
Lupe Mata Pam Rosser Seth Lowrance
Mackenzi Needham Pat Graves Sharon Bickford
Madelynn McAllister Pat Brown Sharon Shaw
Mandy Villarreal Pattie Stroud Sheila Swinehart
Mario Cadena Paul Little Shelley Blanton
Martha Elder Penny Criner Shelley Webber
Mark Shaw RA Evans Shirley Brown
Mark Sites Rachael Rose Sheryl Bennett
Mary Beaver Rachel Beaver Sierra Anderson
Mary Thompson Reid Needham Stacey Dahl
Mason Reynolds Reyes Cruz Stephanie Martinez
Matthew Zesch Riana Poe Susan Little
Megan Hooks Ricky Menchaca Susan Woods
Melodie Penland Robert Ramirez Susan Farmer
Micah-Ray Reynolds Ron Brown Teresa Jones
Michael Zesch Sabrina Serino Teresa North
Mick North Sam Stone Toby Lawrence
Mickey Almond Samantha Luckey Tracey Webb
Mike Guajardo Sara Cruz Tyler Hill
Monique Tapia Sara Coleman Tyler McCarty
Noelle Stoneman Sarah Milhauser U.S. Marine Corps,
Olga Sosa Sasha Valdez GAFB
Ouida Jackson Scott Gossett Vanessa Prater
Wyatt Young
Memorials and Honorariums
House of Faith receives donations in the form of Memorials and Honorariums throughout the year. These donations are acknowledged with a personalized card sent to the recipient you designate.
Gifts can be made in any amount to:
House of Faith, 321 Montecito Dr., San Angelo, TX 76903
Or online: www.hofministries.org
Gifts to House of Faith given in MEMORY of:
Jack Albert Sue Henington
By: Mr. and Mrs. Herbie Heard By: Mr. and Mrs. Herbie Heard
Jody & William Armstrong, Sr. Kim Lay
By: Jerry Whitehead By: Mae Pierce
Bill Armstrong Noah Wayne Mumm
By: Dana and Claudia Hulse By: Ray and Sharon Dorsey
Bobby Baucom By: Helen & Earl Hennington
By: Claudia Hulse Virginia Needham
Nancy Brown By: House of Faith Staff
By: Mr. and Mrs. Herbie Heard Frank Powell
Mary Caraway By: Larry & Joy White
By: Donna Bethune Danny Rhea
Floyd Crider By: Esther Smith
By: Louise and Jim Jones Lyle Sankey
Billy Ray Dusek By: Larry & Joy White
By: Ruth Dusek Gene Sellars
James K. Eaton, Sr. By: David and JoAnn Noble
By: Jean Eaton By: Peggy Hembre
Floyd Freirich By: Jean McDonald
By: Dana and Claudia Hulse By: Betsy Goss
Pauline George Nancy Teets
By: Lee & Andy Andrae By: Mick & Teresa North
Ramona Gransas Javan Vosburg:
By: Esther Smith By: Ray Gloria
By: Brandan Hernandez
Gifts to House of Faith given in HONOR of:
Rachel Beaver
By: Martha Elder
Peggy Black
By: Trans Texas Southwest Credit Union
Vala Cravy
By: Pat & Suzy Makins
Janet Faulkner
By: Martha Gerber
Martha Gerber
By: Jonnie Jordan
Nancy Granaghan
By: Pat & Suzy Makins
Gretta Hill and in memory of George Hill
By: Chuck & Gayle Hodapp
Linda Kilman
By: Pat & Suzy Makins
Ron & Nancy Knight
By: Pat & Suzy Makins
Martha Gerber
By: Sally Low
Cathy Menchaca
By: Martha Elder
Marci Menchaca
By: Martha Elder
Lee Puskitt
By: Sherry Cauthorn
Lester Smith & Windy Smith
By: Susan Gober
Mark & Jackie Stevenson
By: Pat & Suzy Makins
Mary Winterrowd
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Aeolian Ripple Migration and Associated Creep Transport Rates
Douglas J. Sherman 1, Pei Zhang 1, Raleigh L. Martin 2, Jean T. Ellis 3, Jasper F. Kok 2, Eugene J. Farrell 4 and Bailiang Li 5,*
1 Department of Geography, The University of Alabama, Tuscaloosa, AL 35487, USA
2 Department of Atmospheric and Oceanic Sciences, University of California, Los Angeles, CA 90095, USA
3 Department of Geography, University of South Carolina, Columbia, SC 29208, USA
4 Department of Geography & Archaeology, National University Ireland Galway, Galway, H91 TK33 Ireland
5 Department of Health and Environmental Sciences, Xi’an Jiaotong-Liverpool University, Suzhou 215123, China
* Correspondence: firstname.lastname@example.org
Received: 9 July 2019; Accepted: 3 September 2019; Published: 5 September 2019
Abstract: Wind-formed ripples are distinctive features of many sandy aeolian environments, and their development and migration are basic responses to sand transport via saltation. Using data from the literature and from original field experiments, we presented empirical models linking dimensionless migration rates, $u_r/\sqrt{gd}$ ($u_r$ is the ripple migration speed, $g$ is the gravity acceleration, and $d$ is the grain diameter) with dimensionless shear velocity, $w/w_t$ ($w$ is shear velocity and $w_t$ is fluid threshold shear velocity). Data from previous studies provided 34 usable cases from four wind tunnel experiments and 93 cases from two field experiments. Original data comprising 68 cases were obtained from sites in Ceará, Brazil (26) and California, USA (42), using combinations of sonic anemometry, sand traps, photogrammetry, and laser distance sensors and particle counters. The results supported earlier findings of distinctively different relationships between $u_r/\sqrt{gd}$ and $w/w_t$ for wind tunnel and field data. With our data, we could also estimate the contribution of creep transport associated with ripple migration to total transport rates. We calculated ripple-creep transport for $1 \leq w/w_t \leq 2.5$ and found that this accounted for about 3.6% (standard deviation = 2.3%) of total transport.
Keywords: reptation; saltation; bedform; scaling; sand transport; shear velocity
1. Introduction
Ripples are near-ubiquitous features of sandy aeolian environments on Earth and elsewhere. The regularity of their morphology and the complex patterns that they form make them objects of visual and scientific interest. The movement of a ripple form represents a mode of sand transport that occurs at a rate proportional to the speed and height of the bed form, and thus contributes to the portion of sand moving as creep/reptation rather than saltation. Creep is normally referred to as the movement of grains in continuous or near-continuous contact with a sand bed [1] and reptation is the movement of low-energy hopping particles with no ability to rebound or to eject other grains [2]. In this paper, we defined creep to be synonymous with reptation, as the terms are often used interchangeably [2–6] and there is no protocol for distinguishing the grain hops of creep from the grain hops of reptation. Compared to saltation, creep still remains an understudied transport phenomenon [7–10].
Understanding the dynamics of wind ripples is important for many reasons; for example, when sand is being blown and wind conditions change, modifications of ripple length, height, and
migration rates are among the first elements of surface response to relax to a new equilibrium, making such relationships ideal for experiments to understand process-response relationships. Understanding ripple migration can also facilitate the understanding and modeling of the evolution of different scales of bedforms. The preservation of the stratigraphic signatures of aeolian ripples in the rock record make them valuable tools for the reconstruction of paleo-environments on Earth [11] and on other planets [12].
Some of the earliest—somewhat nascent—explanations for ripple development began in the late 19th and early 20th Centuries [13–18]. King [19] appears to have been the first to perform (quasi) controlled experiments on aeolian ripple formation. Although there have been many attempts to understand the nature of ripple formation, there have been relatively few field or wind tunnel experiments designed to measure the geometries and kinematics of aeolian ripples, their response to changing wind conditions, and their contribution to total sand flux during transport events. The lack of data representing this fundamental boundary response motivated the research projects reported in this study, where the goals were: 1) to measure ripple lengths and heights, coincident shear velocities and total sand transport rates, 2) to incorporate our observations with those from other studies, and 3) to derive statistical models of key process-response relationships between wind speed, ripple migration, and sand transport. This work was focused on typical aeolian ripples with heights and lengths of the orders of 0.01 and 0.1 m, respectively, with mean grain sizes (d) between about 0.1 and 0.5 mm that we believe to be in equilibrium or near equilibrium with the wind. We did not consider megaripples [20–22] or transverse aeolian ridges [23–25], although both of these bed forms have received considerable and appropriate attention in the literature.
Much of the literature concerned with aeolian ripples addresses their formation, their geometry, the sedimentary structures that they produce, or the implications of their presence on extraterrestrial surfaces such as that of Mars. Aspects of these themes have been reviewed or described extensively elsewhere, and we offer only a few examples here. Many papers have addressed the nature of ripples and the dynamics of ripple formation [8,26–30]. Aspects of ripple geometry, especially key relationships between length, height, sand grain size, and migration rates, have also received considerable attention [31–38], as have sedimentary structures caused by aeolian ripple migration [39–41]. Finally, there has been substantial interest in ripple formation and migration on Mars [12,20,42–44], although much of the interest in Martian bedforms involves the afore-mentioned larger aeolian forms of megaripples, transverse aeolian ridges, and dunes. Only recently have researchers found the co-existence of both meter- and centimeter-scale ripples on Mars [45] and started to study their formation mechanisms [45,46], however, there were no detailed observations on ripple migration. There is also a handful of papers that reported ripple migration rates but did not relate those data to comparable wind data. Typically, these studies aimed to establish statistical relationships between ripple migration rates and the size of the ripple [47–51]. The physical reasoning is straightforward; the larger the ripple, the greater the mass of sand contained within it. Therefore, for a given sand transport rate, the larger the ripple, the slower it must move. As shear velocity increases, however, ripple size and migration speed should both increase, leading to faster transport rates. Jerolmack et al. [48] adapted Bagnold’s [52] model for sand transport, measured using triangular dune migration rates, as an analog for transport associated with ripple migration:
\[
q_r = (1 - P)\rho_s u_r H / 2
\]
(1)
where \( q_r \) is the mass of sand transported by ripple movement, \( P \) is porosity, \( \rho_s \) is sand density (2650 kgm\(^{-3}\)), \( u \) is the ripple migration rate, and \( H \) is ripple height. We assume \( P = 0.40 \) based on the data presented in Louge et al. [53, Figure 3]. Several have equated \( q_r \) with the rate of transport via creep, \( q_c \) [48]. More generally, we posit that \( q_r \leq q_c \) to allow for conditions where some creep may move through a system faster than the bedforms move. Previous studies have found the proportion of creep transport to total transport to vary across a range from 2% [54] to 57% [55] on Earth. Bridges et al. [50], based on image analysis, estimated that relationship to be about 25% for megaripple migration on Mars. In wind tunnel and field experiments, Bagnold [56,57] found the proportion to be 25%, and this value has been widely accepted as a reasonable approximation.
Given the extensive literature concerning the formation and behavior of aeolian ripples, there is a paucity of work that documents the basic relationships between wind speed (or shear velocity), ripple size and migration rates, and the sand transport accounted for by ripple migration during a blowing sand event. After a careful search of the literature, we could identify only ten studies that reported some quantitative attributes of ripple migration and coincident wind in either wind tunnel or natural environments. Only six of these studies reported observations and measurements in detail sufficient for us to confidently use them in a comparative analysis. The studies that we found are described below, briefly and chronologically, and all relevant data from those studies and this are summarized in Supplementary Materials Table S1 and accessible online via the Zenodo data repository[58].
2. Previous Studies
Cornish [15], in a field study, reported five measurements of migration rates for 0.10 m long ripples in about 0.5 mm diameter sand. He reported only one wind speed, estimated at about 12 ms\(^{-1}\), but did not include a corresponding elevation. We averaged the migration rate measurements to obtain a single value, 0.18 ms\(^{-1}\), to use with the one wind speed and used the Law of the Wall to convert the wind speed measurement to an equivalent shear velocity, \(u_*\):
\[
u_* = \kappa u_z / \ln \left( \frac{z}{z'_0} \right)
\]
(2)
where \(\kappa\) is the von Kármán constant (0.4), \(u_z\) is the wind speed, \(u\), at elevation \(z\) above the surface, and \(z'_0\) is the saltation-induced roughness length. To use Cornish’s data, we estimated that wind speed was measured at an elevation of 1.2 m because we assumed that he used a hand-held anemometer, and because an elevation error of +/- 25% produces a shear velocity error of less than 10%. To estimate roughness length, we used the relationship between shear velocity and roughness length according to a Charnock-type model [59]:
\[
z'_0 = \frac{Cu^2}{g}
\]
(3)
where \(c\) is the Charnock constant with a value of 0.085 for general field applications and 0.0099 for wind tunnel applications and \(g\) is the gravity constant. For this and other studies, we also needed to estimate the threshold shear velocity, \(u_{*t}\). We used Bagnold’s [60] model to accomplish this:
\[
u_{*t} = A \sqrt{\frac{gd}{\rho_s - \rho}} \left( \frac{\rho_s - \rho}{\rho} \right)
\]
(4)
where \(A\) is an empirical constant (0.1 for the fluid threshold), \(\rho\) is fluid density (1.22 kgm\(^{-3}\)), and \(d\) is sand grain size.
Kindle [61] published the second-oldest data set we could find a pair of field observations of ripple migration of about 0.03 mms\(^{-1}\) with a gentle breeze, and about 0.17 mms\(^{-1}\) with a wind speed of about 6 ms\(^{-1}\). Presumably, the gentle breeze was much slower than 6 ms\(^{-1}\) given the reduced migration rate. In place of this qualitative term, we used 4.4 ms\(^{-1}\) based on an approximation from the Beaufort wind scale. No grain size data were provided. Instead, he stated that “My observations with reference to the slight variation in the amplitude of sand ripple-mark within the limits of an area of the same degree of fineness of sand grains coincide with those of W. W. Strickland” ([61] p. 10). Strickland [62] did not report a specific grain size, making reference only to “fine sand.” We therefore used 0.19 mm, the average size for fine sand grains according to the Wentworth [63] scale. Both of the migration rates were anomalously fast for the wind speeds (compared to other studies) unless, for example, the wind speeds were measured quite near the surface and our shear velocity estimates are greatly erroneous. There is no evidence of this, so we once again assumed that wind speeds were measured at 1.2 m above the surface and converted his data as described above.
Sharp [26], in a classic study, reported 18 measurements of ripple migration rates and wind speeds for ripples that averaged 0.10 m in length with a grain size of about 0.33 mm. We obtained
that data by digitizing his Figure 9 ([26] p. 631) using Origin® Pro 2015 (Originlab Corporation, Northampton, MA, USA). This was the earliest comprehensive field data set we could find and it included a range of wind speeds from 7.1 to 17.9 ms\(^{-1}\), which we converted to shear velocities and threshold shear velocities using Equations (2)–(4).
Stone and Summers [64] reported one incidental field observation of ripple motion with a measured wind speed. They found 0.1 m ripples in 0.26-mm sand moving at about 0.06 mms\(^{-1}\) in winds of about 9 ms\(^{-1}\). They did not report the wind measurement height, so we again assumed that it was at 1.2 m above the sand surface and used this value for our assessments.
Borsy [65] published the first detailed wind tunnel study focused on ripple migration and wind speed. The lengths of the ripples in the experiments ranged from about 0.07 to 0.28 m, in 0.18-mm sand. We digitized the data presented in his Figure 3 ([65] p. 112) and obtained ten measurements that we used for conversions to shear velocity and threshold shear velocity, as described above.
Seppälä and Lindé [28] conducted wind tunnel experiments to study ripple formation. Ripple migration information was presented, but it was not the focus of their work. They reported a range of migration speeds that occurred at one wind speed (4.3 ms\(^{-1}\) measured at 0.10 m height) associated with ripples approaching equilibrium. For this study we used the averaged migration rate data (0.03 mms\(^{-1}\)) from the longest duration (30 min) to represent conditions closest to equilibrium. Mean grain size in this study was 0.15 mm.
Ling et al. [66] used high precision (\(\pm 0.5\) mm) photogrammetry to measure ripple movement in their wind tunnel. We obtained six data points by digitizing their Figure 1. The mean grain size was estimated as 0.18 mm based on information presented in a related study [67]. The mean ripple wavelengths and heights were 0.07–0.14 m and 3.3–7.2 mm, respectively. The ripple migration rates reported are anomalously slow relative to the other wind tunnel data. This has been treated as a result of an order of magnitude error in the ordinate label for Figure 1 [38], and we made a similar assumption based on comparing the data in the figure with the range of migration rates reported in the text. Ling et al. [66] did not report the measurement height for wind speed, but for the shear velocity conversions, we specified the elevation as 0.5 m based on information from Cheng (personal communication, April 2019).
Andreotti et al. [68] conducted experiments on ripple development and migration in a wind tunnel and in the field. We digitized the data for equilibrium ripple movement from their Figure 5c (11 wind tunnel measurements and 75 field measurements). Mean grain size in the wind tunnel was 0.12 mm and 0.18 mm for the field site. They reported that the threshold shear velocity was about 0.22 ms\(^{-1}\) in both environments. This is a well-constrained data set and the authors were the first, that we are aware of, to recognize a systematic bias in ripple response between wind tunnel and field experiments, although they did not develop arguments describing why this occurs. For a given shear velocity, they found that wind tunnel ripples typically migrate at rates 3 or more times faster than their natural counterparts. Their wind tunnel data were used by Durán et al. [29] in the development of a simulation model, discussed below.
Zhu [69] measured ripple motion in a wind tunnel and in the field. Wind speeds were reported as 30-s averages measured with a hand-held anemometer at a 1-m elevation. He used an empirical model based on wind tunnel experiments to convert wind speed to shear velocity. The mean grain size in the field experiments was 0.31 mm and there was no report for the grain size for wind tunnel study. We digitalized data from his Figure 2.5b to obtain nine field observations and nine wind tunnel observations.
Cheng et al. [38] performed a set of wind tunnel experiments with 0.15 mm sands that included measuring equilibrium ripple migration rates at four different shear velocities. Relevant to this study, they found that equilibrium ripple length increased linearly with shear velocity and the ripple migration rate increased exponentially with shear velocity. They reported four migration speeds and shear velocities for equilibrium ripples developed in 0.15-mm sand.
3. Study Sites and Field Methods
One set of field experiments was carried out in late October, 2008, near the village of Jericoacoara, Ceará, Brazil (2.7968° S, 40.4847° W). We were located near the downwind end of a 40-m wide deflated parabolic dune trough (AKA Cow Splat Flat, cf. [70,71]) with a near horizontal unobstructed fetch of approximately 100 m. During the experiments, winds were out of the ENE at speeds of about 8–12 ms\(^{-1}\) and blowing parallel with the long axis of the trough. The sands were dry and unconsolidated, with grain sizes averaging about 0.3 mm. The equilibrium ripple lengths were about 90–110 mm, and the heights were about 6–8 mm. More information about this field site can be found in [72] or [73].
As shown in Figure 1, wind speeds were measured with an R.M. Young Model 8100 ultrasonic anemometer. Depending on the particular deployment, the sampling volume was centered at an elevation of either 0.50 or 0.75 m above the surface, depending on the sample run, but within the constant stress layer in either instance, with data recorded at 64 Hz. Ripple movement was documented using time series oblique photography that was scaled to sets of pins installed at known distances parallel to the wind (thus perpendicular to ripple crests). An anemometer was located either 2 or 3 m away from and behind one of these pin configurations to minimize the disruption of ripples. Cameras were mounted to a tripod or steel pipe, depending on location, and triggered manually at recorded intervals (typically of about one minute). The ripple heights were measured with a straight edge and ruler and average wavelength was determined by counting the number of ripples (including partial ripples) between pins. Vertical arrays of hose-type sand traps [74,75] were used to measure the transport rates and to obtain samples for size analysis.
**Figure 1.** Basic configuration for ripple migration study at Jericoacoara, Brazil, October 2008. Wind direction was right to left. The \(0.80 \times 0.80\) m ripple reference grid is in the center of the photograph and at center right are the 0.40-m spaced pair of reference pins.
A second set of experiments was performed in May–June 2015 at Oceano, California, U.S.A. (35.0287° N, 120.6277° W). The Oceano site is located on a gently sloped sand patch approximately 300 m downwind of coastal foredunes and 650 m from the shoreline. Sand transport at the site was driven predominantly by a westerly sea breeze across a surface of dry, medium sand (median diameter, \(d_{50} = 0.40\) mm). The equilibrium ripple wavelengths were about 0.1 m and the heights averaged about 8 mm. The field site and sediment characteristics are further described in [76].
As shown in Figure 2, near-surface wind speeds at Oceano were measured at 50 Hz by a Campbell CSAT3 sonic anemometer mounted at 0.64 m above the bed surface. Shear velocities were determined through application of the Reynolds stress method over successive 30-min intervals [77]. High-frequency (25 Hz) saltation fluxes over corresponding 30-min intervals were measured by an array of Wenglor laser particle counters roughly co-located with the sonic anemometer at heights ranging from 0.06 to 0.47 m above the bed surface, and calibrated to saltation fluxes measured by an array of nearby Big Spring Number Eight saltation traps [76,78]. Methods for obtaining shear velocity
and saltation flux values are detailed in [76,77], and the accompanying data are publicly accessible [79]. The threshold shear velocities were previously calculated over multi-day intervals [80] through application of the time-frequency equivalence method [81]. These threshold values, along with corresponding median surface grain diameters (which remained mostly constant over each multi-day interval), are shown in Table 2 of [80]. A pair of laser distance sensors (Sick DT35), spaced 60 mm apart in the streamwise direction and co-located with the wind and saltation measurements, were pointed downward toward the surface to measure changes in bed elevation and associated ripple migration through time. The bed elevations measured by the distance sensors were recorded on a Campbell CR1000 datalogger at 1 Hz.
**Figure 2.** Configuration for ripple migration study at Oceano, USA, May–June 2015. Wind direction was right to left. The distance sensors are in the center of the photograph with orange cables.
### 4. Data Analysis
The Jericoacoara field experiments provided usable ripple migration, ripple geometry, sand transport, and wind data obtained from four days of experiments (10/21, 10/22, 10/24, 10/26). The three-dimensional flow data from the anemometers were used to derive estimates of shear velocity. The calibrated wind data were digitally oriented using a three step rotation [82] to obtain instantaneous $u$, $v$, and $w$ winds and these were used to solve the Reynolds stress equation to estimate $u^*$. Sand captured in the traps was weighed and the data converted to total transport rate $q$ in gm·s$^{-1}$ based on the trap size and sample duration. The sand samples were returned to the laboratory for $\frac{1}{4}$ phi dry sieving and the derivation of grain-size statistics using GRADISTAT [83].
Ripple migration rates were estimated using the photograph time series and ArcMap 10.4 software. On 21, 22 and 24 October, the distance between pairs of pins (0.40 m) was used to establish the scale in the images for measurement (Figure 1). The location of the ripple crest that was the nearest downwind neighbor of the upwind pin was digitally referenced to that pin. The same ripple crest was identified and registered in subsequent photos to provide a distance traveled and this was converted to a migration rate using the time elapsed between images. The scaled images were also used to obtain estimates of ripple wavelength based on the number of ripples between the pins. Care was taken to select ripples that appeared to be of equilibrium form, i.e., they were not at or near defects caused by bifurcation or coalescence. On October 26, the pin array was in a square configuration ($0.80 \times 0.80$ m) with pins, and the ripples within the array were intentionally disturbed (Figure 1). In this case, ArcMap was used to extend a pair of lines using pairs of wind-perpendicular pins from the four-pin array for orientation. Those lines were extended toward the background of the images until they reached undisturbed ripples. The ends of those lines were used as virtual pin locations and measurements were made as described above. We checked these measurements for accuracies using cross-correlation in Matlab (described in Appendix A), also with good results.
The sample frequencies and durations of the photograph and wind speed time series were different and we needed to determine appropriate averaging intervals for a statistical analysis of cause and effect because there was substantial variability in wind conditions and ripple migration rates during the data acquisition runs. After testing (see Appendix A and Figure A1) we found the optimal averaging interval to be eight minutes. The sample design for grain sizes and transport rates did not, however, produce a unique sample for each of the eight-minute averaging intervals. We used time-weighted linear interpolation to obtain the best estimates for each interval. When an interval occurred before the first or after the last sample in a series, we used time-weighted, linear extrapolation for estimation.
At the Oceano Dunes site, ripple migration rates, $u_r$, were calculated by tracking the propagation of ripple crests and troughs under the distance sensors and using the elapsed times from the time series of bed elevation, $z$, generated by the upwind-downwind pair of distance sensors. Ripple amplitudes $H$ were calculated from elevation differences between adjacent ripple crests and troughs. Because of superimposed high-frequency noise and low-frequency drift in the measured elevations, pre-processing was applied to the raw bed elevation time series to extract only the part of the time series that represented ripple migration. Values for $u_r$ and $H$ were calculated from the processed $z$ time series. The pre-processing and processing steps, which were adapted from [84], are described in Appendix B. We note that only a subset of the measurement times during which appreciable ripple migration was apparent were included in this analysis, and that noise in the bed elevation time series caused some uncertainties in 30-min values for $u_r$ and $H$ (uncertainty values are provided in the spreadsheet accessible online via the Zenodo data repository [58]).
5. Results
During the 2008 experiments at Jericoacoara, wind speeds were measured for 92 min on 21 October, 80 min on 22 October, 116 min on 24 October, and 48 min on 26 October. Data acquisition issues on the 22nd and 24th caused those records to be discontinuous, with runs of 20 and 18 min on the 22nd and 21, 22, 24, and 9 min on the 24th. Photos were taken with an average temporal frequency of one minute or less: 98 images for the 21st, 71 on the 22nd, 167 for the 24th, and 114 on the 26th. From these records, we were able to extract 26 sample records of 8-min intervals each.
At Oceano Dunes, we computed 30-min ripple migration speeds and ripple fluxes to correspond with previously obtained concurrent 30-min shear velocity and saltation flux measurements [79]. Since the timing of individual migration speeds $u_r$ and amplitude $H$ measurements was sporadic (i.e., associated with identification of individual crests and troughs, as described in “Data Analysis”), we binned together all $u_r$ and $H$ values in each 30-min interval to obtain a mean $u_r$ and $H$ for the interval. In the subsequent figures, the $u_r$ values shown are 30-min averages. To compute ripple transport rates $Q_r$ for successive 30-min intervals, we applied Equation (1) to the corresponding 30-min $u_r$ and $H$ values.
In Figure 3, we plotted all of the data for migration rates of equilibrium ripples and coincident shear velocities that we could find from the literature and from our field experiments, without any application of quality control criteria. The 215 observations are represented in dimensionless form as $u^*/u_t$ and $u_r/(gd)^{1/2}$ and are segregated into wind tunnel and field measurements following precedent [68]. Linear regression analysis was used to test for statistically significant relationships. We found a wind tunnel relationship where $u_r/\sqrt{gd} = 0.0088u_t/u_t - 0.0026$, with $n = 41$, $R^2 = 0.85$ and $P < 0.0001$. For the field data, the model was $u_r/\sqrt{gd} = 0.004u_t/u_t - 0.0023$, with $n = 174$, $R^2 = 0.52$ and $P < 0.0001$. We calculated 99.9% confidence limits for the two regression slopes, finding 0.0030 and 0.0049 for the field data, and 0.0069 and 0.011 for the wind tunnel data. Because the confidence bands do not overlap, these results support a conclusion that field conditions were not replicated at a one-to-one scale in the wind tunnels and the samples that we compared were not drawn from the same general population. We also performed a number of non-linear regression analyses to determine if there was an alternative distribution that improved the statistical strength of both models. The only improvement in the coefficients of determination was when logging $u^*/u_t$. For the wind tunnel data, $R^2 = 0.85$, and for the field data, $R^2 = 0.57$.
Figure 3. Dimensionless migration rates for equilibrium ripples as a function of dimensionless shear velocity, segregated as wind tunnel (black symbols: $n = 41$; $R^2 = 0.85$) or field data (red symbols: $n = 174$; $R^2 = 0.52$).
Our next step was to re-evaluate the wind tunnel and field relationship (Figure 3) using only data that fit a set of necessary quality control criteria, which included reliable data for sand gain size or threshold shear velocity, for equilibrium ripple migration-rates and geometry, and for shear velocity or wind speed data that could be reasonable converted to shear velocity. The majority of the exclusions occurred because of a lack of reporting of the wind speed measurement. For the wind tunnel experiments, six points from Ling et al.’s [66] wind tunnel studies were removed because wind speed elevations were not reported. A second reason was that there was an order-of-magnitude error based on their Figure 1 ([47] p. 120) and description. We also removed the one data point of Seppälä and Linde [28] because it was an estimation of an unstable ripple migration rate. For the field experiments, we removed Cornish’s [15] and Stone and Summers’s [64] data because they did not report the wind speed elevation. We also removed Kindle’s [61] data because he did not report measurement height or grain size and he used ambiguous language to report wind speeds. Finally, we removed Zhu’s [69] field data points because of what we consider to be a methodological error. Specifically, Zhu [69] measured wind speeds at one elevation and used an empirical model developed from his wind tunnel studies to estimate a roughness length term and then convert wind speeds to shear velocities. This approach produces the same roughness length for all wind tunnel and field studies. It is well known, however, that the apparent roughness length increases with sand transport and at rates that are different in the wind tunnel and field environments [59,85]. One consequence of his assumptions was the near-parallel slopes of his wind tunnel and field data sets. Since he did not report his original data, we could not reconstruct better estimates of shear velocity, but we did include his wind tunnel data.
Figure 4 presents the quality-controlled data and the regression results for the wind tunnel and field experiments. For the quality wind tunnel data, we obtained a model where $u_r/\sqrt{gd} = 0.0086u_*/u_{*t} - 0.0009$ with $n = 34$, $R^2 = 0.86$ and $P < 0.0001$. These results, other than the offset, are essentially unchanged from the previous analysis. For the field data, the new model was $u_r/\sqrt{gd} = 0.0040u_*/u_{*t} - 0.0026$ with $n = 161$, $R^2 = 0.63$ and $P < 0.0001$, only modestly different. The 99.9% confidence limits for the regression slopes were 0.0064 and 0.0108 for the wind tunnel data and 0.0032 and 0.0048 for the field data. These uncertainty estimates are also similar to the estimates based on all data. We also performed regression analysis using just the new (Jericoacoara and Oceano) field
data and obtained $u_r/\sqrt{gd} = 0.0034 u_r/u_{*t} - 0.0030$ with $n = 68$, $R^2 = 0.44$ and $P < 0.0001$, suggesting that our data conformed to the relationship indicated by Sharp’s observations; i.e., the slope of the relationship was almost the same with all data and with just the Jericoacoara and Oceano data. As mentioned above, we performed non-linear regression analyses to determine if there was an alternative distribution that improved the statistical strength of both models for all quality-controlled data. Logging $u_r/u_{*t}$ produced the only improvement for both data sets, increasing the coefficients of determination to 0.87 for the wind tunnel data and 0.68 for the field data.
**Figure 4.** These analyses included only data that met the quality control criteria. The dimensionless migration rates for equilibrium ripples as a function of dimensionless shear velocity, segregated as wind tunnel (black symbols: $n = 34$; $R^2 = 0.86$) or field data (red symbols: $n = 161$; $R^2 = 0.63$).
We calculated the contribution of sand transport via ripple movement to total transport in our field studies using ripple migration and geometry data with Equation (1) and transport rate data from the sand traps and particle counters. We assumed $P = 0.40$ based on the data presented in Louge et al. [53, Figure 3]. For all cases, the proportion, $q_r/q$, ranged from about 0% to 10%, with a mean of 3.6% and standard deviation of 2.3%. There were differences between the two field sites, with mean and standard deviation of 4.8% and 1.3% at Jericoacoara and 2.8% and 2.4% at Oceano. We used a Welch’s two-tailed t-test to evaluate the likelihood that the Jericoacoara and Oceano $q_r/q$ and $u_r/u_t$ data were drawn from the same population and the probability in both cases was found to be less than 0.0001. It is not known if the differences can be ascribed to the different methods used at the two field sites, differences in grain sizes, some combination of the above, or other unknown factors. We plotted % transport against dimensionless shear velocity (Figure 5). Regression analysis suggests a weak positive relationship ($q_r/q = 0.025 \ u_r/u_{*t} - 0.006$; $R^2 = 0.10$, $p < 0.01$), although the basic linear regression requirement of homoscedasticity was violated by our data set, bringing the finding into question. That there is a trend is supported, however, by the differences in means of the two data sets.
Figure 5. The percent of total transport carried by ripples compared to dimensionless shear velocity. The proportion was approximately independent of $u_r/u_{r*}$ for the independent data sets but may indicate a weak dependence for the combined data based on the means of the two populations.
6. Discussion
The results lead us to three main points for discussion, and many questions regarding the controls on aeolian ripple migration and related sand transport rates remain unanswered. First, our data confirm the scaling differences between wind tunnel and field data [68]. The phenomenon of such scaling differences has been recognized and described for several aeolian transport systems, but without a unifying process explanation or a corresponding correction factor. Ideally, rigorous scientific experimentation in aeolian studies needs to be controllable, repeatable and reproducible. These criteria remain elusive senso stricto in field experiments. Therefore, wind tunnels have been indispensable to explore and elucidate some of the fundamental wind/surface interactions, as researchers can control some or all of the environmental variables to reduce the complexity and uncertainty (e.g., nonstationarity effects such as those reported in [86,87]) in refining our understanding of flux relationships. There are, however, critical scaling constraints on the replication of physical processes in wind tunnels. Increasing efforts have been directed at probing and modeling the dynamics of the boundary layer in wind tunnels [88–94]. Equivalent attention has not been paid to scaling constraints associated with sand transport, saltation, and ripple dynamics. The empirical relationships established in wind tunnel experiments are typically substantially different from those found in the field, even though they are based on similar analytical or theoretical treatment. One consequence is the inconsistent prediction of key relationships and the failure of laboratory-based models to replicate conditions found in nature. Indeed, close inspection of Figure 4 reveals that the observations from the four wind tunnel experiments trace out slopes that are at least slightly different from one another.
It has been proposed [8] that the ripple wavelengths reported in Andreotti et al. [68] were observed in a wind tunnel that was one half of the length needed to attain equilibrium between the wind and saltation flux, implying that the reported migration rates would be faster than an equilibrium rate for a given shear velocity. Martin and Kok [77] noted that results reported in past wind tunnel studies observing grain speeds [95] and saltation heights [96,97] were likely impacted by using erodible sand beds of insufficient length in the wind tunnels [98,99]. Liu et al. [100] used CFD to confirm that several flow characteristics near obstacles (e.g., windbreak fences) cannot be captured in a reduced-scale wind tunnel or numerical models and thus, results should not be extrapolated directly to natural landscapes. Sherman and Farrell [59] and Farrell [101] formalized an approach to partly test these scaling differences by evaluating two fundamental interactions between
wind and sand: the apparent enhancement of the boundary roughness length associated with the presence of a saltation layer and the vertical distribution of mass flux. They found that the saltation layer roughness form was about an order of magnitude higher in the field than in wind tunnels and that small wind tunnels had statistically significant faster decay rates of mass flux with elevation above the bed. The differences are magnified in wind tunnels with small working cross section areas and in wind tunnel experiments that use extreme environmental conditions, e.g., hurricane wind speeds [101]. McKenna Neuman and Maljaars [102] also surmised that these differences between saltation dynamics in wind tunnel and field experiments may have scaled with wind tunnel dimensions, but because this facet of wind tunnel modeling has received little attention [38], substantive differences will continue to occur in reported findings. These scaling differences in boundary layer–surface interactions may provide the key to understanding some of the inconsistencies of saltation models [77] and ripple dynamics reported in field and wind tunnels. For example, Durán et al. [29] used the Andreotti et al. [68] wind tunnel data for derivation of their numerical model for ripple development and migration based on the relationship:
\[ u_r \propto (u_* - u_t)(\rho/\rho_s)^{0.5} \tag{5} \]
We used our results to obtain constants of proportionality for this relationship. For wind tunnel data, we found \( u_r = 0.089(u_* - u_t)(\rho/\rho_s)^{0.5} + 0.21 \) (\( R^2 = 0.94 \)); for field data, the relationship was substantially different, \( u_r = 0.039(u_* - u_t)(\rho/\rho_s)^{0.5} + 0.061 \) (\( R^2 = 0.70 \)). We also used regression forced through the origin (i.e., forcing \( u_r = 0 \) at \( u_* = u_t \)) to represent the constraint that ripple migration should cease when the threshold of motion is not exceeded, and found that the relationship for wind tunnel observations was \( u_r = 0.10(u_* - u_t)(\rho/\rho_s)^{0.5} \) (\( R^2 = 0.90 \)); for field data \( u_r = 0.046(u_* - u_t)(\rho/\rho_s)^{0.5} \) (\( R^2 = 0.66 \)). In each instance, the laboratory and field relationships were statistically distinct. Our findings here, coupled with those of Andreotti et al. [68] demonstrate once again the scaling dichotomy and reemphasize the importance of using field data for the derivation of models. We found that wind tunnel data indicated ripple migration rates that were about two to three times faster than field equivalents. Because of the relatively constant scaling of ripple-migration creep transport with total transport, this also indicates that wind tunnel data predict sand transport rates that are two to three times greater than those produced by comparable conditions in nature, at least over the range of \( u^*/u_t \) from about 1 to 2.5. Scaling issues such as these may be especially important when using wind tunnel data to predict aeolian transport on extra-terrestrial surfaces, an approach that we recognize as substantially flawed.
A second issue concerns the proportion of ripple transport compared to total transport. It has been suggested that transport by ripple migration can be considered synonymous with creep transport [48,50]. Our field observations confirm that some individual grains move as reptation across ripples surfaces faster than ripples migrate, although the proportion that does so is not known and may be quite small; but certainly \( q_r \leq q_c \). The literature reports substantial variability in \( q_c/q \). Bagnold [56,57], in wind tunnel and field experiments, and Willets and Rice [7], in wind tunnel experiments, among others, found that creep comprised about 25% of total transport. From field data, Chepil [103] reported \( q_c/q \) as 15.7% for fine dune sand. In wind tunnel experiments, Horikawa and Shen [104] found 20%, and they cited the results of Ishihara and Iwagaki [105] who found a range from 6.5 to 16.6% in field experiments. From their wind tunnel data, Dong et al. [106] estimated the creep transport fraction to range from about 4% to 29%, depending on grain size, and averaging 9%. In field studies, Nickling [107] found \( q_c/q \) to be about 1.3%–3.6%, averaging 2.3%, and Kang et al. [108] indicated that the proportion of creep transport was about 4%–11%. Wang and Zheng [54] modeled creep flux and their results indicated creep fractions usually in the range of 2% to 14%. The wind tunnel research of Cheng et al. [55] indicated that \( q_c/q \) decreased as shear velocity increased, falling from 57% at \( u^* = 0.26 \) ms\(^{-1}\) to 19% at \( u^* = 0.56 \) ms\(^{-1}\). In studies of ripple migration and creep (reptation) transport on Mars, Bridges et al. [50] estimated \( q_c/q \) at 25%. Yizhaq et al. [109] used the transport rate model of Kok and Renno [110] to estimate \( q_c/q \) at Eagle Crater on Mars, with a result that the proportion should rise from about 3% to 7% over approximately the range of \( u^*/u_t \) covered in this study. It has been indicated, however, that this scaling relationship has been found to be highly
variable on Mars, ranging from 5% to 91% [111]. Our results compare favorably with those of other field studies on Earth, especially if we consider our $q_r/q$ to represent minimum estimates for $q_c/q$. Our regression results, supported by our difference of means tests, indicate a weak positive relationship with $u^*/u_{cr}$ explaining, statistically, 14% of the variability in $q_r/q$ when we combine data from our two field experiments. The slope of the regression line, if it is reliable, matches closely with the Yizhaq et al. [109] model results. More field observations are needed to validate or refute the relationship.
Two other issues associated with the use of Equation (1) might bear on estimations of $q_r/q$. The first is the assumption that ripple morphology is sufficiently represented, volumetrically, by $H/2$. An error of 50% in this approximation still leaves our average field proportion in the range of about 1.8 to 5.4%. The second is the assumption that a ripple porosity of 0.40 is a correct attribute, rather than 0.35, for example. Note that this magnitude of error would still translate into a relatively small absolute error in $q_r/q$. If, however, either ripple form, or porosity, or both, changed as a function of shear velocity, then such changes might influence a potential $q_r/q$ trend.
Our results confirm findings that ripple migration rates increase as a linear function of shear velocity [28,68] rather than at a second or third power. The near constant ratio $q_r/q$ implies that the total sand transport rate is also a near linear function of shear velocity. In the Oceano experiments, both ripple migration heights and rates were measured and variability in sand porosity and fluid and sediment densities were likely trivial in obtaining transport estimates using Equation (1). In the Jericoacoara analysis, a mean value was used for $H$, but individual measurements varied by maxima of about 20%, apparently randomly. This too would have introduced only a very small difference in estimates of $q_r/q$, and more importantly, would not have produced a trend with shear velocity.
7. Conclusions
We compiled a quality-controlled ripple migration data base comprising, from previous studies, 34 sets of observations from four wind tunnel experiments and 93 sets from two field experiments. To these data, we added 68 sets of observations from our two field experiments. From our analyses of these data, we drew the following conclusions:
1. There is a linear relationship between shear velocity and ripple migration rate. This is evidenced in the regression analyses performed with the dimensionless variable pairs $u^*/u_{cr}$ and $u_{cr}/(gd)^{1/2}$, and for the dimensional variable pairs $u_*$ and $(u_* - u_{cr})(\rho/\rho_s)^{1/2}$.
2. The dimensionless and dimensional migration rates from wind tunnel studies are statistically distinct from those found in field experiments. For a given shear velocity, ripple migration rates in wind tunnels are about two to three times faster than those found in the field.
3. The proportion of total sand transport that can be attributed to ripple migration (creep) averages 3.6% in our field studies, comparable to findings in other field studies. We found evidence that $q_r/q$ increases weakly with shear velocity.
Andreotti et al. ([68] p. 028001-4) concluded their paper with the statement: *Finally, ripples could be of practical interest for field experimentalist as a nonintrusive measurement of the reptation sand flux*. This is a deceptively simple, but very important statement. The non-intrusive measurement of ripple geometry and movement has been demonstrated with several different methods reported in the literature and herein, and there are others, such as terrestrial laser scanning and structure from motion using Unmanned Aerial Vehicles (UAVs), for example. Improved migration rate data, especially with better time control, and with perhaps a better coincident representation of ripple volume than $H/2$, will improve the predictions made with Equation (1). If we are correct in our finding that $q_r/q$ was approximately constant, in an absolute sense, then this means that we can predict total sand transport rates based on simple ripple measurements. It is similarly important to link such ripple measurements with wind characteristics, such as shear velocity, and perhaps sediment characteristics. It is accepted that some physical mechanism must operate that couples the wind flow and topography, resulting in one-dimensional ripple bedforms that are locked in phase “with only small modulations in the direction transverse to the wind” [22] (p.60). If the empirical relationships reported in this paper are validated or improved upon, especially through additional quality field
data, aeolian scientists and engineers will have another important tool for understanding sand transport. This also means that we can gain deep insight into aeolian processes and sedimentation in environments where process measurement may be difficult or impossible, such as those of extraterrestrial surfaces, but where in situ or remotely sensed ripple measurement data can be acquired.
**Supplementary Materials:** The following is available online at www.mdpi.com/xxx/s1, Table S1: all data described in the manuscript
**Author Contributions (alphabetical by category):** Conceptualization: Ellis, Kok, Martin, Sherman; Methodology: Ellis, Kok, Li, Martin, Sherman, Zhang; Validation: Farrell, Li, Martin, Zhang; Formal Analysis: Martin, Sherman, Zhang; Investigation: Ellis, Farrell, Kok, Li, Martin, Sherman; Resources: Ellis, Kok, Sherman; Data Curation: Sherman, Zhang; Writing – Original Draft Preparation: Farrell, Martin, Sherman, Zhang; Writing – Review & Editing: Ellis, Farrell, Kok, Li, Martin, Sherman, Zhang; Funding Acquisition: Ellis, Kok, Martin, Sherman.
**Funding:** Work at Jericoacoara was supported by a U.S. National Science Foundation (NSF) grants #1063441 to JTE and #1061335 to DJS. Data analysis was partly supported by National Natural Science Foundation of China, grant number 41771006. Work at Oceano was supported by NSF Postdoctoral Fellowship EAR-1249918 to R.L.M. and NSF grant AGS-1358621 to J.F.K. Research was also sponsored by the Army Research Laboratory and was accomplished under grant number W911NF-15-1-0417.
**Acknowledgments:** This project is registered with the Brazilian Ministry of the Environment, Sistema de Autorização e Informação em Biodiversidade, Number 18038-1. The initial Oceano ripple analyses were executed by Kenyon Chow. The views and conclusions contained in this document are those of the authors and should not be interpreted as representing the official policies, either expressed or implied, of the Army Research Laboratory or the U.S. Government. The U.S. Government is authorized to reproduce and distribute reprints for Government purposes notwithstanding any copyright notation herein.
**Conflicts of Interest:** The authors declare no conflict of interest.
**Appendix A: Assessing Ripple Measurement Accuracy and Optimal Averaging Intervals for Linking Ripple Migration Rates with Shear Velocity Estimates.**
We conducted cross correlation in Matlab to independently derive the ripple migration and length data to test the quality of our measurements. This Matlab routine measures data for all ripples between the designated pins and produces an average movement rate for all ripples rather than for a single ripple, as is calculated with the ArcMap procedure. The results of the two methods were almost identical for each set of measurements. The Matlab routine is easier and more efficient to use, but we found two issues that led us to work with ArcMap. First, ripple defects along the registration line, especially defects that either formed or disappeared during a time series, were measured as if they were equilibrium wave lengths and this biased the migration rate statistics. Second, when shadows appeared within the measurement range, their presence degraded the cross-correlation calculations between pairs of images and produced spurious statistics. These comparisons, however, indicated that our measurement techniques were accurate at millimeter-scale.
In the field experiments carried out at Jericoacoara, the sample frequencies and durations of the photograph and wind speed time series were different, and we needed to determine appropriate averaging intervals for a statistical analysis of cause and effect because there was substantial variability in wind conditions and ripple migration rates during the data acquisition runs. We could find no commonly accepted averaging interval in the literature, nor could we find a protocol for establishing an optimal interval for linking shear velocity with ripple migration, so we began with an exploratory analysis for the Jericoacoara data.
A conservative estimate of averaging interval for shear velocity can be obtained from graphs presented by van Boxel et al. [112]. For the anemometer heights, sampling frequencies and typical wind speeds during our first experiments, sample durations of the order of one minute should provide robust $u'$ estimates. Averaging ripple migration rates over such a short period, however, had the effect of making small absolute measurement errors (one or two millimeters) into larger relative
errors (10–20%, or more) of migration rates. Averaging over excessively long periods, on the other hand, had the effect of masking the dynamic response of the ripples to changes in wind conditions. Therefore, we tested the influence of shear velocity on ripple migration using averaging intervals of 5, 6, 7, 8, 9, 10, 11, and 12 minutes using linear regression analysis.
We performed the analysis in two ways, using either $u_r$ as the independent variable with $u_r$, or, following the parameterizations of [59], $u_s/u_{st}$ with $u_r/(gd)^{0.5}$. In both cases we found the optimal averaging interval to be eight minutes based on the coefficients of determination found with the eight intervals tested (Figure A1). When comparing just $u_s/u_{st}$ with $u_r/(gd)^{0.5}$ a ten minute interval produced results that were almost as strong as those from eight minutes, but the longer interval was not as strong with $u_s$ and $u_r$, and it also reduced the number of samples available for analysis.
**Figure A1.** Comparison of coefficients of determination ($R^2$) found using $u_r$ or $u_s/u_{st}$ as independent variables with $u_r$ or $u_r/(gd)^{0.5}$ as the respective dependent variables, for averaging intervals of 5 to 12 minutes. The 8 minute interval produced the strongest results in both cases.
**Appendix B: Processing the Laser Distance Sensor (Sick DT35) Time Series to Resolve Ripple Heights and Migration Rates.**
Starting from the raw bed elevation time series acquired with a pair of laser distance sensors (Sick DT35), a “detrending” was first performed to remove low-frequency drift in the time series. Such low-frequency drift is most likely associated with gradual change in the underlying bed elevation and/or settling of the instrument arrays. For each raw elevation time series, a long-term drift component was calculated as the moving average at a detrending time scale $T_D = 3000$ s. The long-term drift component was then subtracted from the raw time series to generate a detrended time series, centered around bed elevation $z = 0$. We chose $T_D$ to be double the characteristic ripple migration time scale $T_L \approx 1500$ s: long enough to preserve the underlying ripple migration signal but short enough to filter out the underlying drift in the time series. We estimated $T_L \approx 1500$ s from the first peak in the autocorrelation in the raw bed elevation time series.
We then applied a “smoothing” to the detrended elevation time series to eliminate high-frequency noise, most likely associated with limitations in sensor accuracy and the presence of saltating particles in the field of view of the sensors. Smoothed time series were calculated as moving averages of detrended time series at a smoothing time scale $T_S = 120$ s. We chose $T_S$ to be long enough to adequately filter out the high-frequency noise but short enough to preserve the ripple migration signal.
From these processed (i.e., detrended and smoothed) time series, we identified ripple troughs and crests as local maxima and minima between zero crossings in the respective bed elevation time series. Crests and troughs were then matched between the upwind and downwind time series, and migration speeds were then calculated as $u_r = \delta x/\delta t$, where $\delta x = 6$ cm is the fixed distance between the sensors and $\delta t$ is the time for an individual crest or trough to migrate from the upwind
sensor to the downwind sensor. An absolute time was associated with each individual $u_r$ calculation as the mean time between the occurrence of the crest or trough in the upwind and downwind time series. An amplitude $H$ was calculated for each crest as the mean of the absolute elevation differences between the crest and the preceding and succeeding troughs in the time series; the converse was also calculated for each trough (i.e., elevation difference with preceding and succeeding crest). An absolute time was associated with each individual $H$ value as the time of occurrence of the middle crest or trough from which $H$ was calculated. For quality control, we discarded all $u_r$ and $h$ calculations that included inferred crests or troughs for which $z < 0.25$ cm, as these likely reflected noise in the time series rather than actual ripple migration.
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1930 Brown and Gold Vol 13 No 01 October 1, 1930
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Regis Begins Forty-Third Year
Thomas Doran to Study at Rome
Studying at North American College
Regis men will be glad to learn that Thomas Doran, A. B. '30, sailed for Europe on Sept. 13 to study for the priesthood in the North American College, Rome.
Known to many throughout Denver and Colorado as a singer and amateur director of the Cathedral Choir and as the vocal artist of the Catholic Radio Hour, Tom was even better known as a Regis student of the past four years.
Doran came to Regis from Cathedral High of Denver, where he had been an excellent student. His course at Regis was one of even more notable success. As a freshman he won the first medal awarded by the Knights of Columbus of Denver. In his sophomore year he was awarded the Bishop Thomas Oratorical medal for his brilliant address on Catholic Education. Doran was Editor of the Brown and Gold, member of the Student Council, and its incorporator, president of the Minstrel Society and of the Glee Club, and a charter member of the Study Club.
Last summer Tom represented Colorado at the semi-finals of the National Intercollegiate oratorical contest held in Washington College in Liberty, Missouri, where he placed fourth from among representatives of 16 other states.
At the graduation exercises, June 10, Doran received the Charles Van Zandt Award, a 15-jewel watch, awarded to him by a committee of seniors who chose Tom from among those of their class-mates who had attended Regis College for four years and who had shown the most outstanding character.
Doran left September 8th and sailed from New York on the mid-night liner with a line of Italian ice sailing straight to Naples via Gibraltar; the trip takes ten days. He will enter the North American College in Rome and will pursue his studies at the College of the Propaganda for three years. It is expected that he will take his Doctorate in Theology before returning. Tom will undoubtedly spend the summer vacation in travel through Italy and Europe. It will be remembered that Doran made a trip through France, Switzerland and Germany accompanied by Monsignor Rosetti. While in Switzerland they climbed the Matterhorn and Monte Rosa.
While in Rome Doran will meet another friend, Alumnus Frank Dinschaupt, who will make his first appearance on the concert stage in The Eternal City as Francesco Valentino.
Montana Bound
On night of October first twenty-two men of the famous Regis Ranger football team will be bound for Montana, where they will play the Montana State Bobcats in the latter's own stadium. Last Saturday the Bobcats upset football fans by defeating the powerful Idaho team 7-6. The same day the Rangers handed the Co. Aggies a 14-7 beating. No doubt it will be a hard contested game but the Rangers feel they already have the game in the sack, and the Bobcats will have a tough time trying to change their minds.
Although the students cannot accompany the team in a body they will be with them in spirit all during the contest.
New Professors Added to Staff
The faculty and student body of Regis College is very glad to welcome Professor Dunphy and Donoghue. The Professors come to Regis with undergraduate degrees, and practical business education. Both men having spent years in connection with some of the largest business concerns in the country.
Professor John Dunphy obtained his A. B. degree from Bowdoin College and an A. M. degree from the Catholic University at Washington.
He served several years making and passing Civil Service examinations at Washington, and also served two years in the U. S. Navy. We can well realize and appreciate the importance of a man who has been in the service of the government.
Before coming to Regis, Professor Dunphy taught History and Social Science for 10 years in a public high school of Portland, Maine.
Professor John S. Donoghue obtained a B. C. S. degree from the Northeastern University in Boston, Mass., and a M. B. A. degree from the University of Boston.
Professor Donoghue was employed with the Heywood House and Wadsworth Chair manufacturers of reed furniture in the United States, as a chief clerk and accountant. For several years he entered the government service as an auditor in the Treasury department at Wash. D. C. In July 1928, Professor Donoghue enlisted in the U. S. Navy as a first class yeoman. After the war he was employed by the government in Boston as paymaster in the quartermaster corps. In Oct., 1922, he became affiliated with the United States Steel Corp. of Boston, as cost accountant, figuring the statements of the entire company.
Before coming to Regis, professor Donoghue was assistant professor of economics on the staff of Boston University. Last year he was assigned the University of Porto Rico, which is connected with the Boston University system.
Regis can well be proud of these two professors as he is of the rest of the Faculty. Regis students appreciate the fact that they have the best of teachers at their disposal and if they will only apply themselves they will receive the best.
October
The month of October holds promises of being one of the most active months of the school year at Regis. Some of the things which will keep the students busy are: Conditional examinations, three interesting foot ball games, at least one dance, the Student Council will introduce the freshman to the rules and rules and on top of all the students have a schedule which will keep the students busy from one end of the month to the other.
Scholarships
During the past summer a William Nichols Tuition Scholarship was awarded at Regis College. The scholarship is taken care of by a three thousand dollar legacy left to the college by Mrs. K. Scholl.
In Memoriam
Richard G. Dunn, a freshman honor student last year at Regis, died at St. Joseph's Hospital in Denver June 27 after fighting for nearly a month from appendicitis and pneumonia. He was buried from St. Peter's Church in Rocky Ford, June 30.
He was graduated from the Rocky Ford High School with the class of 1929. He was an exceptionally brilliant student during his years in high school and as a result he received the Roberts award for scholarship. Dunn was a member of the St. Stanislaus Society of Jesus and was making their novitiate at St. Stanislaus Seminary in Florissant, Missouri.
Elmer Kolka, '30, Ed Prinster, Leo Hayes, '32, George McGee, Forrest Allen and Bernard Cullen, '33, entered the St. Thomas Seminary in Denver.
Appreciation
Once a Regis supporter always comes a statement whose proof is widespread self assertion. Regis seems to grip a man's heart in broadening grounds. Despite the name of our College is loved and praised. Its supporters are many and generous. Among them we find Mr. Cotrelli, a man to whom we all doff our hats despite his wish to put forth a modest front.
The prize award is a 15 jewel wrist watch given to the student selected by a vote of the three seniors appointed by the faculty to select a member of their class who has shown the greatest character in his four years at Regis College.
The foundation is an annual one and was awarded last year to Thomas Doran.
VAN ZANT GIVES AWARD
Charles Van Zandt, a Denver jeweler, has founded an award at Regis College in memory of his father, Ellis Van Zant.
The award is a 15 jewel wrist watch given to the student selected by a vote of the three seniors appointed by the faculty to select a member of their class who has shown the greatest character in his four years at Regis College.
The foundation is an annual one and was awarded last year to Thomas Doran.
Published by the students of Regis College and issued on the first and fifteenth of each month from October to June. Subscription rate, $1.50 per year.
Entered as second-class matter Nov. 8, 1920, at the Post Office at Denver, Colo., under the Act of March 3, 1879.
Acceptance for mailing at special rate of postage provided for in Section 1103, Act of Oct. 3, 1917, authorized Dec. 1, 1920.
Member of Colorado Division Intercollegiate Press Association
Member of Rocky Mountain Intercollegiate Press Association.
EDITORIAL STAFF
Editor-in-Chief Edward Beaudette
Associate Editor Joseph Henry
News Editor John Hagan
Sports Editor Paul Hagan
Asst. Sports Editor James Kennedy
BUSINESS STAFF
Business Manager Francis Flynn
Advertising Manager John O'Hagan
Circulation Manager Raymond Schmutz
DEPARTMENTAL EDITORS
James Hartz Richard Hiester
Boyd Smith John Bruggeman
REPORTING STAFF
John Stanko, Joseph Drennan, William Henderson, Mariano Parra, George Chappell, Paul Weisner, Jack Cusick, Arthur Lucy, Leonard Bubing, Harold Thelen, Tom Fortune, Edward Volmar, Daniel M. Caja, Howard E. Kuehn, John Bruggeman, Jack Brogan, Matthew Grabrian, Walter Dooley.
SCHOLARSHIPS
Last Summer there was started at Regis a perpetual scholarship. I wonder how many people realize the good that is being done by an act of this kind? Briefly the various advantages which accrue are as follows:
The scholarship consisted in setting aside the sum of three thousand dollars the interest from which is sufficient to allow the paying of the tuition of one student annually.
The donor is allowed to dictate the terms under which the money is to be used. He may name the scholarship for anyone that he wishes and in this way assure the memory of someone dead until the end of time. He may have the happy realization that he is fostering education. For the tenure of any term he may see that his student is maintained in a seminole average at least equal to that of his fellow students. The donor may further be assured that during all the time the college may brighten young minds and that he will be allowed to do so, and in this way further civilization by adding one more educated person to the existing number.
The College will have added to its enrollment one more student who would be financially unable to attend under any other conditions. Further the College would be sure that this student is earnestly endeavoring to obtain an education. The school would be eager to be generous in his studies, initiate him in a proper scholastic avenue, and by his success he would invite others to follow him.
The student, wherever he might be, would necessarily be one possessed with ambition, and a desire for higher education yet without this outside assistance he would be unable to overcome the obstacles presented, such as making a living while trying to go through college.
From the foregoing we are able to realize the scope of a donation which promises such untold benefits. The donor will certainly feel peace of mind in the realization of the good work accomplished. Also he will have the satisfying gratitude of many students as yet unborn who will honor his name and remember where the scholarship was founded. And more benefits be derived from any other use of the money involved. I think we all agree that there is no better way to do good works in this world.
WELCOME FROSH
The Upperclassmen of Regis College take pleasure in welcoming the Freshmen to this institution. To them they extend their traditions, page and spirit, and last but not least, the privilege of being known as a Regis man.
But with this welcome comes a warning. All Freshmen should understand that they are Regis men from the time they register, and from that time on they are subject to all the rules and regulations of the college, action which tends to cast a shadow on Regis is absolutely taboo, and will bring dire consequences to the Frosh who takes such action.
At Regis the Frosh will find a student body which takes pride in upholding the standards which the college sets. They will find a student body that is glad to include the Freshmen in their numbers as long as the newcomers show their appreciation by obeying all rules and protecting the reputation of Regis.
Woe to the Freshman who run afoul the Student Council and are brought before the Bar or Justice of the Kangaroo Court, and pity the poor Frosh who fails to make amends for his misbehavior in the way pointed out by the Judge of the Kangaroo Court.
So on your toes Frosh, and soon you too will be glad to be recognized as a Regis man.
THE BROWN AND GOLD
The Brown and Gold offers you an opportunity to take an active interest in student activities, to obtain practical training in journalism, and to do a service for your college which makes up in usefulness what it lacks in glamour.
The Brown and Gold, while printed especially for Regis students and alumni, finds its way to distant corners of the nation, and the impression those readers receive of Regis depends upon what they read in our paper. Your opinions and suggestions of what can be done to improve the columns of your paper. It will also show your desire and willingness to be active in the affairs of college life.
Newcomers are saluted by the B. & G. staff open only to upper classmen. It is open to the entire student body of Regis. All that required is a willingness to cooperate with the present members of the staff. Freshmen should bear in mind that future staffs of the B. & G. will depend on them, and therefore, they should and are welcome to join the present staff.
SCHOOL SPIRIT
Another year has started another year in which to show our love and appreciation of our school. To some, school only means hours spent in laborious study, but to others it means something more. If we are to appreciate our school to the fullest extent we must be active in the things it represents. Are you ready to prove to us that call has come. Give it a fair trial to whatever activity you are called upon to participate. It be a rally for an athletic event see to it that you are there with all the enthusiasm and pep at your command. Be at the appointed place at the appointed time. It may seem like a waste of time and energy, but from within the organization the spirit is built. Without school spirit, college life would be devoid of many of its highlights. Fostering and keeping alive the flame of school spirit with each individual. School spirit means good fellowship, and no Regis man will be without something that creates school spirit. Very little is asked of you, so when you are asked, give everything in your power—it will be returned to you in a manner in which you least expect.
Boost your school and be loyal to it on any and every occasion.
THE MINIATURE GUFF
Well, now that we have a title for this column we'll take the club and start putting around for likely hazards.
Our first drive should include obtaining a body for the aforementioned column. Flag number one seems to be at W. P. Horan's. Note—It's a morgue, not a hole.
THE DRIVER
From constant observation and obligatory avoidance we find that Mr. Robert Keller should classify as an expert in this course; because it truly is a matter of course the way this gentleman tools his perambulator.
THE ROUGH
Bob McGregor, alias "Scotty", was left with the impression (on his face) of a slice into the rough after the first day of football practice.
THE MASHE
Mr. Bruggeman, the ex-circulation-manager of the Brown & Gold, seems to have driven into a trap as coming member of the Mashe Club in his various sojourns to L. H. A.
THE TRAP
The trap was sprung.
Butch Vegter's pedimetary extremity seems to have followed suit while he was climbing one of Colorado's famous bunkers.
THE GREEN
Here we are taking a breathing spell to welcome all newcomers and Freshmen. With greetings, ejaculations, emancipations, gratifications, hallucinations, proclamations, facinations, occupations, innovations, salutations, provocations, and dedications; in other words, "HI FROSH!"
THE CUP
Flowing forth from the cup we have, Famous Last Heards, Proverbs, Cigar and irregular verbs:
"I'm not going to die" —Alma McPherson.
"I'm at the end of my rope"—Juke Fleagle.
"I'd walk a mile for a Camel"—Liggitt and Myers.
"Ride with Ethyl"—John Lindhart.
"I must go to rest now"—Hugh Crawford.
"A stitch in time saves expense"—Rudy D. Seet.
"We must seize time by the forelock,—what to do if he is bald"—"Doc" Russell.
NIT-WIT MYTHS
Barnum was right—There is nothing so good for the youthful blood as the bright and sparkling water.
The boarder's motto on a cold winter night,—"Reach for a blanket instead of a sheet."
A song, dedicated to the Prince of Wales—"I've got a feeling I'm falling."
BEDTIME STORY
The Story of Hiawatha and his little Tanha
There was once a tricky Tiger who had stolen a greedy gobb of Wild-Root when Little Hiawatha, the little son of old man Shinoa, leaped from the top of a meadow and shouted, "Going, going, gone!" But little Hiawatha, who was on a hunting expedition during the fishing season, immediately made a pass much by Little Tiger and gambolled meandering along before the cheery sunshine of the morning. But the goblin emerged from such mischief, wheeled about and belted him a beat on the bugle. Little Tanha, the daughter of Sargon, was watching all the time from her second story window, and when she saw her father madly running into the basement for the jedine; but as the bad salts would not revive her, she was ordered to send him in the foot with a bow and arrow causing a severe wound in his shoulder.
The fact that our hero's finger was broken caused a great upheaval in the Transcendence. An old stock market man quickly put a fuzzy slip of wood. Just then the Tanha stepped on the bottom of the Cherry Building and drifted early along until she settled softly with a great crash into the lap of her mother Tepeze. Loud groans issued silently from within the noisy tent, where the braves of the tribe were building themselves out of the bones and limbs of the last election. He leaped high into the bamy atmosphere and landed continued in the next issue.
MORAL—Never eat crackers in bed.
THE CASCADE LAUNDRY
Where your patronage is appreciated
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Phone Main 8825
WE USE SOFT WATER
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Opp. Daniel's & Fisher's
STERLING WORTH LEATHER SHOES
For the most discriminating college man—can be had at one of Denver's most exclusive Men's Shoe Shops.
The very latest styles and leathers in most all sizes are now in stock and at a price you are glad to pay. Just think! $5.00 for shoes that should sell for more.
"It is wise to be Thrifty"
STERLING WORTH SHOE COMPANY
1140 16th St.
Corner Lawrence St.
THE CASCADE LAUNDRY
Where your patronage is appreciated
"Denver's Most Progressive Laundry"
Phone Main 8825
WE USE SOFT WATER
WE CALL AND DELIVER
1547-49 Market St.
Opp. Daniel's & Fisher's
Lowery's College Bakery
Home Cooked Meals away from home
WE APPRECIATE YOUR PATRONAGE
4826 Lowell Gal. 7467
TYPewriters
All Makes and Prices
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ALL QUIET ON THE WESTERN FRONT
(Erich Maria Remarque
(Departmental Note—When we started this season in this department, we found that "All Quiet on the Western Front" by Erich Maria Remarque has become more and more popular from day to day. In fact it has taken the public's fancy to such an extreme that a motion picture has been made in which the characters of the book are given life and action in the personnel of the best character-actors of the screen. As a result we find it a delightful duty to review this book. Books of this nature flooded the market for the last year or two, and have placed before the public such a collection of contrasting stories of the casualties over there during the great Struggle of Nations that the public mind is saturated with disbelief.
We must, then, consider the wonder of the fact that when Erich Mario Remarque makes his volume "All Quiet on the Western Front" in the hands of the country, it was not put back on the shelf with the rest of the unsuccessful period, but was published and republished thousands of times; for the people, in spite of those existing novels of battle, recognized the truth as our author presents it in its simple but potent language.
A man must experience the powerful drama of war before he can thrill his grossnesses into the minds of his readers. When the army writer sets down experiences of this kind, he usually reproduces some of the various points that enter into his narration, rendering the writing as a whole unattractive and uninteresting for the first time. The interest and hides the true facts.
Mr. Remarque, however, holds strictly to the subject, stating the true events with very little descriptive decoration, events just as they occurred one after another through the various phases of the war. His point of view throughout is one that a common soldier might have taken of the ensuing battle. He tells the story, of course, of a German soldier, but it can easily be brought to apply to either side. The author writes little about the higher-ups—the men who really brought about the entire calamity.
So, we wish to say in passing that the book is one of the most powerful pleas for peace that has ever been written. It is a war novel, and it really should be read thoroughly by the American People.
Assembly Reopens
The first general assembly of the students to date was held on Wednesday, Sept. 18. Mr. Ryan was chairman in the stead of Mr. Vegher president of the student council who was unable to attend.
The chief business of the assembly was the preparation for the Regis-D.U. game. The plan for Friday's rally and the general organization of the students' party for supporting action at the game was ably outlined by Jim Close, our demonstration manager.
The upper classmen were exhorted to show their example of loyalty by taking active part in the demonstrations and cheering while the freshmen were warned to follow that example.
In the assembly copies of the school songs were distributed to aid in the rehearsal of the selections.
The students were favored with a few choice yells under the direction of our veterans' cheer leader, "Cowboy" Bynum. The applause that followed the cheers amply attested to the fact that "Cowboy" was an able leader.
Fr. Ryan urged the students to give their wholehearted support to the team. He expressed confidence that with such support the team would emerge victors in coming battles.
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H A M M E R & T O N G S
Yours Truly
Due to the failure of Joe College to return, there will be a meeting in room 8, Brown Hall on October 8, at which all candidates for this honor will be present. Those reporting must be equipped with the following: one Bulwark, one package of Murads and a bottle of Listerine. The honor will be conferred upon some one learning to play the ukulele.
There may not be a missing link among the Frosh, but some of them seem to have several links missing.
Two Regis men were seen on the street, one with drums the night of the D.U. game. This coincidence will print the secret of their success as soon as the book is copyrighted. The masterpiece is entitled "How to Do the Impossible."
"Judges, how much half of the players on the N.Y.U. squad will have their names mis-pronounced. We want 'bet they don't have their names changed by the homonymic way Regis squad did. The man who relayed the names from the field to the press was a Regis man; he had the playing of the lights. Will someone present a pair of glasses to this column? They will be forwarded to the person in need.
Remark of a Ranger after the D.U. game—"Well, I had a lot of fun anyway."
Who was the bell-ringer who lasted for one day?
If Henry Ford wishes to revive the old fashioned dance, he should hire the third floor fiddlers. This individual furnishing the music, a dance floor in the corridor, all were highly enthused—yeah!
Some of the fellows rented a baby Austin the night of the D.U. game. When they went to turn around one of them always stopped the other cars to save the top from getting scratched.
If popularity is judged by the number of visitors one has, the occupant of Room 9 is the most popular man on the campus. What such popularity must be deserved!
Was a certain brown Ford roadster made to go forward or backward? The sophomore owner of it can't seem to decide which.
By the way, have you noticed the students collect on the third floor? "The Village Blacksmith."
"A First Night at Regis
My mother, here am I, in atmospheres
Wherein the solemn name inviolate name
Is consecrated, I, a victim of the
Ago, behold the rising sun fling beams
Of liquid gold into the burning skies,
Drenching soul-sustaining, gladdening in
Our hearts, while heat as with a breath common
Roof; and now,—I see the pensive moon
Fling her reposing spirit wake and steal
In silence thru the star-inveaned skies,
Holding her pallid horn above the Eastern Ocean.
Hark! the breezes sing, and on
Their greenly lyres they sweep strange symphony
Of sweetest sadness like the heart that cares
For its lost love, and like the heart that weeps
In secret when a dove's pathetic moan
Unlocks the hidden treasury of its memories.
The stars, the stars, the stars, heard in
Hail sleep; 'tis purer than a gale's dreams
In soul-strutpering phantasies; 'tis lonelier
Than the moonless main where islands steep
Their silences limbs into the lone forsaken seas.
God of our Father, Spirit of Nature!
Thouremover of despair, giver of hope!
Of endless love, soles of faithful hearts,
Grant me to feel Thy taintless influence,
To grant me to feel Thy balm'ry breath caress
My restless beds, my lonely rooms.
The stainless orbs drop beams to tangle in
My tears and breathe a life-austaining sigh
Into my soul.
'Twas said, the nectar of
A poet's heart is fame and love; in proud
And mighty Regis there is both; our hearts
Are love-erowven, and our dauntless Team
Supplies a deathless fame. Hail Regis!
—Daniel M. Cejs (Athens).
Delta Sig Notes
On Wednesday, the twenty-fourth of September, the Sodality of the Blessed Virgin held its first meeting of the year. The term "sodality" means the membership of Frater O'Sullivan's society. The new officers elected last spring and those appointed this fall were in attendance.
Perhaps the new students at Regis are not altogether familiar with the purpose of the Sodality and the might of its patron. To say a few words here about it: The Sodality is by far the most important organization on the campus. The most prominent men of the campus are in its ranks. With the Blessed Virgin as its patron, it guides Regis men to high ideals and a pure practical spiritual life. It shows him the true value of a Catholic life reflected against the background of his own life. It is most probably a home not only now when one is a member of the college, but in later years also.
Students are the second members of the Sodality by attending the weekly meetings on Wednesdays from now until the end of the year. At which time members will be officially admitted into the organization. The Sodality is a man-to-man organization and it is highly recommended to come to the weekly meetings and join the ranks of a real Catholic organization. It is worth your time!
Sodality
The Delta Sigma club of the Commerce and Finance Department are entering the fifth year of being. During this time the club has grown from one of the minor clubs to one of the most important organizations on the campus.
Already this year the club has one regular meeting and another is scheduled for today. The members were very happy to welcome the new men enrolled in the Commerce and Finance Department. At the smoker the new men were introduced to the members and were given information concerning the coming dances.
In accordance with the recognized tradition, the occasion of giving the first dance of the year is reserved for the Delta Sigma. The date for the dance has not been definitely set but it is the consensus of opinion that it will be held about the thirtieth of October. The date is most probably be chosen because of conflicting arrangements for the tennis.
During the smoker Mr. "Porky" Flynn outdid himself by proposing a series of humorous dances to be held once a month to which he invited various business men from the city to meet the members and discuss present business practices and the problem arising from them.
Student Council
The Student Council members of last year held a meeting on October 24. The purpose of the meeting was the formulating of plans concerning the freshmen class. A committee took charge of making up the new caps and pledge cards. Class presidents were urged to call a meeting to elect their members to the student council.
According to the agreement reached in the last meeting in May, all organizations in the campus will have to have a representative in the Council to insure cooperation among the students.
As soon as the new members are admitted to the Council, a meeting will be called to take care of the business at hand. A Vigilance Committee will be organized, a Judge appointed for the Kangaroo Court and plans laid for conducting assemblies.
Press Club
The first Press club meeting was held on Sept. 17th in the Brown and Gold room. The new men were acquainted with the requirements necessary to enter the organization. Freshmen were asked to contribute towards one of their own choice so the student council could buy newspapers. Fr. Ryan addressed the club and gave the members new enthusiasm for the work to hand.
Razzers
The Regis Razzers, pep unit of the college, conducted a dance in the gymnasium prior to the Regis-D.U. game. Plans for the cheering section were in the hands of the Razzer committee. The full costume of the regular brown and gold blazer, dark trousers, white shirt and brown and gold tie. Jim Jones, president of the Razzers, and Jim Burke are leading cheers this year.
Lambda Tau
Laymen's retreats at Regis were attended by a large crowd of about fifty men from Denver and vicinity, and some from other states.
The retreats were conducted by Rev. A. J. Kohlman, S. J., Prof. of Sacred Eloquence at St. Stanislaus Seminary.
Rev. E. J. O'Boyle, S. J., Prof. of Moral Theology, St. Louis University.
Rev. F. J. O'Herrn, S. J., President of St. Mary's College, St. Mary's, Kansas.
Rev. Bismarck was unhappy; he was so sad. He didn't pray because he doubted the value of prayer; he believed in God but he was afraid to pray. In his condition, he was unconscious about committing crimes for the advancement of himself and his objects. He was a single man in order to make them for an idol to their moral destruction; his appearance of spiritual values was all as his own. He was so great that he made the earth his treasure and forgot his God. That is why Bismarck was unhappy.
Denver Jesuits who were at Regis this summer:
Quinn, President of Campion Preparatory School, Wis.; Fr. Murray from Creighton U. Omaha; Fr. McAndrews; Fr. Conway; Fr. Fitzgerald.
Organizations
Chemistry Club
The Chemistry club is under the direction of Fr. Keene, and for so new an organization it is causing great interest among those interested in chemistry.
At the present writing, Jones leads the Amateur Golfers. Looks like another title added to his long list.
Billy Phell, second baseman of the Portland Club of the P. C. L. made an unassisted triple play.
Toby Cobb Jr. reports for football practice at Yale.
Harvard predicts a very successful football season this year.
D. U. DEFEATS REGIS IN FIRST NITE GAME
17,000 FOOTBALL FANS SEE GAME
On the evening of Saturday, Sept. 26th, the Rangers, our own fighting football team, entered the Denver University stadium with a neat little pack of surprises for the Denver U. gridiron fans. Although the second half did not prove to be of great interest to Regis fans, the first half took the form of a series of gags from the Denver University supporter's viewpoint.
The first quarter opened with the Rangers kicking to the Pioneers. The Ranger line stiffened and when D. U. found themselves forced to punt, after an interchange of fumbles, the Rangers made possession of the ball on Denver's 38 yard line. Losing the first down, the Rangers kicked to the Pioneers who in turn were forced to punt. Taking the ball, the Regis eleven kicked it to the Denver University 42-yard line, where the Rangers threatened seriously to score; but a pass over the middle was knocked down in session of the ball. With an interchange of the ball going on in the first quarter, the Rangers managed to keep the ball well down on D. U.'s side of the lawn. The period ended O-O but the Pioneers were mighty lucky to have it end that way.
Just as the first period opened up with a bang so did the second quarter. The quarter was started under way, however, before Lady Fortune smiled on D. U. and Specken crashed thru his own left tackle and down the field. He failed to score a touchdown. He failed to kick the goal. D. U. kicked off to Regis. Noonan took the ball and carried down the field for a 58 yard return. A series of passes and runs by Finn, Noonan and Smith placed the ball on Denver U.'s 14-yard line. The crowd was wondering just what would happen next. Then the following play occurred. Martin, on a U. pass, intercepted a Ranger pass and ran the ball back to his own 26-yard line. A few plays later, Martin received compliment by stepping out and snagging himself a pass. On the next play, Martin, on a pass from Smith, was good for forty yards. The Rangers worked the ball to Denver's 12-yard line but here the Pioneers were stopped by a block of the slum squad being saved by Blakeney who intercepted a pass on his own 2-yard line. The half ended with the ball well down in D. U.'s territory and their possession.
The second half brought two altogether different teams on the field. Neither team played very bright football. They did it in the first. The Pioneers showed much more strength on the offensive and defense. Specken hit the ball for consistent gains and it was not long before he had pushed the ball to the 10-yard line. A pass that was tackled notted D. U. another touchdown. Another break-away by Noonan brought the final score of the period for Denver U.
The Fourth period brought nearly the same story for D. U. as for the third quarter. The Rangers fought hard to stay off the seventh yard line but they could not hold the D. U. powerhouse. During this final period the Pioneers narrowed the Regis goal line twice and Place once. Denver U. took the aggressive side during this period but the Rangers received the opportunity to relieve the Pioneers of the ball.
Although the score was 0-0, the Rangers did not lose heart or training. Everyone of the 20,000 fans who saw Regis play realized that they had seen a good game. The first half alone showed that we have a football team that has the stuff to win. The second half showed that the Rangers were not so successful at gaining yards from the time they attacked a total of 196 yards return back punts against their opponents. They punted 8 times for 338 yards gained. Their opponents who totaled but 137 yards in punts they completed 10 punts, passing more than their opponents, yet the score would indicate that they were not as successful as the opponents of the game. Consequently we will concede to Denver University that they do make a good team. We will maintain that we have a team that wins every time they play a good run for four quarters, and just who is going to claim the end of the score?
It looks as though the "Rajah" Hornsby will be the next manager of the Cubs.
Mark Noonan gave one of the finest exhibitions of punting in the D. U. game that has ever been seen in these parts.
Student Rally
If there were anyone in Denver U. that unaware that there was to be a football game between the University of Denver and Regis College, it was not because Regis students and faculty failed to tell them about it. The announcement of school system and athletic events was made with bang Friday morning at a small rally in the gym and its climax at the Civic Center this afternoon.
The night rally began at 7:30 after students with their friends and other supporters of Regis had gathered at 1831 and 1833 Broadway. Headed by James Close, Our able departmental manager, the parade then started its march down the downtown streets of Denver. The students were excited and well inspired by actor filled and Ranger boosters. As the parade went on it became more spirited; cheering, shouting, and singing filled the square. Large numbers of people gathered on street corners or at windows to watch or wave and applaud as it passed. When Civic Center was reached pop and enthusiasm was at its peak. A crash rib in the D. U. game.
John Stanko, lineman, who had injured shoulder and was forced out of practice, was expected to see action in the Aggie game.
Injured Players
The Ranger football squad has not as yet been seriously affected by the injuries that seem to follow some football teams more consistently than others.
The following players are the only ones that have been out for practice or who have been held out of the lineup on account of injuries:
"Butch" Vegher, veteran halfback unable to start until the Aggie game on account of cracked ankles received last summer.
Bill Doolan, veteran end, who was injured in the Denver U. game receiving an injured knee.
James McGraw, sophomore back, who received a sprained ankle in a practice game.
Tom Garvey, lineman, twisted his knee in the first scrimmage.
Moe Dryer, tackle, received two cracks ribs in the D. U. game.
John Stanko, lineman, who had injured shoulder and was forced out of practice, was expected to see action in the Aggie game.
Regis Coaching Staff
RED STRADER
HEAD COACH
OLE REARDON
ASSISTANT COACH
Touted Farmer Line Unable to Stop Regis
With renewed fighting spirit and a well functioning machine that proved to be a steamroller, the Ranger eleven turned back the heavy Colorado Aggie team in a night football game at the Denver University stadium. Instead of accepting the trouncing prepared for them by newspaper forecasts, our fighting team ushered the Aggie squad out of the stadium with a 14-7 defeat.
The score then stood: Regis 14, Aggies 7 and thus it remained until the end of the game. Fine and Place, the Rangers threw the Aggie backs for losses and held them for gains on their attempted power plays. Neither team attempted to score again but both evened contests to play head-to-head football, each team forcing the other to admit that defeat was looming ahead, the Aggies in the last minutes of play were unable to cross the Ranger goal via the aerial route but the Regis eleven never missed an opportunity to crush the Aggie defenses.
The Ranger squad was very fortunate in evading old jinx "injury." The only Vagabone of our all-singing veterans back on the field was not among the Rangers settled down for the evening and began to break the Aggie powerhouses. After working the Rangers back against their own goal, the Aggies found themselves unable to cover the remaining yards to the touchdown. A placekick by Day failed only by inches and thus the first quarter finished.
The second quarter started off with a mere 0-0 "Fourth of July" score. The Aggies were unable to show the crowd that they were out of touch with too and unnecessary flags. One time, however, it was in this period that the Farmers succeeded in making their only score. A pass from the Bishop Regis punt placed the Aggies in possession of the ball near the Ranger 11 yard line. They tried to play off the gun but failed for the score. The extra point was made. From this point on, the Rangers were in control of the cradle. It was not long until Cowboy Smith with the aid of fine interference had completed a 20 yard rush taking downs on the Aggie 22 yard line. The next play brought the first touchdown down, a pass from Finn to Noonan. Jones kicked the goal closing the half and the score.
It was not long in the second half but Cowboy Smith assisted by beautiful interference raced 58 yards for the second Ranger touchdown. Jones promptly added the extra point.
Once more the dole box has been upset! Our FIGHTING Ranger team proved to the 6,500 fans who last Saturday night watched them in action that we have a football team that can cross the goal of major conferences and do a mighty good job of it too!
The starting lineup is as follows:
| POS | NAME | COL. | AGGIES |
|-----|----------|------|--------|
| WR | Wilson | le | Orme |
| WR | Dais | lt | Kerr |
| WR | Jones | lg | |
| WR | Crawford | c | Frank |
| RB | Dryer | rg | Kassel |
| RB | McDonald| rt | Rector |
| FB | Jones | re | Madden |
| QB | Noonan | qb | Sartorius |
| FB | Fini | lh | White |
| FB | McGregor| fb | Stephens |
| FB | Smith | rh | Day |
Coach Strader made but two substitutions. They were: Kirby for Dryer and Torres for Smith.
Recommended by The English Department of REGIS COLLEGE WEBSTER'S COLLEGIALE
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C.72-a |
DETERMINATION OF 3D FIBER ORIENTATIONS IN REINFORCED THERMOPLASTICS, USING SCANNING ELECTRON MICROSCOPY
Luc Avérous, Jean C. Quantin, Dominique Lafon, Alain Crespy
Ecole des Mines d'Alès, Laboratoire matrices-matériaux minéraux et organiques, 6 avenue de clavières, 30319 Alès, France
ABSTRACT
This paper describes techniques allowing the determination of three-dimensional orientations of fillers, in fiberglass reinforced thermoplastics, using scanning electron microscopy. To measure orientation angles (in-plane and inclination angles), it's necessary to individualize each particle. Segmentation operations are done by watershed on a filtered distance function. Two sectioned surfaces with different section angles must be studied, to construct the total 3D orientation distributions. A good representation of results is given by density stereographic projection, that offers very synthetic informations.
Key words: fiberglass reinforced thermoplastics, scanning electron microscopy, segmentation, three-dimensional orientation distributions.
INTRODUCTION
Fiberglass reinforced thermoplastics are increasingly used in a great number of applications. Fibers bring to the thermoplastic matrix, better mechanical properties like stiffness, impact resistance, etc... Properties of such materials depend strongly on microtextural characteristics (Guild and Summerscales, 1993; Avérous et al., 1994) such as fiber orientations. So, using image analysis, we investigate fibers orientation distributions, in order later to establish correlations with macroscopic properties.
When material is sectioned and the surface polished, the elliptical mark of the fiber is used to determine the orientation Euler angles ($\phi$ in-plane angle and $\theta$ inclination angle) (see Fig. 2).
In the last decade, some authors have followed similar approaches. Using reflection microscopy: Fischer and Eyerer (1988), Toll and Andersson (1991), O'Connell and Duckett (1991), Hine et al. (1993) developed processes of orientation determinations. But, for the same ellipse we get two possible orientation angles. And, these approaches do not manage totally the problem of ambiguity of $180^\circ$ on $\phi$ determination.
To the authors' knowledge, only Archenhold, Clarke and Davidson (1992; 1993), using a confocal scanning laser microscope, propose a process allowing to determine real three-dimensional orientations. Unfortunately, this type of instrument is until now, expensive and not very usual.
We propose, using a scanning electron microscopy (S.E.M.), to get the same kind of characterizations.
MATERIALS AND METHODS
In this study, the thermoplastic used is polypropylene, containing 30% by weight of short fiberglass. Cut thread provides fibers whose length is typically 100 microns and the diameter 13 microns.
The material is supplied in the form of end-gate injection bar (section: $10 \times 4$ mm$^2$).
Once the bar sectioned, great care must be taken to the preparation of the surface by polishing with finer and finer abrasive.
The full section under study is sampled in investigation zones of equal surface ($1 \times 1$ mm$^2$), using a diamond point.
Observations are done by electronic microscopy (backscattered electrons) with a high accelerating voltage in order to get an important focus depth. So, it is possible to detect the plunge sense of the fiber, the direction of penetration; using as indicator, the clearer trail visible at an extremity of the ellipse (see Fig. 4 and 5).
The image analysis system is composed by a personal computer (Intel i486), a digitalization card (Matrox 1024) and a dedicated image analysis software (Visilog version 3.6).
Images are transferred from the S.E.M. (Jeol 35CF) to the image analysis system directly through electronic connections. Electronic deformations are corrected by interpolation transformations on images. We obtain grey level images of $512 \times 340$ pixels (see Fig. 4).
Treatment of grey level images is quite simple. Top hat transformations (Serra, 1982; Coster et al., 1989) are processed to clean the picture. After thresholding operations, it is necessary to separate touching fibers, in order to individualize and labelize each one.
For the separation of connected particles, we use as marker the proximity of two reflex angles. Segmentations are done in several phases. First, the binary image must be filtered, we eliminate artefacts and fibers' ends by operations of erosion/reconstruction. Then, we process a distance function on the cleaned image.
But a determination of watershed lines (Beucher, 1990) on the inverted distance function leads to oversegmentation. The particle could be cut into two connected elements by a simple noise on the particle contour (Gratin et al., 1991).
So at first, it is necessary to filter the distance function. Our approach is to subtract maxima functions to the initial distance function (see Fig. 1).
Fig. 1. Filtering of distance function.
Once touching fibers separated (see Fig. 6), we can measure on each particle parameters to determine later inclination angles.
The in-plane angle $\phi$ is calculated using second moments of inertia (Stobie, 1986):
$$\phi = \frac{1}{2} \tan^{-1}\left[2M_{12} / (M_{20} - M_{02})\right]$$
The in-plane angle $\phi$ presents a first indetermination of $90^\circ$, removed using the sign of difference between $M_{20}$ and $M_{02}$.
To remove the ambiguity of $180^\circ$ that remains on $\phi$, we use the shift of the particle centroids between two binary images (see Fig. 5), result of a double threshold (low and higher) on a same cleaned grey level image. Between the first and second thresholded image, we note an evolution of the particles centroids from which, we can determine plunge sense of fibers. The centroids are measured by determination of the first moments $M_{10}$ and $M_{01}$ on each labelizied particle.
Fig. 4. Grey level image.
Fig. 5. Shift of centroids with threshold levels.
Fig. 6. Binary image filtered with separated particles.
Generally, the inclination angle $\theta$ is determined by: $\theta = \cos^{-1}(a/b)$. Parameter "a" is the minor axis length and "b" the major axis length of the particle. But, the factor "a" could be advantageously substituted (Toll et al., 1991) by $4\pi \text{area}/(\pi b)$.
Stobie (1980) determined parameters $a$ and $b$, using the second moments. This approach, we have tested, seems to be less sensible to noises on the particle contours. So, we calculate $\theta$ by the equations:
$$a^2 = 2(M_{20} + M_{02}) + 2\left[\frac{(M_{20} - M_{02})^2 + 4M_{11}}{2}\right]^{\frac{1}{2}}$$
$$b^2 = 2(M_{20} - M_{02}) - 2\left[\frac{(M_{20} - M_{02})^2 + 4M_{11}}{2}\right]^{\frac{1}{2}}$$
The probability for a fiber to be cut, and to be entirely included in the measure mask (fibers adjacent to the measure mask are eliminated) is a function of the inclination angle. So, to remove this bias, each selected fiber is weighted by $1/\cos \theta$ (Stoyan et al., 1987).
For a nearly circular particle, $\theta < 30^\circ$ (Clarke et al., 1991), error involved in the determination of the inclination angle is important and produces a strong incertitude zone. An approach is to cut the sample at a different angle, $\psi=60^\circ$, from the precedent sectioned surface (see Fig. 3), producing a different incertitude zone.
For $\psi>0$, using Euler angles, it's necessary to convert apparent angles $(\theta(\psi=60), \phi(\psi=60))$ to $(\theta(\psi=0), \phi(\psi=0))$ (Archenhold et al., 1992).
With both populations, it is possible to reconstruct all the orientation distributions without particular incertitude zone.
Advantageously, synthetic results of orientation distributions are presented on stereographic projection. Fibers are projected on inferior hemisphere.
RESULTS-DISCUSSIONS.
The sampling strategy adopted during this study is relative to the injection process. So, using the two planes of symmetry, we investigate only a quarter of the studied section (see Fig. 7).
We determine 10 sampling zones of equal area; each one, is described by image frames. Hundreds of fibers are analyzed for each zone.
Results presented in Fig. 8 are very significant. We present for each determined sampling zone the stereographic plot of density.
Principal fibers orientations are marked by highest densities. We can note a different orientational state between the skin (border) and the heart (center) of the end-gate injection bar.
In this case, with this polymer and these fibers, with these conditions of process: fibers nearest the border are parallel to the border. On the other hand, fibers orientation is less notable in core.
Perspectives of this study are important and notably establish relationship between fibers orientation and thermo-mechanical properties of the material. Except, this orientational point, microtextural characteristics are also described by other aspects such as the dispersion of fibers in the matrix.
Fig. 7. Sampling strategy for a section perpendicular of injection direction.
Fig. 8. Density stereographic plots.
REFERENCES
Archenhold G, Clarke A, Davidson N. 3D microstructure of fibre reinforced composites. SPIE Biomedical Image Processing and Three-Dimensional Microscopy 1992; 1660: 199-210.
Avérous L, Quantin JC, Lafon D, Crespy A. Microtextural characterization of fiberglass reinforced polypropylene: Effect of the filler size. Les Diablerets, Switzerland: ISPAC-7, 1994.
Beucher S. Segmentation d'images et Morphologie mathématique. Thèse de L'Ecole Nationale Supérieure des Mines de Paris, 1990.
Clarke A, Davidson N, Archenhold G. A large area, high resolution image analyser for polymer research. Sunnyvale CA: Transputing'91, 1991: 31-47.
Clarke A, Davidson N, Archenhold G. Measurements of fibre direction in reinforced polymer composites. J Micros 1993; 171: 69-79.
Coster M, Chermant JL. Précis d'analyse d'images. Presses du CNRS, 1989.
Fischer G, Eyerer P. Measuring spatial orientation of short fiber reinforced thermoplastics by image analysis. Polymer Composites 1988; 9: 297-304.
Gratin C, Meyer F. Mathematical morphology in three dimensions. Acta Stereol 1991; 11: 551-558.
Guild FJ, Summerscales J. Microstructural image analysis applied to fibre composite materials: a review. Composites 1993; 24: 383-393.
Hine PJ, Duckett RA, Davidson N, Clarke AR. Modelling of the elastic properties of fibre reinforced composites I: Orientation measurement. Composites Science and Technology 1993; 47: 65-73.
O'Connell PA, Duckett RA. Measurements of fibre orientation in short-fibre-reinforced thermoplastics. Composites Science and Technology 1991; 42: 329-347.
Serra J. Images analysis and mathematical morphology. New York: Academic Press, 1982.
Stobie RS. Analysis of astronomical images using moments. Journal of the British Interplanetary Society 1980; 33: 323-326.
Stoyan D, Kendall WG, Mecke J. Stochastics geometry and its applications. Chichester: J Wiley & Sons, 1987.
Toll S, Andersson PO. Microstructural characterization of injection moulded composites using images analysis. Composites 1991; 22: 298-306. |
mutable: A Modern DBMS for Research and Fast Prototyping
Immanuel Haffner
Saarland University, Saarland Informatics Campus
Germany
email@example.com
Jens Dittrich
Saarland University, Saarland Informatics Campus
Germany
firstname.lastname@example.org
ABSTRACT
Few to zero DBMSs provide extensibility together with implementations of modern concepts, like query compilation for example. We see this as an impeding factor in academic research in our domain. Therefore, in this work, we present mutable, a system developed at our group, that is fitted to academic research and education. mutable features a modular design, where individual components can be composed to form a complete system. Each component can be replaced by an alternative implementation, thereby mutating the system. Our fine-granular design of components allows for precise mutation of the system. Metaprogramming and just-in-time compilation are used to remedy abstraction overheads. In this demo, we present the high-level design goals of mutable, discuss our vision of a modular design, present some of the components, provide an outlook to research we conducted within mutable, and demonstrate some developer-facing features.
1 INTRODUCTION
Bobby Tables is a young Ph.D. student in the field of database systems, who just recently started doing his own research. Bobby has an idea how to compute join orders more efficiently. At some point, Bobby has to implement his idea to perform an empirical evaluation. Bobby now has to make an important decision: He can (1) implement his idea in an existing (open-source) system or (2) implement his idea stand-alone, i.e. not integrating it into a system. Bobby asks for guidance from his Ph.D. advisor, who tells him that there are strengths and weaknesses to either approach and presents the following arguments regarding implementation in an existing system:
+ Bobby can save some development effort by implementing his approach in an existing system. He will be able to rely on a rich infrastructure taking care of many things unrelated to his topic of research, e.g., parsing and semantic analysis, concurrency control, buffer management, storage, or query execution.
+ When related algorithms have been implemented in the same system, Bobby can use them “off the shelf” for his evaluation.
+ There is always this one reviewer that expects you to evaluate your approach in a real database system. Bobby can consider it done.
− System-specific design decisions may (negatively) affect experiments. In the case of join ordering, a system with particularly slow query execution may dwarf Bobby’s improvements over related works when comparing end-to-end workload execution times.
− Bobby may have to re-implement related algorithms in the chosen system, somewhat contradicting the argument of saving development effort.
− Alternatively, Bobby can evaluate implementations in other systems. However, this has the significant downside of leading to an “apples to oranges” comparison. In the case of join ordering, different systems may use different cost models, different cardinality estimation, or simply deploy more or less efficient data structures. All these factors can obfuscate Bobby’s empirical findings.
After some consideration, Bobby decides to implement his join ordering algorithm in an existing system. But which system should he choose? Bobby searches online for some candidates and quickly finds the Database of Databases (dbdb.io). The site lists a whooping 875 database systems as of December 2022. Bobby is convinced that he will find a suitable system for his implementation among these many candidates. He uses the filter to refine his search to systems of “Academic” or “Educational” type and having a relational data model. Surprisingly, from the initial 875 systems only 34 remain. Still, Bobby is confident as he spots some famous research projects within the list: PostgreSQL, HyPer, MonetDB, DuckDB, and NoisePage, to name a few. Bobby takes a closer look at the open-source systems to understand how he can implement and integrate his join ordering algorithm. He finds that all systems provide some form of (online) documentation. However, the documentation is mainly targeted at database users and administrators. Sometimes, the documentation also includes a description and motivation of internal design decision, e.g., what algorithm for join ordering is implemented in the system. Some systems provide APIs and accompanying documentation for extending the supported data types or implementing user-defined functions or for embedding a system.
Sadly, no system provides a documentation targeted at database researchers and developers, that would explain how new algorithms for solving a particular database problem – like join ordering, for example – can be implemented in the system [3, 9, 20, 23]. From Bobby’s point of view, it is unclear whether such APIs even exist and proper documentation is just lacking. In addition to these problems, the aforementioned systems generally do not ship with alternative implementations of the same system component, e.g., different algorithms for computing join orders. This is cumbersome for Bobby, as he cannot easily pick up and evaluate algorithms of related works.
The tragedy of Bobby Tables is a story many Ph.D. students and post-doctoral researchers are familiar with. For this reason, in this paper, we propose a new database system that is designed for researchers, scholars, and developers. We present a system that can serve as a universal framework for implementing and experimenting with new database technology and that can serve as a common test bed for experimental evaluations. What would such a system have to look like? How would one design such a system? This work is a mix of a system and a vision paper.
1.1 Outline
In Section 2, we present our design goals, contrast to prior work, and propose our approach with mu/able. Section 3 to Section 7 present some of mu/able’s features, both conceptually and by example.
2 DATABASE SYSTEM DESIGN
To help Bobby out of his misery, we want to design a database system that is mainly targeted at academic research. We work out the following design goals that we deem inevitable to foster efficient research and education.
2.1 Design Goals
Extensibility. The DBMS should be easily extensible to augment it with new algorithms. There should be as little obstacles as possible to get started developing with the system. Proper documentation and clean APIs will go a long way to fulfill this design goal.
Separation of Concerns. When implementing a new algorithm in the DBMS, one should not need to know about implementation details of the remainder of the system. The system should be split into individual components. Each component will fulfill a single purpose and is independent of other components. In particular, components shall appear to the outside as stateless and hence make it impossible to rely on internal state. This principle must guide the design process of the API.
Abstraction… To enable easy adoption by practitioners and researchers, abstractions are necessary to focus attention on details of importance to our community. With abstraction, we can form a common “language of symbols” we operate with. To achieve this, types, functions, classes, and methods should be named and designed in consistence with academic terminology and usage. Complex theoretical constructs need to be broken down into atoms and the system should be designed around these atoms.
…without regret. Traditionally, abstraction in software design comes at a cost. For example, abstraction through interfaces (or abstract classes) comes at the cost of dynamic dispatches, posing a considerable overhead for frequently called functions. Abstractions, in general, pose artificial boundaries that hinder a compiler from specializing and aggressively optimizing code. Enabling aggressive optimization by the compiler and avoiding overheads from dynamic dispatches will be absolutely necessary to achieve maximum performance.
These design goals are very broad and are fitting to any software system. In the following, we will elaborate in more depth how these goals apply to a database system and how we aim to achieve them.
2.2 Related Work
Certainly, each of the aforementioned design goals has already been studied by our community. We therefore briefly revisit prior work and emphasize potential shortcomings in their design.
Extensible DBMSs can be dissected into two groups. The first group contains “complete” DBMSs with support for extending the system by a user. Such systems may allow for introducing abstract data types (ADT) into the language by implementing them in a domain-specific language (DSL). Other common extensibility features are custom storage techniques or data access methods.
Systems belonging to this group are ADT-Ingres [28], R²D² [14], PostgreSQL [25, 27], Starburst [12, 26], and DuckDB [24].
The second group is formed of systems providing “DBMS building blocks” to ease the construction of specialized, purpose-built systems. Two ambassadors of this group, that have a strong academical background, are GENESIS [5] and EXODUS [8]. GENESIS provides a “file” (storage) management system, named JUPITER, that is composed of several layers. JUPITER provides several implementations for each layer and can be arbitrarily composed by selecting one implementation for each layer. For example, to implement a new buffer management strategy in GENESIS, one must first implement JUPITER’s buffer management layer and then configure JUPITER to use this implementation for buffer management. While GENESIS’ extensibility revolves around storage management, EXODUS aims to provide a framework for building a custom DBMS. EXODUS ships with a generic storage manager with support for concurrent and recoverable operations on objects of any size, a library of type-agnostic access methods, a query optimizer generator, and tools for constructing query language front-ends. While EXODUS provides much flexibility, it does not provide a complete, off-the-shelf DBMS. Of all these extensible systems, none fulfills our goal of abstraction without regret. The authors of GENESIS not only acknowledge this fact, but even envision how to resolve this issue in the future:
From the side of software development, a technology is needed to compose layers of software at compile time (not at run-time as we are now doing). Compile-time composition has the potential of eliminating unneeded generality […] through code simplification.
— Batory et al. [5]
Consequently, systems that compile queries naturally fall into this category: While allowing for composition of (physical) operators to form a query plan is an abstraction, compiling the final plan produces code free of (or with less) abstractions [13, 15, 16, 18, 21]. However, dbdb lists only a single database system of “Academic” or “Educational” type that performs code generation, namely NoisePage. It appears that NoisePage is the only open-source, relational database system capable of achieving abstraction without regret. However, this system appears not to be designed for extensibility or exchangeability of components.
2.3 Our Approach: The mu/able System
As we did not see a single DBMS sufficiently satisfying our aforementioned design goals, we decided to start building a new database system, named mu/able [‘mu/ju/tabl’]. Our system aims to fulfill our design goals, as we elaborate next, and it is particularly fitted for academic research and education.
Extensibility. To achieve extensibility, mu/able is a system composed of independent components. We provide a visualization of this concept in Figure 1. This design is very similar to that of GENESIS’ storage system JUPITER (Section 2.2). Each component in the system fulfills a single, logically isolated task, e.g., plan enumeration for query optimization. Different implementations of the same component can easily be interchanged to mutate system behavior. Therefore, the system can easily be extended by providing a new implementation of a component.
Separation of concerns. A separation of concerns is achieved through a paradigm named “The Value is the Boundary” that was proposed by Gary Bernhardt at SCNA 2012 [6]. To us, this paradigm means that the components appear to the outside world as stateless. They take values (potentially in the shape of data structures) as input, and they produce values (again, potentially data structures). Components shall not be dependent on internal state of other parts of the system. This design guarantees that a developer of one component need not be concerned with the implementation of any other component in the system. Dissecting the intrinsic logic into separate components and defining the “values” that need to be communicated in between is one of the crucial design processes involved in building mu/able. Naturally, we must represent state at some point. This is what Gary Bernhardt named the imperative shell. It is an imperative layer that connects the individual components, communicates the values between them, and holds the state of the system. Our work on mu/able aims to provide both, an implementation of this imperative shell and the development of components. In Section 2.4 we elaborate the concept of imperative shell, and in Section 3 and following we elaborate the design and development of components.
Abstraction… Abstraction is achieved by designing types, classes, methods, functions etc. in consistence with their academic usage and using the nomenclature common in our academic research.
…without regret. To achieve abstraction without regret, we envision a development process that heavily exploits metaprogramming to eliminate abstractions, as envisioned by Batory et al. [5]. For this purpose, be build on specialization through template-based metaprogramming and just-in-time (JIT) compilation. More precisely, we are developing a DSL that gives developers the impression of writing regular, imperative code. In the background, execution of that DSL code actually produces code that is compiled and executed. Compilation and execution of such generated code is handled implicitly by mu/able. The developer need not be concerned with this process. By compiling (and potentially optimizing) this code, mu/able is able to avoid abstraction overheads when executing the compiled code. Consider, for example, the development of a multi-version concurrency control (MVCC) algorithm, where each executing query must produce its read- and write-sets. In a traditional system, the MVCC component might have to register callbacks at the storage component to be informed of any read and write operations. Each such callback is an indirect function call, introducing unnecessary overhead to query execution. If this approach were implemented in mu/able, however, the MVCC component would register callbacks at the storage component that are implemented in our DSL. As a consequence, when the query is compiled, the code for data access is directly augmented by code to generate the read- and write-sets. Thereby, the indirect call that was originally necessary to achieve abstraction has been eliminated.
In the following sections, we present several features of mu/able in detail. We believe that these features make the system an appealing choice for researchers. We accompany our feature presentation with examples, such that the reader can observe how our implementation fulfills our design goals.
2.4 mu/able: The Imperative Shell
As we explained above, components are designed to provide no observable state to the outside. This guarantees that no part of the system may rely on implementation details exposed through internal state. Further, this level of encapsulation guarantees that components can safely be exchanged. However, a database system is an inherently stateful system. This state must be represented somewhere. Observe that, though the components themselves are stateless, they consume and produce values that represent state. These values must be communicated / passed between the components of the system, and they may be stored to persist state. This is exactly the task of the imperative shell. It connects the components, it controls the flow of data between them, and it represents state by storing values produced by components. Thereby, the imperative shell defines the interfaces of components, in terms of values consumed and produced.
Let us make this more concrete with an example. The tables of a database system represent state and are held within the imperative shell. However, the logic that operates on tables may be implemented in an execution backend component. Different backends may implement operations differently, yet they must all adhere to some common specification.
3 COMPONENTS
Problem. In systems research – like our domain – it is necessary to conduct empirical studies to evaluate novel approaches. More so, we must also evaluate prior work to enable comparison and to contrast to our own work. In this process, it is important to perform the evaluations of both our and prior work under the exact same conditions. Only then can we truly compare our experimental findings and draw conclusions. However, this process is frequently disturbed. Consider, for example, the scenario that the original implementation of an algorithm is completely inaccessible. In this case, we must reimplement this algorithm to conduct our evaluation. Thereby, we may unknowingly improve or deteriorate the original algorithm. Nevertheless, reimplementation causes delay to our research. In an alternative scenario, the algorithm might be available, but as part of a complete system. In that case, we can fit our evaluation to the respective system. We must take great care to replicate the conditions under which the algorithm is evaluated. And yet, specifics to the system may unwittingly alter the experimental results.
Vision. Ideally, all algorithms of all related works are directly available for evaluation within a unifying system. Further, these algorithms all implement a common interface. This common interface guarantees that the conditions, under which evaluations are performed, are identical: all implementations share the same ‘view of
Listing 1 Interface of the PlanEnumerator component.
```cpp
struct PlanEnumerator {
// Enumerate feasible plans for query \p G.
// \param G graph representation of the query
// \param CE cardinality estimator component of the queried database
// \param CF cost function to minimize
// \param PT table of best plans found, with one entry per feasible partial plan
// ...
virtual void enumerate_plans(
const QueryGraph &G, // value (in)
const CardinalityEstimator &CE, // component
const CostFunction &CF, // component
PlanTable &PT // value (in & out)
) const = 0;
};
```
Table 1: Incoming PlanTable for the invocation of the PlanEnumerator. The PlanTable has been populated with entries for single relations.
| Relations | Cardinality | Cost | Plan |
|-----------|-------------|------|------|
| {R} | 50 | 0 | R |
| {S} | 20 | 0 | S |
| {T} | 35 | 0 | T |
Table 2: Final PlanTable after the invocation of the PlanEnumerator. Note that there is no entry for {R, T} since our implementation in Listing 2 does not consider Cartesian products.
| Relations | Cardinality | Cost | Plan |
|-----------|-------------|------|--------|
| {R} | 50 | 0 | R |
| {S} | 20 | 0 | S |
| {T} | 35 | 0 | T |
| {R, S} | 17 | 17 | R && S |
| {S, T} | 15 | 15 | S && T |
| {R, S, T} | 7 | 20 | R && (S && T) |
the world”. Because of the common interface, all implementations are completely interchangeable.
Our approach. The mutable system is composed of many components, as illustrated in Figure 1. For each component, we have devised an interface that describes precisely what information a component receives as input and what information a component produces as output. The process of designing component interfaces follows the principle “The Value is the Boundary”, proposed by Bernhardt [6]. As we shall see in the following, this design principle allows for clean separation of concerns, enables isolated testing of components, and further enables experimentally evaluating components in isolation of the remainder of the system.
Example. To exemplify our approach, let us look at mutable’s interface for (logical) join order optimization. In mutable, join ordering computes for a given query graph a partial order in which sets of relations are joined. Figure 2 shows an example of a query graph. To compute a join order for this query, mutable invokes the PlanEnumerator component through the interface presented in Listing 1. The first argument to invocation is the query graph. The second argument is the CardinalityEstimator component. Its task is to estimate the cardinality of any given set of relations of the query graph, e.g., to estimate $\text{cardinality}(R, S) = 17$. The third argument is the cost function to minimize with optimization. The fourth argument is a PlanTable, a data structure similar to a dynamic programming (DP) table. Although the PlanTable can be used for computing a join order via dynamic programming, it can also be populated with entries in any other fashion. The PlanTable is expected to be populated with entries for single relations, as exemplified in Table 1. The result of invoking the PlanEnumerator is a PlanTable populated with entries that form a valid logical plan. Table 2 shows the final PlanTable after join ordering.
We can observe how the PlanEnumerator component fulfills “The Value is the Boundary”: To the outside world, a PlanEnumerator instance appears stateless. It consumes and produces values but it does not leak any state information, thereby preventing other components from relying on internal state. At the same time, the PlanEnumerator uses other components, namely CardinalityEstimator and CostFunction. These components appear stateless to the outside, too. To evaluate a PlanEnumerator – be it for testing or benchmarking – it suffices to (1) construct the QueryGraph, (2) provide CardinalityEstimator and CostFunction components, and (3) initialize a PlanTable. The ease with which we can isolate a PlanEnumerator from the remainder of the system makes testing, debugging, and benchmarking very accessible.
Now that we have seen the conceptual design of the interface, we will actually implement a PlanEnumerator. We will implement algorithm DP_{\text{Ccp}} by Moerkotte and Neumann [19]. To do so, let us go through the actual implementation of DP_{\text{Ccp}} in mutable, given in Listing 2. In line 3, we get a handle on the graph’s adjacency matrix. This data structure enables us to efficiently enumerate all pairs of connected subgraphs (CSGs) that are connected to one another. In line 4 and 5, we define a lambda, that takes a connected CSG pair as parameters left and right, and forwards it as a newly found plan to the PlanTable. Finally, in line 7, we let the adjacency matrix M enumerate all connected CSG pairs and provide the lambda of line 4 as callback. Eventually, when the PlanEnumerator returns after enumerating all plans, the PlanTable will contain an entry with the final plan, e.g., as in Table 2.
Our example demonstrates how concise mutable’s API is. With only 5 lines of code we are able to implement a state-of-the-art algorithm for join ordering. Of course, the complex graph traversal of DP_{\text{Ccp}} is realized by the adjacency matrix and remains completely hidden through the use of a callback function. Nonetheless, the code strongly expresses intent and almost appears to be a conceptual description of the algorithm. Also observe that our implementation does not rely on any implementation details of other components and fulfills only a single, isolated task: enumerating plans. This design lets a researcher easily exchange this particular implementation for another in the system.
With respect to abstraction overheads, we should note that PlanTable is not an abstract type. Further, PlanTable::update() is implemented in a header file and its implementation resides within
the same translation unit as our DP\textsubscript{cpp} implementation. The compiler will therefore inline the call to PT.update() and abstraction overheads are eliminated through compile-time composition. The same holds true for \texttt{for\_each\_CSG\_pair\_undirected()}.
4 CODE GENERATION
Problem. In the previous section, we avoided abstraction overheads by relying on the compiler’s ability to inline calls. However, this technique is not always applicable. Abstract types with virtual methods are sometimes necessary to achieve extensibility or composability. This is particularly true for query execution, where the query plan is a tree composed of abstract nodes and even within nodes we have abstractions, e.g., for expressions. To remedy abstraction overheads, queries can be compiled to machine code. However, we still see three problems impeding research in that direction: (1) Systems building on LLVM [2], a rich compiler infrastructure, simply cannot achieve peak compilation speed as LLVM is not built for JIT compilation [11]. (2) Many compiling systems are not openly accessible, preventing extending, modifying, or even properly evaluating the query compilation process. (3) Systems that are openly accessible usually provide a low-level interface to code generation, that is similar to LLVM. Such an interface exacerbates adoption by DBMS researchers that are not compiler experts [10, 15].
Vision. Adoption of query compilation should not be any harder than directly implementing an algorithm in the programming language the DBMS is written in. The implementation should express the intent of the algorithm and must not be strictly coupled to the code generation process. Code generation should be designed with JIT compilation in mind. A suitable intermediate representation (IR) and compiler infrastructure should be provided.
Our approach. We believe that a key technique to realizing our vision is metaprogramming. It allows us to pretend to the developers that they are writing regular code while code generation is performed in the background. This technique is becoming increasingly popular, e.g. LegoBase [15], Hyper [22], Umbra [15], and Ploufnder IR [10] provide DSLs for code generation through metaprogramming. We have therefore developed a deeply-embedded DSL in C++ with a similar syntax to C++, that makes transitioning back and forth between DBMS code and generated query code seamless. We provide an implementation of the backend component with WinAssembly as IR and Google’s V8 engine for JIT compilation and adaptive execution. In this work, we will only superficially describe our approach and focus on examples. Please refer to our separate work on JIT compiling SQL through WinAssembly to machine code with Google’s V8, that is published at EDBT’23 [13].
Example. In our example in Listing 3, we will implement code generation for selection with short-circuit evaluation of the selection predicate. For this section, it is sufficient to focus on lines 5 to 16. We will explain the remainder in the following Section 5. Lines 5 to 7 declare the execute() method that “executes” the operator. In the context of code generation, this method actually generates the code for this operation. In an interpreting execution backend, this method would indeed execute the operator. This method’s first parameter is the match, describing what part of the logical plan to execute. We elaborate this further in the following Section 5.
Listing 3 Implementation of selection via conditional branching and short-circuit evaluation of the selection predicate.
```c++
struct Sel : PhysicalOperator<CRTP type>
{
SelectionOp // pattern of logical operator(s) to match
> M;
static void execute(const MatchSel& M,
CodeGenContext& ctx,
const consume_t consume) {
/* Inject our code generation into that of our child. */
M.child.execute((&M._ctx, consume), std::move(consume))();
/* Compile selection predicate. */
auto pred = ctx.compile(M.selection_predicate());
/* Conditional branching w/ short-circuit evaluation. */
if (pred) {
/* Exit code for the remainder of the pipeline. */
consume();
}
}
};
```
The second parameter is the code generation context. It holds information necessary for code generation, e.g., an environment of named variables required to compile SQL predicates. The third parameter is a callable that “executes” the remainder of the pipeline. Note, that our model works slightly different from Neumann’s produce/consume model, that was initially used in HyPer [21]: rather than having produce() and consume() methods, we use a lambda to inject the consuming code into the child’s code generation. Our approach is very similar to the approach proposed in the LB2 query compiler [29], that was later adopted by HyPer [22]. In line 9, the handle M.child points to the physical operator implementing the logical child of the matched selection. On this child, we invoke execute() and pass as argument a lambda, that is defined in the following lines. In line 11, the lambda uses the CodeGenContext to compile the selection predicate to an abstract syntax tree (AST) in the underlying IR. In line 13, the lambda performs a conditional branch based on the compiled predicate. Note the particular uppercase IF and the semicolon after the closing brace in line 16. This is our DSL, that mimics C++ in its syntax. Behind the scenes, the IF generates code with a conditional branch and performs short-circuit evaluation of pred. DSL code in the then-block emits IR that is only executed when the predicate is satisfied. In line 15, the lambda invokes consume() to emit the consuming code of Sel’s parent. DSL code executed by consume() emits code within the then-block. This means, code generated further up in the same pipeline will only be executed if the selection predicate is satisfied.
While there is some boilerplate code in Listing 3, the actual code generation happens in lines 11 to 15. Because of our DSL, that code is understandable by developers unfamiliar with code generation or compilation. Even more, we believe that with little practice developers will be able to benefit from compilation through metaprogramming with our DSL without necessarily having to understand the processes behind it.
5 PHYSICAL OPTIMIZATION
Problem. After implementing physical selection Sel in Section 4, we must inform the optimizer somehow that this is a suitable implementation for logical selection. While this step might appear trivial at first glance, there may be multiple physical implementations of the same logical operator, each fitted for a particular situation and hence with dependent cost. This fact calls for an optimization step
Listing 4 Register Sel with the physical optimization process.
```c
PhysicalOptimizer &PO = ...;
PO.register_operator<Sel>();
```
Table 3: Physical implementations of logical patterns.
| Pattern | C++ Code | Algorithm |
|---------|----------|-----------|
|  | SelectionOp | branching selection |
|  | JoinOp | simple-hash join |
|  | grouping join |
that assigns physical implementations to logical operators. However, a one-to-one assignment of physical to logical operators is insufficient. Meurer et al. [18] propose to fuse operators to produce more specialized implementations that can improve performance over naive sequential application. This raises the question of how such fused operators can be considered in the optimization step.
**Vision.** A DBMS researcher should be free to provide multiple physical implementations of any composition of logical operators. The optimization step that assigns physical implementations to the logical plan must consider all implementations and find the best of all possible physical plans.
**Our approach.** In Section 3, we mentioned that the logical plan only induces a partial order and is represented as a tree. We implement a second optimization phase that enumerates physical implementations of the logical plan to find the best physical implementation. We treat physical operator implementations as partial graph covers and enumerate all possible coverings of the logical plan. This can be done in linear time [7, p. 11, Section 2.5.2].
**Example.** After implementing selection in `Sel`, we must register `Sel` with the physical optimization process. In Listing 4, we invoke method `register_operator()` and pass as template argument the concrete type `Sel`. The method extracts from `Sel` the pattern to match, that was provided in line 3 of Listing 3. While the pattern to match a single `SelectionOp` is trivial, our mechanism allows for more complex patterns to be declared. We provide some examples in Table 3. The helper class `pattern_t` allows for recursively composing patterns. In addition to execution, physical operators can define custom *physical* cost functions as well as pre- and post-conditions to be considered in optimization. For example, it is possible to provide different cost functions for sort-merge join vs. simple-hash join and to formulate a post-condition for sort-merge join informing the optimizer that the join result is sorted on the join key.
## 6 PHYSICAL DATA LAYOUT INDEPENDENCE
**Problem.** The ability to decouple the physical data layout from the logical schema is a central building block of DBMSs. Some systems delegate this task to frameworks, like Apache Arrow [17], while others implement a particular physical data layout directly, e.g., NoisePage [4]. Delegating this task to a framework introduces a framework’s overheads into query processing. Directly implementing usually leads to hard-coding the data layout into the DBMS.
**Vision.** It should be possible to provide different strategies for mapping from a logical table schema to physical data layouts. A compiling backend should compile these mappings to direct data accesses, embedded in the compiled query, to avoid interpretation overheads.
**Our approach.** In `mutable`, we provide a concise method of describing the mapping from schema to data layout. Our method is generic enough to support arbitrary layouts of finite size. More precisely, our method allows for arbitrarily nested structures composed of various types, supporting even bit addressing and alignment. For example, the `BOOL` and `BITMAP` types need not be aligned to a whole multiple of a byte nor does their size need to be a whole multiple of a byte. A current limitation of our method is that we do not support variable-sized fields or pointers.
To efficiently access data through the description provided by a `DataLayout`, we translate `DataLayouts` in our interpreter and `WebAssembly`-based backends. The latter we present in Section 4.
**Example.** In Listing 5, we construct a `DataLayout` for a table with attributes `INT(4) PRIMARY KEY, CHAR(6),` and `BOOL`. We lay out the data in PAX layout [18] with PAX blocks of 128 tuples. The entire PAX layout is conceptually an indefinite sequence of PAX blocks. We first create an empty `DataLayout` in line 1. Then, we create a PAX block of 128 tuples and a stride of 12,288 bits in lines 2 and 3. In lines 4 to 18, we add the attributes to the PAX block. To add an attribute to the PAX block, we specify the type of the attribute together with the offset of the attribute’s column within the PAX block and the stride of a single attribute. In lines 19 to 23, we add the NULL bitmap to the PAX block. The NULL bitmap contains one bit per attribute, indicating whether the corresponding attribute is NULL.
In our `WebAssembly`-based execution backend, a scan of a table using the given `DataLayout` is compiled to a single loop iterating with four pointers – one per column and one for the NULL bitmap. On every 128-th iteration, the pointers are advanced to the next PAX block.
`mutable` encapsulates the concept of computing `DataLayouts` for a table schema in a component. Such a component acts as a factory
for creating DataLayouts. We have implemented one component for row layout and one for PAX layout. For PAX layout, one can specify either the number of tuples per block or the size in bytes of a single PAX block.
We see two limitations in our current implementation of this approach: (1) We do not support variable-length structures, e.g. arrays of variable length. (2) We do not support pointers to connect sequences of data, e.g. we cannot represent linked lists. Currently, all data must be finite and stored consequently in memory. Because of these limitations, we are currently only compatible with a subset of the Apache Arrow [1] specification. However, we are convinced that our approach can be extended by dynamically sized structures and pointers, and eventually it can support the full Arrow specification. The major obstacle we see here at the moment is the JIT code generation of data accesses from a DataLayout specification with dynamically sized structures or pointers.
7 AUTOMATED EVALUATION
Problem. Evaluating DBMS algorithms or entire systems usually means running benchmarks. Writing benchmarks is therefore an inevitable task in our research. The results of benchmarks must be gathered, organized, and visualized to be easily interpretable. To enable comparison to related works, multiple algorithms or systems must be evaluated. Since evaluation is a process that is interleaved with research, it must be done repeatedly. Repeating evaluation by hand is tedious and automating evaluation for multiple algorithms or systems can be very cumbersome.
Vision. We envision a unifying evaluation framework, that researchers can easily implement experiments in and augment by new algorithms or systems to evaluate. The system should automate the process of repeated evaluation, gathering results, storing results persistently, and even visualizing results.
Our approach. For this purpose, we have built a toolkit, that is composed of three tools: (1) The benchmarking tool runs a set of declaratively formulated experiments and collects results. The experiments are specified as YAML files and in such a way that we can run the same experiment on various database systems for comparison. The benchmarking tool can be set up to run repeatedly, e.g., daily or after each new commit to the main branch. Gathered experimental results are stored persistently in a database server. (2) A web server provides a REST API to read the gathered data from the database server. It provides both the original data and some pre-defined aggregated values. (3) An app that we developed for this purpose visualizes the results and monitors the benchmarking results over time. The app raises alerts when benchmarks were not run or when performance anomalies occurred. Our app is integrated with GitLab so that one can sign in to an administrative console through one’s GitLab account. Once signed in, our app offers to directly create a GitLab issue from a raised alert. The issue is filled with a description of the alert as well as a breadcrumb link to directly go from GitLab issue to our app. Our app also tracks throughout the lifetime of the issue whether it has been resolved or rejected. Alerts can also be marked as expected, e.g. when performance improved expectedly because of an optimization in the code, or they can be marked as false positive, e.g. when the server running the benchmarks had unexpected load from other sources.
Listing 6 Sketch of the YAML file for TPC-H Q1.
```
description: 'TPC-H Query 1' # Description - Mandatory
suite: 'TPC' # Mandatory
benchmark: 'TPC-H' # Mandatory
name: 'Q1' # Optional, defaults to path
readonly: true # Optional, defaults to false
chart: # Chart configuration - Every field is optional
x:
scale: 'linear' # One of "linear", "log"
type: 'Q' # One of Q, O, N, or T
label: 'Scale_factor' # Axis label
y:
scale: 'linear' # One of "linear", "log"
type: 'Q' # One of Q, O, N, or T
label: 'Time_[ms]' # Axis label
data:
- table: 'lineitem' # Specification of a table
attributes:
l_orderkey: INT(4)
l_partkey: INT(4)
...
file: 'benchmark/tpc-h/data/lineitem.tbl' # Format of the file
format: 'CSV'
filetype: 'CSV'
delimiter: '|'
header: false
systems:
'mutable':
...
# Spec. of experiment
'PostgreSQL':
...
# Spec. of experiment
'Hyper':
...
# Spec. of experiment
'DuckDB':
...
# Spec. of experiment
```
Example. The experiments are written in a descriptive YAML file, providing a textual description of the experiment, how the measurement data is to be interpreted in a chart, what data to load before the benchmark, and how to run the workload on each system. We provide an example for TPC-H query 1 in Listing 6. The specification of the systems is particular to the respective system. We provide database connectors for several database systems, with the option to provide one’s own connector. Queries must also be re-written per system because of potential SQL dialects or varying feature support.
Our benchmarking tool picks up the YAML file and runs the experiment, gathers the experimental results, and inserts all information related to the experiment to a relational database. A REST API written in Django provides easy access to the data.
Our browser app, written in Dart with Flutter, provides interactive visualization of the data. On the landing page – the “Dashboard” – we show an aggregated view of three hand-picked benchmark suites, namely ‘operators’, ‘plan-enumerators’, and TPC-H, as shown in Figure 3. This is a heavily aggregated view of performance over the past days and intended to provide quick information on system behavior. Though the y-axis is value-less, it is linear and less is better.
The “Dashboard” provides a very brief overview over the performance. Our app provides a detailed visualization of single experiments in the “Recent Experiments” tab. Figure 4 shows the visualization of an experiment for one-sided range queries on integer columns. The chart description from the YAML file is used to label the axis, select the scale of the axis, and automatically select the most appropriate style for visualization. We currently provide
We can hence have a look at prior runs to see whether this occurred before. Alternatively, we can go to the “Continuous Benchmarking” tab. It provides aggregated performance statistics over time for every single experiment. Figure 5 shows the continuous benchmarking chart for the experiment. First, we should zoom in on the date of the experiment, i.e. August 30, 2022, to relax the visualization. Then, we can observe that on Aug 30, there was indeed a spike in execution time. This suggests that this is a performance anomaly.
Manually detecting such performance anomalies would be very cumbersome, particularly with hundreds of experiments being performed every single day. We have therefore integrated into the Django REST API a mechanism to detect and report performance anomalies. Detected anomalies are reported on the ‘Dashboard’. For the particular experiment of Figure 4, a performance anomaly was detected, as can be seen in Figure 6. The report shows in which experiment an anomaly was detected, the date of the anomaly, and by which factor the performance exceeds a certain threshold. The threshold is derived from the standard deviation of the performance of the past two weeks. Clicking on the down arrow reveals the recent experiment and the continuous benchmarking charts immediately below the anomaly report.
Our app supports updating the status of an anomaly report by first selecting a new status and then clicking on the blue right arrow, as we exemplify in Figure 7. A very important feature here is that by confirming a performance anomaly, our app will create an issue in our GitLab project and fill the issue with all information available on the anomaly. Once the issue is tagged as being looked into or is closed in the GitLab project, our app recognizes this and presents the issue as either “Looking At” or “Closed”.
As we can see in the continuous benchmarking report in Figure 5, this anomaly occurred just once. It is likely that this was due to unexpected load on the benchmarking server affecting the measurements. It is inconvenient if this anomaly will remain on the “Dashboard”. We can therefore easily update the status to “False Positive” and the anomaly will disappear from the “Dashboard”.
To see the full tool in action, visit our benchmark website at cb.mutable.uni-saarland.de.
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[11] A. Haas, A. Rossberg, D. L. Schuff, B. L. Titzer, M. Holman, D. Gohman, L. Wagner, A. Zakrajšek, and J. F. Bastien. 2017. Bringing the web up to speed with WebAssembly. In PVLDB.
[12] L. M. Haas, J. C. Freytag, G. M. Lohman, and H. Pirahesh. 1989. Extensible Query Processing in Starburst. In SIGMOD.
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[14] A. Kemper and M. Wallrath. 1987. An Analysis of Geometric Modeling in Database Systems. CSUR 19, 1 (1987).
[15] T. Kersten, V. Leu, and T. Neumann. 2021. Tidy Tuples and Flying Start: Fast Compilation and Fast Execution of Relational Queries in Umbra. The VLDB Journal (2021).
[16] Y. Klonatos, C. Koch, J. Rompf, and H. Chafi. 2014. Building efficient query engines for dynamic languages. PVLDB 7, 10 (2014).
[17] Geoffrey Lentner. 2019. Shared Memory High Throughput Computing with Apache Arrow™. In PEARC.
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[20] MonetDB B.V. 2022. MonetDB. MonetDB B.V. https://www.monetdb.org/documentation/monetdb/22/dev-guide/
[21] T. Neumann. 2011. Efficiently compiling efficient query plans for modern hardware. PVLDB 4, 9 (2011).
[22] Thomas Neumann. 2021. Evolution of a Compiling Query Engine. Proc. VLDB Endow. 15, 12 (2021), 3207–3210. https://doi.org/10.14778/5476311.5476410
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NUCLEIC ACIDS IN PLASTIDS AND STARCH FORMATION*
R. SALEMA¹ and N. P. BADENHUIZEN
Department of Botany, University of Toronto, Toronto.
SUMMARY
Chloroplasts lost their starch-synthesizing enzymes (phosphorylase, ADPGα-glucan glucosyltransferase) during a period of darkness. Enzyme activities returned in the light, but this process could be reversibly inhibited with actinomycin D or chloramphenicol. It is concluded that the enzymes are produced in the chloroplast and that starch production is dependent on the functioning of the protein synthesis as directed by the nucleic acids in the chloroplast. The localization and extension of DNA areas in chloroplasts and chloroamyloplasts showed a relationship to the number and size of the starch granules produced. In many cases there was a close contact between DNA areas and starch granules.
DNA and RNA were found in a variety of plastids, in agreement with the expectation expressed by various authors.
It is likely that all plastids contain their own mechanism for nucleic acid-controlled protein synthesis, and that the starch-synthesizing enzymes are always among the proteins thus produced.
1. INTRODUCTION
All types of plastids, so far investigated, contained phosphorylase and had the potentiality to form starch. This also applies to those plastids which, under natural conditions, do not form starch, for instance the large proteinoplasts in *Helleborus corsicus*, described by Thaler (1955). Only in very young leaves of 3 mm length these plastids are filled with starch, which is subsequently replaced by proteins. When these proteinoplasts are incubated with glucose-1-phosphate, they produce starch. The presence of phosphorylases appears to be a fundamental characteristic of plastids in general.
Since Leloir's discovery of the so-called starch synthetase, which uses nucleoside diphosphate glucose as substrate, phosphorylase has been discredited as a starch-synthesizing enzyme *in vivo*. A critical analysis showed that the evidence for this concept was insufficient (Badenhuizen 1963) and recent work tends to demonstrate a synthetic role for at least one of the phosphorylases found in corn endosperm (Tsai & Nelson 1968).
When studying starch formation in plastids it should be realized that chloroplasts are very specialized since they possess a photosynthetic apparatus. The synthesis of many substances is linked to the process of photosynthesis (Rhodes & Yemm 1966). Chloroplasts contain DNA in small scattered areas, and also
* Presented in honour of Prof. Dr. Th. J. Stomps, friend and esteemed teacher of the senior author (N.P.B.), at the occasion of his jubilee with the Royal Netherlands Botanical Society.
¹ Permanent address: Centro de Microscopia Electrónica, Universidade do Porto, Portugal.
RNA and ribosomes (Kislev c.s. 1965; Swift 1965). These nucleic acids appear to be responsible for the production of a certain number of proteins, thus giving the chloroplast a measure of autonomy (Smillie c.s. 1967). The starch, produced by chloroplasts, is metabolically active assimilatory starch in the form of tiny granules scattered in the stroma in between the lamellae of the thylacoids. These granules remain small and their shape is defined by the space available. For this reason assimilatory starch can not be used as a taxonomic character.
Besides phosphorylase, chloroplasts contain ADPG $\alpha$-glucan glucosyltransferase, as a potential starch-synthesizing enzyme (Doi c.s. 1966; Frydman & Cardini 1964). It was found that the transferase activity was lost from the leaves of plants that had been starved in the dark, and that it reappeared if such plants were re-exposed to light (Chandorkar & Badenhuizen 1967). Are the two enzymes produced under control of the nucleic acid-directed mechanism of the chloroplast itself? This question could be answered by treating starved chloroplasts with actinomycin D or chloramphenicol in the light. Actinomycin D interferes with RNA production, while chloramphenicol inhibits protein synthesis on the ribosomes and has the advantage that it can do so selectively for chloroplasts. In this publication we report on the results of such experiments.
In contrast, amyloplasts in reserve organs form starch granules which are characteristic for the plant species both in shape and composition and therefore have a certain taxonomic value. When reserve starch is found in two separate organs of one plant, such as tubers and seeds, the shape of the starch granules is different (Seidemann & Schliepe 1963), so that cell differentiation is involved as well.
From studies of corn varieties it has become evident that the characteristics of reserve starch granules (shape and composition) are mainly directed by nuclear genes (Zuber 1965). Do amyloplasts also contain nucleic acids, and if so, what is the role of their nucleic acids in the production of a starch granule with distinct properties?
Fibrils of DNA have been demonstrated not only in chloroplasts, but also in thylakoid-free chloroplast mutations (Ris 1962; Sprey 1966) and in root leucoplasts (Swift 1965; Newcomb 1967). We thought it desirable to extend the investigation to other plastid types, especially the amyloplasts, of which there are different forms: colourless, virescent, degenerative and permanently green ones (Badenhuizen 1964). The chloroamyloplasts of Pellionia, which belong to the last category, are of special interest, because they resemble chloroplasts in structure and development (Badenhuizen & Salema 1967), are potentially able to photosynthesize, and nevertheless produce reserve starch granules (Salem & Badenhuizen 1967).
We included the large proteinoplasts of Helleborus corsicus in our study as leucoplasts that do not form starch under natural conditions.
2. MATERIAL AND METHODS
2.1. Treatment of chloroplasts with antibiotics
Plants of *Beta vulgaris* were kept in the dark for about 96 hours. After this period some of the leaf material was immediately fixed for observation with the electron microscope. The rest of the material was cut into pieces of approximately 1 cm² and these were placed in small vials, containing the medium to be tested. The vials were illuminated and air was bubbled through the medium. The solution contained actinomycin D in concentrations varying from 10–100 μg/ml dissolved in 0.025 M phosphate buffer, pH 6.1, with 4% sucrose. As a control leaf pieces were similarly treated with buffered sugar solution alone. The duration of the treatment varied from 8–96 hours in both cases. At the end of the period leaf pieces that had been in contact with actinomycin D were either fixed, or they were thoroughly washed with water and then kept in the buffer solution for various periods of time.
Chloramphenicol was used in concentrations of 2 or 3 mg/ml, and the same scheme was followed as described above for actinomycin D.
At the end of each experiment leaf material was fixed in glutaraldehyde, followed by osmium tetroxide, dehydrated in an acetone series and embedded in Epon. In most cases afterstaining with uranyl acetate and lead citrate was applied, as described previously (SALEMA & BADENHUIZEN 1967).
Phosphorylase activity in the plastids was checked by incubation with glucose-1-phosphate (DYAR 1950).
2.2. Detection of nucleic acids in plastids
Three methods have currently been in use to demonstrate the presence of nucleic acids in plastids: 1) Direct localization of DNA material and ribosomes after suitable fixation; 2) Removal of the nucleic acid material by treatment with the appropriate enzymes; 3) Incorporation of labelled specific bases, viz. ³H-thymidine for DNA and ³H-uridine for RNA. We have applied these three methods essentially following the prescriptions given by SWIFT (1965) and by KISLEV *et al.* (1965). In some cases only direct observations with the electron microscope were available, and then we based our interpretation on comparisons with electron pictures of plastid DNA published by various authors, including our own where controls had been applied. We could confirm that the morphology of the alleged DNA material depends on the type of fixation used: clumped after osmium tetroxide fixation, filamentous after the Ryter-Kellenberger fixation. Various tests were applied to chloroamyloplasts from *Pellonia daveauana*, proteinooplasts from *Helleborus corsicus* and amyloplasts from potato tubers. Direct observation was used for chromoplasts from *Solanum pseudocapsicum* and *Physalis pubescens* berries, amyloplasts from corn endosperm, and chloroplasts from *Beta vulgaris*.
In preparation for radioautography the plant material was treated with 0.1% Twin for 20 minutes and then recut in distilled water. For the demonstration of DNA the tissues were then incubated in a sterile aqueous solution containing
100 μc 3H-thymidine per ml. Fixation took place in glutaraldehyde, followed by osmium tetroxide, or in formalin to allow for DN-ase action. To test the presence of RNA, similar experiments were done with 3H-uridine. Young leaves required a much shorter period of contact with the tritiated base (4 hours) than old leaves (12–14 hours). Sections were coated with Ilford-L4 or Gevaert NuC 307 photographic emulsion on collodion-covered slides, or the emulsion was applied to the section on a grid by means of a loupe (LETTRE & PAWELETZ 1966). Exposure at 4°C took 8 weeks for the 1:5 diluted Ilford emulsion, and 10 weeks for the 3:2 diluted Gevaert emulsion. The preparations were developed with Kodak D-19, Microdol X, or with a mixture that produces point-like silver grains (LETTRE & PAWELETZ 1966).
The electron microscope used was a Zeiss EM9.
3. RESULTS
3.1. Chloroplasts
The chloroplasts of our Beta plants contained relatively few grana and intergrana connections. The arrangement of these structures was that of a cup, leaving a large part of the stroma unstructured. In between the lamellae of the thylakoids, but never in the unstructured part of the stroma, less dense areas were found, in which the DNA is localized. Throughout the stroma ribosomes were clearly visible.
This picture was unaltered after a dark period of 96 hours, but neither starch nor phosphorylase were present. When such chloroplasts were allowed to photosynthesize in the buffer solution, described above, they produced assimilatory starch granules and contained phosphorylase. When actinomycin D was added in a concentration of 10 μg/ml the fine structure remained essentially the same, but no starch was present, except in a few plastids that had formed tiny granules. Ribosomes were abundant, but became less so after prolonged incubation times. Incomplete inhibition of RNA-production at this concentration of the antibiotic has also been found in Euglena (POGO & POGO 1964). Phosphorylase production was only partly inhibited.
At a concentration of 30 μg/l and higher actinomycin D completely inhibited starch synthesis. At the same time no phosphorylase could be demonstrated. Although the lamellar structures of the chloroplast seemed to be unaltered, and DNA areas were visible as before, the stroma had assumed a coarse granular aspect and contained very few ribosomes (fig. 1).
When tissues, treated with actinomycin D, were thoroughly washed with buffer solution and then kept in this solution in the light for 48 hours, phosphorylase activity returned and starch granules were formed.
Chloramphenicol completely inhibited starch production in the concentrations used, and again the effect was reversible. However, the stroma retained its ribosomes after treatment with the antibiotic.
We conclude that phosphorylase is one of the enzymes that are produced in
NUCLEIC ACIDS IN PLASTIDS AND STARCH FORMATION
Fig. 1. A chloroplast from *Beta vulgaris*, treated for 96 hours with 100 μg/ml actinomycin D after a 96 hour dark period. Very few ribosomes are left. Fix. GA + Os, afterstaining U + Pb. Final magn. 31,500 ×.
the chloroplasts by their nucleic acids and that there is a correlation between the presence of phosphorylase and the formation of starch.
In *Pellionia* chloroplasts we frequently observed intimate connections between starch granules and DNA areas (SALEMA & BADENHUIZEN 1967). The DNA material in the chloroplasts of *Beta* tended to be clumped after fixation in OsO₄. Often fine threads were seen to connect the central mass with the surrounding stroma and the neighbouring starch granule (*fig. 2*). Although this is almost certainly an artefact, it also points to a close proximity of DNA and starch.
3.2. Amyloplasts
Although the chloroamyloplasts of *Pellionia* have a structure which is similar to that of chloroplasts, they seem to be less developed, contain fewer grana and ribosomes, and less chlorophyll. They incorporate ³H-thymidine and ³H-uridine and they show fibrillar structures that can be interpreted as DNA material. In the chloroamyloplasts the DNA areas are less frequent, but generally much larger than those found in the chloroplasts. They are characteristically situated near the “pockets” which contain starch precursors (SALEMA & BADENHUIZEN 1967) (*fig. 3*) or the starch granule that has presumably crystallized from this material. The proplastids in the meristem of *Pellionia*, too, contain both nucleic acids.
Fig. 2. The two ends of a starch granule in a chloroplast of *Beta vulgaris*. A few grana are visible and the stroma contains many ribosomes. DNA substance partly lumped, partly attached to the stroma and the starch granule with fine threads. The prints have been overexposed to make the DNA material visible. Fix. GA + Os, afterstaining U + Pb. Final magn. 90,000 ×.
The development of a photosynthetic apparatus in the amyloplasts of greening potato tubers has been described elsewhere (BADENHUIZEN & SALEMA 1967). The presence of DNA and RNA was checked with the conventional methods. DNA areas were found in the undifferentiated stroma, surrounding a pocketlike structure, but later they were exclusively situated in the lamellar system. This observation indicates a close connection between DNA and thylakoid formation. Another point of interest is that ribosomes became well-defined stroma structures only after the development of the thylakoid system in the
Fig. 3. Chloroamyloplast from a young leaf of *Pellionia*, showing thylakoids, a pocket (P) and a starch granule (S). A large DNA area with fine fibrils (D) is in close contact with the pocket. Kellenberger fix. Afterstaining U + Pb. Final magnif. 28,000 ×.
Virescent amyloplasts was well on its way. Since $^3$H-uridine was incorporated in all stages, whether ribosomes were visible or not, the potato amyloplast should be a good object for the study of ribosome formation.
In fixed material of corn endosperm the amyloplasts contained structures comparable to those in other plastids that could be interpreted as DNA material. After fixation in glutaraldehyde and OsO$_4$ less electron-dense areas appeared containing a little clumped substance, whereas after Ryter-Kellenberger fixation fine fibrils became visible. In such leukoplasts no ribosomes could be distinguished. If the interpretation is correct, the paucity of DNA would explain why its fibrillar structures were absent in many sections of the amyloplasts.
*Acta Bot. Neerl.* 18(1), Febr. 1969
3.3. Chromoplasts
Of the chromoplasts in the mature berries of the species of *Solanum* and *Physalis* studied, only material fixed in glutaraldehyde and OsO₄ was available. Again less dense areas were found with partly fibrillar material comparable to the DNA areas in chloroplasts. Since these particular chromoplasts were derived from chloroplasts, it is perhaps not surprising that the DNA areas persisted after the lamellar structure had disappeared. The DNA could still have a function in the production of proteins, such as phosphorylase. In some cases chromoplasts become transformed into amyloplasts by forming starch granules.
3.4. Proteinoplasts of *Helleborus corsicus*
These large plastids can be easiest studied in the leaf epidermis. Their fine structure has been described by Heinrich (1966), who was unable to detect phosphorylase, but, as mentioned above, our results were positive in this respect. The most conspicuous feature in the plastid is a core which has been termed a vacuole. This vacuole contains material which reacts to fixation fluids.
---
**Fig. 4.** Part of a proteinoplast from the leaf epidermis of *Helleborus corsicus*. Three DNA areas are visible around a concentration of electron-dense material (arrows). Fix. GA + Os. Afterstaining U + Pb. Final magnif. 44,000 ×.
**Fig. 5.** Proteinoplast of *Helleborus corsicus* after incubation with \( ^{3} \text{H} \)-thymidine. Emulsion Ilford L4, developer D19. Notable are swellings of the cytoplasm which protrude into the vacuoles. Fix. GA + Os. Afterstaining Pb. Final magnif. 14,000 ×.
NUCLEIC ACIDS IN PLASTIDS AND STARCH FORMATION
in a way different from that of the stroma. The plastids are very fragile and are easily damaged during the preparation necessary for their observation. Since the vacuole occupies an eccentric position near the periphery, the plastid is easily disrupted at that site and the contents of the vacuole are emptied into the surrounding medium. The little holes left can be seen even with the light microscope. After formol fixation and treatment with various enzymes the electron microscope showed the vacuoles in various stages of discharging the contents, and this made an analysis very difficult.
Around this vacuole lumps of material can be detected after fixation in glutaraldehyde and OsO₄ (fig. 4) which we interpret as DNA areas. Their proximity to the vacuole may be an indication that a relationship exists between the DNA and the contents of the vacuole. The presence of DNA was confirmed by the incorporation of ³H-thymidine (fig. 5).
Although ³H-uridine was incorporated as well (fig. 6), no ribosomes of the type characteristic for chloroplasts could be detected (fig. 4).
Fig. 6. Proteinoplast of *Helleborus corsicus* after incubation with ³H-uridine. Emulsion Ilford L4, special developer. Fix. GA + Os. Afterstaining Pb. Final magnif. 14,000 ×.
4. DISCUSSION
One of the features that distinguish chloroplasts from all other plastids, including proplastids, is that chloroplasts appear to lose some of their proteins during a period of darkness. This was first demonstrated for ADPG-α-glucan glucosyltransferase (Chandorkar & Badenhuizen 1967), but we have now found that it also applies to phosphorylase, and it may be true for other proteins (Smillie c.s. 1967). We are here mainly concerned with the enzymes that are thought to be involved in starch synthesis, and of which we consider the phosphorylases to be of prime importance (Badenhuizen 1963). When leaves are re-exposed to light after a dark period the enzymes reappear, and this process can be blocked with antibiotics that interfere with RNA production or directly with protein synthesis. Actinomycin D prevents RNA synthesis (Goldberg & Reich 1964; Pogo & Pogo 1964), but since this will happen both in the nucleus and the chloroplasts, the inhibition of phosphorylase by actinomycin D leaves the question unanswered which of the two organelles is directing the production of phosphorylase. However, the fact that at a concentration of 10 μg/l actinomycin D causes only partial inhibition of starch formation would indicate that the site of action is in the chloroplast itself. Moreover, at higher concentrations and long exposure time ribosomes disappear as recognizable entities. Removal of the antibiotic shows that the process is reversible: ribosomes, phosphorylase activity and starch granules all re-appear in the chloroplast. It is therefore necessary that new RNA is formed in the stroma for the reconstitution of normal conditions. Since there is evidence that this RNA is coded by the DNA in the chloroplast (Scott & Smillie 1967) the conclusion that actinomycin D directly interfered with phosphorylase production in the chloroplast seems justified.
The interference with protein synthesis caused by chloramphenicol is less ambiguous (Smillie c.s. 1967). Chloramphenicol is thought to prevent the binding of messenger RNA to ribosomes (Penny & Galston 1966; Pogo & Pogo 1965), and it does not affect RNA synthesis. Consequently the ribosomes remain clearly visible in the stroma even after long treatments. Again the process is reversible and needs a sufficiently long exposure time for completion.
From these experiments it would follow that phosphorylase is one of the enzymes produced by the nucleic acid system of the chloroplast itself. Although the presence of phosphorylase appears to be required for the production of starch granules, one has to remember that the enzyme ADPG-α-glucan glucosyl transferase follows a similar pattern, so that no conclusion can be drawn from our experiments about the relative importance of the two enzymes in relation to starch synthesis. Both may be acting together and have different functions (Badenhuizen & Chandorkar 1965; Frederick 1968).
We consider the plastids, investigated in this work, as representative for the various types. The fact that they all contain phosphorylase and produce starch, or have the potentiality to do so, lends support to the concept that phosphorylase is produced by these plastids. This concept would gain in probability if it could be demonstrated that all types of plastids contain DNA and RNA. Although the presence of nucleic acids has been firmly established for chloroNUCLEIC ACIDS IN PLASTIDS AND STARCH FORMATION
plasts, this is by no means the case for all plastid types, even if one could expect nucleic acids to be present on the basis of relationships between various plastids.
Chloroplasts, chloroamyloplasts (*Pellionia*), leukoamyloplasts (potato) and proteinoplasts (*Helleborus corsicus*) were found to incorporate $^3$H-thymidine and $^3$H-uridine. Ribosomes are clearly defined in the stroma of plastids with a photosynthetic apparatus. We were unable to distinguish them in leukoplasts, and they became only visible during the development of a thylakoid system in light-exposed potato amyloplasts (BADENHUIZEN & SALEMA 1967). Therefore RNA is present even when there are no recognizable ribosomes.
The demonstration of DNA *in situ* can be done best in chloroplasts and chloroamyloplasts, where the removal of fibrillar structures by means of DNase leaves "empty" areas between the lamellae. We have noticed that the DNA areas in chloroplasts are limited to the structured parts of the plastid. The inclusion of DNA areas in the developing lamellar system was particularly clear in greening potato amyloplasts (BADENHUIZEN & SALEMA 1967), and indicates a close relationship between DNA and lamellar synthesis. During recent work on the isolation of DNA molecules from chloroplasts a close association was found to exist between DNA and the chloroplast lamellae, and the authors suggested that there may be a highly organized spatial orientation (WOODCOCK & FERNÁNDEZ-MORÁN 1968). Pictures, like the one shown in fig. 2, may be the consequence of such an association, although the DNA material had been profoundly changed by the fixation used.
The connection between DNA and starch granules, shown in fig. 2, may be entirely fortuitous, but it would be possible only if both were in close proximity. Since newly synthesized RNA was found to first appear in direct contact with the DNA (GIJBS 1967), phosphorylase could be produced *in situ* as well. Given a sufficient supply of substrate, starch molecules would be formed and a starch granule would evolve in close association with the DNA area. The chloroplasts investigated had numerous small DNA areas and produced many small assimilatory starch granules. In contrast the DNA areas in the chloroamyloplasts of *Pellionia* were few and large, closely associated with "pockets" (SALEMA & BADENHUIZEN 1967) or starch granules. The starch is of the reserve type and only one or a few granules are formed per plastid. It is therefore possible that the distribution and quantity of the DNA is of influence in starch granule formation.
It is much more difficult to demonstrate DNA in leukoplasts. In general the formol fixation as a preliminary treatment before DNase application proved to be unsatisfactory for amyloplasts. One may rely for the interpretation on a similarity shown to the appearance of DNA in fixed chloroplasts, but no positive test is available. The identification of "empty" areas after the action of DNase is also less certain and all one can say is that certain structures have disappeared. With these restrictions in mind we believe that it is nevertheless possible to recognize structures that would be interpreted as DNA material, had they occurred in chloroplasts. There is little doubt, for instance, that the arrows in fig. 4 point to DNA areas. If this were accepted, than their close
association with the "vacuole" in the proteinoplast is again of considerable interest.
Even if the direct demonstration of DNA in some plastids meets with difficulties and requires the scanning of many photographs, the incorporation of labelled thymidine and uridine shows that both DNA and RNA are present in various plastid types. It is therefore likely that all plastids contain these nucleic acids and that they have the mechanism to produce some of their proteins, if not all. Our results indicate that phosphorylase is one of them.
Phosphorylase is the basic enzyme, or one of a complex, that produces starch molecules in the stroma of the plastid. These molecules can be seen to crowd at the surface of the growing starch granule (SALEMA & BADENHUIZEN 1967; BADENHUIZEN 1962). The size of these molecules and the way they become associated to make a wheat-, potato-, or other starch granule is controlled by nuclear genes and depends upon many factors (BADENHUIZEN 1963). Amyloplasts from different plant species show characteristic morphological features (BADENHUIZEN 1962). The chemical composition of the stroma, which sets the stage for the type of starch produced, will be equally under genetical control by the nucleus. The plastid has the necessary apparatus to carry out the orders, issued by the nucleus, by producing the necessary proteins in a prescribed quantity and conformation. It can, therefore, be expected that gene mutations will alter the activity and properties of the phosphorylases and other proteins, and in this manner influence the type of starch produced.
ACKNOWLEDGEMENTS
The work, reported in this paper, was financed by the National Research Council of Canada, the Corn Industries Research Foundation (Washington, D.C.) and the Ontario Department of University Affairs. One of us (S.) held a Fellowship of the Calouste Gulbenkian Foundation. Gifts of actinomycin D by Merck, Sharp and Dohme of Canada Ltd. (Montreal) and chloramphenicol by Parke, Davis and Co. Ltd., are gratefully acknowledged.
REFERENCES
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CHANDORKAR, K. R. & N. P. BADENHUIZEN (1967): The fate of ADPG alpha-glucan glucosyltransferase during amylolytic corrosion of starch granules, and its relation to starch granule structure. Cereal Chem. 44: 27–38.
Doi, A., K. Doi & Z. Nikuni (1966): ADP-D-glucose -α- 1, 4-glucan α-4-glucosyltransferase
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DYAR, M. T. (1950): Some observations on starch synthesis in pea root tips. *Amer. J. Bot.* **37**: 786–792.
FREDRICK, J. F. (1968): Biochemical evolution of glucosyltransferase isozymes in algae. *Ann. N. Y. Acad. Sci.* **151**: 413–423.
FRYDMAN, R. B. & C. E. CARDIN (1964): Soluble enzymes related to starch synthesis. *Biochem. Biophys. Res. Commun.* **17**: 407–411.
GIBBS, S. (1967): Synthesis of chloroplast RNA at the site of chloroplast DNA. *Biochem. Biophys. Res. Commun.* **28**: 653–657.
GOLDBERG, J. H. & E. REICH (1964): Actinomycin inhibition of RNA synthesis directed by DNA. *Feder. Proc.* **23**: 958–964.
HEINRICH, G. (1966): Die Feinstruktur der "Proteinoplasten" von Helleborus corsicus. *Protoplasma* **61**: 157–163.
KISLEV, N., H. SWIFT & L. BOGORAD (1965): Nucleic acids of chloroplasts and mitochondria in Swiss chard. *J. Cell Biol.* **25**: 327–344.
LETTRE, H. & N. PAWELETZ (1966): Probleme der elektronenmikroskopischen Autoradiographie. *Naturwiss.* **53**: 268–271.
NEWCOMB, E. H. (1967): Fine structure of protein-storing plastids in bean root tips. *J. Cell Biol.* **33**: 143–163.
PENNY, P. & W. GALSTON (1966): The kinetics of inhibition of auxin-induced growth in green pea stem segments by actinomycin D and other substances. *Amer. J. Bot.* **53**: 1–7.
POGO, B. G. T. & A. O. POGO (1964): DNA dependence of plastid differentiation inhibition by actinomycin D. *J. Cell Biol.* **22**: 296–301.
— (1965): Inhibition by chloramphenicol of chlorophyll and protein synthesis and growth in Euglena gracilis. *J. Protozool.* **12**: 96–100.
RHODES, M. J. C. & E. W. YEMM (1966): The development of chloroplasts and photosynthetic activities in young barley leaves. *New Phytol.* **65**: 331–342.
RIS, H. (1962): Ultrastructure of certain self-dependent cytoplasmic organelles. *Electron Microscopy. 5th Internat. Congress, Philadelphia*, vol. 2, p. XX-I.
SALEM, R. & N. P. BADENHUIZEN (1967): The production of reserve starch granules in the amyloplasts of Pellionia daveauana N. E. Br. *J. Ultrastruct. Res.* **20**: 383–399.
SCOTT, N. S. & R. M. SMILLIE (1967): Evidence for the direction of chloroplast ribosomal RNA synthesis by chloroplast DNA. *Biochem. Biophys. Res. Commun.* **28**: 598–603.
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SMILLIE, R. M., D. GRAHAM, M. R. DWYER, A. GRIEVE & N. F. TOBIN (1967): Evidence for the synthesis in vivo of proteins of the Calvin cycle and of the photosynthetic electron-transfer pathway in chloroplast ribosomes. *Biochem. Biophys. Res. Commun.* **28**: 604–610.
SPREY, B. (1966): Beiträge zur makromolekularen Organisation der Plastiden. II. Zur Verbreitung von DNS in Plastiden. *Z. Pflanzenphysiol.* **54**: 386–394.
SWIFT, H. (1965): Nucleic acids of mitochondria and chloroplasts. *Amer. Naturalist* **99**: 201–227.
THALER, I. (1955): Die Leukoplasten von Helleborus. *Protoplasma* **44**: 437–443.
TSAI, C. Y. & O. E. NELSON (1968): Phosphorylases I and II of maize endosperm. *Plant Physiol.* **43**: 103–112.
WOODCOCK, C. L. F. & H. FERNÁNDEZ-MORÁN (1968): Electron microscopy of DNA conformations in spinach chloroplasts. *J. Mol. Biol.* **31**: 627–631.
ZUBER, M. S. (1965): Genic control of starch development. In: R. L. Whistler and E. F. Paschall (editors), *Starch: Chemistry and Technology*. Vol. I, pp. 43-63. Academic Press, New York and London. |
The Free & Fair Elections Resolution: A Necessary Safeguard
Dear Concerned Citizens of New York,
Most of us recognize our nation’s campaign finance structure to be the root cause of corruption in our politics. With Democrats firmly in control of Albany (for the first time since 1965), New York is poised to lead the country in progressive campaign finance reform. Publicly financed elections, automatic voter registration, disclosure rules, ending the LLC loophole and much more are on the table. However, a hard truth remains: any progressive policy passed by New York State can easily be overturned by the Supreme Court.
We’ve seen it before. The Supreme Court recently struck down Montana’s attempt to limit campaign contributions, destroying a century of effective state laws in the process. Landmark decisions like Buckley v. Valeo, McCutcheon v. FEC and Citizens United v. FEC have removed the states’ ability to self-regulate their campaign finance systems. Worse yet, no law New York could possibly pass would curb the power of Dark Money. All those who have tried have failed. No state-level reform is safe from SCOTUS without the protection of a Constitutional Amendment.
In Article V, the framers of the Constitution defined two ways to propose an amendment and only one way to implement it. The power to propose an amendment is granted to Congress and the states. Once an amendment is proposed, it must be ratified by a supermajority of the states. Considering our broken Congress and the fact that the majority of all U.S. Constitutional Amendments have included a convention campaign, we ask that you support the Free & Fair Elections Resolution and push for a Constitutional Amendment through the States.
Our state, country and planet are in crisis. We cannot afford to pass this problem down to our children. As the only generation that has not amended the Constitution, ridding the corrupting influence of big money is our greatest responsibility. We must ensure elections in America are transparent, free from the undue influence of special interests, and fair enough that any citizen can be elected. We must prioritize this necessary safeguard and demand the passage of the Free & Fair Elections Resolution in 2019.
Thank you,
Wolf-PAC NY
Wolf-PAC is a cross-partisan, non-profit political organization seeking to address the disproportionate influence of money in our political system with an Amendment to the U.S. Constitution using a proven, effective, necessary tool found in the Constitution itself.
Wolf-PAC consists of a large group of volunteers and a few paid supporting staff working together to do everything in their power to save democracy from the stranglehold of big money interests on all sides of the political spectrum.
Issue: Campaign Finance Reform
Bill: A1248 and S1763 in the 2019-2020 Legislative Session
Description: Concerns the application of the legislature of the state of New York petitioning the Congress of the United States of America to call a national constitutional convention to propose amendments in order to address concerns raised by the decision of the United States Supreme Court in Citizens United v. Federal Election Commission 130 S.Ct. 876.
Sponsored By: Assembly: Linda Rosenthal (D, 67) | Senate: Liz Krueger (D, 28)
Assembly Co-Sponsors & Multi-Sponsors:
Rebecca Seawright
Phil Steck
Felix Ortiz
Sandy Galef
Fred W. Thiele, Jr.
Al Stirpe
Donna A. Lupardo
David I. Weprin
Kevin A. Cahill
Kenneth Zebrowski
Philip Ramos
Harvey Epstein
Aravella Simotas
Jo Anne Simon
Patricia Fahy
Kimberly Jean-Pierre
José Rivera
Robert C. Carroll
Brian D. Miller
Michael Miller
Walter T. Mosley
Victor M. Pichardo
Barbara Lifton
Al Taylor
Robert Rodriguez
Amy Paulin Diana
Richardson
Joseph R. Lentol
Inez Barron
Erik Dilan
Steven Englebright
Deborah J. Glick
Andrew Hevesi
Michael Montesano
Dan Quart
Tremaine S. Wright
Yu-Line Niou
Senate Co-Sponsors:
Brad Hoylman
Alessandra Biaggi
Andrew Gounardes
Shelley B. Mayer
Jose M. Serrano
Michael Gianaris
Velmanette Montgomery
Luis Sepúlveda
James Skoufis
Leroy Comrie
Julia Salazar
Robert Jackson
Committee Assignments:
Assembly: Election Law | Senate: Judiciary
Organizational Structure:
Wolf-PAC has active volunteer-led chapters in all 50 states. The 501(c)4 has a small paid staff and a large group of volunteer national coordinators supporting the state chapters.
Wolf-PAC National is led by the following paid staff:
- Mike Monetta, National Director
email@example.com
- Josh Aciz, National Organizing Director
firstname.lastname@example.org
- Bryant Lemay, National Communications Director
email@example.com
- John Shen, National Legislative Director
firstname.lastname@example.org
Wolf-PAC New York is led by the following volunteers:
- Gregory Maro, Organizing Director
(917) 463-9722 | email@example.com
- Daeha Ko, Legislative Director
(646) 886-7955 | firstname.lastname@example.org
- Erica Ffolliott, Community Director
(612) 578-5997 | email@example.com
- Joe Sackman, National Coordinator
(516) 317-7810 | firstname.lastname@example.org
Wolf-PAC supports all organizations working to end corruption and restore the integrity of our elections, especially those who share our common goal of a Free & Fair Elections Amendment to the U.S. Constitution. At the same time, focus is one of their biggest strengths.
The group never gets distracted from their goal of achieving a 28th amendment by pushing for an Article V Convention because most U.S. Constitutional amendments have included a convention campaign, and they believe in using the wisdom of history as their guide to victory.
Funding:
Wolf-PAC is extremely proud to say that their members are the lifeblood of their organization and allow them to continue the fight for Free & Fair Elections. The vast majority of their memberships are everyday people contributing $27 per month. This is what allows them to remain independent and accountable to the people, which is exactly what they demand of their government.
Successes:
Wolf-PAC is active in every state and our volunteer numbers only continue to grow. They continuously provide training to every volunteer. Most volunteers are able to communicate professionally using cross-partisan language and are generally regarded as knowledgeable and active citizens.
Wolf-PAC has already passed the resolution in five states:
- Vermont
- California
- Illinois
- New Jersey
- Rhode Island
Pledged Support:
“I support a U.S. Constitutional Amendment to ensure a truly representative government that is responsive to the will of the people. As an elected official, I pledge to vote in favor of and support the Free and Fair Elections Resolution applying for a limited Article V Convention for the exclusive purpose of proposing an Amendment to fix our broken campaign finance system.”
As of November 2018, Wolf-PAC has 192 State Candidates/Elected Officials pledging their support, as well as 12 candidates/elected officials at the Congressional Level.
NY Pledged Support:
Andrew Raia (R), Assembly District 12
Taylor Raynor (D), Assembly District 18
James Gaughran (D), State Senate District 5
Alessandra Biaggi (D), State Senate District 34
Julia Salazar (D), State Senate District 18
The group invites every legislator to sign the pledge and to step up to be a leader in fighting corruption. The Pledge can be found at Wolf-PAC.com/pledge.
MEMORANDUM
To: Senate Colleagues
From: Senator Liz Krueger
Date: April 15, 2019
Topic: S.1763/A.1248 L. Rosenthal
Attached is S.1763 which petitions the U.S. Congress to call a national constitutional convention to propose amendments to the U.S. Constitution. The suggested amendments would address concerns raised by the decision in the United State’s Supreme Court in CITIZENS UNITED V. FEDERAL ELECTION COMMISSION.
This SCOTUS decision enabled corporations and other big money spenders to flood the media with messages that can drown out the voices of other citizens who should have the same right to political speech than those with substantial financial resources.
Since Congress has failed to address the issues raised by the Citizens United decision, New York should protect the integrity of our electoral process by joining other states to petition Congress to hold a convention authorized under Article V of the US Constitution to address this impact.
Should you have any questions pertaining to this issue, please do not hesitate to contact Brad Usher my Chief of Staff @ 212 490-9535.
I have attached a buck slip for your convenience.
Your consideration of this measure is appreciated.
Senator Liz Krueger
A Declaration of Unity
Organizations United Against Corruption
To Whom It May Concern:
We, the undersigned, believe unlimited spending in our elections by Super PACs, corporations, billionaires, and special interest groups has eroded the American political system, and we must use every available tool of democracy to correct the course of our nation.
We believe that ending the undue influence of big money in our politics is an extremely urgent matter. Only when we have a truly representative government -- responsive to the will of the people and not only to the few who can afford to buy influence -- can we effectively address the many critical issues facing our society today.
Throughout our nation's history, Americans have united around our common vision of democracy and have risen up to defend it. For example, U.S. Senators were once appointed by state legislatures, until people took action in the early 20th century. The previous method was widely seen as a form of corruption, due to the disproportionate influence wealthy individuals and special interests had over the process. In fact, between 1866 and 1906 nine cases of bribery were brought before the Senate, which was often referred to as "the millionaires club."
Using every available tool of democracy, including legislation, petitions from the people, ballot referendums, educational campaigns, resolutions calling on Congress to propose a Constitutional Amendment, and finally, applications for an Article V Convention to propose an Amendment, Americans fought to bring about the reform necessary to resolve this issue. These efforts did not impede each other; instead, they built the collective strength of the movement, resulting in the 17th Amendment to the U.S. Constitution for the popular election of Senators.
It is in this spirit, and with history as our guide, that we celebrate the many approaches and solutions to the threat to democracy we face today. Indeed, our time for action has also come. We must restore democracy once again.
We believe that we must lead with courage. When presented with challenges of many different magnitudes and against seemingly insurmountable odds -- from the American Revolution to the civil rights era to the women’s suffrage movement -- Americans have always taken courageous
action to make our country more democratic, more inclusive, and a more perfect union. We must do the same today. There is too much at stake not to pursue every avenue of reform.
On behalf of ourselves and future generations, we stand united in demanding a government that is responsive to the will of the people.
Supporting Documentation
The U.S. government was designed with checks and balances so that no one branch can have too much power. An Article V Convention is a critical tool for state governments to hold accountable, or check, a federal government that is unresponsive to the will of the people.
Unfortunately, due to a combination of decades of propaganda and honest misunderstandings, there has been some confusion over the years about what an Article V Convention is and how it can be used. As a result, legal researchers have published peer reviewed reports that carefully look at the process and discredit these claims and misunderstandings.
All peer reviewed reports, from the Department of Justice under both Carter and Reagan, to the Congressional Research Service, to the American Bar Association, conclude a convention can be limited to a single topic and that there are mechanisms in place for those limitations to be enforced.
Department of Justice Report
"This paper concludes that Article V permits the states to apply for, and the Congress to call, a constitutional convention for limited purposes, and that a variety of practical means to enforce such limitations are available."
- Limited Constitutional Conventions under Article V of the United States Constitution, Office of Legal Policy, U.S. Department of Justice.
Read the full document: www.wolf-pac.com/resources
Congressional Research Services Report
"The Article V Convention for proposing amendments was the subject of considerable debate and forethought at the Constitutional Convention. The founders clearly intended it as a balance to proposal of amendments by Congress, providing the people, through their state legislatures, with an alternative means to consider amendments, particularly if Congress was unable or unwilling to act on its own."
- The Article V Convention for Proposing Constitutional Amendments: Historical Perspectives for Congress, Congressional Research Service.
Read the full document: www.wolf-pac.com/resources
American Bar Association
"In summary, we believe that a substantively-limited Article V convention is consistent with the purpose of the alternative method since the states and people would have a complete vehicle other than the Congress for remedying specific abuses of power by the national government; consistent with the actual history of the amending article throughout which only amendments on single subjects have been proposed by Congress; consistent with state practice under which limited conventions have been held under constitutional provisions not expressly sanctioning a substantively-limited convention; and consistent with democratic principles because convention delegates would be chosen by the people in an election in which the subject matter to be dealt with would be known and the issues identified, thereby enabling the electorate to exercise an informed judgment in the choice of delegates."
- Special Constitutional Convention Study Committee, American Bar Association.
Harvard Journal of Law and Public Policy
"Much of the fear surrounding a convention is unfounded. The Convention Clause's text and history indicate that it grants power to the States to limit the scope of any such convention. In addition, the States have the ability to reject any amendments proposed by a convention through the ratification process."
- The Other Way to Amend the Constitution: The Article V Constitutional Convention Amendment Process, Harvard Journal of Law & Public Policy, Vol. 30, Issue 3.
Senate Judiciary Committee
"The framers did not provide an unchecked grant of power to a convention: every amendment proposed would be subject to the same conditions faced by those proposed by Congress... the notion of a ‘runaway’ convention, succeeding in amending the Constitution in a manner opposed by the American people, is not merely remote, it is impossible."
- Report to the 98th Congress, U.S. Senate Judiciary Committee, 1984
Princeton Study
“Multivariate analysis indicates that economic elites and organized groups representing business interests have substantial independent impacts on U.S. government policy, while average citizens and mass-based interest groups have little or no independent influence. The results provide substantial support for theories of Economic-Elite Domination and for theories of Biased Pluralism, but not for theories of Majoritarian Electoral Democracy or Majoritarian Pluralism.
We see that an Article V convention is the only way to enact lasting and meaningful change. This can only happen by going away from Congress to propose and ratify and Constitutional Amendment.”
“Testing Theories of American Politics: Elites, Interest Groups, and Average Citizens” by Martin Gilens and Benjamin I. Page.
Read the full document: www.wolf-pac.com/resources
A Real Step to Fix Democracy
What happens when Congress itself is the problem in politics? The framers of the Constitution thought of a solution for that very problem.
LAWRENCE LESSIG MAY 30, 2014
In January, Gallup found that Americans from across the political spectrum picked the failure of “government” as the top problem facing America today. The vast majority link that failure to the influence of money in politics. Yet more than 90 percent of us don’t see how that influence could be reduced. Washington won’t fix itself, so who else could fix it?
It turns out the framers of our Constitution thought about this problem precisely. Two days before the Constitution was complete, they noticed a bug. In the version they were considering, only Congress could propose amendments to the Constitution. That led Virginia’s George Mason to ask, what if Congress itself was the problem?
It was an obvious flaw, and it led the drafters to add a second path to amendment that Congress couldn’t control: If 34 states demand it, Congress must call “a convention for proposing Amendments.”
In the 225 years since the Constitution was drafted, we’ve never had a federal convention. But the idea is familiar within the states. There have been more than 230 state constitutional conventions. Across our history, conventions to revise a constitution are more common than presidential and congressional elections—combined.
Still, many fear a convention will “run away” and threaten fundamental aspects of our constitutional tradition. Critics say that the convention that gave us our own Constitution did just that, and indeed, changed the rules by which amendments to our first constitution, the Articles of Confederation, could be ratified.
But that fear is grounded in an embarrassingly sloppy misunderstanding of our history. The framing convention was not convened pursuant to any clause in the Articles of Confederation. It’s not even clear that the convention was convened in response to any act by Congress. The framing convention, properly understood, was a traditional “constitutional convention,” exercising an “unalienable right,” as affirmed by Jefferson in the Declaration of Independence, to “alter or abolish” their then-failing government.
Our Constitution does not give Congress the power to convene such a convention. The convention that Congress can convene is instead very different. Its only power is to “propose Amendments.” By the plain language of the Constitution, those amendments are not valid unless they are ratified by 38 states. No one is talking about a second constitutional convention. The only question is whether to convene a body that can propose amendments that Congress itself can control.
“But what if,” the skeptics ask, “the convention proposes a crazy or partisan amendment?”
What if? It takes 38 states to ratify an amendment—which means the vote of one house in 13 states could block it. There are 18 state legislatures controlled by the Democratic Party, and 27 state legislatures controlled by the Republicans. There is no serious chance that a partisan amendment would not find 13 states to veto it. It just can’t happen.
“But isn’t it possible?” the opponents insist.
Sure, there’s a chance. A tiny, tiny chance. Just like there’s a chance that an ambulance dispatched to save your 6-year-old might have an accident on the way and injure the driver. But no one would excuse the driver for refusing to drive because of that chance—we’d call it cowardice. Regardless of the tiny risk, there’s an almost certain harm to the 6-year-old if the driver stays home.
That’s the same choice facing legislatures across the country just now, in almost the same terms. Because the reality is, however bad things are, those of us over 50 (with jobs and some security) are going to do just fine. We, as a nation, are wrecking the climate. But it’s our kids who will suffer the consequences of that. We are driving up an endless debt—that they, not we, will pay. Social Security will be around for us. Healthcare may be expensive, but our nation will be able to afford it—for us. And any epidemic in childhood obesity is not a problem for grandpa or grandma. The inability of our government to act is a catastrophic problem for our kids, not for us. And the refusal to act to find a way out of this mess is yet another decision to spare us while taxing our kids.
This inability to act is tied fundamentally to the way we fund campaigns. Congress can’t act with any sense so long as its members are focused obsessively on campaign dollars. And neither will Congress change unless strong pressure from the outside is rallied against it.
A convention is the chance for such pressure. It is also the chance for America to focus on solutions. Though there is widespread acceptance of the problem we face, and its source in the way campaigns are funded, there is not yet broad-based support for a particular solution. But a convention is at least a chance to engender a consensus, as it works through the wide range of proposals, including many from the right, that are pushing legislators to support a convention.
That is the convention’s role: to provide an alternative to Washington as the place where our nation’s constitutional problems can be addressed and possibly solved.
The framers of our Constitution picked state legislators as the backstop for the republic. They gave them the duty to step up if Congress loses its capacity to govern.
That loss has happened. The American government has failed. The only question now is whether state legislatures will cower behind the “what ifs” or do their job.
LAWRENCE LESSIG is a contributing writer for The Atlantic, the Roy L. Furman Professor of Law and Leadership at Harvard Law School, director of Harvard’s Edmond J. Safra Center for Ethics, and founder of Rootstrikers, an activist network opposed to corruption in government. He is a 2016 Democratic candidate for president of the United States.
Supportive Quotes
President Abraham Lincoln Quote
“This country, with its institutions, belongs to the people who inhabit it. Whenever they shall grow weary of the existing Government, they can exercise their constitutional right of amending it … I will venture to add that to me the convention mode seems preferable.”
- First Inaugural Address of Abraham Lincoln delivered on March 4th, 1861.
Read the entire speech: https://tinyurl.com/mcqjcs
Theodore Roosevelt Quote
“It is necessary that laws should be passed to prohibit the use of corporate funds directly or indirectly for political purposes; it is still more necessary that such laws should be thoroughly enforced. Corporate expenditures for political purposes, and especially such expenditures by public service corporations, have supplied one of the principal sources of corruption in our political affairs.”
- Theodore Roosevelt, New Nationalism Speech delivered on August 31, 1910 at the Dedication of the John Brown Memorial Park in Osawatomie, Kansas
Robert Kennedy Quote
“An Article V Convention is a “deliberative meeting to seek out solutions to a problem,” and the word “propose” cannot be stretched to mean “ratify.””
- Senator Robert Kennedy on November 2, 1977 as part of the Congressional Record-Senate 36537. Read the full document here: https://tinyurl.com/ydetq6r8
Bernie Sanders Quote
“You have to bring people together who may not agree on every issue, but who understand that the middle class is collapsing and we are moving toward an oligarchic form of society, where the billionaires will control the economy and the political life of this country.”
- Sen. Bernie Sanders (I-VT) on October 31, 2014 on Moyers and Company.
Watch the full segment here: https://tinyurl.com/y7gk9ynf
1. Restoring Free and Fair Elections is a Winning Issue. 96% of Americans in a recent poll support reducing “the influence of corruption in political elections.” Most Americans want our elections to be free of the corrupting influence of excessive spending by outside interests and fair enough that any citizen can run for public office. We need a government of, for, and by the people, not bought and sold by billionaire businessmen and outside interests. Americans want elections, not auctions.
2. American Democracy is in Crisis. For the first time ever, our country is close to falling into the category of a “flawed democracy.” A former U.S. President stated it bluntly, “America does not at the moment have a functioning democracy.” Free and fair elections are in jeopardy and political outcomes are increasingly disconnected from popular opinion, as powerful outside interests have used obscene wealth to rig the economy and our government in their favor.
3. Americans Know that Congress is Broken. Congress currently has the lowest approval rating ever at 9%, which is lower than the King of England at the time of the Revolutionary War. In a 2012 Gallup poll, nearly 90% of Americans said that the corruption of the federal government was on of their top 2 issues, and a more recent Gallup poll in 2013 showed the dysfunction in government as America’s #1 issue (above the economy). To most Americans, asking Congress to fix Congress is like asking cancer to cure cancer.
4. An Amendment is Required to Reclaim Representative Democracy. To restore free and fair elections, we must amend the U.S. Constitution, because the U.S. Supreme Court has rejected federal campaign finance law (Citizens United v FEC) and refused to hear state legislature’s objections to that ruling’s impact on state campaign finance law (American Tradition Partnership v Bullock). The only authority above the Supreme Court is the U.S. Constitution, and no law passed at the state or federal level can be protected without an amendment.
5. There are Two Paths to an Amendment in our Constitution. Either 2/3 of Congress can vote to propose an amendment or 2/3 of the States can demand a convention to propose an amendment; either way it’s proposed, ratification requires approval by 75% of the states (38) prior to adoption into the U.S. Constitution. With at least 13 Democratically-controlled legislative chambers and at least 13 Republican-controlled legislative chambers, only the most cross-partisan issues with near unanimous public support (such as free and fair elections) will make it through this ratification gauntlet.
6. A Convention of the States is a Democratic Process. Bringing together a diversity of perspectives, discussing and deliberating potential solutions, and then distilling those ideas in to a
proposed amendments that is put forth for validation by the American population—that is how democracy is supposed to work in America. A convention is only a conversation, where elected citizens and appointed state and local elected officials serving as delegates will propose an idea for how we can restore free and fair elections in America.
7. **There is a Strong Precedent for a Single Issue Convention.** With over 700 state applications calling for a convention of states to address a variety to issues, there has never been a convention before because only applications on the same issue are counted together, which also means the scope of the convention is limited to that single subject matter. More than 233 states have held conventions to amend their constitutions, and none have ever exceeded the scope of their mandate (this is proof positive that the myth of the “runaway convention” is a conspiracy theory).
8. **Most Amendments Start with State Convention Calls.** 4 of the previous 10 amendments as well as the Bill of Rights began with states applying for a convention to propose those amendments, which means that most amendments to the constitution (14/27) have historically begun with state level campaigns to call a convention. Most famously, the 17th Amendment was proposed by Congress when the states got within 1-2 applications calling for a convention. History shows us that when America needs an amendment we must call for a convention.
9. **This is the Constitutional Safeguard for Representative Democracy.** The convention process is one of the vital checks and balances included in the original constitution, which was included by the Framers in case Congress ever became corrupted and detached from the will of the American people. In his closing argument in the Federalist Papers (No. 85), Alexander Hamilton sells the Constitution to the ratifying states on the basis that they retain ultimate political control through the use of the convention process. The original ratification of our U.S. Constitution may have never happened without the inclusion of the convention process as a safeguard for representative democracy.
10. **Every Generation of Americans has Amended the Constitution (now it’s our turn!).** The Constitution of the United States has previously been amended 27 times, and once by every generation of Americans. We currently live in one of the longest stretches of time between amendments since the founding of our country. Previous generations of reformers came before us, such as the Suffragists and the Abolitionists, proved capable of accomplishing this historic feat. Now, it’s our generation’s greatest responsibility to remove the cancer of private money from public elections, erect a wall of separation between wealth and state, and restore free and fair elections for the future generations of Americans.
---
1. Represent US National Voter Survey, 12/1/2013, MFour Research and Tulchin Research
2. The Economist Intelligence Unit: Democracy Index 2012, Democracy at a standstill
3. Riva, Alberto "Jimmy Carter: US 'has no functioning democracy.'" Salon July 18, 2013
4. Callahan, David & J. Minin Cha "Stacked Deck: How the Dominance of Politics by the Affluent and Business Undermines Economic Mobility in America" DEMOS February 2013
5. Newport, Frank "Congressional Approval Sinks to Record Low" Gallup Politics November 30, 2013
6. "Loyalists, Fence-Sitters, and Patriots" Independence Hall Association.
7. Jones, Jeffrey "Americans Want Next President to Prioritize Jobs, Corruption." Gallup Politics July 30, 2012
8. Newport, Frank "Dysfunctional Gov't Surpasses Economy as Top U.S. Problem" Gallup Politics October 9, 2013
9. Article V of the U.S. Constitution
The framers of the U.S. Constitution intended for the Congress of the United States of America to be "dependent on the people alone," but this core American principle has been abandoned. Instead, Congress now depends on powerful special interests and wealthy benefactors to get elected, which has created a fundamental imbalance in our representative form of government.
While money will always have a role in our elections, the unprecedented influence it currently has over the political process, often with little or no transparency, is drowning out the voices of average Americans.
We must do everything in our power to solve this problem, so our children do not have to deal with the consequences. A U.S. Constitutional Amendment is the only solution that goes above Congress and the Supreme Court to restore the integrity of our elections, and will protect both state and federal reform.
The majority of U.S. Constitutional Amendments came about when the American people used every tool of democracy available: state-level reform, petitions, ballot referendums, resolutions urging Congress to propose an amendment, and applying for an Article V Convention to address a specific issue.
Using history as our guide, we must pursue all paths to achieve a much-needed U.S. Constitutional Amendment, so our elections will be free from the disproportional influence of special interests and fair enough that any citizen can be elected into office. It is our responsibility to act with the urgency this issue demands. Together, we will ensure a truly representative government for future generations.
THE FREE & FAIR ELECTIONS AMENDMENT PLEDGE:
I support a U.S. Constitutional Amendment to ensure a truly representative government that is responsive to the will of the people. As an elected official, I pledge to vote in favor of and support the Free and Fair Elections Resolution applying for a limited Article V Convention for the exclusive purpose of proposing an Amendment to fix our broken campaign finance system.
PLEASE GIVE A BRIEF STATEMENT EXPLAINING YOUR RESPONSE:
Candidate and/or Elected Official Full Name: __________________________________________
Office: ___________________________ District: ___________________________ State: ___________
Date: ___________________________ Signature: ______________________________________
If the pledge was printed, please sign and return by scanning and/or take a picture, then email to: email@example.com
AN ACT on the application of the legislature of the state of New York petitioning the Congress of the United States of America to call a national constitutional convention to propose amendments in order to address concerns raised by the decision of the United States Supreme Court in *CITIZENS UNITED V. FEDERAL ELECTION COMMISSION* 130 S.Ct. 876
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEMBLY, DO ENACT AS FOLLOWS:
Section 1. Legislative findings and intent. The legislature finds that:
a. the first President of the United States, George Washington, stated: "The basis of our political systems is the right of the people to make and to alter their Constitutions of Government.";
b. it was the stated intention of the framers of the Constitution of the United States of America that the Congress of the United States of America should be "dependent on the people alone." (James Madison, Federalist 52);
c. that dependency has evolved from a dependency on the people alone to a dependency on those who spend excessively in elections, through campaigns or third-party groups;
d. the United States Supreme Court ruling in *CITIZENS UNITED V. FEDERAL ELECTION COMMISSION* 558 U.S. 310 (2010) removed restrictions on amount of independent political spending;
e. the removal of those restrictions has resulted in the unjust influence of powerful economic forces, which have supplanted the will of the
people by undermining our ability to choose our political leadership, write our own laws, and determine the fate of our state; and
f. Article V of the United States Constitution requires the United States Congress to call a convention for proposing amendments upon application of two-thirds of the legislatures of the several states for the purpose of proposing amendments to the United States Constitution.
§ 2. The legislature declares that:
a. the State of New York sees the need for a convention to propose amendments in order to address concerns such as those raised by the decision of the United States Supreme Court in *CITIZENS UNITED V. FEDERAL ELECTION COMMISSION* (2010) 130 S.Ct. 876 and related cases and events including those occurring long before or afterward or for a substantially similar purpose, and desires that said convention should be so limited; and
b. the State of New York desires that the delegates to said convention shall be comprised equally from individuals currently elected to state and local office, or be selected by election in each Congressional district for the purpose of serving as delegates, though all individuals elected or appointed to federal office, now or in the past, be prohibited from serving as delegates to the Convention, and intends to retain the ability to restrict or expand the power of its delegates within the limits expressed above; and
c. the State of New York intends that this be a continuing application considered together with applications calling for a convention currently pending in the 188th Massachusetts legislature as S.1727 and H.3190, the 2013-2014 Vermont legislature as SJR 27 and the 2013-2014 California legislature as AJR 1, the 97th Michigan legislature as House Joint Resolution BB and all other passed, pending, and future applications, the aforementioned concerns of New York notwithstanding until such time as two-thirds of the several States have applied for a Convention and said Convention is convened by Congress.
§ 3. Pursuant to Article V of the United States Constitution, the Legislature hereby petitions the United States Congress to call a Convention for the purpose of proposing Amendments to the Constitution of the United States of America as soon as two-thirds of the several States have applied for a Convention.
§ 4. The Governor of the State of New York shall transmit copies of this act to the President and Vice President of the United States, the Speaker of the United States House of Representatives, the Minority Leader of the United States House of Representatives, the President Pro Tempore of the United States Senate, to each Senator and Representative from New York in the Congress of the United States, to the Governor of each State, and to the presiding officers of each legislative body of each of the several States, requesting the cooperation of the several States in issuing an application compelling Congress to call a convention for proposing amendments pursuant to Article V of the United States Constitution.
§ 5. This act shall take effect immediately.
AN ACT on the application of the legislature of the state of New York petitioning the Congress of the United States of America to call a national constitutional convention to propose amendments in order to address concerns raised by the decision of the United States Supreme Court in *Citizens United v. Federal Election Commission* 130 S.Ct. 876
The People of the State of New York, represented in Senate and Assembly, do enact as follows:
Section 1. Legislative findings and intent. The legislature finds that:
a. the first President of the United States, George Washington, stated: "The basis of our political systems is the right of the people to make and to alter their Constitutions of Government.";
b. it was the stated intention of the framers of the Constitution of the United States of America that the Congress of the United States of America should be "dependent on the people alone." (James Madison, Federalist 52);
c. that dependency has evolved from a dependency on the people alone to a dependency on those who spend excessively in elections, through campaigns or third-party groups;
d. the United States Supreme Court ruling in *Citizens United v. Federal Election Commission* 558 U.S. 310 (2010) removed restrictions on amount of independent political spending;
e. the removal of those restrictions has resulted in the unjust influence of powerful economic forces, which have supplanted the will of the people by undermining our ability to choose our political leadership, write our own laws, and determine the fate of our state; and
EXPLANATION--Matter in *italics* (underscored) is new; matter in brackets [ ] is old law to be omitted.
f. Article V of the United States Constitution requires the United States Congress to call a convention for proposing amendments upon application of two-thirds of the legislatures of the several states for the purpose of proposing amendments to the United States Constitution.
§ 2. The legislature declares that:
a. the State of New York sees the need for a convention to propose amendments in order to address concerns such as those raised by the decision of the United States Supreme Court in *Citizens United v. Federal Election Commission* (2010) 130 S.Ct. 876 and related cases and events including those occurring long before or afterward or for a substantially similar purpose, and desires that said convention should be so limited; and
b. the State of New York desires that the delegates to said convention shall be comprised equally from individuals currently elected to state and local office, or be selected by election in each Congressional district for the purpose of serving as delegates, though all individuals elected or appointed to federal office, now or in the past, be prohibited from serving as delegates to the Convention, and intends to retain the ability to restrict or expand the power of its delegates within the limits expressed above; and
c. the State of New York intends that this be a continuing application considered together with applications calling for a convention passed in the 2013-2014 Vermont Legislature as R-454; the 2013-2014 California Legislature as Concurrent Resolution No. 1, Chapter 77; the 98th Illinois General Assembly as SJR 42; the 2014-2015 New Jersey Legislature as SCR 132; the 2015-2016 Rhode Island Legislature as HR 7670 and SR 2589; and all other passed, pending, and future applications until such time as two-thirds of the several states have applied for a convention for a similar purpose and said convention is convened by Congress.
§ 3. Pursuant to Article V of the United States Constitution, the Legislature hereby petitions the United States Congress to call a Convention for the purpose of proposing Amendments to the Constitution of the United States of America as soon as two-thirds of the several States have applied for a Convention.
§ 4. The Governor of the State of New York shall transmit copies of this act to the President and Vice President of the United States, the Speaker of the United States House of Representatives, the Minority Leader of the United States House of Representatives, the President Pro Tempore of the United States Senate, to each Senator and Representative from New York in the Congress of the United States, to the Governor of each State, and to the presiding officers of each legislative body of each of the several States, requesting the cooperation of the several States in issuing an application compelling Congress to call a convention for proposing amendments pursuant to Article V of the United States Constitution.
§ 5. This act shall take effect immediately. |
WE ARE THE DEFEATED VIET CONG OF AMERICA
Tacoma, Wash.
The Survival of American Indian Association was formed in January of 1964 by the Nisqually, Puyallup and allied Indian tribes in order to unite their resistance to the Washington State government who have been infringing upon Indian treaty rights, particularly fishing rights on the Nisqually and other rivers.
Anyone who believes that U.S. policy in Vietnam will recognize an historical parallel in the U.S.'s treatment of American Indians, Genocide has been a continuing policy.
When the white man first set foot on the North American Continent there were by conservative estimates 300,000 Indians. By 1850 the Indian population was reduced to 250,000 — by at least 2/3. 500,000 American Indians were murdered by the white man at he invaded the area called the United States. Some were killed through germ warfare. For example, 15,000 members of the Shoshone Tribe were murdered when the government gave the people blankets infected with smallpox. The Nisqually Tribe was infected with measles around the same time and lost as many as 75% of its population.
There is no record that actually shows that Indians massacred white people. But the massacres of Indians on record are at least as numerous as those of whites. On Christmas Eve Celebration of the Pious Pilgrim Forefathers at Cos Cob, Conn., in which some 400 friendly and peaceful Indians, women, children and the entire village — were murdered after all avenues of escape were cut off.
Other people will cite the defeat of Custer at Little Big Horn as an instance where Indians massacred white men. People must remember that that was a military engagement in which the Sioux obviously had a better General.
NEVER GAVE UP RIVERS
Many of the Northwest Indians are fishermen and have always been so. To take away their fishing rights is to take away their livelihood. And being fishers, none of these Indians ever gave up right to use of their rivers in their treaty negotiations.
But Indians have no real rights in this country. They are not citizens; their affairs are administered by the Bureau of Indian Affairs and it is absolutely insensitive to their needs as the Indian government is to the needs of people of Vietnam. In everyday American consciousness, Indians are mostly hat-invisible. In areas where they live, they are hated, cheated and misused.
"Justice" for a Washington state Indian is delivered by people like Judge Robert Pierce County Superior Court, who, in issuing an injunction against the Nisqually, stated: "They never meant for you people to free the salmon." And Pierce County Bar, Prosecuting Attorney who said in court: "We had the power to use force to intimidate these people from the face of the earth instead of making treaties with them. Perhaps we should have. We certainly wouldn't be having all this trouble with them today."
TREATIES IGNORED
When the Washington state government attempted to force the Indians to give up their ancestral fishing stations on the Nisqually River, the Indians had almost no way of defending themselves. Indian treaty stipulations are only enforced as long as it is convenient to do so. The state wanted to turn theriver over to sport fishermen. They claimed the Indians were depleting the salmon though in fact the Indian catch is less than one per cent of the total catch and it is obviously the gigantic commercial fishery which threatens the existence of the salmon.
The state probably does not have the power to set aside a treaty which is a federal document, but the Indians have difficulty obtaining any legal counsel to protect themselves. People who attempt to help are regularly threatened and harassed, in denigration the Survival of American Indians Association's attempt to fight back to demand their historic rights to fish and to arouse public interest. Readers may remember the fishing in 1965 in which Marlon Brando participated. In 1966 Dick Gregory and his wife were arrested. Of course, many Indians were and have since been arrested, as well as harassed, intimidated and beaten. But, as in the south, this kind of news rarely makes national headlines.
RIOTS
The general strategy of the daily press is to report none physical events fairly accurately. That is, if black people shoot at the cops, it is reported in accurate detail. If police are hurt, it is reported. When black people riot, however, the impression is given that it was THEIR FAULT. In almost all cases, the cause of the riot are not given. This is the most important part of the news reports. They don't say why the people rioted.
To describe the events of the riot, without giving the causes, is to imply that blacks start riots themselves. The reader fills in his own reason they are naturally violent; they're animals; the weather was hot; they hate Whitney.
TAMPA, FLORIDA
The San Francisco Chronicle's first report on the Tampa riot, June 17, was headed REETING, LOOTING IN TAMPA. It began:
"Black rioters battled police riot squads with guns and rocks in two slum districts."
HISTORY
"Everybody should know that Andrew Jackson was the Hitler of America, or rather that Hitler was the Andrew Jackson of Germany. Jackson ran on an anti-Indian platform and won. Several of the time said that either the Indians will become
CONTINUED ON PAGE 9
LETTERS
FREDONIA, N.Y. FARMWORKERS
Dear Movement Brothers:
I included their find $2 for our sub for Laren Trejoen, West Town Rd., Ed., Fredonia, NY.
Just spent 3 days here (picking) at an hotel in Buffalo and a few more from Rochester, and think the Puerto Rican campesinos up there deserve coverage. Also, I'm an organizer to join Laren who is trying sleep-burns, and the anti-theft, type up releases, net up union meetings (of the TRABAJADORES AGRICOLAS DE ULTRAMAR) and invite civic-minded people to come and see the film-ops offing-wigs. She's got amazing pictures of the two brown workers burned to death in Brooklyn that fall, because they were unemployable (which had only baked extra...and every photo she has is a visible violation of all health codes). With any farm, or operation of a farm, that has less than five workers does not have to register as a "camp" and then does not get its inspector. The farm with 5 or more than 5 free jets indicated a great real issue over since the Health Inspector is a Farmer's Best Friend. All the Welsh Contrast in the world cannot satisfy these farmers who have been burning the semi-burned shacks and raise up new ones (a whole bunch of farm workers are living in recondo-chicagos).
The government has 55 stated reasons who are always on the move, but their main love is Puerto Rico and the only reason they are here is to make the farmers ILLEGALLY paid their airfare from Puerto Rico and now he takes out of their pay what they 'owe' him. Many make $1.25 an hour, but if the farmer says he needs the farm to run, he probably gets a dime that day. Most of the workers are from Jivoya on Russell Joya's farm (he's the jockey mayor and one of the richest persons in Fredonia). Many have people who died in 1950's rebellion led by Albinu Campot, so most are very revolutionary spirited, but conditions constantly stink, they can't be drunk, food varies from beans to rice, no Health Clinics or telephones for emergencies, and there are many...
WELFARE FRAUD
The Welfare Department has friends among the grocers and so during the winter no one left there can get Welfare because if a farmer has brush to pick for 1-1/4/hr. (stuck) in the snow in January, the competent must do that and cannot qualify (which is illegal since Welfare also must supplement when income is insufficient).
Laren Trejoen wrote an 8-page report and appeal to W. Reuther (since the Steelworkers can't organize here) all but convinced me that there are always too might want a car since it consider good suggestions...A recent State Legislative Hearing in Albany has on record all major violations in Chautauqua County. It includes Fredonia, Breezton, North Collins—about 6000 campesinos, One camp has 400 living in it for 6 months.
There are many Afro-Americans living in cabins on these camps year-round, and migrant Puerto Ricans during the 6 month picking period. There do follow the same pattern as the Steelworkers, they are told which camp in the area to go to. The farmers are all lined up it seems. The farmworkers on Joya's land have a titles (collected up in Itaca by SDS Office people) and a bank account of $34...
HELP NEEDED
If you have any idea of the best way to interest people in fund raising or organizing, please write to me or Laren Trejoen. (her phone number is 716-673-1172 in case anybody's up there).
Thank you for all interest and for magnificent coverage of campesinos to date...
Fraternally,
J. Jurco, D. Ortiz
117 Ludlow St.
NY, NY 10002
(ED. NOTE: This is the kind of letter we would love to get more of. Due to our staff limitations we can't send a reporter to Fredonia to talk to Laren Trejoen. But maybe someone from that area can go, take pictures, get the story and send it to us...And because we publish this letter, maybe someone will call Laren organizing, or at least send a contribution...This is what THE MOVEMENT is about, but we need to hear from more of you.)
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CONTINUED ON PAGE 11
COMFORT FREED ON 2 YEAR PROBATION
OAKLAND, CALIF. — Mark Comfort, militant East Oakland organizer, was released from Santa Rita Prison last month. He was serving the last part of a six month sentence for his part in the demonstrations against the Oakland Tribune several years ago. Comfort was released on probation issued by the Oakland Court. The terms of the probation are strange and unusual if not unconstitutional.
PROBATION
The 9 terms of probation were imposed on Comfort by his probation officer, but they were not signed, so it is not known who wrote them or on whose authority they were issued. If strongly enforced, they would certainly be unconstitutional.
1. Report to and cooperate with the Probation Officer.
2. Secure and maintain employment. Do not change place of employment or residence without the approval of Probation Officer.
3. Maintain and support his wife and minor children.
4. Not to possess or at any time use or discharge any weapon or firearm, (not even self-defense).
5. Refrain from association with any person known to be engaged in criminal activity. ("Is he del i kung what YOU do in your spare time?" Mark asked the Probation Officer, "Maybe you're engaged in criminal activity.")
6. Refrain from acts of violence toward any other person, or threats of violence to any other persons or groups of persons. ("Does this mean I can't threaten to break my kid's face?" Mark asked THE MOVEMENT.)
7. Refrain from associating with any persons, or groups of persons illegally using or threatening to use any firearms or weapons, or any persons or groups of persons engaging in any activities in the general public by violence or threats of violence. (How do you "illegally threaten"? When SNOCS says, if white folks don't desegregate, there will be riots, is that intimidation?)
8. Refrain from associating with any persons or groups of persons publicly advocating illegal acts of violence against any other group or groups of persons. (If we are self-defense, the government calls violence, can Mark not associate with any person advocating self-defense against the KKK?)
9. If he is going outside and obeys all laws, (Can he be sent back to prison for crossing against the light? For disobeying unjust laws?)
Terms 1 and 9 were not on the list when Mark accepted probation, they appeared later on the list given him by the Probation Officer.
At the probation hearing the judge told Comfort that these terms "were not intended to force him to change his political views." But they could easily be interpreted in a way that would prevent him from CARRYING OUT his political views.
Meanwhile, Comfort is under indictment for his part in the demonstration by members of the Black Panther Party and Self-Defenses at the California Legislature. Money for their defense is urgently needed; contributions should be sent to their attorney, Robert Triasfeld, 6411 Regent Street, Oakland.
COP ALERT PATROL
Some new developments are taking place in Oakland, Comfort told THE MOVEMENT. The cops have organized their own civilian patrol! "Patriotic citizens" have been given two-way radios on the police band. They are to patrol Oakland and report any suspicious activity. They are to be equal informers for the Police Department. "And the worst part about this," said Comfort, "is that most of them are black!" The use of thugs has always been a part of the police strategy, but this is a new high, directed completely at suppressing the Oakland black community.
GREYSTONE
Mark was imprisoned in Greystone, the maximum security section of Santa Rita. Conditions there are extremely brutal. Prisoners are given coffee and oatmeal for breakfast, a small lunch, and corned beef for dinner.
They are kept in cells that are cages inside cages, with guards watching them at all hours. They are not permitted outside except for exercise, and are worked under the pressure of being beaten on the cell door. Guards rub 'em and sprayed him in the eyes with an aerosol can of gas, which caused his eyes to swell out of their sockets, he was dragged from the cell and returned several hours later, badly beaten.
CLEVELAND: MOVING TO WHERE THE PROBLEM IS
The Hough Welfare Office is located at 8325 Euclid Avenue. It is within walking distance for most of the residents of Hough. For the past year, the caseworkers who work in the office have been dealing with such tremendous and long-term problems of welfare administration. Recipients have been able to go to the office without having to pay bus sitting and travel expenses. They have been able to fully use the services of the office. And because of the accessibility of the office, both caseworkers and recipients have been able to establish better, more informal relationships.
The office has become a model for neighborhood offices in other areas. Yet it is now planned to close the office down and move the caseworkers out of Hough and into a new office located at 3rd and St. Clair. At the same time, a program to allow recipients to save up to 100% of their welfare check without a cut in the allotment (exclusive to the Hough area) is being dropped at of June 30th.
NEVER EXPLAINED
News of the office closing has not, to our knowledge, ever been publicly explained by a representative of the Welfare Department. Minnie Thomas, the Welfare Grievance Committee, a local clients' organization, told COMMON SENSE that she first heard about the news about a month ago. Concerned over the anger by the plan, the Grievance Committee and other welfare organizations tried to meet with Ruggiero Burns, head of Council Welfare. Mr. Minnie, just like Burns did not attend the meeting, but sent Steven Minitor of the Bureau of Resources and Thomas Weiler, Assistant Director, in his place. Minitor said that the alleged rent for the office had formerly been paid by Community Action for Youth, a local agency of the War on Poverty. CAY had been closed in January of this year. It may have been forced to absorb the rent costs. He asserted that the office was too "run down" and that a new office would be better equipped to handle waiting time, and a tighter relationship to the central administration. In response to the welfare clients' protests that an office on West 86th Street would be terrible, Minitor replied that the decision to move the office was final and irrevocable.
A demonstration was planned by the recipients for Friday, June 16th. From 12:00 until close to 7:00, forty recipients and caseworkers marched at the downtown welfare office at 24th and Payne carrying placards reading "Keep the Office, Inhabitants and Caseworkers Changing. 'We Want Burns — Out! We Want Burns — Out!' But Mr. Burns had left his office a few minutes before the demonstrators arrived.
BETTER CASE WORKERS
On the demonstration, Gail Cusens, a caseworker, told COMMON SENSE that the Hough office was important for many reasons its location is "moving to where the problem is"; it is accessible and allows an identification to be established between caseworker and recipient. Another caseworker commented, "We have become better caseworkers since we have been working in the area."
This sentiment was echoed by Lee Tor-
BURNS WON'T BUDGE
At one point, the marchers began showing their signs into open windows on the first floor of the building, in an attempt to communicate with some of the people inside. After the window had been slammed tightly shut, they decided to twist at seeing Mr. Burns, one of the marchers recalled the great deal of frustration when he said, "Burns sitting in an airconditioned office. He's not about to budge. And if he does, it'll be out the back door. When Mr. Minitor, secretary, standing at the front steps of the building, told the group that Mr. Burns would meet with them at his earliest convenience, people quickly responded "He stole the office from us, our backs, and now he hasn't got the time to see us" and "From now on, Burns will meet with us at our convenience. We're tired of standing at the door waiting for hours while he's running away to Columbus."
At 2:00, the demonstrators left. Their demands had not been met, nor even spoken to by anyone who could change the policy. Meanwhile, downstairs in the Payne office, posters were on the wall. One fan was blowing hot air outside the little room. An American flag hung on the wall. And fifty people waited to complete the tedious and exhausting task of "going to the welfare office."
from COMMON SENSE, independent bi-weekly newspaper of Cleveland's inner city, 1544 East 86th St., Cleveland, Ohio 44106.
THE DEATH OF THE AMERICAN PRESS
HOW THE MEDIA PLANS TO COVER REVOLTS
By DAVID BARNETT
Examiner Correspondent
WASHINGTON — FBI Director J. Edgar Hoover has warned Communists Party: "It is the police who have been responsible for inflaming every riot that has taken place in the last few years. It is they who enforce the conditions that drive black people to desperation. It is they who have initiated every riot.
And it is they, and only they, who will supply the mass media with its information.
Why would the presence of the media 'heighten the disturbance'? By reporting the shooting and beating of black people by police. Only, what else, except showing acts of brutality, would heighten the situation? Police acts of violence are not to be shown.
How would the media "interfere with efforts of revolutionists control"? By exposing the methods used to quell demonstrations were to see the methods used by police to quell demonstrations, they might resist negatively. They might interfere with the suppression of the revolution.
No policeman has ever reported acts of police brutality. The newsmen are to speak only to the cops. No acts of police brutality are ever reported by the press. Guideline #10 makes this clear:
"Avoid broadcasting interviews with obvious law-breakers or participants in disturbances, unless the interview is legal and when the interview could be considered inflammatory and may add further problems to the disorder. Whenever possible, the protest movement should seek out a responsible spokesman for the community in which the disturbance occurs."
During interviews, interviewers young man who might say, "The cops just shot my brother. They broke into my house and beat up my wife. They took my kid on the way to a rifle range." These statements are inflammatory. The man obviously opposes police law and order.
The broadcasters admit that there are two sides to a riot. In a polluter, that's what Carmichael #7 is doing, said ashamed hypocrisy.
"Reports should be calm, objective and free from 'overreaction' or 'excitement.'"
They have the decency to put the words "overall picture" in quotes. They intend to be objective WITHOUT PRESENTING ANY OF THE VIEWS OF ONE SIDE IN THE CONFLICT. The FOLLE are to provide them with the "overall picture" to U.S. participation in Viet Nam.
Carmichael was chairman of SNCC until he was replaced last week.
Hoover said Carmichael was in frequent contact with Max Stanford, field chairman of the Revolutionary Action Movement, a secret all-Negro, Marxist-Leninist Chinese Communist-oriented organization that advocates guerrilla warfare to obtain its goals.
CARBOIL CLUBS
The press is a conscious tool of the police. The press can be bought, and overcome.
EX-SERVICEMEN JOIN DRAFT RESISTANCE
Recently THE MOVEMENT interviewed Jeff Segal, National Draft Resistance Co-ordinator for SDS. Here are his comments on the current Draft Resistance movement.
MOVEMENT: Basically, could you give us some idea about what you have been doing?
SEGAL: I've spent the last two months talking to SDS chapters and Draft Resistance Unions. I have visited all of the existing and active unions in the country.
MOVEMENT: How many Anti-Draft unions are there?
SEGAL: There are at present about 25 active draft Resistance Unions. There are about 900 to 1000 people working in these organizations.
Most of the unions got started around the circulation of "I Won't Go" statements. Out of that a fairly strong group of people has been built. Many members are not draftable. About half are older people, women and deferred men.
Of course, all of these groups are at different levels of organization and commitment. But about half of the groups are involved in demonstrations at induction centers. There have been a growing number of incidents of disruption at these places.
From these groups there are a number that have gone to the high schools and have started anti-draft organizations; a few groups have started community work.
WHAT HAS BEEN DONE
MOVEMENT: You mentioned disruptions and demonstrations. What exactly has happened?
SEGAL: Some places have sent guys into the induction centers to talk to the people inside, trying to make as much of a farce of the induction process as possible.
In some areas there have been attempts to stop buses. People have gone into induction centers who haven't been harassed. Also, it has been mostly Draft Resistance Unions that have been involved in demonstrations against military recruiting on campus.
MOVEMENT: How have the Draft Resistance Unions organized?
SEGAL: One of the first steps has been to put out leaflets that list members of draft boards with names and addresses and tell them to do a lineup. In most cases they found that the members of the draft boards are tied in with the people who run the induction centers. They have found that this information makes it easy to talk to people about community power structures. Young guys respond to connections between community problems and draft board members.
A number of the unions are in the process of getting lists of likely entrants. From there they plan to go out and talk to the guys before they actually have to go to induction stations.
MOVEMENT: What is being done about internal education of members of Draft Resistance Unions about the draft and selective service system? You can't go out and talk to someone unless you have substantial information about the draft.
SEGAL: Yes, we are aware of that. There is a manual that will come out of SDS national office in the very near future. It will have a very specific rundown gone down and stood around high school hang-outs and started conversations about the draft. It has been pretty easy to make contacts with high school students. Once contacts have been made the high school people have done the organizing with the help in things like printing from the college press.
Another area has been in talking to service men. There have been three approaches.
1) There has been a very small number of cases of guys inside the services approaching us; it has been pretty much a matter of providing literature and leaflets. The most famous article for this has been the Donald Duncan article in Ramparts. One SDS chapter circulated ten or so copies of it to their service men and got a soldier's name into the office about a month later with one dog eared copy and wanted more.
2) There are a growing number of cases where these SDS groups are close to Army bases. People have gone into areas frequented by service men and leaflet literature where people could look at it.
3) They have organized various gatherings for servicemen. They would make contacts and attempt to combat the brain-washing that goes on in the army by giving some information about alternatives to service men.
ANTI WAR SAILORS
MOVEMENT: How much success have they had with this sort of activity?
SEGAL: We have found that there is a great deal of dissatisfaction about the war within the service. There seems to be a lot of anti-war sentiment in the Navy.
CONTINUED ON PAGE 9
DRAFT RESISTANCE NEWS
Taken from information supplied by the Draft Resistance Movement.
FRENCH RESISTANCE
Word is out that the French Resistance that evolved during World War II and the Algerian War, has been re-activated. This is partially a response to the fact that there are many American soldiers that are deserting in Europe because of the War in Vietnam. It is also known that these people are very interested in Draft Resistance and the Movement that has been developing here in the U.S.
OPEN RECORDS
At least two local groups, the minutes from the local SDS board meeting are open to the public. In these minutes are the full names of all young men who have been recruited for the armed forces. They can see these lists and to take down the names.
More than 250 medical students at 25 schools have signed a pledge refusing to serve with the Armed Forces in Vietnam.
LOCUSTS woodcut by R.V. Correll
Over 100 faculty members at Stanford and Berkeley have supported the action. Some members are planning to travel around the country this summer to give support and advice to Algiers. Contact Gary Romano, 1286 3rd Ave., San Francisco, 664-6081.
One of the organizers of the medical pledge, Ron Levant, says "The majority of the medical students who signed the pledge have never before been active in peace activities. They had not marched in any peace parades. Yet they took the pledge, which risks them up to 5 years in jail. They signed the pledge because they could take it seriously. Without doctors, your're reduced to a combat unit of its size and strength, so as to maintain maximum combat effectiveness and mobility" (Army Medical Manual #1-6, 1961). Moreover, the medical student makes class payments while actually risking something. Actually putting their stake in society on the line would be bound to encourage other groups of people to take a similar stand."
SPREAD THE MOVEMENT
Can you use a bulk order of THE MOVEMENT for your group, club, campus, friends and neighbors? 10¢ each plus postage for over 10 copies 75¢ each plus postage for 100 or more. Order from THE MOVEMENT PRESS, 449 14th St., San Francisco, Ca., 94103
POLICE CAN STOP TROUBLE
SAN FRANCISCO, CALIF. -- POLICE CAN STOP TROUBLE - BY NOT STARTING IT is the headline on a petition currently being circulated by Bay Area Friends of SNCC, (see petition below).
This petition is one of several new programs sponsored by BAFOSNCC. Others include a bail fund, a draft resistance and anti-draft organization, a bail fund for ghetto residents arrested in the event of uprisings this summer, and a lawyers' committee to advise and assist both draft resisters and arrested ghetto dwellers.
Friends of SNCC is a loosely structured, mostly-white, mostly Northern support group which has sent money, supplies, and volunteers to SNCC, and has been working to support those activities. Continuing activities in the San Francisco area have included the Marin Friends of SNCC stamp drive, which collects and redeems all kinds of trading stamps to purchase supplies for SNCC, and THE MOVEMENT newspaper which started as a Friends of SNCC newsletter.
NEW PROGRAMS
These new programs are the result of SNCC's recent decision to form a fund raising base in the communities where it works instead of depending on northern support. Rap Brown, new SNCC chairman, suggested that FOSNCC could best turn its resources to educating the white community to the needs and purposes of the black freedom struggle. Draft resistance, changing the law to limit sit-ins at draft boards, and anti-draft work is a more critical problem for blacks, but not a different problem. And with the new law granting automatic student deferments, the problem may become almost as critical for young poor and working class whites.
TAKES GHETTO SIDE
FOSNCC also sees itself as one of the few predominantly white groups which will take the side of ghetto residents in the event of violence. Since this is a racist society where the voice of a white man carries more weight than the voice of a black man, FOSNCC feels an obligation to use its "white power" to support the needs and demands of minority groups. Edward Feldman, head of the FOSNCC office and the author of this article, said, "If we don't do this, then the police will do it." He added, "FOSNCC hopes to indicate to local governments through this petition that a significant number of 'respectable' citizens will be critically observing the actions of police in ghetto areas. By doing this way FOSNCC hopes to create a social climate which will make brutal police actions less likely in the future."
The impact of the petition depends, of course, on the number of people who sign it. We urge you to sign and return the petition below and to urge others to do so. Copies of the petition are available from the SNCC office, Contributions to either bail fund, to anti-draft organization, or SNCC's war against racism or to BAFOSNCC. BAFOSNCC offices can be found in Bay Area Friends of SNCC, 449 14th St., San Francisco, Ca. 94103. Phone: 626-4577.
LA COPS SMASH LBJ PICKETING
"About 1 p.m., perhaps a few minutes later, suddenly the cop in front of me swung his truncheon against the face of a man, Blood spurts. Others join in. The first cop kicks a baby, a girl, down trying to protect the child, the same cop kicked her in the back. A doctor tries to go to her aid and was beaten down by several cops."
-- James Shafik in the Los Angeles Free Press
The most important single statement made about Bloody Friday was by a black woman who participated, "Now they know how the cops treat us all over here," she said. It was under a white student, a professional middle-class group that was attacked by the police. They were not Sunset Strip hippies. They were women with babies and children, elderly, unmarried young people, whole families together.
The reaction to the brutality was often, "this can't be happening in America," which shows how isolated many demonstrators were from what IS happening here. Good liberals who sincerely believe that Siskley Carnacush is an extremist were treated the way cops would like to treat Siskley if they weren't afraid of him.
NOT RACIST
The police acted in a way that cannot be dismissed as racist. One cop hit the heads of people who were trouble, black or white. Police violence cannot be analyzed as "irrational," "psychotic" or "sadistic." They attacked the demonstrators because they were ordered to.
SELF DEFENSE
This was the first white political demonstration in which people reacted in a healthy way when attacked; they fought back. They fought back in astonishment, but they fought back.
"A man and a lady were holding a baby. I saw them trying to protect it. A cop tripped the lady and the baby went rolling across the cement. I picked it up and gave it to the man.
"Then I saw a cop who had seen this. He charged toward the cops with blood in his eyes. Two men, not cops, tried to stop him and the cops started beating on all of them."
-- Bruce Denney in the L.A. Free Press
Out of a few demonstrators tried to use the old tactic of sitting down. This only made matters worse by blocking those who were being beaten and making the crowd look like cowards.
The demonstrators had a right to be there and knew it. They did not leave the area passively when some of them were ordered out. They stood like women move into the crowd. But as soon as they paused or moved back, the crowd would surge forward again. They were not about to leave.
They also protected one another. One part of the crowd was isolated and pushed down on Vermont Boulevard. A cop in a crowd was tried to be separated from the crowd. The demonstrators rocked the car. When a second car came through, a youth threw a rock, hitting the side of the car. When the police tried to get the car, the crowd formed around the youth and hid him. The police, obviously shaken, drove off.
The police riot convinced thousands of whites that the stories of police brutality are true. "I never believed it before, but I believe it now," was a common statement.
NAZI PARALLELS
The most common comparison was with Nazi Germany. A group of 300 demonstrators paraded through the L.A. City Line, gave the Nazi salute and sang "Heil Hitler" at the police station 15 minutes.
The similarity between the police action and Nazi police was on everyone's mind.
"Looking over the whole situation later, it seemed like Nazi storm troopers herding the Jews into the acid baths."
-- Bruce Denney
A LETTER & A LEAFLET FROM BOSTON
To THE MOVEMENT:
We're working out of a store front in Central Square in Cambridge from 7 A.M. to 10 P.M. We've got two draft counselors in here every day all day, One black, One white. The ones we are studying are: the selective service system, defenses etc., legal deferrals, conscientious objection etc. etc. And of course they are working in the direct action insufflating of pre-inductees at the South Boston Army Base every morning.
We have lots of literature on war like five or six issues of the Movement each month. Enclosed is four dollars for four months worth of copy. (Beginning June if possible, The H. Rapp Brown article is important).
Enclosed also are copies of two of the leaflets that we have been handing out to the pre-inductees and other working class guys. We are seeking out meeting and talking with them.
A first newsletter comes out early next week (as soon as we can get it written) and we will send it on to you.
Thank you,
Boston Draft Resistance Group
Cambridge, Mass.
Here is one of the leaflets that was enclosed.
cannon fodder,
That's you baby. You do the dying while the rich guys do the studying, so they can send your kids off to the next war just like their old men are sending you off to this one.
And for what? Your country? Bullshit - for a South Vietnamese punk named Marshall Ky. He's great. The only fighting HIS army does is at the PX when the transistors come in.
The ARVN (South Vietnamese Army) won't fight, why the hell should you?
(Still want to fight? Fight the draft with us.)
Boston Draft Resistance Group
138 River St.
Cambridge, Mass.
547-7919
CARMICHAEL DRAFTED BY BLACK PANTHER PARTY
OAKLAND, CALIF. - Eldridge Carmichael, who has refused to be drafted into the American Army to kill people of color in Vietnam, was drafted last month by the Black Panther Party for Self Defense, Bobby Seale, Chairman of the BPP, announced at a press conference that Carmichael had been drafted and given the rank of Field Marshall, The Black Panther Executive Minister said.
Because you have distinguished yourself in the struggle for the total liberation of Black People from oppression in racist white America;
Because you have acted courageously and shown great fortitude under the most adverse circumstances;
Because you have proven yourself as a true revolutionary guided by a great feeling of love for our people;
Because you have set such a fine example, in the tradition of Brother Malcolm, of dedicating your entire life to the struggle for total liberation of Black people and providing a model for others to emulate;
Because you have refused to serve in the oppressor's racist mercenary aggressive war machine, showing that you know your true friends and enemies are;
Because of your new endeavor to organize and liberate the Crown Colony of Washington, D.C., you will inevitably be forced to confront, deal with, and conquer the racist Washington Police Department which functions as the protector of the racist dog power structure, occupying the Black Community in the same manner and for the same reasons that the racist U.S. Army occupies the Black Southern Community.
You are hereby drafted into the black Panther Party for Self Defense, invested with the rank of Field Marshall, delegated the following authority, power and responsibility:
To establish revolutionary law, order and justice in the territory lying between the Continental Divide East to the Atlantic Ocean North of the Mason-Dixon Line to the Canadian Border; South of the Mason-Dixon Line to the Gulf of Mexico.
So let it Be Done!
Huey P. Newton
Minister of Defense
For Black Panther News Read
THE BLACK PANTHER
Black Community News Special bi-weekly paper of The Black Panther Party for Self Defense, P.O. Box 8641, Emeryville Branch, Oakland, Ca. 94608, $5.50 a year.
POOR FIGHT URBAN RENEWAL
By Dick Lawrence, Temporary Chairman, City-wide Urban Renewal Committee
Chicago, Illinois City Hall was astounded. Poor Negroes, poor whites and poor Latin Americans joined together to fight. On Friday June 2, a union of the poor went to City Hall and City Hall was astounded. We had been fighting our petition for the poor people of Chicago before the City Council. We declared in a telegram to the Mayor: "Our homes are in danger. Your help is needed. Direct your floor leader to read our petition stating the principles which must become the policy of the City of Chicago for the future operation of the Urban Renewal program in the city."
We knew Daley had no intention of doing this, His $140 million dollar urban renewal program was based on survivalist principles and a vote to proceed was needed by July 1st to get the package to Washington in time to meet Federal deadlines. However, Our City-wide League asked to read our "urgency carta." The City Council members lost their heads. Chaos reigned as they shouted at one another from the floor and finally the Mayor himself stood up and ended this must stop. Our people started chanting: "Stop urban renewal. Stop urban renewal."
DALEY REDFACED
As usual the police cleared ahead of the Mayor's office. The police proceeded to give us the final word-"Shut up or get out."
We moved from the chamber, but continued to shouting. Behind the acid tones of Richard Daley, we shouted for democracy: "This is a democratic body. No small group of people is going to take over this Council meeting. His lies leave blisters even on Channel T.V. that night, and to most of us he looked proud-caught redfacing denying the needs of the people again.
We picked City Hall for awhile, then decided to have a rally. Dorothy Mattox, a black woman from E. Garfield Park Community Organization shouted about poor blacks being the biggest renewal screw, Then Obed Lopez from LADO (Latin American Defense Organization) and Peggy Terry, an application from Uptown JOSA, told how people all over the city are ready to fight.
We swore we would return. We knew two things: 1) we would try to deter and politicize the support of the Housing and Planning Comm., on urban Renewal, That marginalized them too. "These niggers got their homework out."
To get even with us for these surprises, the police resorted to their usual "democratic" tactics of selective arrests. Three demonstrators were quickly carted away with three charges each.
SALTY TASTING TRUTH
Our City-Wide Committee got a real set-back during the planning for the next annual demonstration of the largest urban renewal areas, was having a planning conference. They were sure they could do business with Daley. Who cares if they succeed? Because Daley himself showed up at the conference and told them no. When will the poor learn? Hows Daley rolls out to lie to us, and we destroy our strength. When do we learn that truth with a salty taste isn't truth.
Federation had a warm reception for him. He split us in two again.
When we returned to City Hall to face the final vote on June 6th the mayor was ready. His empire, the City Council Chamber, and the police did not let us near those hollowed-halls. Our principles were introduced as amendments to the Housing and Planning Comm. report by Congressman Albert Akerman. They were referred to committee and the Urban Renewal program was passed.
The leads round one. The city breathes a little easier, for another demonstration has passed. But the poor of Chicago are on the move. We are moving beyond demonstrations -- we are organizing.
assimilated or be exterminated.
During the time of Jackson and before, the white man would take over Indian land by simply moving into a tribe to sign over tribal lands. Since land was not considered to be owned by any one, however, even an Indian could own them. This was routinely giving the white man hunting or fishing rights. But the white man had his paper which was a European custom, not an Indian custom. When the Indian wanted to come and use his hunting or fishing lands—again the white man would run him off.
Even today a British Columbia Indian only has to own one third of the land of a tribe to be "legal." That is one way the government has stolen our lands and removed us—our freedom to hunt and fish and log our own lands. We never gave any title in any treaty to any of the water ways of this country. We only gave rights to land, but whatever we wanted to do was not taken. But we are under trusteeship of the U.S. government, which means they can tell us we can't fish in our lakes and lakes and streams. When the fisherman drowned people off the ocean and the lakes the government did nothing. To the justice department it was a civil matter and no matter of our civil rights. That's because we have no civil rights in this country; we are not people under the constitution.
People say we should begin to fight the government. They forget that we fought and lost. We are the defeated Viet Cong of America.
Once a prosecuting attorney said that the government was being humane, since it hadn't killed us all off. Well, the white man couldn't kill us off —and he tried—because we knew the land, just like the Viet Cong.
EDUCATION
Indians see what is being done to the Negroes, and they are called "nigger" too. They even kicked my daughter out of school because they said SHE was prejudiced.
My daughter had written two book reports on Geronimo and Chief Joseph. The teacher said she had reported on Indians. Then she wrote a report on NIGER, Dick Gregory's book. Silence fell over the classroom when she read the title. This is the first time what prejudice was about. Fifty book reports were turned in that book. Then the teacher said no more reports on Dick Gregory.
INDIAN COMMUNITIES
A home is not as important as a community. So being poor is not having a fine house. It is being forced to live apart from your friends and family. That is what the white man has always tried to do—force us apart, force us into white society.
The white man outlawed our potlatch houses or long houses. That is where the whole community would meet and trade baskets and make blankets and hats and husbands and wives. Now we are using baseball games to re-educate people into our culture. We have Indian dances there and our children meet each other and talk.
Our community is at war with nature. I laugh at the white man who is afraid of tornadoes, who is afraid of nature. We are a part of nature. The white man sees himself in opposition to nature.
You can't see much difference between learning how to live in the world and how to earn a living in the world. I don't see why people would want to live in cities. Cities are a sure spot on Mother Earth, I think someday she'll scratch.
THE ASSOCIATION
Our group is only made up of rank and file Indians. There are no members of the government controlled tribal council on our board, nor are there any people from the Bureau of Indian Affairs (BIA) allowed at our meetings.
There are a lot of people who understand the necessity of our wars, but we don't believe in large organizations. Already we are getting too big, so each branch must support itself. They are with us as long as we agree on policy.
THE SURVIVAL OF AMERICAN INDIANS ASSOCIATION, P.O. BOX 719, Taos, New Mexico. They publish a newsletter and, of course, accept donations for legal defense, bail, etc.
IN THE FUTURE
MOVEMENT: Just what do you see happening in the immediate future?
SEGAL: It seems that there is going to be a lot of summer activity. We're collecting names and addresses and local contact numbers of members of the draft union and we're going to try to put people together in organizations that are not especially connected with campuses. For instance, we know that a large number or even a substantial percentage of the members of the Berkeley Anti-Draft union all came from one local board. We would encourage these to form a separate union that would be concerned with attacking their own draft board.
Also there are a number of community groups here in Chicago, New York, Portland and Los Angeles with some programs in which organizers will go door to door talking about the draft. Hopefully, we can build a Draft Resistance Movement from local offices that are made up of draft age males and parents.
MOVEMENT: Has there been any movement by the federal Government to suppress your activities?
SEGAL: There has been a lot of minor harassment. Some people are already coming in and out of the military offices we suspect telephone taps, but there has been nothing major at this stage.
The only thing that has happened to a minor extent have been drafting of political types. Trying to get them in court for draft refusing and giving them stiff sentences to act as a damper.
MOVEMENT: About how many American draft refusers would you say are in Vancouver and what are they doing?
SEGAL: There are probably about 150-200 in Vancouver and they are mostly students. I'm informed that most of the organization that is going on in Canada around these people is being done by Canadians. There hasn't been some self-help campaign started. There are many more Americans to Canadian life. They try to find work and housing for Americans.
MOVEMENT: How is the average Canadian reaction to draft refusers?
SEGAL: Historically, Canada has always been a haven for American draft refusers. For instance, a lot of tiered headed to Canada after the war following the American Revolution. Practically, in this case, the reaction seems to be one of either indifference or sympathy. There is a lot of people who are in the same body who looks even slightly like a hippy; the drug scene is completely shut down in Canada. But if you look some what straight the cops aren't going to do it that much and the average joe on the street couldn't care one way or another. Anyone interested in Canada should contact:
Montreal Council to Aid War Resisters
Box 234, Westmount 6, Montreal, Quebec Canada
Phone (514) 931-3007
Committee to Aid American War Objectors
Box 4231
Vancouver 9, British Columbia Canada
CALIFORNIA'S BLACK HERITAGE
EDITOR'S NOTE: This article was sent to us by Jack D. Forbes, Research Program Director of the FAR WEST LABORATORY FOR EDUCATIONAL RESEARCH AND DEVELOPMENT, Berkeley. He wrote, "I read Hardy Frye's article on 'Negroes in Early California' very much except for one major error. Mr. Frye states that, "There were very few Negroes in California before 1841, and those that were here had little influence," etc.
NO RACIAL BOUNDARY
The rise of Afro-American leaders like Malcolm X stems from the reality of contemporary race relations in the United States, but this reality itself is based upon a totally mythological view of American history and genetics. In point of fact the United States is not composed of "Whites" and "Negroes" but out of a myriad people who migrate into the dinokrake of "pure" European ancestry to individuals of "pure" African ancestry with millions of other people of mixed hybrid in between, and many of these intermediate mixed-bloods are called "Whites." There is, in fact, no racial boundary between "White" and "Blacks," although there may be social and cultural boundaries.
Similarly, the idea of the Afro-American has been historically a political subject of American history is a myth, perpetuated both by those white versions of history which ignore non-White contributions and by a fixation with the role of the English-speaking Negro living along the Atlantic seaboard after 1619.
SPANISH SPEAKING AFRO-AMERICANS
The story of the Spanish-speaking Afro-Americans needs to be told, if only because it should help to weaken some of the myths about the racial identity that Malcolm X fought so hard to destroy.
During the 1500's Spanish-speaking persons of African and part-African origin came to dominate the population of most of the islands in the Caribbean, including Puerto Rico. During that same century Afro-Americans from the islands were brought to the southern colonies as non-slave residents of the United States; in the Carolinas in the 1520's, in New Mexico-Arizona in the 1540's, and in Oklahoma-Kansas in the 1560's. During the same years also, African and part-African-blooded helped to found St. Augustine, Florida in 1565.
In the eighteenth century a very large percentage of the Spanish soldiers and settlers going to regions such as Texas, New Mexico, and California were of African descent. Let us look at California as an example.
When Gaspar de Portolá led Spanish troops into California in 1769 many Afro-Americans were among them who came along. Their numbers increased steadily so that by the 1790's at least twenty percent of the Spanish-speaking soldiers and settlers in California were part African. Some communities, such as Los Angeles, had even higher percentages. The founders of that now great metropolis, in 1781, were almost non-White and perhaps percent were African or part-African.
California's Spanish-speaking Afro-Americans were neither slaves nor peasants, but rather soldiers and retired soldiers. They were not segregated, intermarriage with Whites, Indians, and mixed-bloods occurred early so that the entire population was racially blended. By the second decade of the nineteenth century the African strain had been absorbed and most ordinary people were of European, Indian and African background.
FIRST MAYOR OF LOS ANGELES
Very early, persons of African ancestry occupied positions of importance. One of the first mayors of Los Angeles was Francisco Reyes, a native (he was born in Mexico) who served for six years. Other Afro-Californians occupied important positions as overseers of mission Indians, military officers, and artisan-craftsmen.
GOVERNORS
After 1822, when California became part of an independent Mexican republic, persons of African descent rose to the highest offices, at least two governors,
BLACK PIONEERS
Tens of thousands of modern-day Californians, with both English and Spanish surnames, with both the happenings in California before 1848, are part-African (quite a number do not know it). But whether we are personally descended from the Spanish-speaking Afro-American pioneers or not, we are all inheritors of their heritage. We are blessed by a people who did a great deal to make California an interesting place to live. The story of these "black pioneers of the Golden State" especially needs to be widely known and appreciated today, when a man's color seems to be so important to so many people.
TEAR GAS FOR FUN & PROFIT
by Genn Whitman
Came across an advertisement recently in a police trade magazine, "Roll, Hold, Launch, Throw," it said, and showed riot cops rolling, holding, launching and throwing tear-gas bombs at a target mannequin. The mannequin appeared to be all-male, about half black and half white, armed with rocks and bottles, holding a few blank shotguns, and wearing a white hooded figure suit. Couldn't tell whether it was a "civil rights" or a "peace" or a "labor" demonstration. The cops couldn't either, but they knew just another man to bomb. An object on which to test, hold, launch or throw tear-gas bombs.
MULTI-PURPOSE GRENADE
For anyone who still doubts there is a connection between the revolutionary freedom/peace struggle in these United States and revolutionary struggles in other parts of the world, let us consider the "Multi-Purpose Grenade".
This grenade was developed by the AAI Corporation (AAI) in response to specifications drawn up by the U.S. Agency for International Development (AID), it is being pushed by AAI, through AID, to foreign police departments throughout the ("free") world, and to police departments around the U.S., your "local police."
We are thus confronted with a nauseating fact -- a weapon designed by the U.S. State Department is also going to be used against U.S. citizens and institutions.
Here is an excerpt from an AAI advertising brochure sent to U.S. police departments:
"This unique MULTI-PURPOSE GRENADE system is the result of the 1967 research and development experience of AAI's educational division and allied systems for the U.S. ARMY Munitions Command, Weapons Command, and the U.S. AIR FORCE, combined with the consultant services of Lt. Col. Rex Appleton, a riot control authority, and the cooperation of H.L. DuPont de Nemours Company, Inc.
No doubt about it, the Multi-Purpose Grenade is an improvement. Watch out.
A "SAFE" GRENADE
The Multi-Purpose Grenade is a "safe" grenade, by this, I mean (1) a grenade which would break before it (other than passing) at a minimum and (2) a grenade which wouldn't be used against the cops -- whatever! The Multi-Purpose Grenade is the State Department's latest U.S. type, with such a grenade, for a price, naturally.
The grenade is made from a plastic, DELRIN (trademark of duPont). The fuse is recessed to minimize sharp edges, it neither bursts nor burns, thus eliminating shrapnel-type wounds and burns. It won't start fires, either. It dispenses a tear-gas agent, CN, in a dry, powder form, about the consistency of cinnamon sugar, over the area of 100 feet in diameter, and uses a plunger system which ejects the gas in 1/10th of a second (as opposed to about 30 seconds for a burning-type grenade).
It has a timer mechanism which can be set for either 2 or 5 seconds. This plus the fact that the agent is ejected quickly, eliminates the "throw-back" hazard faced by cops, it really can't be thrown back.
50,000 A YEAR IN U.S.
We talked to the individual in charge of marketing the Multi-Purpose Grenade for AAI, one Earl Stanley Jones, Jr. Jones said about 50,000 tear-gas grenades are purchased every year by police departments in the U.S. "Of course," said he, "this doesn't mean they're all used."
He said the worldwide market is about 100,000 tear-gas grenades per year, with India buying the most. Part of the reason for this market, other than the use of tear-gas on people, is that any sort of tear-gas agent like this has a "shelf life," and the brewer of tear-gas agents is always so often to be sure the stuff will work when needed.
Jones said the AAI grenade is guaranteed to have a "shelf life" of about 6 years. He remarked that it's not the expense, but rather a question of "political stability" -- that when tear-gas is needed, baby, it's needed.
LAW & ORDER DIGS IT
I'll save us the trouble of an article from a magazine called "Law and Order -- an Independent Magazine for the Police Profession," by Col. Rex Appleton (USA, Ret.), on the new products, AAI digs Rex's article.
Rex, in three pages, uses the word "mob" 14 times, and varies this monotonous outline with the word "riot" 14 times. He quotes from an opening paragraph: "The increasing incidence of riots at home and abroad makes this (the grenade) a just development of great importance and would prove to be of special interest and great technological value to law civil law enforcement agencies."
A similar combination (so far): the U.S. State Department, the AAI Corporation and duPont all cooperating to promote "law and order" (riot = property, private property and free enterprise), and Col. Appleton extolling the virtues of the Multi-Purpose Grenade.
When you are gassed this summer, remember it's past part of a business arrangement, and the political stability is of the utmost importance to the State Department, yours and mine.
P.S. We suggest quickly tossing a jacket over the grenade, or glaring at its end and pressing on it. If you have time, Manuel Victoria and Pio Pico, were part African, and many civic leaders, military chiefs, mayors, judges, businessmen, and wealthy ranchers were part African. Beginning in 1845 persons of African descent began to enter California from areas other than Mexico, and these, in diverse situations, were successful, and blended into the general population. Perhaps the best known of these individuals was William Liedesdorf, one of the original founders of what is now San Francisco and a man of one-quarter African ancestry.
California before 1848 became the United States, congress introduced treaty status, and a future where Malcolm X would have had no reason to exist. True, there was a great deal of injustice in California, "White" prejudice, Indian and Mexican hostility. But the African element in the population knew no separate existence and had, in fact, become absorbed into the Mexican nationality.
NOT ON OUR SIDE
Continued from P. 2
It is government cops who have provoked every riot that has taken place thus far (see previous page 1).
It is Bureau of Indian Affairs of the United States government that has systematically denied American Indians any defense against European consumers (see WE ARE THE DEFEATED VIET CONG page 1).
Let us stop reacting to the right-wing in this country. The liberal government are not going to protect us from the Right. It is the liberal government that is massaging its faces on ghost-streets and in the parks. American liberal domestic policy is Make Money and Keep the Lid On, by any means necessary. The Right only carries that position to its logical conclusion.
Let us not be fooled. There are no doves in the government. Those who oppose the war in Asia support American imperialism in Europe, Latin America, the Middle East, Latin America or Europe. Electing a radical to the government is sort of like asking Mickey Carmichael to volunteer for the Army rather than conclude he can organize better than Ike.
The men who make money out of this country and politics mean business. They will not give an inch of ground forced. They will not be budged by electing more liberals or one radical. They will only be stopped by the chaos, confusion and violence which their own policies will create.
A CONTEST
WHAT IS THIS MAN SAYING?
THE MOVEMENT has been puzzling over this picture for some time now. He might be saying: "What is it that you people want?" Or: "Hello, I'm Bobby Kennedy; I'm running for sheriff..." Whatever it is, the response seems less than enthusiastic. What do you think this man is saying?
THE MOVEMENT will give a year's free subscription for the best suggestion. Send to us at 449 - 14th St., San Francisco, Calif, 94103.
MAKE MONEY AND KEEP THE LID ON
HOW LITTON RUNS JOB CORPS
By Brooks Penney
On May 3, four leaders of the Camp Parks Job Corps Camp local of the American Federation of Teachers were fired by Litton Industries. Litton has contracted with the OEO to run Camp Parks; all staff members are employees of Litton.
The workers were charged with "disloyalty toward the company" for passing two leaflets around the camp in April. One leaflet objected to company plans to remove the leaders of the Corporation Union in order to make discipline easier. The other leaflet discussed the virtues of co-operative ownership of Job Corps contracts.
ANTI-UNION
The firings were an attempt by Litton to chop off the head of the union. The following day, the Parks Federation of Teachers and American, AFT Local 1738, voted to go on strike against Litton. About half of the more than 300 teachers and counselors at the camp stayed off work. After staying out for twenty days, they agreed to return in exchange for a National Labor Relations Board election. They lost the election but it is presently being contested in the courts. The four who have not been hired back, but their reinstatement will be part of the future negotiations.
Litton Industries is a huge Southern California holding company that received $52,000,000 in tax-exempt bonds last month period ending April 30, 1967. The assets and diversification of these corporations owned by Litton are amazing. It owns, for instance, Stroffer Frozen Foods, Royal Typewriters, Cole Office Furniture and American Airlines. Its holdings are defense industries. Litton is very much in the education business. Besides running Parks, it has a contract to run a complete public school system in Southern California next year. It has also turned Oakland Community College in Oakland into a huge plant of teaching machines, projectors and recording booths (all developed and produced by Litton Industries). It is also a profoundly anti-union company.
There are two issues in this strike and the attempt to form a union. The first is the firings. More basic is that this purportedly educational institution is being run by a profit-making and not even a corporation that is noted for its "charitable efforts." Educational institutions run by businessmen are nothing new in this country, but the Job Corps is the most extreme example of the "businessness" being carried to its logical conclusion.
The Job Corps is one of the best publicized icons of the so-called "War on Poverty." Its main purpose is to take 16-21 year olds and give them vocational and compensatory training.
PROFITS COME FIRST
One former Camp Parks person tells us: "It's a difficult job from the start but it's complicated immensely by Litton's needs for profit. They like the company don't give a damn about the kids. There isn't supervisor or instructor scared to death of the kids and stays as far away as he can. They see everything as making money. Litton is related to the attempt by the staff to form a union, the company wants no interference and no ripples from unionism or individuals organizing a staff. The Corporation is allowed to leave the camp except on weekends — the camp is surrounded by barbed wire fences. The kids are forced to carry out many of the recreational activities but Litton cut back recreation expenditures by half to "save money." The kids are not consulted with the Corporation on this decision even though there is a Corpman government. A series of night school classes in Oakland were stopped because the company claimed it couldn't afford the gas for the instructors. Morale at the camp among the staff is low and the turn-over has been high. Counseling sessions played off the teachers by the company in an attempt to create dissension. A large part of the staff is not credentialed. Some of the counselors have experience but never have trained for the job. Some do not even have high-school degrees. This says nothing about ability to do the job, only mobility. Without a high school diploma it's unlikely, no matter how competent they are, that they will be able to get a comparable job elsewhere.
A Negro history class that was a roaring success in these times when black consciousness was preached by the company. A staff member who attempted to form a staff group for research into adolescence was threatened with firing. The bringing together of any group of people for any reason is seen as a threat, and is squelched in any manner possible.
While the kids are getting literally short-changed, the cost-plus contract has led to some fantastic boondoggling and financial wheeling and dealing. The corporation thought it would be good to build a lake for the kids to have a place to canoe and swim. When it was finished the lake was too small for canoes and too polluted for swimming. The company made a little profit off the construction of this lake, however.
Litton contracted with one of its subsidiaries to develop educational materials to be used by the staff, bought them back and made a double profit. One teacher described the materials as "pure crap. We looked at all into a classroom we got it and it hasn't been looked at since."
POSITIVE ASPECTS
In spite of Litton it is felt that there are some positives to the Job Corps. The Corpmen are receiving some training and they are getting some basic education. A special reading class has had some success. "All that success means in the end," as one Corpman put it, "is that we have taken functional illiterates and brought them up to a fourth grade reading level so they can pass their draft exams and are qualified to get killed."
Also just by its existence the Job Corps allows for a meeting of races. Poor whites from Appalachia and Blacks from the rural south are taken out of one social context and put into another with much the same effect as a middle class boy goes away to college. The success of one generation for another is not in itself good — the Army does the same thing — but the process of being opened up to the Corps — men and possibly of further change. Whether or not this further change is realized or frustrated is determined by society, but it is on this polar that the value and relevance of the society and the Job Corps revolve.
The general attitude of the Corpmen is presently summed up by one Corpman from the south who is now working as a counselor who said, "The man comes up to me and tells me that he's going to put me on a jet airplane and fly me somewhere. Why, man, I could kiss him."
COPS HAVE NEW LOOK
The Chicago police force, like the political machine it is a part of and serves, has long had a reputation for corruption. Mayor Daley has proved highly skillful at altering the visible parts of the machine when its inner workings become too visible and provoke public concern. So it was with the police force.
In 1960 the Summerdale police station was finally caught with stolen goods in the basement. To stem the outcry, Daley created pressure to eliminate the crooked Wilson from Berkeley to take over and clean up Chicago's cops. Wilson came in with a three year plan to "reform" the police, designed not only to develop a "reformed" image for Chicago's 10,000 cops, but also to control the expected increase in ghetto violence. His program directed itself at better equipment, establishment of teams to gather intelligence on youth gangs, integrated patrol cars, the recruitment of both Negro and Spanish speaking cops, police-community workshops, a strengthened human relations division, and extensive liaison efforts between the police force and Negro leaders. One such minister is Alinsky-sponsored Brazier of The Woodland Organization (TWO) who talks about the "civil rights movement being taken over by irresponsible people."
There is, however, considerable speculation that Wilson's reforms have been "co-opted," Negroes having, as in New York, met on their own to discuss their role as Negro policemen, and to pressure for more equitable promotion within the force. Wilson supported their demands, but found out he in fact DID NOT have a free hand to make real one of the most blatant forms of liberal police control measures — bringing in blacks and whites to recruit, promote them, and let them do the dirty work. (Chicago integrates its bureaucracy.) It is a "Nelson" at the top of the Wards on Frazier, the Dean of Police, and the Post Office.) What is important about Wilson's replacement by career cop Conklin, is that in the process he is being "forced to choose" and "forced to come close to the machine." Is that THE ENEMY BELIEVES THAT IF LIBERAL-CO-OPITIVE POLICE CONTROL MEASURES WON'T WORK, THEN MAYBE REPRES-SION WILL.
We figured that there would be trouble that night, so we called in some men from the picket line and asked them to sit-in with us Friday night.
CHAIN DOORS
"When we arrived we chained the doors of the office shut. The social workers all ran up to the second floor, because 'the recipients have taken over the office.' Downstairs the men were around the main and the basement around the men so no one could get in or out.
"Finally the police came. They tried to pull us off the chain, but we held on so they arrested the women first and started attacking the men with riot clubs. It turned into a real fight — we were protecting ourselves against the cops.
"I threw a brick at the window to some people in the crowd, then jumped out the window myself, because I had to get them home, but the other people stayed and fought.
"When they were taken outside, there were a lot of people standing around who could see the cops roughing up the people. They got into a car and it went through rocks and pop bottles at the cops. There were about 45 arrests and a lot of people hurt. Some of the guys who were arrested and were really beat up by the cops, it was the cops who started the riot by attacking us in the welfare office.
MAW recipients are not letting police brutality stop them, June 5 they went to the mayor of Boston with their list of demands and insisted to meet them right away. They maintained that a lot of people are angry why the cops treat people who want their rights.
from THE FIRING LINE, weekly newspaper of JOIN Community Union, 4533 N. Sheridan Rd., Chicago, Ill. Subscriptions $2.50
Issue 2: (still available in limited quantities) Concentrates on the relationship between black power and the white radical.
Issue 3: Lesser of two evils issue, A long view of the liberals' inevitable coopt.
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Facilitating the charge transfer of ZnMoS$_4$/CuS p–n heterojunctions through ZnO intercalation for efficient photocatalytic hydrogen generation†
Wei Yang Lim,$^a$ Hao Wu,$^{ab}$ Yee-Fun Lim$^b$ and Ghim Wei Ho$^{a,b,c}$
Photocatalysts based on p–n junction heterostructures have demonstrated their ability to enhance the separation of photo-generated charge carriers and promote their lifetimes for photocatalytic hydrogen evolution. However, few reported studies have extended to the optimization of charge carrier dynamics to facilitate favorable kinetics of the target surface reaction for photocatalysis. Herein, a novel ternary chalcogenide photocatalyst ZnMoS$_4$ is developed with ideal multiple heterojunctions of the ZnMoS$_4$/ZnO/CuS band structure. Besides synergistically enhancing charge carrier separation, more importantly, the intercalated ZnO layer in the ZnMoS$_4$/CuS p–n heterojunction induces interfacial band bending that consequently allows kinetically desirable electron migration from ZnMoS$_4$ across the multi-junction heterostructures, towards the photocatalyst surface for an efficient water reduction reaction. This optimized electrodynamic configuration results in a 97% higher hydrogen evolution rate as compared to a typical unoptimized ZnMoS$_4$/CuS p–n heterostructure. Essentially, this work offers a band structure engineering strategy for heterostructured photocatalyst design which enables efficient charge carrier dynamics and electrochemical reactivity.
Because of the highly negative potential conduction band and rapid photo-generation of electron–hole pairs, ZnS displays a high versatility in its functions as a photocatalyst, such as photoreduction of CO$_2$, photocatalytic degradation of organic pollutants, and photocatalytic water splitting in generating H$_2$.¹ Besides, it also shows other advantages in terms of electronic mobility, nontoxicity and earth abundance.² However, its wide optical band gap feature, high electron–hole recombination and instability in aqueous solution have limited its application.³ Particularly in photocatalytic hydrogen evolution, numerous efforts have been made, in attempts to solve ZnS practical issues. For instance, metal ion doping,⁴,⁵ nonmetal ion doping,⁶ ZnS solid solution formation⁷,⁸ and Zn-based ternary chalcogenide development⁹,¹⁰ were reported to construct narrower band gap ZnS counterparts, allowing more photon absorption for enhanced water reduction reactions. Surface modification or hybridization of ZnS with a cocatalyst to create heterojunctions and hybrids is well known for enhancing charge transfer and suppressing recombination for improved photocatalytic efficiency, such as ZnS/CuS, ZnS/g-C$_3$N$_4$ and ZnS/ZnO.¹¹–¹⁴ Several attempts were also made to solve the ZnS photostability issue through mitigation and encapsulation design.¹⁵,¹⁶ Nevertheless, in regard to these achievements in tackling respective issues, it is clear that each individual approach could not yield all the required features to overcome the diverse issues synchronously. Hence, it is essential to strategically integrate multiple components through the construction of synergetic interface and heterostructure architectures that are mutually beneficial for photocatalytic performances.¹⁶,¹⁷
Furthermore, in pursuit for better photocatalytic hydrogen evolution properties in many n-type photocatalysts such as TiO$_2$, ZnS and CdS, various researchers have focused on modifying or compositing the photocatalyst surface with p-type compounds to form heterostructure schemes.¹⁸,¹⁹ The strong internal electric field present at the p–n heterojunction interface enables the transfer of opposite charges towards either side of the structure, achieving efficient electron–hole separation.¹⁷ Although it is noted that photocatalysis is a surface-dominated redox reaction, a very few reports have included the optimization of charge carrier dynamics to further facilitate photocatalytic kinetics beyond charge separation. Specifically, in a typical hydrogen evolution photocatalyst configuration where an n-type photocatalyst host is loaded with a p-type cocatalyst on the surface, the photo-generated electrons, which contribute to the reduction reaction, are driven to the n-type host...
photocatalyst beneath the interface, while the holes migrate to the p-type cocatalyst at the exterior for the subsequent oxidation reaction. In other words, this commonly adopted heterostructure design may not be the most ideal structure for photocatalytic hydrogen evolution as it does not facilitate electron flow towards the surface reaction sites. Therefore, it is crucial to develop a photocatalyst heterostructure that not only induces electron–hole separation, but also promotes the electron flow kinetics that is constructive towards photocatalytic water reduction.
Herein, a novel ternary based p–n heterostructured photocatalyst, ZnMoS$_4$/ZnO/CuS, with a 2D hexagonal plate microstructure is designed to enhance surface mediated photocatalytic hydrogen evolution. Unlike the conventional p–n heterojunction design, a kinetically optimized charge carrier dynamics is devised for the ZnMoS$_4$/CuS p–n heterojunction by forming a layer of ZnO between ZnMoS$_4$ and CuS, to realize the ZnMoS$_4$/ZnO/CuS scheme. Explicitly, the ZnO interface generates an interfacial band bending that significantly lowers the Fermi level of ZnMoS$_4$, such that upon contact with CuS, the p–n heterojunction band shifting is minimal. This results in a switch of charge carrier dynamics in a way that instead of facilitating hole transfer, it favors a smooth electron flow across multiple heterojunction interfaces to the photocatalyst surface for an efficient water reduction reaction. This work highlights a strategic band structure engineering technique to enable charge transfer dynamics for electrochemical reactions, which has not been demonstrated before.
The synthesis processes of zinc molybdenum compounds are summarized in Fig. 1a. As shown in Fig. 1b and c, Zn$_3$Mo$_2$O$_{11}$ and ZnMoS$_4$ with 5–8 μm in size and 500 nm in thickness were synthesized. The 2D hexagonal plate microstructures are preserved through the sulfide transformation, suggesting that Zn$_3$Mo$_2$O$_{11}$·5H$_2$O partakes in the sulfidation process as both a Zn and Mo chemical composition source and a 2D microstructure template. However, it can also be observed that the sulphided plate shows voids and a roughened surface, indicating the formation of pores during the sulfidation process. This observation is in agreement with the reported literature, likely due to the Kirkendall effect originating from the difference in the ionic radius between O (1.40 Å) and S (1.84 Å), and their corresponding diffusion rates.\textsuperscript{20–23} An annealing process under ambient atmosphere at 500 °C was then carried out to introduce an oxide layer onto the surface of the ZnMoS$_4$ plate. The temperature of 500 °C was chosen to control the occurrence of the oxidation exclusively on the surface, or else, bulk diffusion of oxygen species will occur and transform the whole structure into an oxide at a temperature beyond 500 °C, as reported in numerous studies.\textsuperscript{24–26} The microstructure of the annealed product is shown in Fig. 1d. It can be clearly seen that the annealing process and the introduction of the oxide layer have visibly changed the microstructure, as the hexagonal plate size and its rough surface appear similar to those of ZnMoS$_4$ in Fig. 1c.
Further characterization was employed to investigate all three ZnMo compounds produced from the three respective synthesis steps. Their XRD diffraction spectra are plotted in Fig. 2a. The formation of the Zn$_3$Mo$_2$O$_{11}$ 2D hexagonal plate can be verified from its diffraction pattern, in agreement with the index of PDF#330-1486. The diffraction pattern of ZnMoS$_4$ is in line with the reported literature, with no signal from other derivatives or compounds being observed, indicating a complete sulfide transformation.\textsuperscript{27,28} On top of this, upon annealing of ZnMoS$_4$ in air, its sulfide peaks remain intact, indicating the preservation of ZnMoS$_4$ throughout the entire annealing process, while a few new small peaks evolved around 30–40°. The peaks can be assigned to the wurtzite ZnO phase, indicating the formation of a ZnO layer resulting from the annealing process. Moreover, Brunauer–Emmett–Teller (BET) measurements were used to quantify the pore and surface area associated with the chemical transformations, where the N$_2$ adsorption–desorption isotherms and pore size distribution are plotted in Fig. 2b and c respectively. The Zn$_3$Mo$_2$O$_{11}$ exhibits a type II characteristic isotherm, which typically represents a non-porous or microporous material. It shows a limited surface area of 6.5 m$^2$ g$^{-1}$, and a tight pore size distribution with a pore volume of 0.01 mL g$^{-1}$. On the other hand, ZnMoS$_4$ exhibits a type IV H3 hysteresis loop with a wide pore size distribution. Its surface area and pore volume increased to 72.7 m$^2$ g$^{-1}$ and 0.173 mL g$^{-1}$ respectively, distinctly indicating the presence of slit-shaped mesopores resulting from the
**Fig. 1** (a) Schematic illustration of ZnMo compound synthesis. Low magnification SEM images of (b) Zn$_3$Mo$_2$O$_{11}$, (c) ZnMoS$_4$ and (d) ZnMoS$_4$/ZnO, and the insets show their high magnification SEM images, respectively.
**Fig. 2** (a) X-ray diffraction, (b) N$_2$ adsorption=desorption isotherms measured at 77 K, (c) pore size distribution obtained using the Barrett–Joyner–Halenda (BJH) method, (d) Zn 2p XPS spectra, (e) Mo 3d XPS spectra, (f) O 1 s spectra and (g) S 2p XRD spectra of all three ZnMo compounds: Zn$_3$Mo$_2$O$_{11}$ (black), ZnMoS$_4$ (red) and ZnMoS$_4$/ZnO (blue), respectively.
sulfidation process. Likewise, the $N_2$ adsorption–desorption isotherm of ZnMoS$_4$/ZnO exhibits a similar hysteresis loop to the ZnMoS$_4$, the pore size distribution remains comparably wide and the pore volume remains at 0.156 mL g$^{-1}$, but its surface area is reduced to 38.7 m$^2$ g$^{-1}$. It is believed that this might be due to the smoothing of surface roughness associated with the formation of the ZnO layer on the hexagonal plate and pore surface. Nonetheless, the results of surface and pore distribution fairly concur with the SEM results.
In addition, surface composition analyses of the three different ZnMo compounds were performed using X-ray photoelectron spectra (XPS). The spectra of Zn, Mo, O and S are shown in Fig. 2d–g, respectively. The Zn XPS spectrum in Fig. 2d shows that the Zn 2p$_{1/2}$ and 2p$_{3/2}$ peaks of Zn$_x$Mo$_y$O$_z$ are located at 1020.7 eV and 1044 eV, while its Mo XPS spectrum in Fig. 2e exhibits the peaks of Mo 3d$_{3/2}$ and 3d$_{5/2}$ at 232.6 eV and 235.8 eV, respectively, indicative of the presence of typical Zn$^{2+}$ and Mo$^{6+}$ ions.$^{32,39,40}$ The 529.6 eV and 534.1 eV peaks of the O 1s spectrum in Fig. 2f can be mapped to the corresponding metal-oxygen bonds and hydroxyl species,$^{31,32}$ confirming the synthesis of Zn$_x$Mo$_y$O$_z$H$_x$·5H$_2$O. After the sulfidation step, Fig. 2e shows the retention of the Mo$^{6+}$ characteristic 3d peaks. A complete sulfidation into sulfide ZnMoS$_4$ is verified by the disappearance of the O 1s peak and the concurrent emergence of S 2p doublets in Fig. 2f and g. In the annealed product, it is noted that the peak position of Zn$^{2+}$ in ZnMoS$_4$/ZnO differs from that in ZnMoS$_4$ as the presence of ZnO results in peak-shifting towards higher binding energy, consistent with other reports.$^{15}$ The S 2p doublets in Fig. 2g disappear, and a weak broad peak appears at 166 eV, which corresponds to the sulfate species SO$_4^{2-}$$^{15,34}$ In addition, an intensified O 1s peak (Fig. 2f) can be observed. These findings collectively indicate that the sulfide is oxidized, confirming the formation of a thin oxide layer on the surface of ZnMoS$_4$. With no Mo peak being detected in the annealed product, it can be verified that the surface does not contain any Mo–S derivatives, but rather a layer of ZnO several nanometers in thickness. Hence, together with the XRD results, it can be deduced that the sulfidation process has fully transformed Zn$_x$Mo$_y$O$_z$H$_x$ into ZnMoS$_4$, while the subsequent annealing process in air turned the surface of ZnMoS$_4$ into ZnO.
Transmission electron microscopy (TEM) was used to further assess 2D hexagonal plate compositional and structural information. Fig. 3a shows the ZnMoS$_4$ 2D hexagonal plate at low magnification. The ZnMoS$_4$ plate appears to be rough and porous, strikingly in contrast to the smooth and non-porous Zn$_x$Mo$_y$O$_z$H$_x$ as shown in Fig. S1a.$^\dagger$ This complies with the SEM observations as well as the $N_2$ adsorption–desorption and pore size distribution results. Upon closer observation, it is found that the hexagonal plate consists of cluster-like nanoparticles (nanocrystallites) of less than 20 nm. Clearly, the nanoparticles contribute to the porosity as seen in the sulfurized ZnMo compound, owing to the Kirkendall effect from the sulfidation step.$^{23}$ Nonetheless, the high surface areas and pores can lead to increased surface catalytic reaction sites. In the high resolution TEM image in Fig. 3c, the porous plate can be identified as ZnMoS$_4$ from the $d$-spacing of 0.31 nm. Moreover, the nanoparticle feature is unaltered after the annealing step, as presented in Fig. S1b,$^\dagger$ indicating that the air annealing is a structurally non-destructive process. Furthermore, lattice fringes of 0.24 nm $d$-spacing are detected at the outer surface of the particles, which can be identified as ZnO, verifying the growth of a ZnO layer of $\sim$5 nm after the annealing process, complementary to XPS analysis. Notably, due to the high degree of porosity, the formation of ZnO can occur all over its nanostructural interior, not limited to the microstructural basal plane or outer plane edge. Essentially, the entire hexagonal plate composition is a hybrid of ZnMoS$_4$ and ZnO, with the ZnO predominantly present at the outer surface.
CuS was loaded successively onto ZnMoS$_4$/ZnO through a photodeposition method, according to a method previously reported.$^{15}$ The photo-deposited ZnMoS$_4$/ZnO/CuS shows microstructures that are indistinguishable from its precedents, preserving the original hexagonal plate structure (Fig. S2a$^\ddagger$). CuS loading can be identified under TEM, as shown in Fig. 3e and f, as fine particles (<5 nm) that are well-dispersed at the outer surfaces of the nanoparticles. Fig. S2b$^\ddagger$ shows that both CuS loaded samples, namely ZnMoS$_4$/CuS and ZnMoS$_4$/ZnO/CuS, display the same diffraction feature, i.e. a weak broad peak at around 31.8°. This peak is consistent with the CuS peak maximum for the (103) plane. The weak peak suggests a low quantity of CuS loading, while the broad peak affirms the formation of fine CuS crystallities (<5 nm).$^{36}$ Moreover, the CuS nanoparticles are validated by the clear lattice fringes of 0.28 nm $d$-spacing (Fig. S2c$^\ddagger$). In brief, with two consecutive surface modifications on ZnMoS$_4$: first, post-annealing step to oxidize the sulfide surface into ZnO; and second, photo-deposition step to introduce CuS nanoparticles, ZnMoS$_4$/ZnO/CuS structure is created (Fig. 3f). Lattice fringes with three different interplanar spacings can be found altogether, i.e. 0.31 nm, 0.24 nm and 0.28 nm that correspond to ZnMoS$_4$, ZnO and CuS, respectively.
The photocatalytic properties of ZnS have been widely reported, and in contrast, ZnMoS$_4$ caught very little attention. From the fact that ZnMoS$_4$ and ZnS comprise the same crystal
structure, as shown in Fig. S3a,† a study on the role of Mo in the photocatalysis becomes methodically accessible. To effectively examine the compositional factor, ZnS with the same 2D hexagonal plate microstructure was synthesized under similar two-step aqueous heating, such that it could mimic the phase transformation step of ZnMoS$_4$. Specifically, ZnO hexagonal plates with a similar lateral size of 5–8 μm and little thinner in thickness (30 nm) were constructed and subsequently subjected to sulfidation to transform into surface-roughened ZnS. The SEM images of the ZnO and ZnS 2D hexagonal plates are displayed in Fig. S3c and d.† It is noted that since both ZnMoS$_4$ and ZnS have a similar shape and dimensions, the contribution towards photocatalytic performance from these physical factors can be excluded, thereby, favourably narrowing the analysis on the effect of Mo composition down to its electronic properties.
Fig. 4a shows the Mott–Schottky plot (M–S plot) of ZnMoS$_4$ and ZnS, in accordance with the following equation:
$$\frac{1}{C^2} = \frac{2}{\varepsilon \varepsilon_0 N_D} \left( E - E_{fb} - \frac{k_B T}{e} \right)$$
where $C$ is the space charge capacitance obtained from electrochemical impedance spectra (EIS), $\varepsilon$ and $\varepsilon_0$ are the dielectric constant of the semiconductor and permittivity in vacuum, $e$ is the electronic charge, and $N_D$ is the charge carrier density, respectively. Alternatively, the charge carrier density $N_D$ can be derived from the following equation:
$$N_D = \frac{2}{\varepsilon \varepsilon_0 e} \frac{d}{d \frac{1}{C^2}} = \frac{2}{\varepsilon \varepsilon_0 e} \frac{1}{\text{slope}}$$
where slope is the slope of the M–S plot. In other words, the M–S plot can be utilized to extract flat band potential regarding the photocatalyst/electrolyte interface (eqn (1)), and charge carrier density from its slope (eqn (2)).
The M–S plot in Fig. 4a reveals that both ZnMoS$_4$ and ZnS primarily exhibit positive M–S plot slopes, featuring n-type semiconductors. The plots were extrapolated to $1/C^2 = 0$ to project the value of $E_{fb}$ from eqn (1), giving $-0.66$ V and $-0.62$ V for ZnS and ZnMoS$_4$, respectively. It indicates an approximately 40 mV positive shift of the flat band potential, which corresponds to a decrease in bending of the band edge, and therefore promotes interfacial charge transfer. It is also observed that ZnMoS$_4$ has a gentler slope than that of ZnS, representing higher charge carrier density as compared to bare ZnS, based on eqn (2). In contrast to ZnS, a negative slope in the M–S plot is found in the potential range of $<0.75$ V vs. SCE, in the case of ZnMoS$_4$. This suggests a co-existence of both n-type and p-type conductivities and signifies a p-type defect state resulting from the inclusion of Mo species. This p-type defect state forms a new donor level in the valence band and possibly contributes additional photo-generated electrons. Consequently, from UV-visible spectroscopy measurements, it is found that ZnMoS$_4$ shows higher photoabsorbance than ZnS, i.e. in the UV light region ($<420$ nm), as depicted in the inset of Fig. S3b.† This result is attributed to the additional donor level and higher intrinsic carrier density, which enables ZnMoS$_4$ to have improved photo-activated capabilities, thereby absorbing more photons and resulting in higher photo-generated charge carriers. Furthermore, the Tauc gap was calculated to estimate the band gaps of ZnS and ZnMoS$_4$. Their Tauc plots are outlined (Fig. S3b†), and by extrapolating their linear regime to an abscissa, the optical band gap $E_g$ of ZnS and ZnMoS$_4$ is determined to be 3.52 eV and 3.35 eV, respectively. It is believed that the narrower band gap in ZnMoS$_4$ is caused by the new donor level. Collectively, through isolating their electronic contribution, it is illustrated that the incorporation of Mo species reinforces efficient interfacial charge dynamics due to its reduced Schottky barrier, higher intrinsic charge carrier density, and increased photo-activated charge carriers originated from the defect state. Accordingly, the photocatalytic hydrogen generation of both photocatalysts using a 365 nm UV LED was examined and is plotted in Fig. 4b. ZnS and ZnMoS$_4$ show hydrogen evolution rates of 1.53 mmol g$^{-1}$ h$^{-1}$ and 5.79 mmol g$^{-1}$ h$^{-1}$, respectively, corresponding to a 3.78-fold enhancement in photocatalytic activity. Apparently, this outcome can be attributed to the electronic features brought about by the Mo counterpart, demonstrating the competency of ZnMoS$_4$ as a hydrogen evolution photocatalyst.
To further enhance its photocatalytic potential, ZnMoS$_4$ was loaded with the CuS co-catalyst to form a heterojunction for improved charge separation. CuS is loaded via a photo-deposition method according to a previous report. The photocatalytic H$_2$ generation performances of ZnMoS$_4$ loaded with various amounts of CuS were plotted (Fig. S4† and 5a). It is demonstrated that with increasing amount of CuS loading, the photocatalytic hydrogen production rates are enhanced. The greatest enhancement was observed at 1 wt% CuS loading, with ZnMoS$_4$/1 wt% CuS producing a hydrogen evolution rate of 19.38 mmol g$^{-1}$ h$^{-1}$, equivalent to a 2.35% boost in photocatalytic performance compared to 5.79 mmol g$^{-1}$ h$^{-1}$ in bare ZnMoS$_4$. However, excessive addition of CuS beyond 1 wt% results in a decline in the photocatalytic performances. The overloading of the surface cocatalyst will lead to active site screening and light absorption shielding of the host photocatalyst, which was proven to be detrimental to photocatalytic activities. Prominently, this report focuses on the introduction of a thin ZnO intercalated layer into a heterojunction to further improve charge carrier dynamics. As mentioned earlier, a ZnO layer was created through air annealing the ZnMoS$_4$ host photocatalyst prior to photo-deposition of CuS. The impact of ZnO in promoting photocatalytic H$_2$ evolution performance is...
presented at the right end of Fig. 5a. It is shown that the surface modification of ZnMoS$_4$ with a ZnO interface could generate H$_2$ at a rate of 12.05 mmol g$^{-1}$ h$^{-1}$, or a 108% enhancement in performance. It is believed that this considerable photocatalytic enhancement can be attributed to the high porosity that allows the formation of favorable ZnO interfaces within the ZnMoS$_4$ hexagonal plate microstructure. Progressively, by loading 1 wt% CuS on top of ZnMoS$_4$/ZnO, the photocatalytic hydrogen evolution rate rose to as high as 38.22 mmol g$^{-1}$ h$^{-1}$, corresponding to 560% and 217% enhancement in performance compared to bare ZnMoS$_4$ and ZnMoS$_4$/ZnO, respectively. Putting this result into another context, the presence of a ZnO intercalated layer in ZnMoS$_4$/ZnO/CuS asserts a 97% improvement in photocatalytic performance, in comparison to ZnMoS$_4$/CuS (19.38 to 38.22 mmol g$^{-1}$ h$^{-1}$), substantiating the positive effect of this intercalated layer in the photocatalyst heterojunction in further promoting the photocatalytic activity.
UV-vis spectra and Tauc plots were scanned and derived for all photocatalysts, as shown in Fig. S5.$^\dagger$ All ZnMoS$_4$ composites show a lower band gap than the bare ZnMoS$_4$ (3.35 eV). Band gaps of 3.24 eV, 3.18 eV and 3.12 eV are determined for ZnMoS$_4$/CuS, ZnMoS$_4$/ZnO and ZnMoS$_4$/ZnO/CuS, respectively. It is observed that ZnO induces a slight red-shift in the band edge while CuS enhances the overall absorbance in the visible light range. Both features are expected to enhance light absorption abilities and consequently increase the photo-generation of electron–hole pairs, justifying the higher photoactivity of ZnMoS$_4$/ZnO/CuS. Beyond that, the effect on charge carrier dynamics associated with multi-interfacial heterostructures was investigated using photoluminescence (PL) emission spectra and photoelectrochemical (PEC) measurements. From Fig. 5b, it is observed that bare ZnMoS$_4$ generates high PL intensity, specifically at about 530 nm, indicating a high recombination of photo-excited electron–hole pairs within the photocatalyst. The possible origin of this emission band at 530 nm is the sulfur species on the surface.$^{46,47}$ This high surface recombination characteristic brings about adverse photocatalytic activity as the photo-generated charge carriers were largely consumed by recombination rather than the water reduction reaction. Therefore, surface modification with ZnO becomes crucial. As observed from the PL spectra in Fig. 5b, the presence of either the ZnO or the CuS interface decreases the PL intensity, indicating a reduced recombination. However, it is noticed that the ZnO interface exhibits a higher suppression of surface recombination. The hypothesis is that CuS predominantly enhances the surface charge transfer through heterojunction formation while it is less effective in reducing the generic surface recombination, indicated by the noticeably high PL peak intensity at 530 nm. On the other hand, with the ZnO formation via thermal annealing, the sulfur surface recombination sites were effectively eliminated through surface composition reconstruction. This result clearly shows the critical role of ZnO in uncovering the full potential of ZnMoS$_4$ for photocatalysis. Collectively, by successive formation of heterojunctions, ZnMoS$_4$/ZnO/CuS exhibits a synergistic reduction in recombination, as reflected in its PL spectrum, quenching the 530 nm PL peak to its minimal. Moreover, electrical impedance spectra in Fig. S6a$^\dagger$ confirm the enhanced charge transfer in ZnMoS$_4$/ZnO/CuS induced by the ZnO intercalation in the ZnMoS$_4$/CuS heterojunction, from its smaller charge transfer radius (impedance $R_{ct}$).$^{32}$ Besides that, Mott–Schottky plots in Fig. S6b$^\dagger$ not only display a 100 mV flat band potential shift to a higher cathodic shift ascribed to CuS loading, typical of p–n junction formation according to the literature,$^{48,49}$ but also show a higher carrier density or lower charge recombination (gentler M–S slope) of ZnMoS$_4$/ZnO/CuS resulted from the ZnO intercalation.$^{30}$ This illustrates that, as compared to those photocatalysts that consist of a single interface, the dual heterojunction interfaces of ZnMoS$_4$/ZnO/CuS effectively prohibit the occurrence of sulfur species surface recombination and enhance the charge transfer process simultaneously, thus establishing an efficient utilization of photo-excited charge carriers toward the water reduction reaction. Furthermore, besides evaluating surface recombination, photoelectrochemical measurements were used to assess the photo-generated charge carrier separation dynamics towards electrochemical reactions, particularly as a photocathode for the hydrogen evolution reaction under light illumination.$^{31-34}$ A photocathodic response upon light illumination can be observed in all photocatalyst electrodes, illustrating their function in the photo-activated hydrogen evolution electrochemical reaction. Their photocurrent magnitudes are depicted as follows: ZnMoS$_4$ < ZnMoS$_4$/CuS < ZnMoS$_4$/ZnO < ZnMoS$_4$/ZnO/CuS. Correspondingly, it is demonstrated that ZnO/CuS dual interfaces provide the most efficient charge separation process. This result agrees with the PL spectra and thus strongly suggests the inhibition of surface recombination of ZnMoS$_4$ with the presence of the ZnO/CuS dual interface as the key avenue for efficient interfacial charge transfer.
It is known that sulfide photocatalysts are susceptible to photocorrosion, or oxidation of sulfide, and lead to oxidative degradation of photocatalysts.\textsuperscript{44,55,56} Hence, to ensure sulfide photocatalyst stability in the water reduction process, it must be protected from oxidation. The oxidation of sulfur involves photo-generated holes and other active species, especially hydroxyl radicals (‘OH).\textsuperscript{37} It is noted that even though photo-generated holes in photocatalytic reactions are inevitable, effective shielding of the photocatalyst from other reactants can possibly eliminate photocorrosion issues. As metal oxides are fairly more resistant to oxidation than sulfides,\textsuperscript{37} a ZnO passivated sulfide surface will have adequate photocorrosion resistance. An eight-hour-long photocatalytic hydrogen evolution experiment was conducted to monitor the stability of the photocatalyst with and without the ZnO intercalated layer. It appears that the ZnO intercalated layer offers not only an enhancement in performance due to the aforementioned reasons, but also an improved photocatalytic stability (Fig. 5d). Negligible degradation in photocatalytic performance was detected with 36.69 mmol g\textsuperscript{-1} at the first hour mark to 38.46 mmol g\textsuperscript{-1} of hydrogen detected at the eighth hour mark. On the other hand, without the ZnO layer, the photocatalytic performance decreased almost every 2 hours. The hydrogen evolution yield decreased from 22.69 mmol g\textsuperscript{-1} at the first hour mark to 16.40 mmol g\textsuperscript{-1} at the eighth hour mark, equivalent to a 27.72% deterioration over 8 hours. SEM and XRD data were obtained from the ZnMoS\textsubscript{4}/CuS and ZnMoS\textsubscript{4}/ZnO/CuS photocatalysts after the stability tests, as shown in Fig. S7.\textsuperscript{†} Although both the samples fairly preserve the hexagonal plate morphologies, the dominant ZnMoS\textsubscript{4} peak intensity of the ZnMoS\textsubscript{4}/CuS sample is seen to decrease, whereas for the ZnMoS\textsubscript{4}/ZnO/CuS sample all the diffraction peak intensities are well retained. This may suggest the ability of ZnO to inhibit the photo-corrosion of ZnMoS\textsubscript{4} to a certain extent. Moreover, with reference to the recent literature,\textsuperscript{58} photocatalytic H\textsubscript{2} evolution measurements should be performed in pure water to demonstrate the real water splitting abilities, as they are usually obscured by sacrificial agent induced hydrogen evolution through an indirect oxidation path,\textsuperscript{59} and especially in this case of Na\textsubscript{2}S/Na\textsubscript{2}SO\textsubscript{3}, SH\textsuperscript{-} is oxidized to S and H\textsubscript{2}. Fig. S8\textsuperscript{†} shows that all ZnMoS\textsubscript{4}, ZnMoS\textsubscript{4}/CuS, ZnMoS\textsubscript{4}/ZnO and ZnMoS\textsubscript{4}/ZnO/CuS are able to perform photocatalytic hydrogen evolution at rates of 0.12, 0.51, 0.24 and 1.19 mmol g\textsuperscript{-1} h\textsuperscript{-1}, respectively, in pure water. The H\textsubscript{2} evolution rate for the pure water is 32- to 50-fold lower than those for the Na\textsubscript{2}S/Na\textsubscript{2}SO\textsubscript{3} sacrificial agent. Importantly, the photoactivity trend of Na\textsubscript{2}S/Na\textsubscript{2}SO\textsubscript{3} aqueous solution is the same as those of pure water splitting without the sacrificial agent.
Numerous studies were referred to analyse their Fermi level and band alignment and to ultimately understand their mechanism in generating an efficient photocatalytic hydrogen evolution reaction.\textsuperscript{41,60–66} The simplified band structures of ZnMoS\textsubscript{4}/CuS and ZnMoS\textsubscript{4}/ZnO/CuS in this report are illustrated in Fig. 6. Notably, the narrower band gap in ZnMoS\textsubscript{4}, caused by the incorporation of Mo species provides additional photo-generated electrons upon light excitation with energy larger than its band gap energy of 3.35 eV or a photon wavelength larger than 370 nm. ZnMoS\textsubscript{4} and CuS form a p–n heterojunction and their band positions are shown in Fig. 6a. From the band diagram, CuS promotes the photo-generated charge separation of ZnMoS\textsubscript{4}, as proven by PL and PEC results, by sweeping holes into the CuS interface while retaining electrons within ZnMoS\textsubscript{4}. Hence, there is minimal water reduction reaction occurring at the CuS sites. The photocatalytic hydrogen evolution is restricted to the ZnMoS\textsubscript{4} surface that is not covered by the CuS cocatalyst where the electrons can interact with water, as depicted in Fig. 6b. Clearly, even though the photocatalytic performance is enhanced by the CuS heterojunction through charge separation, the photocatalytic charge dynamics between the heterostructure and water is not optimized. On the other hand, the type II heterojunction configuration of ZnMoS\textsubscript{4}/ZnO induces photo-generated holes to be mostly trapped in ZnMoS\textsubscript{4}, while electrons are transported to ZnO, thus achieving outstanding photo-generated charge carrier separation, as demonstrated in Fig. 6c. More importantly, the formation of the ZnO layer induces an interfacial band bending on ZnMoS\textsubscript{4}, which particularly lowers the ZnMoS\textsubscript{4} Fermi level to the level close to that of CuS. Hence when CuS subsequently comes into contact to form a second heterojunction, the overall band level shift becomes less abrupt. In addition, as ZnO significantly suppresses charge carrier recombination, based on the PL emission spectra in Fig. 5b, the electron diffusion length is crucially extended and favours the electron transport across its nanoscale thickness.\textsuperscript{67,68} In other words, the ZnO intercalated layer plays a crucial role in maintaining the thermodynamic driving force for photo-generated electrons to be transported from ZnMoS\textsubscript{4} to CuS surfaces. Unlike the typical p–n heterojunction present in ZnMoS\textsubscript{4}/CuS, the photogenerated electrons for the ZnMoS\textsubscript{4}/ZnO/CuS ternary configuration are efficient in migrating to both the ZnO and CuS surfaces to effectively reduce water for hydrogen evolution, as depicted in Fig. 6d.
Conclusions
In summary, a novel ternary chalcogenide photocatalyst ZnMoS$_4$ with a 2D hexagonal plate has been developed through sulfidation from its oxide form Zn$_3$Mo$_2$O$_{11}$, acting as a chemical source and a 2D microstructure template. The ZnMoS$_4$ exhibits an enhancement in intrinsic carrier density and interfacial charge transfer with the electrolyte, as well as an increase in light absorption from its narrow band gap originated from its Mo species. Consequently, the photocatalytic hydrogen properties of ZnMoS$_4$ have been tested and it demonstrated an almost 3-fold higher photocatalytic hydrogen generation rate as compared to ZnS. To further exploit its potential, a ZnO layer is introduced into the p–n heterostructure, prior to the formation of CuS. Besides suppressing the surface recombination of ZnMoS$_4$ and promoting the electron transfer through the type II heterojunction configuration of ZnMoS$_4$, it has been found that the ZnO interface in the ZnMoS$_4$/ZnO/CuS multi-junction heterostructures induces desirable electron migration towards photocatalyst surfaces. With the optimized electron transfer dynamics for photocatalytic hydrogen evolution, high efficiency of photocatalytic activity has been demonstrated, resulting in a 97% and a 560% improvement in the generation rate, as compared to ZnMoS$_4$/CuS and bare ZnMoS$_4$. Essentially, this work provides a new insight into band structure engineering in heterostructure design for efficient charge carrier dynamics and electrochemical reactivity.
Conflicts of interest
There are no conflicts to declare.
Acknowledgements
This research is supported by the Ministry of Education (MOE), Singapore under MOE grants R-263-000-C85-112 and R-263-000-D08-114.
Notes and references
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DTM NIGERIA
DISPLACEMENT TRACKING MATRIX
NORTH CENTRAL AND NORTH WEST ZONES
IOM
UN MIGRATION
The opinions expressed in the report are those of the authors and do not necessarily reflect the views of the International Organization for Migration (IOM). The designations employed and the presentation of material throughout the report do not imply the expression of any opinion whatsoever on the part of IOM concerning the legal status of any country, territory, city or area, or of its authorities, or concerning its frontiers or boundaries.
IOM is committed to the principle that humane and orderly migration benefits migrants and society. As an intergovernmental organization, IOM acts with its partners in the international community to assist in meeting the operational challenges of migration, advance understanding of migration issues, encourage social and economic development through migration and uphold the human dignity and well-being of migrants.
International Organization for Migration (IOM)
Nigeria Mission
Maiduguri Sub-Office
Tel.: +237 222 20 32 78
E-mail: email@example.com
Websites: https://displacement.iom.int/nigeria
www.globaldtm.info/nigeria
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise without the prior written permission of the publisher.
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1 The maps included in this report are illustrative. The representations and the use of borders and geographic names may include errors and do not imply judgment on legal status of territories nor acknowledgement of borders by IOM.
CONTENTS
EXECUTIVE SUMMARY 4
BACKGROUND 5
METHODOLOGY 6
LIMITATIONS 6
1. DISPLACEMENT OVERVIEW 7
2. LOCATION AND ORIGIN OF DISPLACED POPULATION 8
2A: LOCATION 8
2B: REASONS FOR DISPLACEMENT 9
2C: DISPLACEMENT PERIODS 9
2D: FREQUENCY OF DISPLACEMENT 9
2E: LOCATION AND ORIGIN OF DISPLACED POPULATIONS 10
2F: SETTLEMENT AND ACCOMMODATION TYPE 10
2G: SETTLEMENT CLASSIFICATION 10
2H: PRIMARY NEEDS 10
3. LIVELIHOODS AND LIVING CONDITIONS 11
4. CONCLUSION 25
KEY HIGHLIGHTS
94,893 Households
- 54% Female
- 46% Male
- 27% Children under 6 Years
- 80% Women and children
578,119 Individuals
Map 1: IDP population by state
Data source: HDX, UNHCR, DTM
EXECUTIVE SUMMARY
To better understand the scope of displacement and assess the needs of affected populations, the International Organization for Migration (IOM) implementing the Displacement Tracking Matrix (DTM) programme in Nigeria’s North Central and North West regions, in collaboration with the National Emergency Management Agency (NEMA) and State Emergency Management Agencies (SEMA).
DTM aims to track and monitor displacement and population mobility in the region. This report is an analysis of Round 3 of data collected at varied levels and of various kinds, including information on where displacements occur, why they occur, the length of displacement, and the intentions and conditions of migrants and internally displaced individuals.
This report also presents information on the numbers, living conditions and needs of displaced populations and returnees in the regions. Data was collected directly from displaced populations (internally displaced, out-of-camp refugees and returnees) in 686 wards located in 157 Local Government Areas (LGAs) of Benue, Nasarawa, Plateau and Kaduna (North Central) and Kano, Sokoto, Katsina and Zamfara (North West) states between 9th and 23rd December 2019.
The main objective of initiating the DTM programme is to support to the Government and humanitarian partners by establishing a comprehensive system to collect, analyse and disseminate data on internally displaced persons (IDPs) in order to provide effective assistance to the affected population.
BACKGROUND
INTRODUCTION AND CONTEXT
The geopolitical zones of North Central and North West in Nigeria have been affected by a multidimensional crisis - one that is rooted in historic ethno-social cleavages - that rekindled in 2013 following the degradation of socioeconomic and environmental conditions. The crisis accelerated in January 2018 with the intensification of attacks, resulting in the displacement of hundreds of thousands of individuals. At the end of 2018, one million individuals had been displaced. While many of the Internally Displaced Persons (IDPs) have been able to return, hundreds of thousands remain displaced due to lack of security and fear of being attacked en route or upon their return.
The crisis in North Central and North West is multifaceted and multidimensional. It includes the long-standing conflict between ethnic and linguistic groups; tensions between nomadic pastoralists (transhumance), territorial dispute and sedentary farmers; and attacks by criminal groups on local populations and banditry/hirabah (kidnapping and grand larceny along major highways). These tensions cross-cut religious cleavages between Muslim and Christian communities, especially Plateau State (North Central). The crisis continues to displace populations regularly in the states of Benue, Nasarawa and Plateau (North Central), and Kaduna, Kano, Sokoto, Katsina and Zamfara (North West).
Disputes between herders and farmers are one of the key phenomena in this crisis. Nomadic pastoralists (transhumance) and sedentary farmers historically cohabitated in the region, with herders accompanying cattle along transhumance corridors. These corridors cut through farmland, in search of water points and grazing lands. In recent years, as water source and pastureland availability has declined, transhumance routes have increasingly encroached onto farmland. This resource competition raises tensions between herders and farmers, often leading to violent clashes.
Another major phenomenon in the affected regions are communal conflicts pitting ethnic and language-based communities. These tensions date back to the division of the country into states, which separated ethnic and linguistic groups by administrative boundaries. It often resulted in the forced cohabitation of often antagonistic groups. Tensions over resources and land, exacerbated by climate change, have escalated into communal conflicts that displace significant numbers of people.
IOM’s Displacement Tracking Matrix (DTM) was first implemented in Nasarawa and Abuja in August 2015. After the crisis in North West and Central Nigeria escalated in early 2018, providing support to affected populations became paramount. As a result, IOM broadened the reach of DTM to the entire affected area, to assess the numbers and trends of displacement, and gain insight into the profiles, needs and vulnerabilities of displaced populations. The information collected seeks to inform the government of Nigeria - as well as the humanitarian community - with an improved understanding of population movement and displacement in the two zones. Likewise, it aims to better inform the humanitarian response and relief provision for the affected populations.
METHODOLOGY
Round 3 of DTM data collection in the North West and North Central geopolitical zones were conducted between 9th and 23rd December 2019. During the assessments, DTM deployed teams of enumerators to conduct assessments in 686 wards located in 157 LGAs, in the North Central and North West geopolitical zones. Eight states were covered including Benue, Nasarawa and Plateau (North Central) and Kaduna, Kano, Sokoto, Katsina and Zamfara (North West).
In addition, DTM enumerators conducted multisectoral assessments in 1,278 sites, including 1,222 host communities and 56 camps or camp-like settings across the eight affected states. During these assessments, data was collected on living conditions and multisectoral needs of displaced populations.
DTM activities in North Central and North West targeted IDPs and aim to gain a better understanding of displacement and return numbers and trends, living conditions of affected populations, as well as the needs and vulnerabilities of these populations. These population categories are defined in this report as follows:
- An Internally Displaced Person (IDP) is “a person who has been forced or obliged to flee or to leave his or her home or place of habitual residence\(^2\), in particular as a result of or in order to avoid the effects of armed conflict, situations of generalized violence, violations of human rights or natural or human-made disasters, and who has not crossed an internationally recognized State border”.
- A Returnee is a person who had been living in an area other than his or her area of origin, in the same country as his or her country of origin or habitual residence, and has returned to his or her location of origin (former IDP Returnee); or a person had been living in country other than his or her country of origin or habitual residence and has since returned to the country he or she was residing in prior to displacement (Returnee from abroad).
Return is understood as physical return and does not imply or suggest that returnees are living in a safe environment with dignity and access to sustainable livelihood opportunities or adequate resources.
National, gubernatorial and local authorities, as well international and local humanitarian partners, were involved in all the stages of DTM activities. Results were validated by the Government.
LIMITATIONS
The security situation in some wards of the North Central and North West zones remains unstable, limiting accessibility. Some locations could not be accessed during this round of assessment.
The data used for this analysis are estimates obtained through key informant interviews, personal observation and focus group discussions. Thus, in order to ensure the reliability of these estimates, data collection was performed at the lowest administrative level: the site or the host community.
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\(^2\) IOM Glossary, 2011.
1. DISPLACEMENT OVERVIEW
DISPLACED POPULATION
DTM assessments identified 578,119 Internally Displaced Persons (IDPs) or 94,893 households across the eight states covered in North Central and North West regions. This represented a 7 per cent increase in the number of displaced individuals identified in Round 2 (540,049) that was published in October 2019. The number of wards assessed were same in Round 3 as in Round 2. The proportions of IDPs in the two zones has changed from Round 2, with 65 per cent of IDPs residing in North Central zone (375,070), and 35 per cent in North West zone (203,049).
The majority (54%) of displaced individuals were female, while 46 per cent were male. Most IDPs (56%) were under 18, with 27 per cent of the total population under six years old. Displaced households were on average, composed of six members.
**NORTH CENTRAL**
- Amongst the eight states affected by the crisis, Benue hosts the largest number of displaced individuals (180,258, or 31% of IDPs). The two LGAs hosting the greatest numbers of IDPs were in Benue: Agatu LGA was the LGA accommodating the most IDPs with 82,083 (15% of total IDPs), whereas 27,847 IDPs (5% of IDPs) reside in Guma LGA. Displacement in Benue state was primarily on account of communal clashes (93%).
- Plateau hosted 103,111 IDPs (18% of total displaced population in NW and NC States), a 7 per cent increase from the previous round. This was the second largest IDP population. Plateau Central and South experienced little change in IDP population. The largest changes area in Plateau North (Riyom was the only LGA where the IDP population decreased). This was despite 142 wards being assessed in Round 3, from 135 in Round 2 (an increase of 7 wards). The population was primarily displaced following communal clashes (87%). The LGAs that hosted the most IDPs were Langtang North (14,731 IDPs), Riyom (11,836 IDPs) and Barkin Ladi (9,784 IDPs).
**NORTH WEST**
- Kaduna state was hosting 71,226 displaced persons, representing 12 per cent of total IDPs in North Central and North West. Fifty per cent of IDPs in the state were found in Karu (5,724 or 28%) and Lafia (4,558 or 22%) LGAs. Communal clashes had led to the displacement of most people (58%), followed by armed banditry and kidnappings (28%).
- As in Round 2, Zamfara state continued to host the fourth largest IDP population (69,163 individuals, or 12% of IDPs). This was an increase of 6 per cent from Round 2, despite 14 fewer wards being surveyed. Displacements were the result of violent crimes and banditry in the state, and the kidnapping of travellers along major highways. Villagers in Zamfara were also victim of cattle rustling, whereby bandits raid villages to steal cattle by force; villagers who refused to comply were often killed. Anka LGA, recorded the highest number of IDPs (24,341, an increase of 23%), followed by Shinkafi LGA (10,042, no percentage change) and Maru LGA (4,112, a 59% reduction from Round 2).
- 61,418 individuals (11% of total IDPs in NW and NC States) were displaced in Katsina. Batsari LGA hosted the highest number of IDPs at 7,966, followed by Jibia at 6,812 and Katsina at 4,620. The prominent reason for displacement in Katsina was armed banditry, cattle rustling and kidnapping (49%), followed by natural disasters (25%) and communal clashes (21%). Insurgency accounted for 5 per cent of the displaced persons in Katsina.
- Sokoto had 45,876 IDPs (representing 8% of the total displaced population in NW and NC States). This was an increase of 4 per cent, with two more wards being assessed in Round 3 (22 up from 19). Comparing information for the wards assessed on both Round 2 and Round 3, in these wards the overall population decreased by 8,545. The largest decrease was in Kurya ward, Rabah LGA. The population increase could be attributed to three new wards assessed, one in Rabah with an IDP population of 8,771. In four wards the majority of IDPs originated from Borno, with IDPs citing the insurgency as a key factor in their mobility decision.
- In Kano there were 26,592 IDPs, or 5 per cent of total in NW and NC zones. The number of LGAs assessed increased from 33 to 37, corresponding to an increase of 24 per cent in the total IDP population (while the number of wards increased from 70 to 81). Of the wards assessed in both Round 2 and Round 3, the IDP population increased by 15 per cent. Seventy per cent of the sites reported insurgency as the main reason for their displacement.
2. LOCATION AND ORIGIN OF THE DISPLACED POPULATION
2A: LOCATION
DTM assessments conducted in North Central and North West Nigeria show that the largest share of IDPs (31%) originated from Benue state, while the second, third and fourth most common states of origin of IDPs are Plateau (18%), Zamfara (12%) and Katsina (10%). On average 89 per cent of IDPs in these states were displaced within their state of origin. Across the North West and North Central zones, 11 per cent of the IDP population was displaced in a different state to its origin. The largest non-localised IDP populations were in Kano (73% of IDPs being from a different state), Nasarawa (51%) and Kaduna (26%).
Map 2: IDP population by LGA
The states where the largest shares of IDPs were displaced within their state of origin were Zamfara (100% of IDPs in the state did not cross a state boundary), Sokoto (94%) and Katsina (93%). The most noticeable changes in IDP populations who were displaced in a state different to their origin, between Round 2 and Round 3, were as follows: There were 508 more IDPs from Benue residing in Nasarawa (increase of 77%), 5,122 more IDPs from Plateau now in Kaduna (increase of 86%), and 310 more IDPs from Bauchi now in Plateau (increase of 14%). There have also been a few noticeable decreases, with 3,330 fewer IDPs from Borno residing in Katsina (a reduction of 96%), and 3,755 fewer IDPs from Nasarawa residing in Benue (a 100% reduction).
**2B: REASONS FOR DISPLACEMENT**
The majority of IDPs (58%) indicated having been displaced by communal clashes, with the second-most likely factor of displacement being kidnappings and banditry (28%). The vast majority of IDPs in Benue (93%) and Plateau (87%) fled as a result of communal conflicts. Almost all IDPs displaced in Sokoto (95%) and Zamfara (99%) were displaced because of banditry and kidnapping. In Kano, 28 per cent of IDPs were displaced as a result of natural disasters, as well as 25 per cent of IDPs in Katsina.
Of the entire IDP population, only 6 per cent were displaced due to insurgency by Non-State Armed Groups (NSAGs). But 58 per cent of IDPs in Kano and 31 per cent in Nasarawa cited insurgency as the main reason for their displacement.
**2C: DISPLACEMENT PERIODS**
Most displacements (65%) occurred in 2018 and 2019, with the largest groups of IDPs (40%) being displaced in 2019. This was in-line with the findings from Round 2, and an increase from Round 1. The data indicated the intensification of the crisis has progressed from 2018, into 2019, accelerating the rate of displacement. Sixteen per cent of IDPs were displaced prior to 2015, during the period when the crisis first began.
There is a great deal of variability in the displacement periods between states. Most IDPs in Katsina (88%) and Sokoto (95%) were displaced in 2019. The IDP population in Zamfara increased by 34,437 (as similar magnitude to the changes in the former two states), with 49 per cent of IDPs being displaced in 2019. Similarly, in Benue 41,295 individuals were displaced in 2019 – almost the same quantity as in Sokoto – though this represents 23 per cent of the state’s displaced population. The largest long-term IDP populations (those displaced prior to 2015) were in Kano (43%), Plateau (35%), Kaduna (34%), and Nasarawa (30%). In Benue and Zamfara states, the largest IDP groups (41% and 40%, respectively) were displaced in 2018.
**2D: FREQUENCY OF DISPLACEMENT**
Taking the average frequency of displacement for the states covered by Round 3, most individuals (74%) were displaced once, while a quarter of IDPs (25%) were displaced twice. One per cent of IDPs were displaced three times. Kaduna, Plateau, Sokoto and Katsina were the states where the largest proportion of IDPs were only displaced once (98%, 91%, 84% and 82%, respectively). In contrast, in Benue, around half of IDPs (44%) were displaced twice. IDPs who had been displaced three times were in Benue (representing 2% of IDPs in the state) and Nasarawa (4%).
DTM assessments conducted in North Central and North West Nigeria showed that the largest share of IDPs (31%) originated from Benue state, while the second, third and fourth most common state of origin of IDPs was Plateau (18%), Zamfara (12%) and Katsina (10%). On average 89 per cent of IDPs in these states were displaced within their state of origin. Across the North West and North Central zones, 11% of the IDP population was displaced in a different state to its origin. The largest non-localised IDP populations were in Kano (73% of IDPs being from a different state), Nasarawa (51%), and Kaduna (26%). The states where the largest shares of IDPs were displaced within their state of origin were Zamfara (100% of IDPs in the state did not cross a state boundary), Sokoto (94%) and Katsina (93%).
The most noticeable changes in IDP populations who were displaced in a state different to their origin, between Round 2 and Round 3, were as follows: There were 508 more IDPs from Benue residing in Nasarawa (increase of 77%), 5,122 more IDPs from Plateau now in Kaduna (increase of 86%), and 310 more IDPs from Bauchi now in Plateau (increase of 14%). There have also been a few noticeable decreases, with 3,330 fewer IDPs from Borno residing in Katsina (a reduction of 96%), and 3,755 fewer IDPS from Nasarawa residing in Benue (a 100% reduction).
**2F: SETTLEMENT AND ACCOMMODATION TYPE**
**Number and locations of sites**
A total of 1,278 sites were identified across the eight states covered in DTM assessments (11% higher than in Round 2), including 1,222 host communities and 56 camps or camp-like settings. Plateau and Nasarawa have the largest numbers of sites (238 and 220 respectively).
The majority of IDPs (84%) live in host communities, while 16 per cent (92,386) lived in displacement camps. On average 96 per cent of the IDP displacement sites in Kaduna, Kano, Katsina, Nasarawa, Plateau, and Zamfara were classified as host communities. The highest proportions of sites that were camp or camp like settings were in Benue (45%) and Sokoto (18%). However, the proportions of site categories do not necessarily correlate with the underlying populations residing in the sites.
The proportions of site types and of the IDP populations living within them were different in Benue, Nasarawa and Zamfara. This is because the average populations of those living in camps and host communities can differ significantly. For example, 4 per cent of sites in Zamfara were classified as camps, yet 33 per cent of the IDP population lives in these camps (the average population of a camp is 7,500 compared to 610 for host community IDPs). In Nasarawa the average size of camps is larger than the size of host community IDP populations. However, in Benue, the average number of IDPs living in host communities is significantly greater than the average camp population.
**2G: SETTLEMENT CLASSIFICATION**
A total of 1,278 sites have been assessed in Round 3. All camps and camp-like settings (100% or 54 sites) were spontaneous. Of the spontaneous sites, the majority (57%) were camps, while 43 per cent were collective settlements/centres. Of the camp/camp-like sites, 2 per cent was on ancestral land, 73 per cent were only publicly owned/government land. Only 25 per cent of sites were in privately owned buildings/land.
Camps and collective settlements/centres were 4 per cent of the total number of assessed sites, with 96 per cent being host communities. Land ownership in host communities was mainly classified as privately owned in 83 per cent of them, with 11 per cent as ancestral lands, and 7 per cent as publicly owned land.
**2H: PRIMARY NEEDS**
The most urgent needs of IDPs across all sites assessed was food (42% of sites), Non-Food Items (32%) and shelter (17%). Food was the most cited unfulfilled need in Benue, Kano, Katsina, Plateau, Sokoto, and Zamfara (with Katsina, Sokoto
and Zamfara containing the largest numbers of sites with this need – 66%, 63% and 50%, respectively.). The top unfulfilled need in Nasarawa and Kaduna is for NFIs (44% and 39% respectively).
Overall, water is cited as the top unfulfilled need in 5 per cent of sites across the North West and North Central zones. However, when looking separately at each state, 20 per cent of sites in Kaduna have reported water as their top need. A similar phenomenon is present in Nasarawa, where 8 per cent of locations have listed medical services as their top need, compared with 3 per cent on average across all the states.
| STATE | Water for washing and cooking | Drinking water | Medical services | Shelter | NFI | Food |
|---------|-------------------------------|----------------|------------------|---------|-----|------|
| BENUE | 0% | 1% | 0% | 2% | 3% | 6% |
| KADUNA | 1% | 3% | 1% | 1% | 6% | 4% |
| KANO | 0% | 0% | 0% | 3% | 3% | 5% |
| KATSINA | 0% | 0% | 0% | 2% | 3% | 10% |
| NASARAWA| 0% | 1% | 1% | 4% | 8% | 4% |
| PLATEAU | 0% | 0% | 1% | 5% | 5% | 7% |
| SOKOTO | 0% | 0% | 0% | 0% | 0% | 2% |
| ZAMFARA | 0% | 0% | 0% | 0% | 4% | 4% |
| Grand Total | 1% | 5% | 3% | 17% | 32% | 42% |
Table 1: Main needs of IDPs by state of assessments
3. LIVELIHOODS AND LIVING CONDITIONS
CAMP COORDINATION AND CAMP MANAGEMENT (CCCM)
Out of the 56 camps and camp-like settings assessed during Round 3 of DTM assessments in the North West and North Central zones, around three-quarters (42, or 75%) were informal and one-quarter (25%) were formal. Twenty-five per cent have a Site Management Agency (SMA) present, and 75 per cent do not. Of these, 13 were run by the government, one by a local NGO and the rest by no one.
Most camps have support in the shelter (98%), livelihoods (96%), protection (81%), WASH (74%) and food (55%) sectors. In education and health, less than half the sites reporting having support (46% and 31%, respectively). No sites received Camp Coordination and Camp Management support.
3A: SHELTER AND NFI
Camps and camp-like settings
Concerning accommodation, the main shelter type in camps or camp-like settings is schools, with 32 per cent of the total. This is followed by government buildings (29%) and host family house (14%).
Of the total IDP population living in camps and camp-like sites, 47 per cent were found in Benue state, where emergency shelters, government buildings and schools were the main forms of shelter. Zamfara has the second largest IDP camp population (24%), with half the sites have IDPs living in block buildings and half in emergency shelters. This 50/50 split should be contrasted with the fact that 99 per cent of the IDP population in Zamfara lives in a single camp, primarily in emergency shelters. The third largest population is in Sokoto (19,216 individuals, or 21%), who were mainly in schools and government buildings.
Figure 7: Shelter types in camps/camp-like settings
Across all states, 16 per cent of camps or camp-like sites reported no needs for shelter materials (a 1% increase from Round 2). Meanwhile, most camps (84%) reported shelter material needs. The most needed shelter materials were tarpaulin (30%), timber/wood (27%) and roofing sheets (18%). Particular attention should be given to the sites reporting a need for tarpaulins.
The most pressing NFI needs in camps or camp-like settings were blankets/mats (34% of sites), followed by mosquito nets (30%) and mattresses (27%). However, when comparing the underlying populations residing in the surveyed sites, several differences arise. Firstly, mattresses were the top NFI need for 49 per cent of the IDP population in North West and North Central zones (21% of which is in Benue and 23% in Zamfara – this discrepancy arises as even though there is only one camp-like site in Zamfara, it has a very large population). Furthermore, the need for kitchen sets is more pronounced over the entire population, with 13 per cent of IDPs citing this need (they were found in 3 locations or 6% of the total number of camps/camp-like sites – one in Nasarawa and two in Benue, with the Benue sites containing most of the IDPs).
The second most needed NFIs were mosquito nets (28% of total number of sites). Regarding the total IDP population residing in camps, 44 per cent reported mosquito nets as their second NFI need (due to the Zamfara camp being in this subgroup), while 17 per cent of the total population (Sokoto and Benue) cited kitchen sets.
**Host communities**
The most common type of shelter in host communities, is with host families – this is the case for 76 per cent of host community sites (no change from Round 2). This is followed by individual houses (in 22 per cent of sites, a 4% increase). The share of sites where the most common shelter type is makeshift shelters has decreased to 1 per cent (from 6% in Round 2).
Similarly, to Round 2, 82 per cent of host communities hosting displaced people report shelter material needs. The remaining 18 per cent indicating no particular need. IDPs were in most urgent need of roofing sheets (in 23% of sites, a 2% decrease from Round 2), blocks/bricks (in 22% sites, a 6% increase), timber and wood (20%), and tarpaulins (10%). When considering these needs with respect to the population size of the surveyed host communities, two states should be given attention – Plateau (with a larger population needing roofing sheets), and Benue (needing timber/wood).
There were several changes to the NFI needs between Rounds 2 and 3. The most important needs were mattresses (in 33% of sites, and increase of 5% from the previous round), mosquito nets (27%, increasing from 20%) and blankets/mats (26%). There is no discrepancy between the needs of each site and the proportion of the IDP populations within.
The second NFI needs is for kitchen sets (29%), mosquito nets (27%), blankets/mats (14%), and mattresses (14%). Though the same number of sites report mattresses and blankets/mats as their secondary NFI needs, a larger population (around
7% of the regional total) need kitchen sets. The need for mosquito nets is similarly undervalued when not considering the underlying population.
3B: LIVELIHOOD
Camps and camp-like settings
In-line with the results in Round 2, data collection in North West and North Central during Round 3 reveals that the most common livelihood activity of IDPs living in camps or camp-like settings is daily labouring (48% of sites). This is followed by farming (23%) and petty trade (18%).
Despite farming being the second most cited occupation across North West and North Central zones, the underlying camp IDP population is only 8 per cent of the total camp population. Similarly, collecting firewood is reported in one site (2%) in Zamfara, but the site has 23 per cent of the total camp IDP population. The large proportion of daily labourers in Round 3 is the result of large displacement camps in Benue reporting it as their main occupation. No employment activity is recorded in either site, in Kaduna or Katsina. Kaduna should be a priority, with a population of 1,255, compared with 36 in Katsina.
Across the NW and NC zones, livestock is present in 55% of camps and camp-like settings (with these camps containing 78% of the camp IDP population). Furthermore, in 71 per cent of camps (with 85% of the population) do not have access to land for cultivation. Despite these barriers, 95 per cent of sites report that the IDPs within have access to income generating activities (with Kaduna and Katsina not having the said access).
Host communities
In contrast to IDPs living in camps or camp-like settings, the majority of IDPs living amongst host communities (56% of sites) report farming as their main occupation. This is followed by daily labouring (18%), and petty trade (16%). Agro-pastoralism is reported as the main occupation in 9 per cent of sites.
Comparing the host communities surveyed, disaggregating results by state, several results stand out. Farming is the most cited occupation in 85 per cent of sites in Nasarawa. This is the highest proportion, surpassing the host community locations in Plateau (61%) and Benue (57%) – it should be noted that the underlying IDP population in Plateau and Benue is much larger than in Nasarawa. On the other hand, 61 per cent of sites in Zamfara report that daily labour is the most prevalent occupation and in Sokoto 56 per cent say that petty trade is most common.
Figure 14: Livelihood activities of IDPs in host communities
Displaced populations residing with host communities have more livelihood opportunities and possibilities to earn a living than IDPs in camps. The share of host communities with livestock on site has decreased slightly in Round 3, to 88 per cent (down 2% from Round 2, but up 12% since Round 1). In 76 per cent of sites, land was available for cultivation, though this percentage was smaller in Sokoto (48%) and Zamfara (85%). Furthermore, an average of 90 per cent of sites report that IDPs have access to income generating activities across all states (however in Zamfara only 54% of sites report access).
3C: WATER, SANITATION AND HYGIENE
Camps and camp-like settings
Sources of water
The main sources of drinking water found in camps and camp-like settings, were lakes/dams, piped water and unprotected wells (all in 20% of sites). This is a notable change from Round 2 where 40 per cent of sites had used piped water alone (the greatest reduction in number of sites using piped water is in Nasarawa). Hand pumps and protected wells were the second most prevalent water sources, both found in 18 per cent of sites.
Figure 15: Main drinking water sources in camps/camp-like settings
Hand pumps were the primary source in 100 per cent of camps in Zamfara state, while the main water sources in Benue were piped water and lakes/dams (for 72% of the sites). However, the majority of the IDP population in Benue resides in camps where piped water is the main supply. In Sokoto 60 per cent of locations sources their water from unprotected wells.
**Distance to main water source**
The main water sources in 68% of camps or camp-like settings were within a 10-minutes walking range for IDPs (52% of those were on-site water sources, 16% off-site). This is another 9 per cent decrease from Round 2. For the large IDP camps in Benue, water sources were on-site and within the 10-minute range. In total, 33 per cent of sites have water sources more than 10 minutes away (20% on-site, and 12% off-site).
| State | On-site (<10 min) | Off-site (<10 min) | On-site (>10 min) | Off-site (>10 min) |
|-----------|-------------------|--------------------|-------------------|--------------------|
| Grand Total | 32% | 16% | 12% | 20% |
| BENUE | 40% | 24% | | |
| KADUNA | 100% | | | |
| KANO | 50% | 50% | | |
| KATSINA | 25% | 75% | | |
| NASARAWA | 65% | | 17% | |
| PLATEAU | 67% | 18% | 17% | |
| SOKOTO | 10% | 30% | 60% | |
| ZAMFARA | 30% | 50% | 20% | |
Figure 16: Distance to main water sources in camps/camp-like settings
**Differentiation between drinking and non-drinking water**
In most camps and camp-like settings (88%), IDPs do not differentiate between drinking and non-drinking water – this is a 7 per cent increase from Round 2. In all sites in Benue, Kaduna, Kano, Katsina, and Zamfara states do not distinguish their water sources. In Nasarawa and Plateau, 33 per cent of sites do make a distinction, though the IDP populations in these camps is significantly smaller. In Sokoto, 30 per cent of sites have different water sources for their drinking and non-drinking water, including two larger camps.
| State | No | Yes |
|-----------|----|-----|
| Grand Total | 88% | 12% |
| ZAMFARA | 100% | |
| SOKOTO | 70% | 30% |
| PLATEAU | 67% | 33% |
| NASARAWA | 67% | 33% |
| KATSINA | 100% | |
| KANO | 100% | |
| KADUNA | 100% | |
| BENUE | 100% | |
Figure 17: Percentage of sites where IDPs differentiate between drinking and non-drinking water in camps/camp-like settings
**Improvement to water points**
Most camps (64%) report no improvements to water points (an increase of 22% from Round 2). All sites in Kaduna and Zamfara reported a lack of improvements. Thirty-seven per cent of camps report improvements to water points, including half of camps in Sokoto, Kano and Katsina. Only 17 per cent of camps in Nasarawa and Plateau report such improvements.
**Amount of water available per day per person**
| State | <5 Ltr | 5 - 10 Ltr | 10 - 15 Ltr | >15 Ltr |
|-----------|--------|------------|-------------|---------|
| Grand Total | 2% | 21% | 41% | 36% |
| ZAMFARA | 100% | | | |
| SOKOTO | 30% | 10% | 60% | |
| PLATEAU | 92% | 8% | 10% | |
| NASARAWA | 83% | | 17% | |
| KATSINA | 100% | | | |
| KANO | 50% | | 50% | |
| KADUNA | 100% | | | |
| BENUE | 4% | 20% | 40% | 36% |
Figure 18: Average amount of water available per person per day in camps/camp-like settings
In 36 per cent of camps and camp-like settings IDPs received over 15 litres of water per day (1% decrease over Round 2), and 41 per cent received between 10 and 15 litres a day (a 6% increase). A key improvement is a large camp in Zamfara increasing the availability of water from < 5 litres to 5-10 litres per day per person. A similar improvement has taken place in a camp in Benue state. Overall 22 per cent of sites (all sites in Kaduna and Zamfara) have 5-10 litres of water available daily, and four per cent of sites (all in Benue) have <5 litres available per day.
**Conditions of latrines**
Latrines were considered unhygienic in 82 per cent of sites assessed (a 7% increase from Round 2) including all camps in Kaduna, Kano, Katsina, Nasarawa, Sokoto and Zamfara states. Latrines were unusable in 9 per cent of camps (1 camp in Plateau and 4 in Benue). For Plateau, this marks an improvement from Round 2, but a decline in the conditions of latrines in Benue. There has also been a decline in the overall number of sites reporting high standard/hygienic latrines, to 9 per cent from 17 per cent (with standards slipping in camps within Katsina and Plateau states).
| State | Good (Hygienic) | Non usable | Not so good (Not hygienic) |
|-----------|-----------------|------------|----------------------------|
| Grand Total | 9% | 9% | 82% |
| ZAMFARA | 100% | | |
| SOKOTO | 100% | | |
| PLATEAU | 17% | 83% | |
| NASARAWA | 100% | | |
| KATSINA | 100% | | |
| KANO | 100% | | |
| KADUNA | 100% | | |
| BENUE | 20% | 16% | 64% |
Figure 19: Condition of toilets in camps/camp-like settings by state
**Availability of gender-separated latrines**
Most camps and camp-like settings (74%) do not have gender-segregated latrines; only 26 per cent of camps offered gender-segregated latrines (a significant decrease from Round 2 where 40% of sites had gender-segregated latrines).
Evidence of open defecation
Evidence of open defecation was found in 43 per cent of camps and camp-like settings (down from 54 per cent recorded in Round 2). In contrast, no such evidence was found in 57 per cent of camps.
Figure 23: Evidence of open defecation in camps/camp-like settings
Host communities
Sources of water
The main sources of drinking water found in host communities were hand pumps (in 36% of sites), unprotected wells (21%), protected wells (20%), piped water (10%) and lakes/dams (8%). The data is broadly similar to that gathered in Round 2. This is very different to camps and camp-like sites where the most common water sources were piped water and lakes/dams. Hand pumps were the main water sources in Katsina (62% of sites), Zamfara (53%) and Plateau (49%). In Benue, 52 per cent of sites use protected wells, as do 44 per cent of sites in Sokoto. In Nasarawa, piped water is used in 31 per cent of sites, and hand pumps in 29 per cent.
There were several key results to mention. Across North West and North Central zones, an average of 8 per cent of host community locations use lakes/dams for their drinking water. However, this number is noticeably higher in Benue (22%), Zamfara (14%) and Nasarawa (13%). Furthermore, an average of 34 per cent of sites use hand pumps, but only 3 per cent in Benue use them (an 8% reduction from Round 2). Also, 47 per cent of sites in Kaduna use unprotected wells, compared to the average of 20 per cent for all states. Kano is the only state with host communities that use water trucks to provide drinking water.
Figure 24: Main drinking water sources in host communities
**Distance to main water source**
Most water sources were found on-site, within host communities, in 86 per cent of surveyed locations. Of the water sources on-site, 74 per cent were within 10 minutes walking distance, and 12 per cent were more than 10 minutes away. For water sources found off-site, 7 per cent were within 10 minutes walking distance, and 6 per cent were not.
Notably, the main water source was located on-site and less than 10 minutes away in 93 per cent of host communities in Katsina state, 89 per cent in Kaduna state and 85 per cent in Kano state. At the other end of the spectrum, water was both off site and more than 10 minutes away in 40 per cent of sites in Sokoto. The number of host communities with on-site water points less than 10 minutes away has greatly increased in Nasarawa (75%), Zamfara (71%) and Plateau (54%) since the previous data collection.
| Grand Total | 8% | 74% | 6% | 12% |
|-------------|------|------|------|------|
| ZAMFARA | 7% | 71% | 4% | 18% |
| SOKOTO | 12% | 12% | 40% | 36% |
| PLATEAU | 16% | 54% | 9% | 21% |
| NASARAWA | 9% | 75% | 1% | 15% |
| KATSINA | 2% | 93% | | 5% |
| KANO | 5% | 85% | 4% | 0% |
| KADUNA | 2% | 80% | 3% | 0% |
| BENUE | 10% | 62% | 18% | 10% |
Figure 25: Distance to main water source in host communities
**Differentiation between drinking and non-drinking water**
No differentiation between potable and non-potable water is made in 69 per cent of host community sites, an increase from 67 per cent in Round 2 (and 63% in Round 1). The states where the largest number of sites made this differentiation were Katsina (56% of sites, up from 47% in Round 2) and Plateau (49%). In contrast, most sites in Kaduna (91%, a 9% increase from Round 2), Kano (85%) and Sokoto (76%) states make no differentiation.
A notable change has taken place in Benue since Round 2, where 31 per cent of sites had been recorded to differentiate between their drinking and non-drinking water. In Round 3, only 8 per cent of sites in Benue make this differentiation.
| Grand Total | 29% | 31% |
|-------------|------|------|
| ZAMFARA | 63% | 37% |
| SOKOTO | 76% | 24% |
| PLATEAU | 51% | 49% |
| NASARAWA | 67% | 33% |
| KATSINA | 45% | 55% |
| KANO | 85% | 15% |
| KADUNA | 91% | 9% |
| BENUE | 92% | 8% |
Figure 26: Percentage of sites where IDPs differentiate between drinking and non-drinking water in host communities
**Improvement to water points**
The data indicates that 67 per cent of host community sites have not seen improvements to their water sources (an increase from 62% in Round 2). In Sokoto, fully 92 per cent of sites have not seen an improvement (from 42% in Round 2), 89 per cent in Kaduna, 78 per cent in Benue and 69 per cent in Plateau.
**Amount of water available per day per person**
Forty-six per cent of host community sites have >15 litres of water per person, per day. The states with the most access to water were Kaduna (82%), Benue (59%) and Katsina (55%). The largest increase is in Benue (up 17% from Round 2). However, the proportion of individuals with high levels of access to water is lower in Round 3 compared to the previous round (Sokoto has decreased from 63% to 52% and Nasarawa has decreased from 43% to 33%).
Overall the proportion of sites with access to 10 – 15 litres of water has increased to 38 per cent (from 33% in Round 2), while it has decreased for sites with 5 – 10 litres of water available (16% down from 22%). The most notable shift is in Sokoto, where in Round 2, 37 per cent of sites had 5 – 10 litres of water available per person per day, while in Round 3, 24 per cent of sites were in the same situation.
Abundant access to water (>15 litres) used to be high in Plateau (in 88% of sites) in Round 1. However, this number has decreased steadily in each subsequent data collection. Currently, 52 per cent of host community sites in the state have more than 15 litres of water per day, down from 63 per cent in Round 2. The number of sites with 10 – 15 litres of water has increased by the same proportion between the two rounds. Less than 1 per cent of sites have fewer than five litres of water available per person per day. A notable change is found in Zamfara, where the number of sites with acute water shortages is now 1 per cent (down from 7%). In Benue, Kaduna, Nasarawa and Sokoto, no sites were reporting acute water shortages.
**Conditions of latrines**
In the majority of host community sites (93%), the state of latrines is considered unhygienic. Around 5 per cent of sites reported that latrines were “not usable”, and were in a good/hygienic condition in 2 per cent of sites. There is little change in the data between Rounds 2 and 3. In Benue the number of sites with non-usable latrines has decreased from 11 per cent to 6 per cent. Similarly, in Zamfara the proportion of non-usable latrines is 3 percentage points lower than in Round 2 (currently at 4%).
Waste disposal
Waste disposal mechanisms were in place in 67 per cent of host community sites. This is the same proportion as in Round 2, and higher than in Round 1 (50%). The two waste disposal mechanisms used in host communities were burning waste (53% of sites, up from 46% in Round 2) and garbage pits (12%, down from 19% in Round 2).
Figure 31: Main garbage disposal mechanism in host communities
Evidence of open defecation
There is evidence of open defecation in 53 per cent of host community sites. The proportion of sites with open defecation is 80 per cent in Benue state, compared with 53 per cent in the previous round. Overall, the amount of observed defecation is lower in Nasarawa (24%) and Sokoto (4%) respectively.
Figure 32: Evidence of open defecation in host communities
3D: FOOD AND NUTRITION
Camps and camp-like settings
Access to food
Across all the states surveyed in North Central and North West zones, 64 per cent of camps and camp-like settings have food accessible to IDPs, with food accessible on-site in 48 per cent of sites and off-site in 16 per cent of sites. A smaller proportion of sites have food available on-site than in Round 2, where it was 58 per cent. In 36 per cent of sites, not access to food was reported (in Kano, Katsina, Nasarawa and Plateau). When observing Benue state, the number of sites reporting no food accessibility is greater than in Round 2 (44% compared to 37%). This corresponds to 11 sites, up from seven in Round 2. This is due to new sites being surveyed in the current round. The availability of food is greater in Kaduna and in Nasarawa than in Round 2.
Means of obtaining food
The most common means to obtain food by IDPs in camps and camp-like settings is with cash/personal money (79% of sites). In total 100 per cent of sites in Kano, 96 per cent of sites in Benue, 90 per cent in Sokoto, and 67 per cent in Plateau cite this option. The most significant change from Round 2 is in Benue, where 58 per cent of sites used cash and 26 per cent relied on distribution. In Round 3, no sites in Benue relied on distribution anymore. In Zamfara, 50 per cent of the sites (or one large IDP camp) relies on distribution whereas this had been reported as cash in Round 2. In Nasarawa, most sites report that they rely on cultivation to obtain their food (67%, up from 57% in Round 2). Katsina is the only state that relies on host community donations, with 50 per cent of sites reporting this option.
Figure 34: Means of obtaining food in camps/camp-like settings
Frequency of food distribution
Across all states, overall fewer sites report irregular food distributions (52% compared with 56% in Round 2). However, there is an increase in the number of sites that have never received food distributions, from 31 per cent in Round 2 to 36 per cent now. This change is likely due to increased coverage between rounds. Only four states report camps or camp-like sites where food distribution has occurred at least once a month. Fifty per cent of sites in Zamfara report food distribution once a month (though this is not the larger camp which reports only receiving food aid irregularly). In Katsina, 50 per cent of sites receive food once and two times a week, respectively. Four per cent of sites in Benue and 17 per cent in Plateau receive food two times a week (this corresponds to one larger camp in Benue, and one small camp in Plateau).
Figure 35: Frequency of food or cash distribution in camps/camp-like settings
Nutrition
Screening for malnutrition and supplementary feeding programmes for children, lactating mothers and the elderly were present in only 7 per cent of few camps and camp-like settings. Malnutrition screenings were conducted in Benue state (8% of sites in the state) and in Zamfara (in both sites in the state). The only state in which supplementary feeding programs for lactating mothers were present is Zamfara, in the larger of the two camps (i.e., no change from Round 2 data collection).
Host communities
Access to food
Displaced households living within host communities have access to food in 34 per cent of sites, including 22 per cent on site (an increase of 5% since Round 2) and 12 per cent off site (1% more than in Round 2). Whilst the trend is still broadly similar to the previous round, and the majority of host communities do not have access to food (66%), there were some noticeable changes. In Katsina 7 per cent of sites have not received food (compared with 25% in Round 2), in Plateau 10 per cent fewer sites have no access to food than in Round 2, with the same trend occurring in Sokoto (an 8% reduction). Also, access to food on site increased in Benue from 15 per cent to 24 per cent.
Figure 36: Access to food in host communities
Means of obtaining food
In Round 3, 50 per cent of site report the use of cultivation as the main method of obtaining food, and 46 per cent cite using cash/personal money. This is the reverse of the information gathered in Round 2, where 50 per cent of sites reported using cash and 44 per cent cultivation to obtain food. The most significant changes between round have been in Benue (currently 58% of sites use cash compared with 41% in the previous round), whereas most other states report an increase in the amount of
cultivation (apart from Sokoto with no change and Plateau with a slight decrease to 64%). The most significant increases in the use of cultivation were in Katsina (42% up from 25% in Round 2), and Kaduna (48%, up from 36%).
In total, 4 per cent of sites rely on host communities for their food (the largest proportions of such sites being found in Sokoto with 20%, and Katsina with 14%), and none of the sites rely on food distribution. In Zamfara, there is an increasing number of sites relying on host communities for obtaining their food (8% of sites, up from 3%).
| | Cash (personal money) | Cultivated | Distribution | Host community donation |
|----------------|-----------------------|------------|--------------|-------------------------|
| Grand Total | 48% | 50% | 4% |
| ZAMFARA | 87% | 5% | 8% |
| SOKOTO | 76% | 4% | 20% |
| PLATEAU | 36% | 64% | |
| NASARAWA | 18% | 84% | |
| KATSINA | 43% | 42% | 15% |
| KANO | 61% | | 38% |
| KADUNA | 49% | 49% | 2% |
| BENUE | 58% | 38% | 1% |
Figure 37: Means of obtaining food in host communities
**Frequency of food distribution**
In the majority of host communities (66%), there is no food distribution. The situation continues to be particularly acute in Nasarawa (with 93% of sites not reporting any distributions, though this is an improvement from Round 2 where no sites in Nasarawa received food). The results were broadly similar to Round 2, with distribution in Zamfara never occurring in 84 per cent of sites, and irregularly in 16 per cent. In Benue, 70 per cent of sites have never received food distribution and 30 per cent receive it only irregularly. Only in Katsina is there regular food distribution, with 26 per cent of host community locations reporting that that receive food once a week, and 9 per cent receiving two times a week (though 51% of sites still only have irregular distributions).
**Nutrition**
Just like in camps and camp-like settings, very few host community locations have programmes for screening malnutrition (less than 1% of sites report the presence of such programs). Similarly, only 2 per cent of sites have supplementary feeding programs for lactating mothers (only sites in Nasarawa have this provision, in 9% of the total sites in state).
### 3E: HEALTH
#### Camps and camp-like settings
**Most common health problem**
The most common health problem faced by displaced populations living in camps and camp-like settings is malaria (77% of camps, a 2% decrease from Round 2). In all camps in Kaduna, Kano, and Zamfara, malaria is the main health problem. This is broadly in-line with Round 2, apart from one camp in Sokoto that now cites fever as the main health problem, and one camp in Plateau that now cites coughing. While diarrhoea was the main health problem in 14 per cent of sites in Nasarawa and 5 per cent of sites in Benue during Round 2, currently only camps or camp like sites were reporting this ailment in Benue (though with an increased frequency, now 12% of sites).
**Location of health facility**
In Round 3, the nearest health care facility is off-site and within three kilometres of the camp in 45% of sites (up from 43% in Round 2). This is mainly due to an increase in the number of sites in Benue where the health facility is off-site and more than three kilometres away, from 26 per cent in Round 2 to 36 per cent in Round 3.
The only sites where health facilities were more than three kilometres away were found in Benue (36% off-site, 4% on-site) and Sokoto (10% off-site and 20% on-site e). However, there were no mobile clinics reported in Round 3, and currently four sites in Benue (16% of the state total) say there is no access to health facilities.
**Primary health provider**
The main health provider in camps and camp-like settings is the government (in 59% of camps), followed by INGOs (17%), NGOs (9%) and local clinics (6%). In 9 per cent of sites there is no primary health care provider, representing five sites in Benue state only.
| | Government | INGO | Local clinic | NGO | None |
|----------------|------------|------|--------------|-----|------|
| Grand Total | 59% | | | | 9% |
| ZAMFARA | 50% | | | | 50% |
| Sokoto | | | | | 100% |
| Plateau | | | | | 83% |
| Nasarawa | | | | | 67% |
| Katsina | | | | | 75% |
| Kano | | | | | 100% |
| Kaduna | | | | | 100% |
| Benue | 28% | 36% | 8% | 8% | 20% |
Figure 41: Main health providers in camps/camp-like settings
**Host communities**
**Most common health problem**
Across all host communities assessed, the main health problem faced by displaced populations is malaria (72% of all sites). Malaria is the primary health concern in all states, and for 100 per cent of sites in Sokoto, as well as 88 per cent of sites in Kaduna, and 79 per cent of sites in both Nasarawa and Zamfara. There is almost no change in the data from Round 2, concerning malaria. Fever is prevalent in 12 per cent of sites (19% of sites in Katsina, 18% in Kaduna and 15% in Zamfara). Diarrhoea is the main health issue for 15 per cent of sites in Benue, and 12 per cent in Plateau. Malnutrition is the main health issue in 5 per cent of sites in Benue, 3 per cent in Katsina, and 3 per cent in Kaduna.
**Location of health facility**
The closest health facility is located within a three-kilometre range in most sites (82%, or 22% of off-site locations and 60% for on-site locations). Overall 8 per cent of sites have health facilities off site and more than three kilometres away, though in Benue and Zamfara have greater proportions of sites reporting this (24% and 17% respectively). Around 7 per cent of sites in Benue report having no health facilities nearby, and 1 per cent of sites in Benue report the use of mobile clinics.
**Primary health provider**
In most host communities (85%, up from 80% in Round 2 and 74% in Round 1), the main health provider is the Government. In Benue state, in Round 2, 56 per cent of sites reported that local clinics were the primary health care provider. This has decreased to 26 per cent in Round 3 – now 60 per cent of sites report that the government fulfils their healthcare needs. In total, 13 per cent of host community locations cite local clinics as the primary healthcare providers, with INGOs and NGOs each serving fewer than 1 per cent of the total sites. However, 10 per cent of sites in Benue report no primary health care provider.
### 3F: EDUCATION
**Camps and camp-like settings**
**Access to education**
Children in displaced households have access to formal or informal education in 75 per cent of camps and camp like sites. This is similar to the data in Round 2. However, in 100 per cent of sites in Kaduna there is no access to education, as for 50 per cent in Zamfara, 40 per cent of sites in Benue and 20 per cent in Sokoto. The decrease in education access in Benue is particularly significant, down from 84 per cent in Round 2 to 60 per cent currently. Access to education also decreased in Zamfara, now with the large camp no longer reporting access to education unlike in Round 2.
Location of education facilities
Most education facilities were off-site (50% of camps and camp-like settings). In Kano and Zamfara states, schools were off-site in every camp (100%) within the states. Facilities were on-site in the majority of camps in Sokoto (60%), Nasarawa (50%), Plateau and Katsina (50%, respectively) and Benue (48%). In 8 per cent of sites in Benue there were no education facilities, and there were no education facilities in any sites in Kaduna.
School attendance
The percentage of sites in North West and North Central Zones where no children attend school has increased to 27 per cent (from 12% in Round 2). This increase is explained by the decrease in school attendance for sites in Benue, no attendance in Kaduna and the lack of attendance in the large camp in Zamfara state.
Across all the states, in 28 per cent of camps around 25 per cent of children attend school. In 30 per cent of camps around half of the children attend school, and in 13 per cent of camps around three quarters of children attend school. Only in 8 per cent of sites (2 camps) in Benue do more than 75 per cent of children attend school.
The largest change from Round 2 is in the number of sites where around three quarters of children attend school, falling from 21 per cent of sites to 13 per cent in Round 3. There has also been a 7 per cent drop in the number of sites where around a quarter of children attend school between rounds.
Reasons for not attending school
Fees and costs continue to be the most significant barrier preventing children from accessing education, with 63 per cent of camp and camp-like sites reporting this (down from 75% in Round 2). Lack of teachers was cited as the reason in 13 per cent of sites and schools being occupied was the next key reason for not attending school, cited in 11 per cent of sites. Distance to schools is a barrier in 4 per cent of sites, including one in Benue, and the large camp in Zamfara.
Host communities
Access to education
Displaced children have access to education (formal or informal) in the majority (96%) of host community sites. While IDPs have access to education in the vast majority of sites in all states, this share is slightly lower in Benue (where 82% of sites offered education access to IDPs).
Location of education facilities
Unlike in camps and camp-like settings, education facilities in host communities were generally on-site (75% of sites). Only in Sokoto were the majority (88%) of education facilities located off site. Notably, 42 per cent of sites in Benue report that their education facilities were off-site. In Benue, in 3 per cent of sites there were no accessible education facilities.
### 3G: PROTECTION
#### Camps and camp-like settings
Security is provided in most (82%) camps or camp-like settings. Security is guaranteed in every camp of Kaduna, Katsina, Nasarawa and Zamfara states. Security had been provided in 100 per cent of camps in Sokoto in the previous round, though currently it is only in 90 per cent of sites.
| State | On-site | Off-site | None |
|-----------|---------|----------|------|
| Grand Total | 18% | 82% | 0% |
| ZAMFARA | | | |
| SOKOTO | 10% | | 90% |
| PLATEAU | 17% | | 83% |
| NASARAWA | | | |
| KATSINA | | | |
| KANO | 16% | | 84% |
| KADUNA | | | |
| BENUE | 28% | | 72% |
Figure 51: Security provided in camps/camp-like settings
In 32 per cent of sites, security is self-organised, a 5 per cent decrease from Round 2. Community leaders organise security in 23 per cent of sites and police in 20 per cent. In 18 per cent of sites there is no one organising security.
| Provider | Percentage |
|------------------------|------------|
| Military | 4% |
| Local Authorities | 4% |
| None | 18% |
| Police | 20% |
| Community Leaders | 23% |
| Self organized | 32% |
Figure 52: Main security providers in camps/camp-like settings
#### Host communities
Security is present in 90 per cent of host community sites (similar to Round 2). Kano state has the most sites without security (38% of the state total), while Sokoto has experienced the largest security improvement between rounds (from 32% of sites without security down to 8%).
| State | On-site | Off-site | None |
|-----------|---------|----------|------|
| BENUE | 6.19% | 12.18% | 81.63% |
| KADUNA | 87.82% | | |
| KANO | 61.57% | | |
| KATSINA | 57.83% | | |
| NASARAWA | 33.49% | | |
| PLATEAU | 96.55% | | |
| SOKOTO | 82.87% | | |
| ZAMFARA | 86.73% | | |
| Grand Total | 88.61% | | |
Figure 53: Security provided in host communities
### School attendance
Several changes have occurred between Rounds 2 and 3, in respect to levels of school attendance in host community settings. While 4 per cent of all sites report no school attendance, two states were notable for the trends they represent. In Benue, currently 18 per cent of sites have no attendance (a 10% increase from Round 2), and in Sokoto the number of sites without attendance has decreased to 4 per cent (from 16%).
Overall the results were similar to Round 2. In 28 per cent of host community sites around a quarter of children attend school. In 36 per cent of sites around half of all kids attend school, and in 28 per cent of sites around three quarters of children attending school in 9 per cent of sites more than three quarters of children attend school.
Attendance is lowest, i.e. were fewer than half and fewer than one quarter of children attend school (but not including sites with zero school attendance), in Sokoto (92% of sites, a 13% increase from Round 2), Zamfara (80%, a 5% increase) and Benue (73%). The states with the highest levels of attendance, i.e. where around three quarters or more children were attending school, were Plateau (61% of sites, a 7% increase from Round 2), Nasarawa (56%) and Kano (45%, a 9% decrease from Round 2).
| State | <25% | 25%-49% | 50%-74% | >75% | None |
|-----------|------|---------|---------|------|------|
| BENUE | 41.54% | 23.84% | 9.15% | 4.78% | 18.46% |
| KADUNA | 23.84% | 18.18% | 10.99% | 7.61% | 3.08% |
| KANO | 9.15% | 4.78% | 12.42% | 5.64% | 1.34% |
| KATSINA | 4.78% | 12.42% | 4.78% | 4.78% | 4.78% |
| NASARAWA | 12.42% | 4.78% | 36.52% | 50.43%| 0.00% |
| PLATEAU | 4.78% | 12.42% | 4.78% | 4.78% | 81.31% |
| SOKOTO | 12.42% | 4.78% | 12.42% | 10.99%| 14.08% |
| ZAMFARA | 4.78% | 4.78% | 4.78% | 4.78% | 87.31% |
| Grand Total | 22.83% | 22.83% | 22.83% | 22.83%| 22.83% |
Figure 50: Percentage of children attending school in host communities
### Reasons for not attending school
As for camps and camp-like settings, the main obstacle to school attendance in host communities is the high fees and costs (mentioned in 82% of sites). Other reasons for which IDP children were not going to school is the lack of school supplies (6% of sites – down from 21% – and 12% of sites in Zamfara), the fear of violence (3% of sites), the lack of teachers (3% of sites) and the fact that children had to work in the fields (2% of sites).
Community leaders were the most common providers of security in host communities (32% - up from 26% in Round 2). This is followed by police at 22 per cent (down from 24%), and local authorities in 20 per cent of sites. Security is self-organised in 13 per cent of sites. Furthermore, in Round 2, 32 per cent of sites in Sokoto had no security provider. In Round 3 this proportion is now 8 per cent, and 40 per cent of sites have security organised by community leaders (from none in Round 2).
**Figure 54: Main security providers in host communities**
### Access to a functional radio
Access to a functional radio has decreased between Rounds 2 and 3. There were no sites where almost all households have access to the radio (previously 14% of sites in Nasarawa had access). Across all states, there were now more sites without any radios (29%, up from 21% in Round 2). Such decreases in capacity to receive radio communications were most prevalent in Benue and Sokoto. In Kaduna there is no site with access to functional radios to households. In Nasarawa, all sites have some degree of access to functional radios, reflecting the fact that 100 per cent of sites in the state say that they receive their key information from radio broadcasts.
**Figure 57: Percentage of IDPs with access to functional radio in camps/camp-like settings**
### Primary concerns
The primary concerns and main subjects on which IDPs desire information in camps and camp-like settings were on the situation in their areas of origin (in 34% of sites), and on access to humanitarian aid and services (in 29% of sites).
**Figure 58: Most important topic for IDPs in camps/camp-like settings**
The desire of information on the situation in their place of origin is most prevalent in Nasarawa (in 67% of sites in the states),
Kano (50%), and Sokoto (50%). In Zamfara, the large camp reports that IDPs were primarily concerned with information pertaining to distribution. Safety and security were the main topics of interest in 17 per cent of sites (including all sites in Kaduna and 40% of sites in Sokoto).
**Expression of needs**
The majority of camps (89%), including every camp in Benue, Kano, Nasarawa and Sokoto states, IDPs may express their needs through direct conversation. They were able to express their concerns through a third-party in 14 per cent of camps. While in half of sites in Kano and 29 per cent of camps in Nasarawa, displaced populations expressed their needs in writing in Round 2, no sites in North West and North Central zones report this method being used in Round 3.
**Host communities**
**Most trusted source of information**
In host community sites, local leaders were regarded as the most trusted information source in 60 per cent of all sites. Friends and neighbours were the most trusted source in 25 per cent of sites, followed by religious leaders in 7 per cent of sites. Several sites in Nasarawa (6% of the state total) and Zamfara (9%) report that the government is their main source of information – no other states reported this.
**Preferred means of communication**
The preferred means of communication for IDPs living in host communities is the radio, with 55 per cent of all sites reporting this option. The use of radios is particularly prevalent in Kano (in 85% of sites in the state), Zamfara (85%) and Nasarawa (73%). However, radios were only used in 10 per cent of sites in Benue to receive information. The second most common method of communicating information is through word of mouth, cited in 27 per cent of host community locations (including 52% of sites in Benue and 52% of sites in Plateau). This use of telephones is still common in Sokoto, with 48 per cent of sites using them for their information needs, though this is lower than in Round 2 (79%). Community meetings were commonly used in Benue (22% of sites in the state), Nasarawa (18%) and Plateau (16%).
**Access to a functional radio**
Overall access to functional radios in host communities has decreased since Round 2, though this is mainly due to the addition of Kaduna into Round 3 data collection (where 17% of sites have no access). Households in host communities in Nasarawa have the highest rate of access to radios (where almost all households in 15% of sites has access). In total, 69 per cent of sites report that a few households have access to radios and 20 per cent of sites that most have access.
**Primary concerns**
The main topics on which IDPs in host communities desire more information were comparatively more evenly distributed than for IDPs in camps and camp-like settings. In total, 21 per cent of sites desire information on access to services and humanitarian aid, with a further 20 per cent of sites desired information pertaining to other relief efforts. A further 17 per cent sites desire information concerning distributions of food, 15 per cent on the situation in their areas of origins, and 13 per cent on safety and security matters. The key outlying data points were as follows: access to services in Benue (38% of sites reporting this in the state, compared to an overall average of 21%), other relief assistance in Kaduna (60% compared to overall average of 22%), safety and security in both Kaduna and Sokoto (30% and 32% respectively), and information on the situation in the places of origin in Kano and Sokoto (25% and 44% respectively, compared with 15% regional average).
4. CONCLUSION AND RECOMMENDATIONS
The North Central and North West geopolitical zones of Nigeria have been the witness, since 2013, of a humanitarian crisis that has displaced large populations. This report presented an overview of the displacement and living conditions of displaced populations in the eight affected states (Benue, Nasarawa, Plateau, Kaduna, Kano, Sokoto, Katsina and Zamfara). Displacements were primarily the result of community-based conflicts between herders and farmers, communal clashes, as well as violent criminal acts and banditry. Indeed, the majority of IDPs (56%) indicated having been displaced by communal clashes, with the second-most likely factor of displacement being kidnappings and banditry (28%). In addition, 6 per cent of IDPs were displaced as a result of the insurgency by Non-State Armed Groups (NSAG) currently affecting North East Nigeria.
Assessments conducted by DTM between 9th and 23rd December 2019 identified 578,119 IDPs (94,893 households) across the eight states covered. This represents a 7 per cent increase in the number of displaced individuals identified in Round 3 (540,049) that was published in October 2019. The most affected states were Benue (which hosts 180,258 IDPs, or 31% of IDPs), Plateau (103,111 IDPs, or 18% of total IDPs) and Kaduna (71,226 individuals, or 12% of total IDPs).
The majority (54%) of displaced individuals were female, while 46 per cent were male. Most IDPs (56%) were children, half of which (27%) were children under five years old. Displaced households were, on average, composed of five members.
The overwhelming majority of IDPs (83%) lived in host communities, while 17 per cent lived in displacement camps. This represents a significant shift from Round 1, when IDPs lived equally in camps and host communities. The most urgent needs of IDPs across all sites assessed were food (40% of sites), shelter (27%) and Non-Food Items (25%).
Multisectoral assessments were conducted in 1,278 sites across the eight states covered in DTM assessments. The sites include 1,222 host communities and 56 camps or camp-like settings. The situation and access to services of displaced populations witnessed notable, and varying, changes between Rounds 1, 2 and 3 of assessments. Whereas access to education of IDP children, availability of water and access to health care progressed between Round 2 and 3, access to food decreased and shelter needs increased over that period.
Changes were also observed in the livelihoods of IDPs, types of NFI and shelter material needed, means of communication, and actors responsible for safety and security. Notably, needs and conditions varied between states. In Nasarawa, Zamfara and Kano, for instance, displaced populations lived in relatively poorer conditions and had greater needs. By contrast, the situation in Kaduna and Sokoto was better than in other states across almost all sectors.
The trends and changes observed reflect the current situation found in camps and host community sites across the states affected by the crisis in North West and North Central zones.
Expression of needs
IDPs express their needs through direct conversation in around three-quarters of host community sites (79%). However, in the majority of sites in Kaduna (70%), displaced persons express their concerns through a third-party (this is the case for 21% of sites overall). Less than 1 per cent of the IDP communities expressed their needs in writing.
The depiction and use of boundaries, geographic names, and related data shown on maps and included in this report are not warranted to be error free nor do they imply judgment on the legal status of any territory, or any endorsement or acceptance of such boundaries by IOM.
Contacts:
NEMA: Alhassan Nuhu, Director, Disaster Risk Reduction,
firstname.lastname@example.org
+234 8035925885
IOM: Henry Kwenin, DTM Project Officer,
email@example.com
+234 9038852524
http://nigeria.iom.int/dtm
https://displacement.iom.int/nigeria |
TRUST DEED
THIS DEED OF TRUST made and executed on this 3rd day of February 2014 By
1. S. SRINIVASAN, son of Mr. U. Subbaiyan, aged about 34 years, residing at Old No 68 A./Nee No 5/110 Kalathur & (P.O), Pattukkottai (TK), Thanjavur – 614804 (Passport No G9504377) Herein after referred to and called as AUTHOR/FOUNDER OF THE TRUST, which expression will unless repugnant to the context or meaning thereof to be deemed to include their respective heirs, executors, administrators of the FIRST PART.
WHEREAS, the Author of the Trust out of charitable consideration and desire of creating a public, religious, charitable and educational trust to carry out religious, charitable, cultural and educational purpose more fully set out in the following clauses:
WHEREAS, in pursuance of the above desire, the Author have donated a sum of Rs. 1001/- (Rupees One Thousand and one only).
WHEREAS, the Board of Trustees have agreed to accept the same for its purposes in the manner hereinafter appearing.
NOW THIS DEED OF TRUST WITNESSETH AS FOLLOWS:
1. NAME. The Trust shall be called “SUBBAIYAN SAVITHRI EDUCATIONAL AND CHARITABLE” Trust.
II. REGISTERED OFFICE . The Registered Office of the Trust shall be at Old No 68 A,/Nee No 5/110 Kalathur & ( P.O ), Pattukkottai (TK), Thanjavur – 614804. INDIA.
III. OBJECTS . To establish, undertake, Superintendent, administer and contribute to any Charitable fund which may seem created directly or indirectly to promote any of the purposes of the Foundation
IV. FIRST TRUSTEES :
i ) Mr.U.Subbaiyan, S/o Sri.Udayappa Thevar aged about 61 Years
ii) Mrs.S.Janani , W/o MrS..Srinivasan aged about 30 Years
All are residing at Old No 68 A,/Nee No 5/110 Kalathur & ( P.O ), Pattukkottai (TK), Thanjavur – 614804.
2. To act as Trust through its own Trustees, under trustees, incidental to and consistent with the purposes of the Trust and to receive, hold administer, expand funds, develop property and support missionaries in all states of India.
3. To establish Educational Institutions, Old age home, Educational centres, Orphanages, Hostel, Public health and Medical centres, Training centres.
4. To render services for the blind, deaf, unemployed girls, women and boys, widows, physically, mentally and socially handicapped, poor and chronic disease patients and also to care for the orphans and to be involved in famine, flood and riots relief programme irrespective of caste; creed, colour or religion.
5. To Co-operate, promote and render assistance to organizations, institutions for a better and mutual comprehension and help them in our/their growth and stability.
6. To open branch/es, Educational institutions, Medical care and health
II. REGISTERED OFFICE . The Registered Office of the Trust shall be at Old No 68 A,/Nee No 5/110 Kalathur & ( P.O ), Pattukkottai (TK), Thanjavur – 614804. INDIA.
III. OBJECTS . To establish, undertake, Superintendent, administer and contribute to any Charitable fund which may seem created directly or indirectly to promote any of the purposes of the Foundation
IV. FIRST TRUSTEES :
i ) Mr.U.Subbaiyan, S/o Sri.Udayappa Thevar aged about 61 Years
ii) Mrs.S.Janani , W/o MrS..Srinivasan aged about 30 Years
All are residing at Old No 68 A,/Nee No 5/110 Kalathur & ( P.O ), Pattukkottai (TK), Thanjavur – 614804.
2. To act as Trust through its own Trustees, under trustees, incidental to and consistent with the purposes of the Trust and to receive, hold administer, expand funds, develop property and support missionaries in all states of India.
3. To establish Educational Institutions, Old age home, Educational centres, Orphanages, Hostel, Public health and Medical centres, Training centres.
4. To render services for the blind, deaf, unemployed girls, women and boys, widows, physically, mentally and socially handicapped, poor and chronic disease patients and also to care for the orphans and to be involved in famine, flood and riots relief programme irrespective of caste; creed, colour or religion.
5. To Co-operate, promote and render assistance to organizations, institutions for a better and mutual comprehension and help them in our/their growth and stability.
6. To open branch/es, Educational institutions, Medical care and health
centres, religious training centres, etc.
7. To improve the living standard of the Poor, down trodden, under privileged people in Urban, slums and rural areas.
8. To help unorganized, unprivileged, construction, hotel, temporary workers and their families.
9. To conduct social, educational, cultural and community development & religious programmes, such as lectures, demonstrations, seminars, worships, conferences and other effective means & media.
10. To spread the Trust activities by means of literature, by printing, publishing, circulating, TV or radio messages, distributing them to the needy.
PROVIDED: that the application of the foundation funds and assets shall be done without distinction of nationality, Religion, caste, class, creed or sex.
IV. FOUNDING TRUSTEES: The Authors of the foundation are the founder trustees who shall hold the office of the trust for life unless they resign their trusteeship and inform the other trustees in writing removed for indulging in anti-activities of the Trust.
V. BOARD OF TRUSTEES: Foundation shall be governed by the Board of Trustees consisting of not less than 2 (Two) but not more than 10 (Ten) members.
VI. CO-OPTION: The Authors of the Foundation may co-opt additional members to an extent of maximum five whose period of office shall be not less than two years.
VII. CONSTITUTIONS OF THE BOARD:
(i) The Board of Trustees shall elect among themselves
a. President, secretary, treasurer, who shall hold the office for a period of two years or until such time the new officer bearers of the Board are elected.
(ii) The president shall be entitled to preside over the meetings if the Board of trustees.
(iii) In the absence of the President the trustees present may elect among themselves a Trustee to chair the meeting.
VIII. POWERS OF THE OFFICE BEARERS OF TRUST:
1. PRESIDENT:
(a) The President of the Trust shall preside over all the meetings of the General Bodies of Trustees.
(b) The President shall direct the other officers to execute the resolution of the trust.
2. SECRETARY:
(a) The Secretary is the person to execute the decisions of the Trust.
(b) The Secretary to maintain correspondence with members as well as with other trustees or with the Government or any other body, on behalf of the Trust.
(c) The Secretary in consultation with the President shall convene the meeting of the Trust.
(d) The Secretary is to prepare and submit that annual report of the trust and also maintain correspondence.
(e) Secretary is the officer of the Trust who will keep records of the trust and also maintain correspondence.
(f) The membership list of the trust up to date shall be maintained by the Secretary.
(g) Recording the minutes of the trustees as well as the executive/Sub-committee meetings.
3. TREASURER:
(a) Treasurer is the person who is incharge of the funds of the trust and only the treasurer shall operate the Bank accounts along with the secretary or President in the respect of the funds of the Trust.
(b) The Treasurer is the person authorized to receive and also make payments as per the rules and regulations of the Trust and according to the directive of the Trustees.
(c) The Treasurer has to prepare the statement of accounts and get it audited by the person authorized by the trustees and submit annually to the Board of Trustees for approval.
(d) Treasurer shall receive donations, any other amount on behalf of the trust and issue receipts and make payments.
IX. FUNDS OF THE FOUNDATION:
The funds of the foundation shall comprise:
(a) Donation received from Philanthropists.
(b) Endowments if favour of Foundation.
(c) Grants from Central and State Government, Corporations and other Statutory bodies and Institutions.
(d) Income from properties of the Trust.
(e) Donations received from general public and Institutions.
(f) Any other income which may accrue in the working of any other institution controlled by the Trust.
(g) Donations/Gifts received from individuals, Institutions and foundations.
X. (1) THE TRUSTEES SHALL HAVE POWERS TO FRAME RULES FROM TIME TO TIME
a. For the conduct of their own meetings and business.
b. For facilitating and carrying out of the objects of the Trust.
c. To appoint sub-committees, advisory or Governing Bodies for all or any one of its managing institutions and they may delegate their powers to such bodies or others or to some of their members on such terms and conditions as they deem fit.
d. To employ the necessary staff, take disciplinary actions, to terminate their services, regulate their service conditions etc.
XI. (2) THE TRUSTEES MAY AND ARE HEREBY EMPOWERED TO –
a. Obtain and secure in the name of the Trust any moveable/immoveable properties by Purchase, Gift, lease or grant and to own and possess the same to sell. Mortgage, or lease out the same, provided in case of purchase or sale of properties the consent of majority of the trustees has been obtained.
b. Open any current or other account/s with any Nationalised Bank/s and arrange for operation thereon by President along with any one of the Trustees for the time being.
c. Raise any funds by issue of Debentures, share certificates or otherwise on such security of such properties which the Trust may acquire and make the provision and arrange for the payment of the same including the interest thereon, provided however, that the Trustees shall not in any way be personally liable for any such debts.
d. Construct any building, church, orphanage and improve, alter or repair any building which may be acquired in the name of the Trust.
e. Raise funds and receive donations if necessary for carrying out the progress and objects of the Foundation.
f. Incur necessary expenses for carrying out the aims and objects of the Foundation.
XII. ACCOUNTS AND MINUTES:
The Trustees shall maintain true and correct accounts of all receipts and payments and dealings in regard to the foundation’s property and shall also maintain the correct record of their meetings and deliberations. Accounts shall be audited every year by a qualified accountant appointed by the Board of trustees. The accounting year shall be from 1st April to 31st March of every succeeding year.
XII (a) TRUST FUNDS:
The funds and the income of the trust shall be solely utilized for the achievement of the objectives of the trust and no portions shall be utilized for payment to the trustees members by way of profit, interest, dividends etc.
XII (b) INVESTMENT CLAUSE
The funds of the trust shall be invested in the modes specified under the provisions of the section 13(1) (d) read with section 11 (5) of the Income of any of the Trustees, Tax Act 1961 as amended from time to time.
XIII. THE TRUST IS IRREVOCABLE.
XIV. In case of death or retirement or resignation or termination of any one of the Trustees, the other trustees may co-opt the vacancy so caused.
XV. The activities of the Trust will be only within India.
DISSOLUTION: In the event of dissolution or winding up of the trust the assets remaining as on the date of dissolution shall under no circumstances be distributed among the trustees but the same shall be transferred to another charitable, religious, trust, society, association or institution whose objects and faiths are similar to those of
the trust and which enjoys recognition u/s 80 G of the Income Tax Act 1961 as amended from time to time.
XVI. NOTICE OF MEETING: A clear notice of 5 days shall be given for Board of Trustees unless it is an emergent meeting. Emergent meeting of the Trust shall be held with a notice of 24 hours.
XVII. (A) PROCEEDINGS OF MEETING
No business shall be transacted at the ordinary meeting of the Board of Trustees other than those detailed in the Agenda except with permission of Chairman of the meeting.
XVIII. QUORUM: Three Trustees shall be deemed to be the quorum for a meeting of Trustees. If required quorum is not present, the meeting shall stand adjourned to the same day, hour and place of the next week to discuss the same agenda and the members present may transact the business for which the meeting is called for. In such adjourned meeting, no quorum is required and no new subject shall be considered.
XIX. INDEMNITY: The Trustees shall be kept fully indemnified and harmless by the Foundation against any loss suffered or liability arising against them for anything done by them in good faith pursuant to the power and authority conferred on them by this Deed.
XX. CONSENT OF TRUSTEES: The parties hereto declare that they have consented to act as trustees in the manner herein before stated and affixed their signature to this Deed.
XXI. AMENDMENT: No amendment to the trust Deed/Memorandum of association/byelaws/rules & regulations shall be made which may prove to be repugnant to the provisions of sections 2(15), 11, 12 & 80 G of the Income Tax Act 1961 as amended from time to time.
FURTHER NO AMENDMENT SHALL BE CARRIED OUT WITHOUT THE PRIOR APPROVAL OF THE COMMISSIONER OF INCOME TAX.
Witness:
1. S. Sarminathan S/o T.P. Sundarraj
Presented in the Office of SUB REGISTRAR of Guindy and fee of Rs. 110 paid between hours of 2 and 3 on 03/02/2014 by
Execution Admitted by
Identified by
Registered as No 2 of 2014 of Book IV
Date: 03/02/2014
SUB REGISTRAR
3rd day of February 2014
SUB REGISTRAR
Sheet no. 1 of 1
PROCEEDINGS OF THE COMMISSIONER OF INCOMETAX (EXEMPTIONS),
III FLOOR, ANNEXE BLDG, NO.121, MAHATMA GANDHI SALAI, CHENNAI-34
Present : R.S.V.S.PAVAN KUMAR, I.R.S
Commissioner of Income Tax (Exemptions)
** URNo. AAQTS0144P/05/15-16/T-1120
Dated: 24/03/2016
Sub: Registration u/s. 12AA of the Income tax Act 1961 - in the case of
“SUBBAIYAN SAVITHRI EDUCATIONAL AND CHARITABLE TRUST”
OLD NO.68, NEW NO.5/110, KALATHUR (PO), PATTUKKOTTAI (TK),
THANJAVUR – 641 804.
Ref: Application in form 10 A filed on 30/12/2015.
ORDER UNDER SECTION 12AA OF THE INCOME TAX ACT 1961.
1. The above Trust/Society/Association/ Company/ others/, bearing PAN AAQTS0144P was constituted by Trust Deed / Memorandum of Association dated 03/02/2014 registered with Sub-Registrar’s Office / Registrar of Societies/ Registrar of Companies/others on 03/02/2014.
2. The Trust Deed / Memorandum of Association has subsequently been amended / modified / altered by a Codicil / Supplementary Deed / Amendment Deed / Alteration to Memorandum of Association/others dated 03/02/2015, 12/02/2015, 17/11/2015 & 23/02/2016 duly registered on 03/02/2015, 12/02/2015, 17/11/2015 & 23/02/2016.
3. The above TRUST filed an application seeking Registration u/s 12 AA of the Income tax Act, 1961.
4. On going through the objects of the TRUST and its proposed activities as enumerated in the Trust Deed / Memorandum of Association, I am satisfied about the genuineness of the TRUST as on date.
5. The application has been entered at Sl.No.1120 maintained in this office. The above Trust is accordingly registered as a PUBLIC CHARITABLE TRUST u/s 12 AA of the Income Tax Act, 1961 with effect from 01/04/2015.
6. It is hereby clarified that the Registration so given to the Trust/Institution is not absolute. Subsequently, if it is found that the activities of the Trust/Institution are not genuine or are not being carried out in accordance with the objects and clauses of the Trust Deed / Memorandum of Association submitted at the time of registration or modified with the approval of the Commissioner of Income-tax (Exemptions) or there is a violation of the provisions of Section – 13, the Registration so granted shall be cancelled as provided u/s 12 AA (3) or 12AA(4) of the Income Tax Act.
7. Granting of Registration u/s 12AA does not confer any automatic exemption of income from taxation. The Trust/Institution should conform to the parameters laid down in Sections 11, 12, 13 and 115 BBC of the I.T. Act, 1961, to claim exemption of its income on year to year basis before the Assessing Officer.
8. The Trust/Institution is advised to follow scrupulously the advisory note enclosed.
** This Unique Registration No. URNo. AAQTS0144P/05/15-16/T-1120 Should be mentioned in all your future correspondence.
Sd/-
(R.S.V.S. PAVAN KUMAR, I.R.S)
Commissioner of Income-tax(Exemptions), Chennai.
Copy to:
1. The Assessee.
2. The ITO(Exemptions), Ward Trichy.
3. Office Copy.
//CERTIFIED TRUE COPY//
(PRASHANT BARATE) |
Statistical inference of co-movements of stocks during a financial crisis
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2013 J. Phys.: Conf. Ser. 473 012008
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Statistical inference of co-movements of stocks during a financial crisis
Takero Ibuki†, Shunsuke Higano‡, Sei Suzuki§, Jun-ichi Inoue‡ and Anirban Chakraborti¶
†Data Mining Group, Service & Solution Development Department, Research and Development Center, NTT DOCOMO, INC., 3-6 Hikarino-oka, Yokosuka-shi, Kanagawa 239-8536, Japan
‡ Hokkaido Prefectural Police, N2-W7, Chuo-Ku, Sapporo 060-8520, Japan
§Department of Basic Sciences, Saitama Medical University, 38 Morohongo, Moroyama, Saitama 350-0405, Japan
¶Graduate School of Information Science and Technology, Hokkaido University, N14-W9, Kita-Ku, Sapporo 060-0814, Japan
¶Laboratoire de Mathématiques Appliquées aux Systèmes, École Centrale Paris, 92290 Châtenay-Malabry, France
E-mail: †email@example.com, ‡firstname.lastname@example.org,
‡email@example.com, firstname.lastname@example.org, §email@example.com,
¶firstname.lastname@example.org
Abstract. In order to figure out and to forecast the emergence phenomena of social systems, we propose several probabilistic models for the analysis of financial markets, especially around a crisis. We first attempt to visualize the collective behaviour of markets during a financial crisis through cross-correlations between typical Japanese daily stocks by making use of multi-dimensional scaling. We find that all the two-dimensional points (stocks) shrink into a single small region when a economic crisis takes place. By using the properties of cross-correlations in financial markets especially during a crisis, we next propose a theoretical framework to predict several time-series simultaneously. Our model system is basically described by a variant of the multi-layered Ising model with random fields as non-stationary time series. Hyper-parameters appearing in the probabilistic model are estimated by means of minimizing the ‘cumulative error’ in the past market history. The justification and validity of our approaches are numerically examined for several empirical data sets.
1. Introduction
One of central modern issues in quantitative finance is to determine to what extent the market is ‘efficient’: crudely, whether there is an equal chance that the stock is under or over value at any time point. From the view point of statistics, the market is regarded as efficient when the market price is an unbiased estimate, in other words, when the price can be greater or less than the true value as long as the deviation is completely random.
Recently, as huge high-frequency financial data sets can be stored and analysed, the so-called ‘stylized (empirical) facts’ [1, 2, 3, 4] such as heavy tails of returns, volatility clustering, gain/loss asymmetry etc. have been found, in particular, in the research field of econophysics [5, 6, 7, 8, 9, 10, 11]. At the same time, several empirical facts provide an evidence to show...
that there exist some ‘seasonal effects’ in financial market (the so-called ‘market anomaly’). In fact, it is well-known that buying stocks at the end of year and selling them at the beginning of the next year is sometimes less risky (the so-called *January effects* [12]). Hence, it is now partially accepted that the financial market is ‘weakly’ efficient or it is sometimes inefficient to some extent and in certain time scale.
Actually, there are several evidences to show the market inefficiency during financial crisis. At financial crisis, traders are more likely to behave according to the ‘mood’ (atmosphere) in society (financial market) and they incline to take rather ‘irrational’ strategies in some sense. Thus, this collective behavior might cause some market anomaly.
In the literature of behavioral economics [13], a concept of the so-called *information cascade* (or *Herding effect*) is well-known as a result of such human (traders’) collective behaviour. One of the key measurements to understand such financial cascade is ‘correlation’ between ingredients in the societies. For instance, cross-correlations between stocks, traders are quite important to figure out the human collective phenomena. As the correlation could be found in various scale-lengths, from macroscopic stock price level to microscopic trader’s level, the cascade also might be observed ‘hierarchically’ in such various scales from prices of several stocks to ways (strategies) of trader’s decision making. Actually, we sometimes encounter the problem to find unusual structure in correlated time series observed from multi-dimensional information channels. Such time series obtained from multi-channel measurement have been widely provided in both natural and social sciences. Hence, it is now quite important for us to carry out empirical data analysis extensively to solve various modern and serious problems around us.
After the earthquake on 11th March 2011, Japanese NIKKEI stock market quickly responded to the crisis and quite a lot of traders sold their stocks of companies whose branches or plants are located in that disaster stricken area. As the result, the Nikkei stock average suddenly drops after the crisis [14]. However, it is impossible for us to mention the co-movement of stocks having
**Figure 1.** The prices of several major stocks in food industries (left) and construction industries (right) as a function of time (these are daily data sets). Each number shown at each line caption denotes the ID for each company: (*i.e.* 2501: Sapporo Breweries, 2502: Asahi Breweries, 2503: Kirin Holdings, 2531: Takara Holdings, 2533: Oeon Holdings, 2801: Kikkoman Corporation, 1801: Taisei Corporation, 1802: Obayashi Corporation, 1803: Shimizu Corporation, 1812: Kajima Corporation. These IDs can be checked at the web site [23]) (COLOR ONLINE)
correlation (with the majority bulk component including themselves) or anti-correlation during the crisis. In Figure 1, we plot the prices of several major stocks in food business (left) and construction business (right) as a function of time (these are daily data sets). From this figure, we find that The price of stocks for the same type of business behaves as correlated time series,
whereas for different types of business, say, food industries and construction business, they have apparent any-correlations especially during the crisis.
Hence, it might be quite important for us to make an attempt to bring out more ‘microscopic’ useful information, which is never obtained from the averaged macroscopic quantities such as stock average, about the market. As a candidate of such ‘microscopic information’, we can use the (linear) correlation coefficient based on the two-body interactions between stocks [14, 15, 16, 17, 18, 19, 20, 21]. To make out the mechanism of financial crisis, it might be helpful for us to visualize such correlations in stocks and compare the dynamical behaviour of the correlation before and after crisis.
In this paper, in order to show and explain the hierarchical information cascade, we visualize the correlation of each stock in two-dimension. We specify each location of $K$ stocks from a given set of the $K(K-1)/2$ distances by making use of the so-called multi-dimensional scaling (MDS) [22]. We also propose a theoretical framework to predict several time-series simultaneously by using cross-correlations in financial markets. The justification of this assumption is numerically checked for the empirical Japanese stock data, for instance, those around 11 March 2011, and for foreign currency exchange rates around Greek crisis in spring 2010.
This paper is organized as follows. In section 2, we explain our tools of analysis, namely, the correlation coefficient and multi-dimensional scaling. In section 3, our forecasting model for stock prices is introduced. In section 4, we examine our model for empirical data sets. The last section gives several remarks.
2. Linear correlation coefficient and multi-dimensional scaling
We utilize the linear correlation coefficient to measure the strength of correlation between stocks [15, 16, 17, 18, 19, 20]. The correlation coefficient (Pearson estimator) is calculated as follows.
Let us define $p_t^{(i)} (\geq 0)$ as a price of stock $i$ at time $t$. Then, we evaluate the return of the price $p_t^{(i)}$ in terms of the logarithmic measurement as
$$\Delta r_i(t) \equiv \log p_t^{(i)} - \log p_{t-1}^{(i)}. \quad (1)$$
For the above logarithmically rescaled return, we calculate the moving average over a time window (interval) with width $M$ as
$$\overline{\Delta r_i(t)} \equiv \frac{1}{M} \sum_{l=t-M+1}^{t} \Delta r_i(l) \quad (2)$$
for stock $i$, and we also evaluate the two-body correlation between stocks $i, j$ by the following definition
$$\overline{\Delta r_i(t)\Delta r_j(t)} \equiv \frac{1}{M} \sum_{l=t-M+1}^{t} \Delta r_i(l)\Delta r_j(l). \quad (3)$$
Then, the linear correlation coefficient is given by
$$c_{ij}(t) = \frac{\overline{\Delta r_i(t)\Delta r_j(t)} - (\overline{\Delta r_i(t)})(\overline{\Delta r_j(t)})}{\sqrt{[(\overline{\Delta r_i(t)})^2 - (\overline{\Delta r_i(t)})^2][(\overline{\Delta r_j(t)})^2 - (\overline{\Delta r_j(t)})^2]}}. \quad (4)$$
2.1. Distribution of linear coefficient
As empirical data set, we pick up 200 stocks including the so-called TOPIX (TOKyo stock Price Index) Core30, which consists of typical 30 stock indices being picked up from the view point of ‘current price’ or ‘liquidity’ from the Japanese Nikkei stock market [23]. It should be kept
in mind that the data itself is not provided as ‘tick-by-tick’ intra-day data, the minimal time interval of the data is one day (the closing price is given in the data set).
In order to investigate the statistical properties, we evaluate the distribution of the correlation coefficient $P(c)$ and plot the result in Figure 2. From this figure, we clearly find that the
**Figure 2.** The distribution $P(c)$ of linear correlation coefficients. The result for before crisis (10th, 11th March 2011) and after crisis (14th, 15th March 2011) are shown. It should be noted that 12th and 13th were weekend and the market was closed. We find that a single peak before the crisis splits into the ‘correlated’ (with the majority bulk component including themselves) and ‘anti-correlated’ clusters on 14th. However, the anti-correlated cluster disappears on the next day. (COLOR ONLINE)
distribution is skewed and possesses a single peak at $c > 0$ before the crisis. Namely, most of the 200 stocks are mutually correlated. On the other hand, just after the crisis, say, 14th March 2012, the single peak splits into two components and the bulk in which some pairs of two stocks possess the negative correlation appears. Thus, one can grasp the macroscopic aspect of the collective behaviour of the 200 stocks for both before and after the crisis. However, much more microscopic properties of the 200 stocks are unfortunately hidden behind the distribution $P(c)$.
To reveal such hidden microscopic aspects of the collective behaviour of the 200 stocks, we shall next attempt to visualize the relationship between these stocks by specifying the location of each stock in two-dimensional space.
### 2.2. The multi-dimensional scaling: From correlation to distance
To make a plot of the location of each stock, one needs the information about the Euclidean distance between arbitrary two stocks. As we saw in the previous subsection, the correlation coefficient $c_{ij}(t)$ might possess some useful information about the relationship between arbitrary two stocks $i, j$, however, it should be noticed that the correlation coefficient (4) satisfies $-1 \leq c_{ij}(t) \leq 1$, and apparently it cannot be treated as a ‘distance’. Hence, here we transform the correlation coefficient $c_{ij}(t)$ into the distance $d_{ij}(t)$ between the stocks $i, j$ as
$$d_{ij}(t) = \sqrt{\frac{1 - c_{ij}(t)}{2}}.$$ \hspace{1cm} (5)
We should bear in mind that the above distance satisfies $0 \leq d_{ij}(t) \leq 1$ and defines the metric space in multi-dimension [14].
Obviously, once we obtain the location vectors $\mathbf{X}_i, \mathbf{X}_j$ for the stocks $i, j$, one can easily calculate the distance between them as $\|\mathbf{X}_i - \mathbf{X}_j\|$. However, the inverse process, namely, to specify the location vectors $\mathbf{X}_i, \mathbf{X}_j$ for a given distance $\|\mathbf{X}_i - \mathbf{X}_j\|$ is not so easy when the number of the stocks $N$ increases. To carry out the inverse process systematically, we can use the well-known method named as *multi-dimensional scaling (MDS)* (see e.g. [22]). In following, we explain the procedure.
Let us first specify the location of an arbitrary stock $i$ at time $t$ by means of a $P$-dimensional vector $\mathbf{X}_i^{(t)}$ in the following way (Hereafter, we consider the case of $P = 2$ especially):
$$\mathbf{X}_i(t) \equiv (x_{i1}(t), x_{i2}(t), \cdots, x_{iP}(t)), \ i = 1, \cdots, K.$$
(6)
Naturally, the Euclidean distance between arbitrary two stocks $i, j$ is now given by
$$d_{ij}(t) = \sqrt{\sum_{m=1}^{P} (x_{im}(t) - x_{jm}(t))^2}.$$
(7)
Hence, the inner product of location vectors of stocks $i$ and $j$ is also calculated as
$$2\{\mathbf{X}_i(t) \cdot \mathbf{X}_j(t)\} = 2z_{ij}(t) = \frac{1}{K} \sum_{i=1}^{K} d_{ij}(t)^2 + \frac{1}{K} \sum_{j=1}^{K} d_{ij}(t)^2 - \frac{1}{K^2} \sum_{i,j=1}^{K} d_{ij}(t)^2 - d_{ij}(t)^2$$
(8)
where we should notice that we chose the origin of axis as the ‘center of mass’ $\mathbf{X}_c(t)$ for $K$ stocks points, that is to say,
$$\mathbf{X}_c(t) \equiv \frac{1}{K} \sum_{i=1}^{K} \mathbf{X}_i(t) = \mathbf{0}$$
(9)
to specify an arbitrary stock (vector) at each time $t$. This equation (9) implies that the center of mass is a time-independent vector and it is definitely fixed at the origin for all time $t \geq 0$.
Then, in order to look for the locations $\mathbf{X}_i(t), \ i = 1, \cdots, K$ which generates a set of distances $\{d_{ij}(t)\}$ consistently, we should minimize the following energy function (cost):
$$E_t = \sum_{i,j=1}^{K} \left(z_{ij}(t) - \sum_{m=1}^{P} x_{im}(t)x_{jm}(t)\right)^2$$
(10)
with respect to $\mathbf{X}_i(t), \ i = 1, \cdots, K$.
Thus, our problem to find the best possible locations for stocks is now rewritten in terms of an optimization problem to look for the solution $\mathbf{X}_i(t), \ i = 1, \cdots, K$ that minimizes the energy function $E_t$ at each time step $t$. We plot the result in Figure 3 for the same data set used in the plot of Figure 2. From these panels, we clearly find that after the crisis, the scattered plots actually shrink into a small limited region centered at the origin (the center of mass) as we expected before. Isolated several dots separating from main clusters denote the price of ‘building industry’. These isolated points anti-correlated with the bulk are construction business, such as ID 1934: Yurtec corporation, which is a construction industry in Tohoku area, ID 1826: Sata construction Co. Ltd. Apparently we recognize that the large amount of demand is expected in such industries even after the crisis (mega earthquakes).
Figure 3. The result of the MDS. We pick up 200 stocks including the so-called TOPIX Core30 and the Nikkei stock average as empirical data set. The results on 10th (left) and 14th (right) March 2011 are shown. Different colors indicate different types of business. The numbers accompanying the dots show company IDs. The isolated points anti-correlated with the bulk are construction business, such as 1934: Yurtec Corporation, which is a construction industry in Tohoku area, 1826: Sata Construction Co. Ltd. We set the width of time window to evaluate the correlation coefficient as $M = 7$ (days). (COLOR ONLINE)
3. Prediction by using cross-correlation
It is necessary for us to investigate the human collective behaviour of the social agents such as traders in order to construct persistent systems in earthquake disasters. In financial systems, the price of each commodity as a macroscopic quantity is determined by huge number of trader’s making decisions. To predict the price efficiently, a lot of mathematical tools such as AR model and its extensions called as ARCH model or GARCH model [6], or Kalman filter and its various variants have been proposed. Recently, besides these rather traditional models, several physics inspired models have been also introduced by several authors [24, 25, 26]. However, these models apparently lack the microscopic view point. Namely, in these models, the predicted price is not constructed by the result from microscopic trader’s decision making.
Among these studies of prediction of stock prices, Kaizoji [27] attempted to represent ‘buying’ and ‘selling’ signals posted by traders by ‘Ising spin’. He proposed a model in which the return of the price is determined by the ‘magnetization’ of the Ising system. He carried out computer simulations and concluded that there are interesting relationship between financial phenomena such as ‘bubble’ or ‘crush’ and physically collective phenomena which are referred to as ‘phase transition’ in the Ising magnetic system.
However, those studies seem to be not yet extensive and there exist several open questions to be clarified. For instance, dynamics of macroscopic quantities which might specify the collective behaviour of traders should be revealed more extensively. And as we saw in the previous sections, just after crisis, several stocks are strongly correlated. Hence, we might use the cross-correlation to predict several prices simultaneously by modifying the Kaizoji’s model [27] by means of the cross-correlations. Therefore, from this section, we are focusing on the prediction of prices of several stocks simultaneously by using the cross-correlation in stock markets.
3.1. A link from microscopic making decisions to macroscopic prices
In order to investigate the effect of the cross-correlation on the prediction of several stock-prices, we first explain the model proposed by Kaizoji [27] as a basic model.
Let us define $p_t^{(k)}$ as the price of commodity $k$ at time $t$. Then, the return, which is defined as the difference between prices at successive two time steps $t$ and $t+1$ is given by
$$\Delta p_t^{(k)} \equiv p_{t+1}^{(k)} - p_t^{(k)} = m_t^{(k)}, \ k = 1, \cdots, K.$$
(11)
In order to construct the return $m_t^{(k)}$ from the microscopic view point, we assume that each trader ($i = 1, \cdots, N_k$) possessing the stock $k$ buys or sells $v_{it}^{(k)}$-volumes at each time step $t$. Then, let us call the group of buyers as $\mathcal{A}_+(k, t)$, whereas the group of sellers is referred to as $\mathcal{A}_-(k, t)$. Hence, the total volumes of buying and selling are explicitly given by
$$\psi_+(k, t) \equiv \sum_{i \in \mathcal{A}_+(k, t)} v_{it}^{(k)}, \quad \psi_-(k, t) \equiv \sum_{i \in \mathcal{A}_-(k, t)} v_{it}^{(k)},$$
(12)
respectively. We should keep in mind that the total number of traders dealing with the stock $k$ is conserved, namely, the condition:
$$\mathcal{A}_+(k, t) + \mathcal{A}_-(k, t) = N_k$$
(13)
should be satisfied.
Then, the return $m_t^{(k)}$ is naturally defined by means of (12)
$$m_t = \lambda (\psi_+(k, t) - \psi_-(k, t))$$
(14)
where $\lambda$ is a positive constant. Namely, when the volume of buyers is greater than that of sellers, $\psi_+(k, t) > \psi_-(k, t)$, the return becomes positive $m_t^{(k)} > 0$. As the result, the price of the commodity $k$ should be increased at the next time step as $\Delta p_t^{(k)} = m_t^{(k)}$.
3.1.1. Ising spin representation
The above microscopic observation and the set-up might be naturally accepted, however, here we shall make the situation much more simpler. Namely, we omit the information about the volume by setting $v_{it}^{(k)} = 1$ ($\forall i, t, k$). The making decision of each trader ($i = 1, \cdots, N_k$) is now obtained simply by an Ising spin:
$$S_i^{(k)}(t) = \begin{cases} +1 & \text{(the trader } i \text{ buys the stock } k \text{ at time } t) \\ -1 & \text{(the trader } i \text{ sells the stock } k \text{ at time } t) \end{cases}$$
(15)
The return is also simplified as
$$m_t^{(k)} = \lambda (\psi_+(k, t) - \psi_-(k, t)) = \lambda \sum_{i=1}^{N_k} v_{it}^{(k)} S_i^{(k)}(t)$$
(16)
where we set $\lambda = N_k^{-1}$ to make the return:
$$m_t^{(k)} = \frac{1}{N_k} \sum_{i=1}^{N_k} S_i^{(k)}(t)$$
(17)
satisfying $|m_t^{(k)}| \leq 1$. Thus, $m_t^{k}$ corresponds to the ‘magnetization’ in statistical physics, and the update rule of the price for the stock $k$ is governed in terms of the magnetization $m_t^{(k)}$ as
$$\Delta p_t^{(k)} = m_t^{(k)}, \ k = 1, \cdots, K.$$
(18)
3.2. The energy function
We next introduce the energy function of the system.
\[
E_t(S^{(k)}) = - \frac{J_t^{(k)}}{N_k} \sum_{ij} S_i^{(k)} S_j^{(k)} - h_t^{(k)} \sum_i \sigma_\tau^{(k)}(t) S_i^{(k)} - \gamma_t^{(k)} \sum_i \left( \frac{1}{K} \sum_{\mu \neq k}^K c_{k\mu}(t) m_t^{(\mu)} \right) S_i^{(k)}
\] (19)
where we omitted the time dependence in \(S_i^{(k)}\) for simplicity. The first term in the right hand side of (19) induces human collective behaviour, namely, each agent inclines to take the same decision as the others to decrease the total energy. The effect of this first term on the minimization of total energy might be recognized as the so-called Keynes’s beauty contest. It means that traders tend to make the same decision as the others, in particular, during a crisis. Namely, when a big negative news (mood) such as earthquake in Japan is broadcasted, almost all of the traders might sell their own stocks as the others also sell without any rationality. In other words, the first term causes the human collective behaviour of the traders, which is sometimes referred to as information cascade in the literature of behavioral economics, for \(J_t^{(k)} \geq h_t^{(k)}, \gamma_t\). Actually, we find that the lower bound of the first term in the right hand side of (19) is evaluated as
\[
- \frac{J_t^{(k)}}{N_k} \sum_{ij} S_i^{(k)} S_j^{(k)} \geq - N_k J_t^{(k)}
\] (20)
where the equal sign is satisfied if and only if \(S_i^{(k)} = 1 (\forall i)\) or \(S_i^{(k)} = -1 (\forall i)\) holds.
The second term in (19) represents the cross-correlation between the decisions of traders and market (historical) information. In this paper, we choose the ‘trends’:
\[
\sigma_\tau^{(k)}(t) \equiv \frac{p_t - p_{t-\tau}}{\tau}
\] (21)
for such information. This means that the total energy should decrease when each trader posts the sign \(S_i^{(k)} = \pm 1\) to the market so as to make the product \(\sigma_\tau^{(k)}(t) S_i^{(k)}\) definitely positive. In other words, each trader buys the commodity \(k\) if the price tends to increase over the past \(\tau\)-time steps, whereas the trader sells the stock vice versa. Actually, the second term is definitely minimized as
\[
-h_t^{(k)} \sum_i \sigma_\tau^{(k)}(t) S_i^{(k)} \geq - N_k h_t^{(k)} |\sigma_\tau^{(k)}(t)|
\] (22)
where the equality should be satisfied when \(\text{sgn}[S_i^{(k)}] = \text{sgn}[\sigma_\tau^{(k)}(t)]\) holds.
The third term, which does not appear in the references [27], comes from correlation between the trader \(i\) possessing the commodity \(k\) and a ‘typical trader’ (a mean-field) \(m_t^{(\mu)}\) possessing stocks \(\mu (\neq k)\). A factor \(c_{k\mu}(t)\) appearing in the third term stands for the correlation coefficient and we should remember that it is given by (4) explicitly. Hence, when the stocks \(k\) and \(\mu\) are correlated in terms of the positive coefficient, namely, \(c_{k\mu}(t) > 0\) from time \(t - M + 1\) to time \(t\), the trader possessing the stock \(k\) inclines to take the same decision as the typical trader dealing with the stock \(\mu\), that is, \(m_t^{(\mu)}\).
From the above argument, it might be useful for us to investigate to what extent those traders behave collectively through the values of macroscopic hyper-parameters \(J_t^{(k)}, h_t^{(k)}\) and \(\gamma_t^{(k)}\). Namely, in the realistic stock market, there might exist a possibility that human behaviour turns out to be collective and ‘irrational’ in some sense when these parameters change the values as \(h_t^{(k)}/J_t^{(k)} \to 0, \gamma_t^{(k)}/J_t^{(k)} \to 0\) and \(J_t^{(k)} \to 1\) (a critical point of infinite range ferromagnetic Ising model).
3.3. The Boltzmann-Gibbs distribution
It should be noticed that the state vectors of the agents: \( \mathbf{S}^{(k)} = (S_1, \ldots, S_{N_k}) \), \( k = 1, \ldots, K \) are determined so as to minimize the energy function (19) from the argument in the previous subsection. For most of the cases, the solution should be unique. However, in realistic financial markets, the decisions by agents should be much more ‘diverse’. Thus, here we consider statistical ensemble of traders for each commodity \( \mathbf{S}^{(k)} \) and define the distribution of the ensemble by \( P(\mathbf{S}^{(k)}) \). Then, we shall look for the suitable distribution which maximizes the so-called Shannon’s entropy
\[
H = - \sum_{\mathbf{S}^{(k)}} P(\mathbf{S}^{(k)}) \log P(\mathbf{S}^{(k)})
\]
(23)
under two distinct constraints:
\[
\sum_{\mathbf{S}^{(k)}} P(\mathbf{S}^{(k)}) = 1, \quad \sum_{\mathbf{S}^{(k)}} P(\mathbf{S}^{(k)}) E(\mathbf{S}^{(k)}) = E_k.
\]
(24)
Namely, according to Jaynes [28], we choose the distribution which minimizes the following functional \( f_k\{P(\mathbf{S}^{(k)})\} \):
\[
f_k\{P(\mathbf{S}^{(k)})\} = - \sum_{\mathbf{S}^{(k)}} P(\mathbf{S}^{(k)}) \log P(\mathbf{S}^{(k)}) - \lambda_1^{(k)} \left( \sum_{\mathbf{S}^{(k)}} P(\mathbf{S}^{(k)}) - 1 \right)
\]
\[
- \lambda_2^{(k)} \left( \sum_{\mathbf{S}^{(k)}} P(\mathbf{S}^{(k)}) E_k(\mathbf{S}^{(k)}) - E_k \right)
\]
(25)
where \( \lambda_1^{(k)}, \lambda_2^{(k)} \) are Lagrange’s multipliers. After some easy algebra, we immediately notice that \( \lambda_1^{(k)} \) gives a normalization constant of \( P(\mathbf{S}^{(k)}) \) and \( \lambda_2^{(k)} \equiv \beta \) is a control parameter for ‘thermal fluctuation’ in the system. Thus, we have the solution as
\[
P(\mathbf{S}^{(k)}) = \frac{\exp[-\beta E(\mathbf{S}^{(k)})]}{\sum_{\mathbf{S}^{(k)}} \exp[-\beta E(\mathbf{S}^{(k)})]}
\]
(26)
where \( \beta \) stands for the inverse-temperature, and hereafter we set \( \beta = 1 \). We also defined the sum with respect to \( \mathbf{S}^{(k)} \) by
\[
\sum_{\mathbf{S}^{(k)}} (\cdots) \equiv \sum_{S_1^{(k)} = \pm 1} \cdots \sum_{S_N^{(k)} = \pm 1} (\cdots).
\]
(27)
3.4. A Bayesian interpretation
It might be helpful for us to interpret the above probability distribution (26) from the view point of Bayesian inference. Actually, one can derive the above Boltzmann-Gibbs form \( P(\mathbf{S}^{(k)}) \) by means of a posterior distribution in Bayesian statistics. Let us assume that the price change of stock might be caused by \( \sigma_\tau^{(k)}(t) \) due to the microscopic decision making \( S_i^{(k)} = \pm 1 \) for trader \( i \). Then, the following conditional probability
\[
P(\sigma_\tau^{(k)}(t)|\mathbf{S}^{(k)}) \propto \exp \left( h_t^{(k)} \sum_{i=1}^N \sigma_\tau^{(k)}(t) S_i^{(k)} \right)
\]
(28)
denotes a likelihood of the result \( \sigma_\tau^{(k)}(t) \) caused by the decision making of traders \( \mathbf{S}^{(k)} \). Therefore, in order to forecast the decision of traders \( \mathbf{S}^{(k)} \) for a given market data \( \sigma_\tau^{(k)}(t) \), we construct the posterior \( P(\mathbf{S}^{(k)}|\sigma_\tau^{(k)}(t)) \) by means of the Bayesian formula
\[
P(\mathbf{S}^{(k)}|\sigma_\tau^{(k)}(t)) \propto P(\sigma_\tau^{(k)}(t)|\mathbf{S}^{(k)}) Q(\mathbf{S}^{(k)}|\{m_t^{(\mu \neq k)}\})
\]
(29)
where \( Q(S^{(k)} | \{m_t^{(\mu \neq k)}\}) \) stands for the prior distribution. For a given set of mean-fields from the other Ising layers \( \{m_t^{(\mu \neq k)}\} \), it is naturally accepted to choose the prior as
\[
Q(S^{(k)} | \{m_t^{(\mu \neq k)}\}) \propto \exp \left[ \frac{J_t^{(k)}}{N_k} \sum_{ij} S_i^{(k)} S_j^{(k)} + \gamma_t^{(k)} \sum_i \left( \frac{1}{K} \sum_{\mu \neq k}^K c_{k\mu}(t)m_t^{(\mu)} \right) S_i^{(k)} \right]
\]
(30)
Then, we have the posterior
\[
P(S^{(k)} | \sigma_\tau^{(k)}(t)) = \frac{\exp[\frac{J_t^{(k)}}{N_k} \sum_{ij} S_i^{(k)} S_j^{(k)} + h_t^{(k)} \sum_i \sigma_\tau^{(k)}(t)S_i^{(k)} + \gamma_t^{(k)} \sum_i (\frac{1}{K} \sum_{\mu \neq k}^K c_{k\mu}(t)m_t^{(\mu)})S_i^{(k)}]}{\sum_{S^{(k)}} \exp[\frac{J_t^{(k)}}{N_k} \sum_{ij} S_i^{(k)} S_j^{(k)} + h_t^{(k)} \sum_i \sigma_\tau^{(k)}(t)S_i^{(k)} + \gamma_t^{(k)} \sum_i (\frac{1}{K} \sum_{\mu \neq k}^K c_{k\mu}(t)m_t^{(\mu)})S_i^{(k)}]}.
\]
(31)
Thus, our model system is described by multi-layered Ising model in which arbitrary two layers (stocks) are coupled through the mean-fields.
### 3.5. The mean-field equation for instantaneous return
As it is well-known, when ingredients of the system are ‘fully-connected’, the partition function \( Z \) (the numerator of (31)) is evaluated at the saddle point as
\[
Z \simeq \exp \left[ N_k \Phi(m^{(k)} : J_t^{(k)}, h_t^{(k)}, \gamma_t^{(k)}, \{m_t^{(\mu)}\}) \right]
\]
(32)
in the limit of \( N_k \to \infty \) with ‘free energy density’
\[
\Phi = -\frac{J_t^{(k)}}{2} (m^{(k)})^2 + \log \cosh \left( J_t^{(k)} m^{(k)} + h_t^{(k)} \sigma_\tau^{(k)}(t) + \frac{\gamma_t^{(k)}}{K} \sum_{\mu \neq k}^K c_{k\mu}(t)m_t^{(\mu)} \right).
\]
(33)
Thus, the saddle point equation \( \partial \Phi / \partial m^{(k)} = 0 \) yields
\[
m_t^{(k)} = \tanh \left( J_t^{(k)} m_t^{(k)} + h_t^{(k)} \sigma_\tau^{(k)}(t) + \frac{\gamma_t^{(k)}}{K} \sum_{\mu \neq k}^K c_{k\mu}(t)m_t^{(\mu)} \right).
\]
(34)
The second and third terms appearing in \( \tanh(\cdots) \) are an external field from the market history and mean-fields from the other Ising layers, respectively. For a given non-stationary field \( \sigma_\tau^{(k)}(t) \) and mean-field \( \{m_t^{(\mu)}\} \), it could not be expected that the equilibrium solution for each layer \( m^{(k)} \) exists. Hence, here we assume that such non-equilibrium effects could be built-in by dealing with the following time-dependent (naive) mean-field equation for the ‘instantaneous’ returns.
\[
m_t^{(k)} = \tanh \left( J_t^{(k)} m_{t-1}^{(k)} + h_t^{(k)} \sigma_\tau^{(k)}(t-1) + \frac{\gamma_{t-1}}{K} \sum_{\mu \neq k}^K c_{k\mu}(t-1)m_{t-1}^{(\mu)} \right), \quad k = 1, \cdots, K
\]
(35)
By solving the above non-linear maps numerically for a given set of past real market history \( \{\sigma_\tau^{(k)}(t-1)\} \), one can forecast the price of each stock by means of \( \Delta p_t = m_t^{(k)} \), \( k = 1, \cdots, K \) simultaneously.
3.6. Hyper-parameter estimation from non-stationary time-series
In order to use the mean-field equation (35) for forecasting the stock prices, systematic estimation for the so-called hyper-parameters \((J_t^{(k)}, h_t^{(k)}, \gamma_t^{(k)})\) appearing in the right hand side of (35) is needed. In the literature of probabilistic information processing, say, in Bayesian image restoration [29], one cannot use the mean-square error as a cost function because it needs the ‘true (original) image’ to be constructed. Therefore, we usually use the marginal likelihood as the cost function to estimate the hyper-parameters. However, fortunately in our present model system, one can utilize the past market history, let us to say, the ‘true returns’ in the past \(\Delta q_l^{(k)} \equiv q_l^{(k)} - q_{l-1}^{(k)}, \ l = 1, \cdots, t-1\), and it means that the ‘cumulative error’ could be defined as a cumulative mean-square error between the true observable and the estimate by
\[
E_k \equiv \frac{1}{2} \sum_{l=1}^{t-1} \left( \Delta q_l^{[k]} - \Delta p_l^{(k)} \right)^2 \\
= \frac{1}{2} \sum_{l=1}^{t-1} \left[ \Delta q_l^{(k)} - \tanh \left( J_{l-1}^{(k)} \Delta q_{l-1}^{(k)} + h_{l-1}^{(k)} \sigma_r^{(k)}(t-1) + \frac{\gamma_{l-1}^{(k)}}{K} \sum_{\mu=1}^{K} c_{k\mu}(t-1) \overline{q}_{l-1}^{(\mu)} \right) \right]^2
\]
(36)
where we defined the ‘forecasted return’ \(\Delta p_l^{(k)} \equiv p_l^{(k)} - p_{l-1}^{(k)}, \ l = 1, \cdots, t-1\) and the time-averages
\[
\overline{\Delta q}_l^{(k)} \equiv \frac{1}{M} \sum_{i=l-M+1}^{l} (q_{i+1}^{(k)} - q_i^{(k)}), \quad \overline{\Delta p}_l^{(k)} \equiv \frac{1}{M} \sum_{i=l-M+1}^{l} (p_{i+1}^{(k)} - p_i^{(k)})
\]
(37)
for the time window with width \(M\). To obtain the last line in the above equation (36), we used
\[
\Delta p_l^{(k)} \simeq m_l^{(k)} = \tanh \left( J_{l-1}^{(k)} m_{l-1}^{(k)} + h_{l-1}^{(k)} \sigma_r^{(k)}(t-1) + \frac{\gamma_{l-1}^{(k)}}{K} \sum_{\mu \neq k}^{K} c_{k\mu}(t-1) m_{l-1}^{(\mu)} \right)
\]
(38)
and replaced the \(m_{l-1}^{(k)}, \ k = 1, \cdots, K\) appearing in \(\tanh(\cdots)\) by the corresponding observables \(\Delta q_{l-1}^{(k)}, \ k = 1, \cdots, K\) because one can actually use these values before forecasting.
Hence, we should infer these hyper-parameters \((J_t^{(k)}, h_t^{(k)}, \gamma_t^{(k)})\) from the past data set in the financial market by the gradient descent learning
\[
J_t^{(k)} = J_{t-1}^{(k)} - \eta \frac{\partial E_k}{\partial J_{t-1}^{(k)}}, \quad h_t^{(k)} = h_{t-1}^{(k)} - \eta \frac{\partial E_k}{\partial h_{t-1}^{(k)}}, \quad \gamma_t^{(k)} = \gamma_{t-1}^{(k)} - \eta \frac{\partial E_k}{\partial \gamma_{t-1}^{(k)}},
\]
(39)
where \(\eta\) is a learning rate. In the next section, we examine the above forecasting framework for empirical (intra-day) data sets in which a crisis appears.
4. Performance evaluation of forecasting for empirical high-frequency data sets
In this section, we check the usefulness of our prediction model with cross-correlation in stocks. As a simple examination, for the case of three different time-series \(K = 3\), we check the accuracy of our prediction procedure. In section 2, we visualized 200 stocks which are given as daily data during a crisis. However, the number of data points is not enough for our forecasting procedure. Hence, here we pick up EUR/AUD \((k = 1)\), EUR/CAD \((k = 2)\), EUR/JPY \((k = 3)\) exchange rates (EUR: Euro, CAD: Canadian dollar, AUD: Australian dollar, JPY: Japanese yen), which are given as high-frequency tick-by-tick data, from 27th April 2010 to 13th May 2010 as real values \(q_t^{(k)}\). We plot those three true time series in Figure 4 as solid lines. We observe that
these time series possess a crisis which corresponds to Greek crisis in spring 2010. In the left panels of Figure 4, the resulting prices $p^{(k)}_t$ predicted by our model are shown. We set the time window size as $M = \tau = 100$ and the learning rate as $\eta = 0.01$. Of course, we can choose the leaning rate as ‘adaptive one’ like $\eta = \eta(t)$, however, in this paper we set the value to a positive constant. From these panels, we find that our prediction procedure works well and the error is only a few percent of the average value of the rate.
**Figure 4.** From the top to the bottom, EUR/AUD ($k = 1$), real value $q^{(k)}_t$ and its prediction $p^{(k)}_t$ are plotted for EUR/CAD ($k = 2$), EUR/JPY ($k = 3$) exchange rates from 27th April 2010 to 13th May 2010. The panels in the left column are obtained by ‘stock-wise optimization’, whereas the panels in the right are calculated by ‘pair-wise optimization’ for the correlation strengths. We set the width of time window and the learning rate as $M = \tau = 100$, $\eta = 0.01$. (COLOR ONLINE)
4.1. Pair-wise optimization for hyper-parameters of correlation strengths
We next examine the following slight modification
\[
\frac{\gamma_t^{(k)}}{K} \sum_{\mu \neq k}^K c_{k\mu}(t - 1) \overline{\Delta q}_{t-1}^{(\mu)} \rightarrow \frac{1}{K} \sum_{\mu \neq k}^K \gamma_t^{(k\mu)} c_{k\mu}(t - 1) \overline{\Delta q}_{t-1}^{(\mu)}
\]
(40)
in (35)-(36). Namely, the strength of correlation between Ising layers is evaluated independently for each pair of layers. Due to this modification, the learning equation for $\gamma_t^{(k)}$ in (39) should be corrected as
\[
\gamma_t^{(k\mu)} = \gamma_{t-1}^{(k\mu)} - \eta \frac{\partial E_k}{\partial \gamma_{t-1}^{(k\mu)}}, \quad \mu \neq k.
\]
(41)
From now on, the forecasting model with the above modification (40)(41) is referred to as ‘pair-wise optimization’, whereas the original version (35)(36) is called as ‘stock-wise optimization’ for hyper-parameters for the correlation strengths.
We plot the result in the right panels in Figure 4. From these panels, we are confirmed that the pair-wise optimization makes the result worse against our expectation. Especially, for large $t$ regime, the gap between the stock-wise optimization and the pair-wise optimization becomes large. From the result, we should consider the optimal number of hyper-parameters to fit the model to the time-series without over-fitting.
4.2. Flows of hyper-parameters during a crisis
Finally, we consider the dynamical behaviour of hyper-parameters during the crisis. We show the results in Figure 5. These panel show the dynamics of hyper-parameters $(J_t^{(k)}, h_t^{(k)}, \gamma_t^{(k)})$ for the stock-wise optimization and and $(J_t^{(k)}, h_t^{(k)}, \gamma_t^{(k\mu)})$ for the pair-wise optimization.
From this panel, we clearly find that for both cases ($k = 2, 3$) of exchange rates in our forecasting model described by stock-wise optimization, the hyper-parameters $J^{(k)}, h^{(k)}$ converge to $h^{(k)} = 0$ and $J^{(k)} = 1$, respectively. Then, the $\gamma_t^{(k)}$ converges to zero for $k = 2$, which corresponds to the critical point of order-disorder phase transition in the infinite-range ferromagnetic Ising model. However, for $k = 3$ it converges to slightly negative value across the zero. Hence for $k = 3$ the stock-wise optimization does not detect the critical behaviour, and the
deviation from the critical point becomes large as $t$ goes on. On the other hand, the model with the pair-wise optimization also detects the critical behaviour for $k = 2$, however, the behavior of the hyper-parameters does not reflect the critical point (crisis) for $k = 3$.
We can partially figure out these results in the original time series shown in Figure 4. From this figure, we can observe that the exchange rate $k = 3$ was recovered from the crisis relatively faster than $k = 2$, whereas it was still in a crisis for the exchange rate $k = 2$ even in large $t$ regime. Actually, in this period, Japanese yen was strong, and at the crisis, this tendency of strong yen was enhanced. However, the term of extreme strong yen is not so long and the value of Euro against yen was recovered quickly. On the other hand, continuous drops of Euro against Canadian dollar was serious after the crisis and it could not escape from a ‘crush domain’ even at $t = 250000$ (ticks). In this sense, the deviation from the critical point should be also observed through our model and actually it was confirmed in Figure 5.
5. Discussions and concluding remarks
There are many ways to visualize the co-movements of stocks, and using MDS is one of them. When the MDS studies were performed with daily data [35], we found that it was easier to visualize or detect specific sectors, strongly correlated pairs and market events. It was suggested that this type of plots using daily data may be used in designing strategies of pairs trade or identifying clusters or detecting market trends. It was also shown in Ref. [35], that we could follow the evolution of the market and/or trace the movements of particular companies (e.g., Lehmann Brothers) with respect to the rest of the market, before or after a market crisis.
In this paper, in order to show and forecast some cascade in financial systems, we visualized the correlation of each pair of stocks in two-dimension using MDS. We also proposed a theoretical framework based on the multi-layered Ising model to predict several time-series simultaneously by using cross-correlations in financial markets. Actually, in this paper, we showed that the knowledge of statistical mechanics of information (see e.g. [30]) could be applicable to the research topics outside of information processing, namely, quantitative finance or economics.
Finally, we would like to mention several remarks concerning our future direction.
5.1. On the time window size
In our model system, we set $M = \tau = 100$ for the width of time window to evaluate several statistics in our forecasting model (see (21) and (37)). However, we should chose these lengths more carefully. Recently, Livan, Inoue and Scala\`s [31] examined the effect of non-stationarity of time series on the portfolio optimization by using several statistical test including some knowledge of the random matrix theory [32], and they found that the longer time window does not always give the better estimate of the true value of the portfolio. This implies that there might exist some optimal size of window to construct the forecasting model.
5.2. The turnover
The turnover, namely, the total number of volume being dealt with for a stock at time $t$:
$$a_k(t) \equiv \psi_+(k,t) + \psi_-(k,t) = \sum_{i=1}^{N_k} v_i^{(k)}$$
might be a good indicator for the financial crisis (see also (12)). Actually, in Figure 6, we show the empirical plot of the turnover for several stocks during the crisis in Japan 2011. From this figure, we find that the turnover takes a sharp peak around the shock (11th March 2011), which was remarkably observed in stocks of construction industries (see the right panel of Figure 6). In our preliminary study [33], we made a model to estimate the turnover by means of three state Ising model in which each spin can take zero (‘staying’) besides $\pm 1$ for ‘selling’ or ‘buying’.
Figure 6. The turnover as a function of time (day). The number of caption denotes the ID for each company: (i.e. 2501: Sapporo Breweries, 2502: Asahi Breweries, 2503: Kirin Holdings, 2531: Takara Holdings, 2533: Oenon Holdings, 2801: Kikkoman Corporation, 1801: Taisei Corporation, 1802: Obayashi Corporation, 1803: Shimizu Corporation, 1812: Kajima Corporation. These IDs can be checked at the web site [23]) (COLOR ONLINE)
5.3. Suitable estimator for non-synchronous time series
The data sets used in the forecasting examination are not daily data but high-frequency data. Those are ‘non-synchronous’ time series, namely, there is no one-to-one correspondence in time axis in arbitrary two stocks. In this paper, for evaluating, say, $\Delta r_i(t)\Delta r_j(t')$ where $t \neq t'$, we chose the $t'$ simply by
$$t' = \arg\min_t \|t - t'\|$$
and of course, it might possess some evaluation error. In this sense (namely, ‘strict sense’), the Pearson estimator is not suitable to evaluate the cross-correlation, and we should use another way, say, the so-called Hayashi-Yoshida estimator [34, 35].
5.4. The inverse-Ising problem
In our forecasting model, we assumed that the traders are fully-connected. However, the graph topology is important for us to consider the communities in the markets. Hence, the procedure to estimate the adjacency matrix from the empirical data (behavior of traders) should be done. Definitely, it is formulated as an ‘inverse Ising problem’.
The studies related to the above four issues are now on-going and we will report the results at the meeting if we obtain the preliminary.
Acknowledgment
The authors would like to thank Enrico Scalas, Giacomo Livan, Frédéric Abergel for fruitful discussion and useful comments. SS and JI thank Saha Institute of Nuclear Physics for their support during our stay in Kolkata. One of the authors (JI) thanks Basque Center for Applied Mathematics, École Centrale Paris for their warm hospitality. JI also acknowledges the financial support by Grant-in-Aid for Scientific Research (C) of Japan Society for the Promotion of Science, No. 22500195 (2010-2012) and No.25330278 (2013-2015). AC is grateful to Hokkaido University for support during his stay in Sapporo.
References
[1] Cont R 2001 *Quantitative Finance* **1** 223
[2] Chakraborti A, Muni Toke I, Patriarca M and Abergel F 2011 *Quantitative Finance* **11** 991
[3] Chakraborti A, Muni Toke I, Patriarca M and Abergel F 2011 *Quantitative Finance* **11** 1013
[4] Chakraborti A, Patriarca M and Santhanam M S 2007 *Econophysics of Markets and Business Networks* (Milan: Springer) p 51
[5] Bouchaud J P and Potters M 2000 *Theory of Financial Risk and Derivative Pricing* (Cambridge: Cambridge University Press)
[6] Mantegna R N and Stanley H E 2000 *An Introduction to Econophysics* (Cambridge: Cambridge University Press)
[7] Garibaldi U and Scalas E 2010 *Finitary Probabilistic Methods in Econophysics* (Cambridge: Cambridge University Press)
[8] Aoyama H, Fujiwara Y, Ikeda Y, Iyetomi H, Souma W and Yoshikawa H 2011 *Econophysics and Companies: Statistical Life and Death in Complex Business Networks* (Cambridge: Cambridge University Press)
[9] Sinha S, Chatterjee A, Chakraborti A and Chakrabarti B K 2011 *Econophysics: An Introduction* (Berlin: Wiley-VCH)
[10] Chakrabarti B K, Chakraborti A, Chakravarty S R and Chatterjee A 2013 *Econophysics of Income and Wealth Distributions* (Cambridge: Cambridge University Press)
[11] Ede A, Chakrabarti B K, Chakraborti A and Chatterjee A 2006 *Econophysics and Sociophysics: Trends and Perspectives* (Weinheim: Wiley-VCH)
[12] Keim D B 1983 *J. Financial Economics* **12** 13
[13] Kahneman D and Tversky A 1979 *Econometrica* **47** 263
[14] Imaki T, Suzuki S and Inoue J 2012 *Econophysics of Systemic Risk and Network Dynamics* (Milan: Springer) p 239
[15] Mantegna R N 1999 *Eur. Phys. J. B* **11** 193
[16] Omneia J-P, Chakraborti A, Kaski K, Kertesz J and Kanto A 2003 *Phys. Rev. E* **68** 056110
[17] Chakraborti A 2006 *Econophysics of Stock and other Markets* (Milan: Springer) p 13
[18] Omneia J-P, Chakraborti A, Kaski K, Kertesz J and Kanto A 2003 *Physica Scripta* T **106** 48
[19] Omneia J-P, Chakraborti A, Kaski K and Kertesz J 2003 *Physica A* **324** 247
[20] Omneia J-P, Chakraborti A, Kaski K and Kertesz J 2002 *Eur. Phys. J. B* **30** 285
[21] Imaki T, Higano S, Suzuki S and Inoue J 2012 *ASE Human Journal* **1** 74
[22] Borg I and Groenen P 2005 *Modern Multidimensional Scaling: theory and applications* (New York: Springer)
[23] http://finance.yahoo.co.jp/
[24] Bouchaud J P and Cont R 1998 *Eur. Phys. J. B* **6** 543
[25] Masukawa J 2002 *Journal of the Japan Society for Simulation Technology* **21** 92
[26] Watanabe K, Takayasu H and Takayasu M 2009 *Phys. Rev. E* **80** 056110
[27] Kaizoji T 2000 *Physica A* **287** 493
[28] Jaynes T E 1957 *Physical Review* **106** 620
[29] Inoue J and Tanaka K 2002 *Phys. Rev. E* **65** 016125
[30] Nishimori H 2001 *Statistical Physics of Spin Glasses and Information Processing: An Introduction* (Oxford: Oxford University Press)
[31] Livan G, Inoue J and Scalas E 2012 *J. Stat. Mech.: Theory and Experiment* P07025
[32] Livan G, Alfaroano S and Scalas E 2011 *Phys. Rev. E* **84** 016113
[33] Mirotta M and Inoue J 2013 *Econophysics of Agent-based Models* (Milan: Springer) in press
[34] Hayashi T and Yoshida N 2005 *Bernoulli* **11** 359
[35] Tilak G, Szell T, Chicheportiche R and Chakraborti A 2012 *Econophysics of Systemic Risk and Network Dynamics* (Milan: Springer) p 77 |
TWO DIFFERENT NEWFOUNDLAND MILITARY CENSOR NO.3 MARKINGS--By Paul Binney
Most of the circular Army Military Censor markings used in Newfoundland [in the Second World War] were issued to a single regiment for its use, or to a single location where it might be used by a censor for a number of military units. All numbers appear to be represented by a single censor mark, many of which remained in use from the time of issue until the end of hostilities in 1945. The exception to this statement is the Military Censor No. 3 marking.
Censor No.3 was first used by the Royal Rifles of Canada during their tour of duty in Newfoundland (Nov.25, 1940 to Aug.25, 1941) [1]. Twenty-six strikes of this marking are recorded between Nov.26, 1940 and Apr.24, 1941 [FIG.1]. The use of this marking was associated with troops at Gander and Botwood; later to become CAPO 2 and CAPO 3 respectively. This censor mark is classified at "type IIR" with two-ring surround and slightly dropped "r" in "Military" [2].
After the departure of the Royal Rifles, the two-ring censor mark is next seen in use by the Sherbrooke Fusiliers (Aug. 14, 1941 to Feb.16, 1942) at CAPO 1 (St. John's) during November and December 1941. This use is shown in FIG.2.
The use shown so far is the normal expected distribution of a censor marking, first to one regiment, then another in sequence. However in October 1941, and again in July 1942, a single-ring censor mark also with Censor No.3 was in use by the PEI Highlanders (Jul.26, 1941 to Mar.16, 1942) at CAPO 2 and CAPO 3 [FIG.3]. This mark is classified as "Type Ia", distinctly differ-
[Cont'd.]
CHAIRMAN: HENK BURGERS, 8 LUCIA COURT, SS#1, NIAGARA-ON-THE-LAKE, ON LOS 1JO (email@example.com)
EDITOR/TREASURER: DEAN MARIO, P.O. BOX 342, STATION MAIN, SASKATOON, SK S7K 3L3 (firstname.lastname@example.org)
Figure 1: Early use of the Type IIr censor marking in December 1940 on a post card from the Royal Rifles of Canada, HQ Company (Kevin O'Reilly collection)
Figure 2: Cover from the headquarters of the Sherbrooke Fusiliers Regiment censored by type IIr marking on 28 December 1941 (Doug Hannan collection)
Figure 3: P.E.I. Highlanders correspondence from 13 July 1942 censored by a Type Ia marking with Censor No. 3 (Doug Hannan collection)
ent than the two-ring mark in use by the Sherbrooke Fusiliers during this same time interval.
Figure 4: Worn but still identifiable Type IIr marking (note dropped r, remnants of two rings) in use at CAPO 3 in October 1944 (Doug Hannan collection)
To complete this story both the single-ring and double-ring versions of the Censor No.3 marking were in use at Defence Area Headquarters for CAPO 3 (Defended Port) during the period [of] May 1944 to February 1945. [FIGS. 4 and 5].
For a closely-controlled device used in military censorship, it is difficult to comprehend how a number was not only duplicated but the duplicate continued in use throughout the war. It also seems possible that these duplicate numbered devices were used at the same time, by two different units [and] at two different locations, before "coming home" to CAPO 3 where both single and double-ring censor marks with Military Censor No.3 were used late in the war.
Are there other examples where more than one marking was produced for a given censor number?
The author would like to thank all contributors to this study, particularly Doug Hannan and Kevin O'Reilly who provided the material to illustrate this article.
[1] Sayles, C.D. *The BNAPS Catalogue to Canadian Military Mail Markings: The World War 2 Era, 1936-1945*. Vol.II, p. 178.
[2] Binney, W.P. "The Circular Army Censorship Markings: Part 3 Classification," *CMMG Newsletter #211* (Nov. 2013), pp. 1312-1316.
DEPARTMENT OF LABOUR HOSTEL, FINGAL, ONTARIO 1946--By Colin Pomfret
Here is a postcard sent from Fingal, Ontario dated November 16, 1946. The message states:
"Dept. of Labour Hostel
Fingal, Ont. Nov. 14
Dearest Yutaka:
Finally reached St. Thomas about 2:30 P.M. This city's just about right. Not too big not too small. At 4:00 P.M. we came to Fingal on a bus (about 8 miles from St. Thomas). This hostel's O.K. except for g [?], fish & rice. And thanks alot for coming to the station this morning. So long and write soon.
Pal Ronnie."
Was "Ronnie" an ex-Japanese internee?
FARM SERVICE FORCE WORK SHEETS, 1942--By Colin Pomfret
Two work sheets [illustration follows.Ed.] from Japanese internees working in the beet fields of Southern Ontario. Camps included Centralia, Chatham, Dover Centre, Dresden, Essex, Glencoe, Petrolia, Valetta, and Wallaceburg. [While not specifically military mail, I thought that these seldom-seen related ephemera would be of interest to members and help to "tie-in" with the above postcard. Ed.]
WORKER'S DAILY REPORT
Date: June 17, 1942
Camp: Centralia
Worker: Mas Fujiwara No. 09793
Employer: B Ellerington
Nature of Work: Thinning Beets
Rate of Pay: Standard
Hours worked: 6 1/2
Amount Earned: $________
Has payment been made? __________
Remarks: __________
Employer's Signature: W.A.E.
Worker's Signature: M. Fujiwara
Payment to be made by cheque, payable to the FARM SERVICE FORCE, IN TRUST (ORIGINAL)
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QUERY: 1992 VIETNAM VIA CANADA TO WASHINGTON?-- By Vernon Wilhelm von der Heydt
Here is a cover to the Voice of America in Washington, DC USA which apparently was sent from Vietnam. There is a Canadian machine postmark [a Cont'd.]
bit faint so enhanced, Ed.] but the postal code is unclear. I am very curious why this bears a Canadian postmark. Was it mailed from Canada, perhaps through a Canadian Embassy or was it simply mis-directed?
6TH FIELD R.C.A. (FPO 430): WHERE IN ENGLAND?--By Vernon Wilhelm von der Heydt
I have a few questions related to this cover. FPO 430 belonged to a tank brigade stationed in England during October 1943. Perhaps one of the members might know where this unit was stationed in England? Was this one of the units that went into Sword Beach on D-Day? [Thanks Vernon. Any members on this one? The Second Armoured Brigade did support the Third Canadian Infantry Division in Normandy. In 1943 the Second was composed of the 6th Armoured Regiment (1st Hussars), the 10th (Fort Garry Horse), and the 27th (Sherbrooke Fusiliers). The Second Canadian Army Tank Brigade was in England from July 12, 1943 to May 13, 1944 (Sayles, Ed., BNAPS Catalogue of Canadian Military Mail Markings, Vol.II, p. 217 denotes that FPO 430 was in use from June 1943-January 1946, No. H560/B&T No. M15-134). The reverse of the cover, with a faint red orderly room marking, is illustrated below.Ed.]
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A NEW CANADIAN MILITARY PROJECT UPDATE: THE COL. R.H. WEBB PAPERS
Our member Bob Toombs, along with Gray Scrimgeour, are working on an important project which is long overdue. Bob has recently undertaken an indepth archival research study of Col. Webb's material contained within the National Archives of Canada (Library and Archives Canada/National Postal Museum). The Webb family is involved and fully supports the project. It is a time-consuming effort but both are "having fun and learning at the same time"! Stay tuned in the near future for more updates or the publication of an enhanced unpublished tome on Canadian military mail (based on Rollie Webb's ca. 1970's draft manuscript).
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NEW CANADIAN FORCES POSTMARK UPDATE--By Dave Hanes and Barry Dale
[Dave wrote in regarding Jerry Jarnick's article regarding a new type of postmark in the last issue (NL#211, November 2013, pp. 1310-1311). Ed.]
"Noted Jerome Jarnick's letter reference 'A New Canadian Forces Postmark'. I would say it is a new cancel...[sic] maybe a new larger sized cancel. Several years back, the Cdn. Forces Mail System came out with what I refer to as 'a FREE marking'. When the troops are away from home they are entitled to free postage at surface rate-back to Canada...[sic] the UN boys and the Navy boys use this service nearly all the time when they actually write...[sic] The UN boys are also allowed so many minutes of telephone time...[sic] so there [is] not nearly as much mail today as there used to be. The odd serviceman has their own phone.
The cancel Jerome shows...[sic] he reports as '48mm in diameter'. I am attaching a scan of the 'FREE' marking that has been around for years. It is 38mm in diameter. I would say that maybe the mail system has come out with a new larger-sized 'FREE' marking???? [sic]".
[Barry also wrote: "I don't have the same postmark that Mr. Jarnick reported in our last newsletter. However I do have a number of examples of a smaller version of the same marking (39mm), used by various army/navy units/ships. If these are something new, let me know and I will send you a couple of photos". Thanks Barry and Dave. It seems that Jerry's larger 48mm device is new and has been recently introduced; perhaps to replace Dave's and Barry's 38mm/39mm examples. Dave's observation about the decrease in physical mail is true and does not bode well for future military postal historians!Ed.]
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NEW CANCEL ADDITION/CANADIAN WAR MUSEUM COVER--By Maj. George Sawatzki (Ret'd.)
[Jerry's "discovery" has certainly generated some wonderful follow-ups and George wrote in as well.Ed.]
"I will contact a buddy at the War Museum to check if a 75th anniversary card/cover was produced and if he knows of any plans for the upcoming 100th anniversary....
No to the Canadian Forces postmark. I have searched my holdings and so far have not seen this new (47mm) postmark. So far I have seen the old 39mm version used only in association with Afghanistan. I have various samples associated with CFPO 5006 Kabul, CFPO 5058 Kandahar (by far the most popular), and CFPO 5113 Dubai (Camp Mirage). Dates for my copies range from December 2003 to January 2011.
"Military Markings" by John Conrad and his article "CFPO Transition to Create Key Collectible Markings", published in Canadian Stamp News used the following illustrations [next page.Ed.]
The cancel associated with CFPO 5058 looks like the one described in the newsletter article by Jerome C. Jarnick. The illustration in the John
Conrad article may not necessarily be to scale or did a larger version of the 'new cancel' shown as the same size as the CFPO 5058 cancel already exist in 2005? [Illustrations reprinted with the kind permission of Mr. Bret Evans, Editor, Canadian Stamp News, and columnist Mr. John Conrad who pens the informative "Military Markings" articles. Ed.]
CANADIANS IN THE SCHOOL OF AERONAUTICS (EGYPT) CA. 1917--By Colin Pomfret
Here is a very unusual and scarce real photo postcard with identified Canadians at the school in Egypt (L. Missak, Heliopolis, Photographer).
Back Row Cadets: Palmer, H.J.(Victoria), Johnson W.E.(London), Macmaster,
F.P.(Montreal), Murdoch, R.H.(Brandon), Perry, H.C.(Toronto), McShane, P.(Montreal), Cook, A.F.(Midland), Lawlor, T.(Edmonton), Mayor, C.H.(Toronto), Erikson, W.F.(Yorkton).
Fourth Row: Carton, W.H.(Moosomin), Jones, A.E.(Calgary), Dunfield, J.F.(Kamloops), Cook, R.H.(Aurora), Farrant, A.E.(Calgary), Jones, A.B.(London), Kington, P.U.(Toronto), Paterson, T.A.(Medicine Hat).
Third Row: McClement, E.L.(Brandon), White, T.E.(Edmonton), Watkins, H.(Toronto), Wells, W.H.(Vancouver), Ford, R.H. (Yellowgrass), Jones, W.E.(London), Rainville, L.F.(Buckingham Jct.).
Second Row: Godard, W.R.(Hamilton), Glenn, C.(Milestone), Tremblay, P.A.(Ottawa), Eades, R.J.(Nelson), Hollingham, H.(Vancouver), Toy, B.(Toronto), Geck, W.T.(Nova Scotia), Bailey, T.S.(Toronto).
First Row: H.A. McEwen(Regina), Lt. Boyd, E.F.(Regina), Lt. Robertson, W.D.(Victoria), Lt. Jones, H.E.(Regina), Lt. Kirk, J.H.(Sussex), Lt. Baker, G.H.(Winnipeg), Smith, C.G.(Medicine Hat).
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SIR ANDREW MACPHAIL: PHYSICIAN, PROFESSOR, AUTHOR, SOLDIER
Members will recognize the addressee on the cover below. Macphail was born at Orwell, Prince Edward Island on November 24, 1864 and studied at Charlottetown's Prince of Wales College before attending McGill University. There he received degrees in arts and medicine. After teaching and practising medicine, Macphail was appointed McGill's first professor of the history of medicine in 1907. He held that position for thirty years. In 1911 he was founding editor of the Canadian Medical Association Journal, and editor of The University Magazine from 1907-1920 (except during his war service). He enlisted in the Canadian Expeditionary Force as a medical officer. While most well-known for his social and political writings and commentary, he authored a widely respected work entitled *The Medical Services (Official History of the Canadian Forces in the Great War, 1914-1919)*, Ottawa: King’s Printer, 1925. He published more than ten books and countless shorter articles and essays. He was knighted for his literary and medical efforts on January 2, 1918. He died in Montreal on September 23, 1938.
The cover bears the C.O.E.F. hammer (D1, metal) from Salisbury Plain, Great Britain and is dated February 8, 1915. I had previously believed that the date was significant (second last day of use), but contemporary research has indicated that the hammers were returned in March 1915 so later dates should exist.
---
Bailey, W.J. and Toop, E.R. *The Canadian Military Posts, Colonial Period to 1919*. Vol.I. Ed. E.B. Proud, 1984, p. 129.
Bailey, W.J. and Toop, E.R. *Canadian Military Postal Markings, 1881-1995*. Vol.I. Ed. W.J. Bailey. Waterford, MI: C.G. Firby Publications, 1996, p. 34.
*The Canadian Encyclopedia*. Vol.II (Second Edition). Ed. J.H. Marsh. Edmonton, AB: Hurtig Publishers Ltd., 1988, p. 1281.
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Dear Study Group Members: A bit later than usual but packed with, hopefully, some interesting items for your reading pleasure. Henk and I do trust that your winter is going well, albeit seemingly longer this year for some reason! Spring should be around the corner in no time and I expect a quicker turn-around for the next issue. Thanks to all authors this time too. Until March, good collecting!
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**SMALL ADS**
Small ads from members are always welcome. Buy/Sell/Trade. Only Cdn. $1 per insertion (or mint Cdn. postage @ face ok). Copy and payment to the Editor please.
WANTED: Camp Hughes, Sewell Camp, Camp Shilo postal history on covers and postcards. Buy, sell, trade. Contact: Darcy Hickson, R.R. #2, Box 24, Brandon, MB R7A 5Y2; (204) 725-0621; or email@example.com (6/10)
WANTED: All covers/cards related to Great War Newfoundland; Canadian POW’s IN Germany (WWI/WWII); Canadians in Gibraltar/Malta during WWII. Contact: The Editor or firstname.lastname@example.org (1/5)
WANTED: Camp Borden MPO 208 and MPO 210--MOOD’s and REGISTERED markings on postcard or cover. Contact: Dave Hanes (705) 722-6316 or email@example.com (5/5)
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Identity, Dialogue, & Politics: Our Replies to Comments on "What lies in the future of teaching the history of psychology?"
Randal G. Tonks and Gira Bhatt
Department of Psychology, Camosun College
In our original paper "What lies in the future of teaching the history of psychology?" (Bhatt & Tonks, 2002), we set out to articulate our concerns over the future of teaching the history of psychology. Based upon our own personal experiences and those of others, from whom we received reports, we set out to explore the landscape of teaching the history of psychology in Canada. Our paper was initially designed as a conversation session at the 2001 meeting of CPA's section on History and Philosophy of Psychology. Our interest was in providing a 'history of the present' by initiating dialogue on the future of teaching the history of psychology with other Canadian psychologists (who teach the history of psychology).
Our Conceptual Frame
Our model of history is informed by the works of Collingwood (1965), Erikson (1964), and Dilthey (1894/1977), arising from a hermeneutical perspective. From this hermeneutical perspective we recognise methodological and paradigmatic pluralism where our discipline can be described as a varied landscape of perspectives. We contend that each of us interprets our current local and common histories against our own personal experiences and the social-political worlds in which we live. As Dilthey (1894/1977) indicates, understanding begins with specific histories or biographies and then may move on to a common or collective understanding. We can understand each other through the re-experiencing of common experiences as we interpret and re-interpret our shared experiences. In essence this paper was intended to form part of the larger negotiation of our collective identity as a communal process of "interliving" (Erikson, 1964), where identity is formed through the joint action of conversational realities (Shotter, 1993). At the heart of this exercise was our concern over our identity as psychologists and as historians of psychology.
Collingwood (1965) cites Croce in describing history as 'living' in the interpretations of individuals of a given era; he states "history is thought" (p. 7) and "thought is life" (p.15). As such, history is embodied or grounded in the thoughts of historians as part of a semiotic (Blackman, 1994) and moral event (Tolman, 1995), as Erikson (1964) identifies psychohistory making as a process of interpretation that is grounded in the somatic, phenomenological and politico-ethological spheres of being. Human life is necessarily political, and the socio-political worlds into which we are thrown, provide the contexts of our understanding of personal and collective living history or identity (Erikson, 1975). It must also be pointed out that a history of the present also involves political evaluation (Blackman, 1994), making commentary and interpretation potentially risky, given local political climates.
Introducing the notion of a 'history of the future,' Charles Tolman (1995) acknowledges the praxis of Canadian traditions involving the moral evaluation of our society, as applied to the betterment of our common future. It is from this orientation that we began this project, and again from this perspective we embark on an exploration of our future identity. Currently we revisit our concern over our identity as historians of psychology as we consider, once again, the making of a "history of the future" of psychology (Tolman, 1995, p. 24).
We began our account with a survey of various perspectives through which the history of psychology has been taught over the years. We continued our
account with a review of the question of direction or content of courses including an overview of a debate that has been waged between celebratory insider history vs. critical outsider history of psychology (Danziger, 1994). While this debate is far from simple, various issues and concerns surrounding these perspectives in the history of psychology have been articulated (Dehue, 1998). A brief survey of Canadian departments of psychology and their course offerings on the history of psychology was also provided as a context against which to view a more detailed qualitative account of the activities of two departments of psychology. Based upon this initial survey it was found that 86% (37 of 43) departments offer at least one course on the history of psychology, however only 60% (12 of 20) require one or more courses in the history of psychology.
While these statistics provide an overview of the status of courses on the history of psychology in general, they do not reveal what happens at specific departments of psychology. Dilthey (1894/1977) states that historical understanding begins with the individual case. Collingwood (1965) contends that for history, in contrast to science, the individual is not to stand merely as a case of the universal but rather "the individual fact is the end" (p.132). He continues to suggest that "the mistake of universal histories was that they did not take facts seriously enough. They did not realise that every fact is unique and not replaced by another" (Collingwood, 1965, p. 132). He continues, stating:
there is no such thing as a total body of past facts which a sufficiently accomplished historian might know in its totality, . . . the attempt at a universal history is foredoomed to failure . . . as no history can be universal, so no history can be final. . . All history is thus an interim report (p. 138).
Against this conceptual backdrop, we provided a brief account of events at two specific institutions where we offered possible interpretations of the importance of these particular events to the future of teaching the history of psychology. As well, we reflected on the comments made by individual instructors in response to our survey on the status of the undergraduate history of psychology courses. It allowed us to derive some shared perspective on how the future of the history of psychology courses was being shaped. Some of these comments are presented in Table 1 (see p. 23). In closing we considered the issue of relevance to mainstream psychology and the hiring of 'amateur' versus 'professional' historians of psychology against the case history of two psychology departments in Canada.
**Responding to our Commentators**
Our commentators offer corroboration and refutation of our account. We are pleased that many interesting and evocative comments were generated by the initial paper, several of which we will presently address. We will consider the general model of history invoked, the role of interpretation, and the pragmatic interests behind the communication of ideas.
In response to our paper (Bhatt & Tonks, 2002) "What lies in the future of teaching the history of psychology," Adrian Brock (2002) titled his commentary "Reports of our death are greatly exaggerated". We fully agree! Unfortunately the report of exaggeration we are referring to is Adrian Brock's. Nowhere in our paper do we mention the word death, nor do we suggest that there is an imminent death of history looming around the corner. It is true that we offer a "pessimistic" interpretation of the events to which we were witnesses and we do mention our concern over a crisis resulting from the reported events. We stated: . . . at the extreme, there seems to be a trend emerging to discount the value of history of psychology courses altogether. In a less extreme, but equally of crisis fashion, the critical historiographic approach is being challenged and squeezed aside by curricular changes based upon ideological warfare. (Bhatt & Tonks, 2002, p. 6)
Perhaps the pivotal word here is 'crisis,' but what does this mean? It would appear that some interpret it as nearing death, however, we use it in the Eriksonian (1982) notion of being a normative period of identity growth. Here we intend to convey the notion that such challenges to the teaching of history of psychology courses constitute grounds for critical evaluation of our individual and collective identities. As with the intimation of meaning in the *I Ching* (Legge, 1971), our 'crisis' means both challenge and opportunity. Here the challenge is to maintain the continuity of identity and values from the past through the present into the future, and the opportunity is to redefine or re-negotiate identity through the political process of dialogue.
It is transparent from Brock's (2002) comments that an empirico-statistical model of accounting is at
the heart of his working model of history. This model, as outlined by Collingwood (1965), is based upon the 'scientific' perspective that stands in pursuit of general or universal laws. It is clear that Brock (2002) has read our paper with glasses tainted with a positivist hue. He has completely missed the perspective and goals that oriented our paper: namely, to initiate a collectivist dialogue. The format and the venue of the publication that invited commentators to share their perspectives was a strong indicator of the collective dialogue that was at the core of the discussion. We would like to reiterate that we were not following the hypothesis-testing model of natural science with a general thesis about the nature of the discipline at large. Rather we provided a descriptive account of several events that reflect aspects of our disciplinary identity as expressed by members of a variety of communities. We are drawing from a hermeneutical model of history that recognises the interpretation of identity for individuals and the community. As such we recognise that each event has different meanings when interpreted at different times by different people. There is not one single history to uncover, but multiple histories to be considered as the unfolding identities of those who partake in that history, or call that history their own (Tonks, 1999; Erikson, 1975).
Brock (2002) further raises the issue of interpretation when he states "they interpret these sources in a idiosyncratic way" indicating "the authors' tendency to read statements into the articles ... that simply are not there" (p. 14). We argue that it is impossible to avoid such subjective or idiosyncratic interpretations; as Collingwood (1965) points out regarding "the attempt to eliminate this 'subjective element' from history . . . if it succeeded, history itself would vanish" (p. 138). That having been said, we also contend that Brock (2002) repeatedly misinterprets and reads statements into our article. While we have cited the discussion of various ideas that make meaning out of the specific events we have reported, we do not make the claims that are charged against us. Brock (2002) contends that we claim there to be a general trend of the devaluing of the history of psychology. Again nowhere do we make such a claim. Another statement that Brock (2002) erroneously reads into our article is the "mass unemployment" (p. 13) that he attributes to us. Nowhere do we make such a claim. He is reading into our paper his interest and pursuit of a generalist universal history. Returning to the citation of Dehue's (1998) statements in our original article, we were raising issues that "Dehue commented on" (p. 8). Ascribing such ideas to the author was not in our interest, nor in our intentions. To interpret our article as such is to miss the pragmatic function of our words, namely, to engage in conversation and in the making of our collective identity.
Interestingly, Brock (2002) begins to "sound repetitive" (p.15) in his complaint that we have "a sample of one" (p. 11), in spite of the fact that he acknowledges that we "refer to three nameless universities" (p. 11, emphasis added). We had reported specific facts from "two universities" (Bhatt & Tonks, 2002, p.6). Unfortunately his interest in establishing statistical support is not matched by his keeping his numbers straight. Apart from the misnumbering, at a larger level, the root of such criticism may be found in the 'scientific universalist-positivist' perspective to which Brock (2002) seems to ascribe. As such, our qualitative perspective with an aim to inspire dialogue has been completely missed. This is further reflected in Brock's (2002) discounting "oral" and "anecdotal" histories. Calling into question the authors' integrity he states: "we cannot be certain that the authors are telling this story in good faith" (p. 14). Brock (2002) is concerned with the scholarly value of having reliable sources of information. We agree that this is an important value in the sciences as well as history. However, at one level, the same ad hominem argument can be made against any author with respect to the goodness of their faith. At another level, however, is our genuine ethical concern that is being overlooked. One of our main informants explicitly requested to remain anonymous. Coming from a relatively small department, this source's identity was in jeopardy if we had named the university in question. We found ourselves caught in a moral dilemma. Thus our turning to the feminist and hermeneutical value of emancipation (Farganis, 1989; Thom, 1989; Woolfolk, Sass, & Messer, 1988), along with the Canadian Psychological Association code of ethics regarding dignity, respect, and social responsibility (Pettifor, 1996; Dunbar, 1998; Sinclair, 1998), we find justification for not revealing the identity of our sources at this time.
To summarize our response to Brock (2002), we contend that history and science too, are grounded on interpretation. Since interpretation, by virtue of the fact that it is always grounded against some
background context of understanding (Collingwood, 1965; Tonks, 1999), necessitates a 'biased' foundation, we can never avoid having some kind of interpretive bias (Gadamer, 1975). We are always already thrown into a semiotic world of understanding. Additionally, the history of the present is not as clean as history of the past when it comes to the living social-political world. Retribution and real consequences arise which have an impact on the lives of those involved.
Turning our attention to our other commentators, we find some support from Alexandra Rutherford (2002) who recognises the political challenges of keeping the courses going in times of budgetary restraints. As a new faculty member she recognises that her fate, and that of her courses, is not entirely in her own hands; although she does focus on the positive potential of such a critical exercise. Having acknowledged the challenges involved in teaching the history of psychology courses, such as: "lack of enthusiasm of faculty members towards history of psychology" (p. 17), and having "to defend the fundamental value" (p. 17) of the course, Rutherford (2002) has offered some pragmatic strategies to secure the future of teaching psychology's history.
The interpretation of the death of the pedagogy of the history of psychology is also brought up by Greer (2002) in his comments on our article, but he rightly attributes it to Fukuyama (1993) and not to us. Instead, Greer (2002) identifies the paradoxical nature of the history of psychology as he comments on the tension between scholarly and pedagogical histories of psychology. Like Brock (2002), Greer (2002) also finds himself in a supportive environment where the history of psychology appears to be flourishing. Having hired him to teach the history of psychology his department has made a conscious choice to maintain a historical perspective within their community. Like us, Greer (2002) also suggests that there can be a disciplining of the discipline where the critical historiography can play an important role in the development of our disciplinary identity (and how others perceive us), in part through the psychobiographical approach.
Nicholson (2002), on the other hand reports having found himself in a situation not unlike those reported in our initial article. Having spent time in the "dustbowl" of empirical psychology he reports being misunderstood by his colleagues to the point of it being a sublime incoherence of history and theory of psychology. He also reports a recent dearth of advertisements of position in the history of psychology relative to other fields. Time will tell whether or not there is a trend in opening positions for teaching the history of psychology. In spite of these challenges, he also notes having found a supportive environment in which to continue his career as a historian of psychology.
To conclude, we wish to thank all the commentators for an engaging dialogue (which was our goal when we undertook our project). Brock (2002), Rutherford (2002), Greer (2002), and Nicholson (2002) have all shared their personal experiences, observations, and reflections. Whereas Brock (2002) had a very different perspective on the future of teaching of the history of psychology, Rutherford (2002), Greer (2002), and Nicholson (2002) have shared our perspective to some extent in acknowledging challenges involved in teaching courses on the history of psychology. Perhaps the situation abroad is positive and history is flourishing, however, the comments heard about a variety of challenges experienced by teachers of the history of psychology (Table 1, see p. 23) suggest a hint of 'crisis' in Canada.
The landscape of teaching the history of psychology is like the discipline itself, varied. Reports from some communities are that the history of psychology is alive and well and flourishing. Elsewhere, in terms of its pedagogical role, challenges to historical gains that courses in the history of psychology have made appear to be retreating either through intentional attacks or through ideological incommensurability. As Danziger (1994) suggested, there are many centres of psychology each with its own practices and principles. The future of our discipline is impossible to predict, but it is inevitably drawn out of the present and grounded in the past. Our understanding of ourselves and our discipline will surely never be complete. However, as we engage in these conversations over the nature and scope of our general and specific perspectives, we are engaging in a ritual of identity, the making of our history and our future (Erikson, 1964).
References
Bhatt, G., & Tonks, R. G. (2002). What lies in the future of teaching history of psychology? *History & Philosophy of Psychology Bulletin, 14*(2), 2-9.
Blackman, L. M. (1994). What is doing history?: The use of history to understand the constitution of contemporary psychological objects. *Theory & Psychology, 4*, 485-504.
Brock, A. (2002). Comment on Bhatt and Tonks: Reports of our death are greatly exaggerated. *History & Philosophy of Psychology Bulletin, 14*(2), 10-16.
Collingwood, R. G. (1965). *Essays in the philosophy of history*. W. Debbins (Ed.). Austin: University of Texas Press.
Danziger, K. (1994). Does the history of psychology have a future? *Theory and Psychology, 4*, 467-484.
Dehue, T. (1998). Community historians and the dilemma of rigor vs. relevance: A comment on Danziger and Van Rappard. *Theory and Psychology, 8* (5), 653-661.
Dilthey, W. (1894/1977). *Descriptive psychology and historical understanding* (R.M. Zaner & K.L. Heiges, Trans.). The Hague: Martiuns Nijhoff.
Dunbar, J. (1998). A critical history of CPA's various codes of ethics for psychologists (1939-1986). *Canadian Psychology, 39*, 177-186.
Erikson, E.H. (1964). *Insight and responsibility*. New York: Norton.
Erikson, E.H. (1975). *Life history and the historical moment*. New York: Norton.
Erikson, E.H. (1982). *The life cycle completed: A review*. New York: Norton.
Farganis, S. (1989). Feminism and the reconstruction of social science. In A. Jagger & S. Bordo (Eds.), *Gender/Body/Knowledge: Feminist reconstructions of being and knowing*. New Brunswick: Rutgers University Press.
Fukuyama, F. (1993). *The end of history and the last man*. New York: Avon Books.
Gadamer, H.J. (1975). *Truth and Method*. New York: Seabury Press.
Greer, S. (2002). *History & Philosophy of Psychology Bulletin, 14*(2), 20-26.
Legge, J. (1971). *I Ching* (J. Legge, Trans.; R.vanOver, Ed.). New York: Signet.
Nicholson, I. A. M. (2002). *History & Philosophy of Psychology Bulletin, 14*(2), 27-29.
Pettifor, J. (1996). Ethics: Virtue and politics in the science and practice of psychology. *Canadian Psychology, 37*, 1-12.
Rutherford A. (2002). Comment on Bhatt and Tonks: Back to the classroom . . . and beyond. *History & Philosophy of Psychology Bulletin, 14*(2), 17-19.
Shotter, J. (1993). *The Cultural Politics of Everyday Life: Social constructionism, rhetoric and knowing of the third kind*. Buckingham: Open University Press.
Sinclair, C. (1998). Nine unique features of the Canadian Code of Ethics for psychologists. *Canadian psychology, 39*, 167-176.
Tomm, W. (1989). Introduction. In W. Tomm (Ed.), *The effects of feminist approaches on research methodologies*. Waterloo: Wilfred Laurier University Press.
Tolman, C. W. (1995). Psychology and the politics of imagination: Toward a history of the future. *History and Philosophy of Psychology Bulletin, 7*(2), 23-26.
Tonks, R. G. (1999). The hermeneutics of identity: Lived experience and Human Science. *History and Philosophy of Psychology Bulletin, 11* (1), 28-34.
Woolfolk, R.L., Sass, L.A. & Messer, S.B. (1988). Introduction to hermeneutics. In S.B.Messer, L.A.Sass, & R.L.Woolfolk (Eds.), *Hermeneutics and psychological theory: Interpretative perspectives on personality, psychotherapy, and psychopathology*. New Brunswick: Rutgers University Press.
Table 1
Comments from the Teachers of the History of Psychology
- While I was on my last sabbatical, proposals were floated to dilute my history courses. Given only a year left before my retirement, and the negative mood in the department, I decided to give up.
- Can't be sure if we will get an upcoming retirement position replaced in our history & theory program—although it would be a history position per se that could be lost.
- Up until two years ago we offered a full 6 credit class in History of Psychology. The instructor retired, and we have not been able to offer the class since his retirement.
- I am taking an early retirement package... No initiative to replace me with a full-time professor with a specialization in History has been made and it is unlikely that such a move will take place.
- There are no plans to hire a historian, although I will argue for this. Unfortunately, I am pessimistic. ... My department has officially announced that it is an "applied" department (clinical and applied social), which to me signals a further moving away from intellectual and critical investigation of the discipline. On a more positive note, there are two recently hired tenure-track faculty ... in my department with interests in teaching history.
- ... 25 years ago when I arrived [at this university] there was ... a history concentration. This is now whittled down to one course, optional, at the third year level. Some of this had to do with the fact that three people went on to become department chairs, deans etc. Some of this had to do with the complete inability and lack of energy [on my part] to engage in departmental politics.... So it has dwindled away, and interested students have gone to York program.
- The attitude is, of course, that apart from the low value placed on history, whatever history might be relevant is covered as part of every individual psychology course! Our department has never appointed anyone with explicit interests in history and I expect it will not in the immediate future (even as we have made eight new appointments this past year and expect to make another six or so next year).
- Being strictly a science department, it is unlikely that we would ever have position devoted solely to the history of psychology.
- I will be retiring within the next five years, and it is by no means clear that the Department will be looking for a historian specifically to replace me. In the past year or two... a non-historian has been teaching the core history course when I have not been able to.
- One faculty member has expressed interest in teaching the history class, but it would have to be at the expense of other courses offered, and we cannot entertain that possibility at the present time.
- After [the person teaching the course]... became disabled, the course was taught by others on a year to year basis (sometimes a disaster, other times ok).... It is not a pretty story; and possibly worse than in most other departments.
- We have lost one historian ... through non-renewal of a tenure-stream contract.
- If there are any plans to dump the [history] course, no one has told me about it. However, that doesn't mean dumping wouldn't happen, as this department has always been controlled by advocates of "hard" psychology.
Randal G. Tonks is Chair of psychology at Camosun College where he teaches history of psychology, research methods, and philosophy of science. His interests are in hermeneutics and human science where he has been applying Eriksonian psychohistory making methods to the lived experiences of people living in cultured worlds.
Gira Bhatt is psychology instructor at Camosun College. Her research interests focus on the larger historical and methodological issues in psychology. As well, she is actively involved in the empirical investigation of issues pertaining to identity and culture. Application of these research findings to the social world outside classrooms is her comprehensive academic goal, which is reflected in her involvement at the community level. |
2nd Symposium
ICTM
International Council for Traditional Music
Study Group
Audiovisual Ethnomusicology
Lisbon, 27-30 June 2018
Universidade Nova de Lisboa
INET-md / FCSH
Auditório 1
keynote speaker: Catarina Alves Costa
panels & film exhibitions
program & abstracts
Index
ICTM Introduction ........................................................................................................... 3
ICTM Study Group on Audiovisual Ethnomusicology .................................................. 6
Webpage: https://ictmusic.org/group/audiovisual-ethnomusicology ....................... 6
Keynote speaker ............................................................................................................. 7
Registration .................................................................................................................. 8
Conference Program .................................................................................................... 8
Abstracts ....................................................................................................................... 11
Conference Venue ....................................................................................................... 25
Museu Nacional de Etnologia ...................................................................................... 26
Accomodation .............................................................................................................. 27
Where to eat and shop ................................................................................................. 27
Moving around Lisbon ................................................................................................ 28
About Lisbon ............................................................................................................... 29
Business hours ............................................................................................................. 29
Lisbon districts ............................................................................................................ 30
Nightlife ....................................................................................................................... 30
Useful links ................................................................................................................... 31
Program Committee
Dario Ranocchiari (Universidad de Granada) – Chair
Salwa El-Shawan Castelo-Branco (Universidade Nova de Lisboa)
Stephen Wild (Australian National University)
Matías Isolabella (Universidad de Valladolid)
Film Committee
Nico Staiti (Università di Bologna)
Jennie Gubner (Indiana University)
Ram Prasad Kadel (Museum of Nepalese Folk Musical Instruments)
Local Arrangements Committee
Iñigo Sánchez Fuarros (Universidade Nova de Lisboa) – Chair
Teresa Gentil (Universidade Nova de Lisboa)
Floriana Asperti (Universidade Nova de Lisboa)
Isaac Raimundo (Universidade Nova de Lisboa)
Ricardo Andrade (Universidade Nova de Lisboa)
Executive Committee of the Study Group on Audiovisual Ethnomusicology
Leonardo D’Amico (Yunnan University) – Chair
Yves Defrance (Université Rennes 2) – Vice Chair
Matias Isolabella (Universidad de Valladolid) – Secretary
ICTM Introduction
The International Council for Traditional Music is a scholarly organization which aims to further the study, practice, documentation, preservation, and dissemination of traditional music and dance of all countries. To these ends the Council organizes World Conferences, Symposia, and Colloquia, and publishes the *Yearbook for Traditional Music* and the online *Bulletin of the ICTM*.
As a non-governmental organization in formal consultative relations with UNESCO and by means of its wide international representation and the activities of its Study Groups, the International Council for Traditional Music acts as a bond among peoples of different cultures and thus contributes to the peace of humankind.
**History**
In her capacity as Honourable Secretary of the International (Advisory) Folk Dance Council, Maud Karpeles (1885–1976) organized the International Conference on Folk Song and Folk Dance, held at the Belgian Institute in London, 22–27 September 1947. Delegates from twenty-eight countries participated, mostly appointed by the governments of their respective nations, as well as a UNESCO representative, Vanett Lawler. The conference was paid for by a small fund held by the English Folk Dance and Song Society (EFDSS), representing profits from the International Folk Dance Conference and Festival held in 1935, an additional £100 from the EFDSS itself, and the same amount from an anonymous donor.
On the afternoon of Monday, 22 September 1947, the Vice Chairman of the conference, Steuart Wilson (1889–1966), proposed “that an International Folk Music Council be formed”. The motion was carried by a show of hands. In the following days, a provisional constitution was adopted, and Officers and an Executive Board were appointed for one year.
The Officers were:
- Ralph Vaughan Williams (UK; President)
- Poul Lorenzen (Denmark; Vice President)
- Albert Marinus (Belgium; Vice President)
- W. S. Gwynn Williams (UK; Treasurer)
- Maud Karpeles (UK; Secretary)
The Executive Board consisted of:
- Renato Almeida (Brazil)
- Natko Devčić (Yugoslavia)
- Duncan Emrich (USA)
- Douglas Kennedy (UK)
László Lajtha (Hungary)
Claudie Marcel-Dubois (France)
Petro Petridis (Greece)
Ole Mork Sandvik (Norway)
Ahmed Adnan Saygun (Turkey)
Klaus P. Wachsmann (Uganda)
Louise Witzig (Switzerland)
In the same year, IFMC appointed 140 music and dance experts as correspondents from 35 countries and regions. On 13–18 September 1948, the first IFMC conference was held in Basel, and the first Bulletin was published. In 1949 the first issue of the Journal of the International Folk Music Council appeared, and the Council was one of the founding members of the International Music Council. The Yearbook of the International Folk Music Council replaced the Journal in 1969. The name change to the International Council for Traditional Music occurred at the 26th World Conference in Seoul on 27 August 1981. The name of the journal then became the Yearbook for Traditional Music.
The first President of the Council was English composer and folk music collector Ralph Vaughan Williams (1947–1958), followed by Jaap Kunst (1959–1960), Zoltán Kodály (1961–1967), Willard Rhodes (1967–1973), Klaus P. Wachsmann (1973–1977), Poul Rovsing Olsen (1977–1982), Erich Stockmann (1982–1997), Anthony Seeger (1997–1999), Krister Malm (1999–2005), Adrienne L. Kaeppler (2005–2013), and Salwa El-Shawan Castelo-Branco (2013–2021).
The first Secretary General of the Council was Maud Karpeles (1947-1963), followed by Robin Band (1963-1965), Barbara Krader (1965-1966), Felicia Stallman (1966-1967), Christian Eijlers (1967-1968), Connie Matthews (1968-1969), Graham George (1969-1981), Dieter Christensen (1981-2001), Anthony Seeger (2001-2006), Stephen Wild (2006-2011), Svanibor Pettan (2011-2017), and Ursula Hemetek (2017-2021). Among the institutions that were host to the Secretariat were the Danish Folklore Archives (Copenhagen, Denmark), Queen's University (Kingston, Canada), Columbia University (New York, USA), UCLA (Los Angeles, USA), Australian National University (Canberra, Australia), University of Ljubljana (Ljubljana, Slovenia), and University of Music and Performing Arts Vienna (Vienna, Austria).
Since 2017, the Council has been registered as a non-governmental organization in the Republic of Slovenia.
World Conferences
ICTM World Conferences have been held since 1948 and are presently biennial. They offer the membership and the general public opportunities for exchanges on a broad range of issues.
Read more about past ICTM World Conferences here.
The next ICTM World Conference will be hosted by Chulalongkorn University in Bangkok, Thailand in July 2019.
Study Groups
ICTM Study Groups are formed by ICTM members sharing a common area of scholarly study. They periodically meet at Study Group Symposia.
Currently there are 22 active ICTM Study Groups, with foci on African Musics; Applied Ethnomusicology; Audiovisual Ethnomusicology; Ethnochoreology; Historical Sources of Traditional Music; Iconography of the Performing Arts; Maqām; Mediterranean Music Studies; Multipart Music; Music and Allied Arts of Greater South Asia; Music and Dance in Southeastern Europe; Music and Dance of Oceania; Music and Gender; Music and Minorities; Music Archaeology; Music, Education and Social Inclusion; Music in the Arab World; Music of the Turkic-speaking World; Musical Instruments; Musics of East Asia; Musics of the Slavic World; and Performing Arts of Southeast Asia.
Colloquia
Colloquia have been organized by invitation since 1981. These events focus on selected themes, intensively discussed by smaller groups of scholars and representatives from related fields.
The study group on audiovisual ethnomusicology investigates the potentials of audiovisual media in a wide range of ethnomusicological activities: research, preservation, and dissemination.
1. Research
Audiovisual recording has already been considered an indispensable tool in fieldwork and many ethnomusicologists collect audiovisual footage as a tool for analysis and some produce films for sharing research results with colleagues, students and the general audience. The study group will investigate how ethnomusicologists have used this media in their research, and how the use of this media has affected and/or changed their perceptions of music, the method of data gathering, and the rapport with the people and community under study. It will explore the ethics and methodology of using audiovisual media including filmmaking and post-production applications.
2. Preservation/invigoration
Many music and dance traditions are facing extinction due to various reasons. Audiovisual technologies have been used to record music and dance traditions all over the world, reflections on philosophical, ethical, methodological and technical aspects of such efforts have not been sufficient. The study group will discuss why we need to preserve traditions to begin with, what type of preservation has been done and how, what role audiovisual media can play to foster, preserve, reinvigorate, or even to revive disappearing or attenuated traditions. The group will also seek innovative projects to utilize historical audiovisual documents for the same purpose.
3. Dissemination
The research findings in ethnomusicology have been shared primarily in the form of written text with the audiovisual as a supplement or illustration, while the audiovisual media are generally regarded as better equipped to record/document music and dance. The study group will identify the major problems of the textual representation of music and dance and explore the ways in which audiovisual can be effective as primary media to share research findings.
Webpage: https://ictmusic.org/group/audiovisual-ethnomusicology
Catarina Alves Costa holds a PHD in Anthropology from Lisbon Nova University and an MA in Visual Anthropology from the Granada Centre for Visual Anthropology, Manchester. She teaches Visual Culture and Anthropology in Lisbon, Portugal, and collaborates with different post-graduation studies abroad: Barcelona, Spain, São Paulo University, Brazil and Mexico City. She was jury in different ethnographic film and cinema festivals. She directs films since 1992, won various international prizes and published different works on documentary and ethnographic films. Some of her films are distributed by Documentary Educational Recourses, DER. Recently she coordinates the DVD collection for Portuguese Cinemateque around African ethnographic films directed by ethnologist Margot Dias.
Registration
All participants should register to the venue by June 20, 2018 at:
https://goo.gl/forms/ZV5q7hHWYVxL0zpm1
Conference Program
All sessions (except workshops) will take place at the **Auditório 1 (second floor)** of the Tower B of the Faculdade de Ciências Sociais e Humanas (Universidade Nova de Lisboa).
**Wed 27**
| Time | Event |
|---------------|----------------------------------------------------------------------|
| 9.30-11.00 | Registration: Auditório 1 |
| 11.00-11:30 | Opening |
| 11.30-13.30 | 1. CHAIR: FILIPPO BONINI BARALDI |
| | - Asperti, Floriana and Elvio Manuzzi: *Music and emotion: multiple audio and video recordings as a tool. The case study of the state of sabaj in Sikh community of Odivelas, Lisbon* |
| | - Kieser, Sonja: *Towards an Ethnographic Film for Embodied Knowledge* |
| | - Roy, Jeff: *Queer Interventions in Ethnomusicological Filmmaking* |
| 15.30-17.00 | 2. CHAIR: IÑIGO SÁNCHEZ |
| | - Castrillón, Juan: *Introducing Sufi 'Music' or Sufi Ways of 'Listening'? Audiovisual Arguments in Ethnomusicology* |
| | - D’Amico, Leonardo: *Ethno-tourism, Myth and Songs among the Bulang people (China)* |
| 17.30-19.30 | 3. CHAIR: DARIO RANOCCHIARI |
| | - Boswall, Karen: *A participatory exploration of the transformative powers of women’s song in Mozambique* |
| | - Giorgianni, Eugenio: *Participatory camera and spiritual encounters in Congolese diasporic music-making* |
| | - MacDonald, Michael: *The Value of Storytelling: ethnofiction film for urban ethnomusicological research* |
| 20.30-22.30 | Film session 1 |
| | CHAIR: YVES DEFRANCE |
| | M. van der Spek, *Worth Repeating!* |
| | M. MacDonald, *We’re Too Loud* |
lunch
coffee break
dinner
| Time | Event |
|------------|----------------------------------------------------------------------|
| 9.00-11.00 | **Workshops:**
- K. Boswall: *Lightweight, portable multi-track field recording* (Room T1) *
- iNova Medialab: *Ethnomusicology and Emerging Digital Grammars* (Room T5) **
**Film session 2:**
**CHAIR: FLORIANA ASPERTI**
- A. Ventura: *For whom You Have There*
- R. Nayyar: *Ropani*
- A. Duarte & B. Almeida: *Folgações do Mogi Abaixo*
coffee break |
| 11.30-13.00| **4. CHAIR: LEONARDO D’AMICO**
- Lopes, Sofia: *The RTP Song Contest: An audiovisual fieldwork from the past*
- Thram, Diane: *Postcolonial issues for colonial audiovisual archives: the Hugh Tracey Collection and 21st century archival ethics*
- Pinto, João: *Television studies without images: the musical context in Portugal*
lunch |
| 15.00-17.00| **5. CHAIR: JENNIE GUBNER**
- Bofill, Jaime and Michael Brims: *Sounds of the Street Vendors, Havana, Cuba: A Collaborative Ethnography*
- Bonini Baraldi, Filippo: *The ethnologist between images and phantoms. Three stories of gypsy science-fiction and their implications for visual anthropology*
- Hikiji, Rose and Jaspers Chalcraft: *Soundtrackers - Musicking film with African migrant musicians in Brazil*
coffee break |
| 17.30-19.30| **CHAIR: SALWA EL-SHAWAN CASTELO-BRANCO**
**Keynote speaker:** Catarina Alves Costa: *Visual Anthropology and Ethnomusicology - Between Reenactment and Evidence* |
| 20.30-22.30| **Film session 3**
**CHAIR: DARIO RANOCCHIARI**
I. Clouter, *Vicara ko vinimaya*
J. Belisova, *Tazka Dusa (Heavy Heart)*
dinner |
* Registration to the *Lightweight, portable field recording* workshop:
https://goo.gl/forms/EGoncJLVwkTn6VrF3
** Registration to the *Ethnomusicology and Emerging Digital Grammars* workshop:
https://goo.gl/forms/bz1Yvlm1vT3a5LEq1
| Time | Event |
|------------|----------------------------------------------------------------------|
| 9.00-11.00 | **6. CHAIR: BENJAMIN HARBERT** |
| | - Berlanga, Miguel Ángel: *In the Hypertext and Video Era. Experiences on use of audiovisual in research, teaching and writing texts on topics of applied ethnomusicology* |
| | - Bittencourt, Luiza and Daniel Domingues: *Virtual Audience: Youtube and the Reconfiguration of the Music Industry* |
| | - Mangifesta, Nico: *The Meguru Panggul Methodology on the Web 2.0: Characteristics of the e-Learning Videos of Balinese Gamelan Music* |
| | *coffee break* |
| 11.30-13.30| **Roundtable:** J.Gubner, D.Staiti, M.Isolabella, *Doing, Discussing, and Teaching Audiovisual Ethnomusicology Today* |
| 15.00-17.00| AVE Study Group Meeting |
| | *lunch* |
| | *coffee break* |
| 17.30-19.30| **Film session 4** |
| | **CHAIR: DOMENICO STAITI** |
| | - J.C.Ribeiro, *Tradition and Encounter* |
| | - H.Curti & A. Pujol, *Eolssigu! The sounds of Korea* |
| | *dinner* |
| 20.30-22.30| **Film session 5** |
| | **CHAIR: EUGENIO GIORGIANNI** |
| | - B.Harbert, *Follow Me Down: Portraits of Louisiana Prison Musicians* |
| Time | Event |
|------------|----------------------------------------------------------------------|
| Sat 30 | |
| 9.00-11.00 | **7. CHAIR: JORGE CASTRO RIBEIRO** |
| | - Calvi, Giordano: *Video recording black metal narratives; fieldwork challenges* |
| | - Harbert, Benjamin: *Expressive Understandings and National Constraints: U.S. Music Documentary Film in Socio-Economic Context* |
| | - Villela, Alice: *How to film participatory performances? Audiovisual production as translation of musical experience* |
| | *coffee break* |
| 11.30-13.30| **Film session 6** |
| | **CHAIR: MATIAS ISOLABELLA** |
| | - R.Campbell, *Estevão: a sensory ethnomusicology of learning* |
| | *lunch* |
| 15.30-17.00| Visit at Museu de Etnologia |
Floriana Asperti and Elvio Manuzzi (INET-md, Universidade Nova de Lisboa)
*Music and emotion. Multiple audio and video recordings as a tool. The case study of the state od sahaj in Sikh community of Odivelas, Lisbon*
*Keywords: music, emotion, Sikh, sahaj, multiple recording*
The conference reflects on specific questions: “How audio-visual recordings support the research on music and emotion?” “Which kind of new perspectives for the analysis audio-visual recordings bring?”
Throughout fieldwork for my master thesis I worked with Sikh community in Lisbon. I explored a specific emotional and mental state, called sahaj, Sikhs achieve through the performance of their sacred music. During this state the person experiences a perfect balance in total connection with the divine; he feels extreme bliss and peace, with no specific exterior manifestations.
In order to document this emotional state and its link with music and following M. Clayton’s example, I adopted the technique of multiple audio and video recordings during a specific performance and then built the analysis with the software EAnalysis. I present here how video cameras and various audio capture points became necessary for my research. On one side, they allow to get very near a situation or a person; see repetitive times every small details of muscular movements; on the other, the possibility of having more cameras grants the privilege to focus the attention on different elements at the same time, and later to compare the material synchronized on a single timeline. The presentation not only concerns the relevance of gestures and movements in emotional states and how audio-visual medias can detect the relation among gesture, emotion, and music, but it reflects also on the possibilities of audio recording and how the various microphones’ positioning can have an influence on the research and text/context topics.
Sonja Kieser (University of Vienna)
*Towards an Ethnographic Film for Embodied Knowledge*
*Keywords: embodiment, musicking, film, method, epistemology*
Scientific knowledge is written philosophical argumentation, can film be a produced treatise about embodiment? The collection of audiovisual data is a common method in Ethnomusicology (Blacking, Baily, Zemp) but for the dissemination written text is the widespread format. In this paper I discuss how a sensorial (Pink 2009) approach to filming and filmmaking (MacDougall 2011) enables the researcher to challenge epistemology and alter knowledge production about embodiment. First, filming used as method defines you in the field as a craftswoman and enables you to participate as documenter. As active participant you become part of the performance and enter in closed spaces. After, watching footage enables your collaborators to be immediately part of the research process in a dialogic manner and comment on their performances. Second, performing is a corporeal praxis, that is best explained through the body. Dancing or martial arts are learned through corporeal imitation and repetition. Therefore, the audiovisual data can be used as learning material, and for structural and cultural analysis of performances. After, the cut is an interpretation and becomes as treatise a historical source. In my research I focused on traditional musical practices in South Italy and found that “music” is (multisensorial) being (Tim Ingold 2011). Preparing the meals and eating are a fundamental part of music, as well as listening, chatting and being there, playing, moving and participating in any possible form. Therefore, embodiment as a key element of musicking, and the many facets of this corporeal knowledge can be expressed through ethnographic film.
Jeff Roy (CNRS)
*Queer Interventions in Ethnomusicological Filmmaking*
*Keywords: queer theory, postcolonial feminism, identity, ethnomusicological filmmaking, India*
This paper centers on several visual ethnographic engagements which took place over the course of six years within and around the transgender and *hijra* (‘third gender’) community in Mumbai, India. In dealing reflexively on the author’s positionality as a “foreign photo *chela*” (student or daughter), this presentation examines the role of ethnomusicological filmmaking within the social organization and cultural practices of *hijra gharanas* (families or houses) as it sheds light on—and in some ways facilitates—the community’s own efforts to advance their rights across changing political, economic, and cultural landscapes. Drawing from clips of new and previous works, this paper examines how perspectives offered by western ethnographers of the queer transnational identity trade, such as the author, may clarify and/or distort the representation of identities that are articulated through multiple parameters of difference. What aspects of “truth” are left behind when western LGBTQ-identified researchers enter and attempt to amplify the voices of “queerly hidden” subjects from the ethnically, religiously, linguistically multifaceted and vernacular corners of the community? How can queer ethnomusicological filmmaking and other queer ethnographic methodologies provide a critical perspective of—and platform for—these communities’ cultural practices while honoring the diversity and multiplicity of identity expressions constituted within them? Through reflexive critique, the author proposes de-centering ethnomusicological filmmaking from established milieus of authority, in an effort to contextualize imperfect participatory performances of its queerly emplaced subjects and scholars. This paper is concluded with some pragmatic directions that come out of the critiques highlighted therein.
**PANEL 2 – CHAIR: IÑIGO SÁNCHEZ**
**Juan Castrillón (University of Pennsylvania)**
*Introducing Sufi “Music” or Sufi Ways of “Listening”? Audiovisual Arguments in Ethnomusicology*
*Keywords: audiovisual arguments, Turkish Sufi music, auteur cinema, Istanbul, ethnomusicological films*
In the last decades, the preference for how sounding images appear to observational cinemagoers has deeply impacted ethnomusicological visual sensibilities. The aesthetic features of observational cinema combined with the uniqueness of what is shown on screen have played a major role in determining if these count as academic research or informative entertainment. This *aesthetic* and *analytic* conjuncture, however, is often challenged when events, interlocutors and new audiences establish other dialogic forms that cause the position of ethnomusicologists to be reconsidered along with their sensory paradigms. These dialogic forms prompt the audiovisual work that ethnomusicologists carry out to consider the *aesthetics-analytics*’ relation under different configurations. Consequently, the ways in which image, sound, repetition, and motion relate to one another become modified, as well as the strategies ethnomusicologists develop to authorize the representations about the realities they study. Then, if the *aesthetic-analytic* conjuncture becomes modified, how we should analyze films authored by ethnomusicologists and discuss the deliberate ways through which these films represent their assumptions? Analyzing three audiovisual works that I realized in Colombia and the United States as part of ethnographic research of Sufi music in Turkey, I show how different narrative styles and subject positions contributed to establishing various modes of dialoguing with Turkish and non-Turkish audiences. I suggest that the development of authorship forms and argumentation styles in films authored by ethnomusicologists, when they are treated as audiovisual essays, rather than considering them supplementary documents, provide relevant arguments to value film as part of analytic thinking in ethnomusicology.
**Leonardo D’Amico (Yunnan University)**
*Ethno-tourism, Myth and Songs among the Bulang people (China).*
marketing of musical heritage may lead to representing traditional performance practices as new forms of exoticism. This audiovisual presentation will also examine a collaborative approach oriented to highlight the correlation between Bulang mythology and music, how we can use filmed performances as audiovisual documents for the creation of a song database, and how to encourage wider social community to recognize their importance as a unique segment of intangible cultural heritage.
**PANEL 3 – CHAIR: DARIO RANOCCHIARI**
**Karen Boswall (University of Sussex)**
*A participatory exploration of the transformative powers of women’s song in Mozambique*
*Keywords: Mozambique, Niassa, song, early marriage, girls & women*
This paper explores the use of hybrid participatory methodologies to draw on the affective power of music and the expanding possibilities of multi-media narrative forms to produce new and effective ways for diverse voices, stories and perspectives on gender (in)equality in Mozambique to be heard, shared and discussed. Over a two-year period, young musicians, writers and film-makers in the northern Mozambican province of Niassa have been supported to conduct research into the songs used during the traditional education of young Mozambicans living in and around the provincial capital Lichinga. Here, children and adults have been educated and their social beliefs and values reinforced through song for generations and this has been reflected in the region’s popular music. Drawing on Rouchian methodological frameworks (Rouch & Feld, 2003), questions of voice, both through speech and first hand testimony (Minh-ha, 1991), and voice that goes beyond speech; through gesture and silence (Jackson, 2012), collaborative (self)-representation or the ‘third voce’ (Kaminsky, 1992), and Arjun Appadurai’s ‘capacity to aspire’ (Appadurai, 2004) the researcher examines the strengths and weaknesses of the participatory methodologies adopted and the challenges these present in the field as she supports young Mozambican men and women embark on their own creative journeys to harness the power of song and contribute to the national debate around early marriage, girls’ education and women’s rights.
**Eugenio Giorgianni (Royal Holloway, University of London)**
*Participatory camera and spiritual encounters in Congolese diasporic music-making*
*Keywords: collaborative filmmaking, spirituality and music, ciné-trance, Congolese diasporic music, anthropology of performance.*
In my Ph.D. research, I apply participative cinematic practices (music video clips, promotional material, ethnographic documentaries) to explore the spiritual dimension of Congolese popular music composed and performed in the European diaspora, elaborating from the concept of ciné-trance coined by Jean Rouch (Feld, 2003).
The ethnographic material derives from fieldwork within Congolese Catholic community in Rome, Italy, and in the circuit of ‘conscious’ Congolese music in London, UK. The case studies refer to musical expressions in which the interpreters establish a direct relationship with the supernatural (the ancestors, or the various divine Catholic entities) while being filmed, being the camera part of the transcendent process. The settings vary from Catholic liturgical context to African Christian music pieces and other popular songs addressing Congolese and international music market and audience. The nexus between spirituality, music and the camera is seen against the sociocultural value of music as a vehicle for political demands, identity claims and community affiliation. The collaborative use of camera in ethnomusicological context introduces an additional element of reflexivity within fieldwork relationships at the same time that it virtually puts the subjects in contact with a broader audience than their usual personal networks. Hence, audiovisual media intensify the potential of creative self-expression between the subjects of the anthropological dialogue, eliciting and amplifying further cultural communication – both textual and non-verbal. Collaborative filmmaking sheds light on the emotional and corporeal texture of music creation and reproduction, revealing cultural and experiential contents beyond instrumental and vocal articulations.
Michael MacDonald (MacEwan University)
The Value of Storytelling: ethnofiction film for urban ethnomusicological research
Keywords: ethnographic fiction, Jean Rouch, urban ethnomusicology, popular music studies, existential ethnomusicology
In Picturing Culture (2000) visual anthropologist Jay Ruby pointed out that Writing Culture (1986), the text that came to define contemporary ethnographic practice, made no reference to ethnographic filmmaking. The 2015 reboot, Writing Culture and the Life of Anthropology, has continued this omission. One of the consequences of this lack is a missed opportunity to engage in a critical evaluation of ethnographic film innovations. This is especially true for a methodological innovation like ethnographic fiction. Introduced by Jean Rouch in the 1950s, ethnographic fiction had a significant impact on the French New Wave, as is widely discussed in film circles, but its impact on anthropology has been little discussed. No debate at any scale has occurred and the consequences of this have meant that ethnographic fiction is more often treated outside of ethnographic studies. But as ethnomusicological study follows anthropology’s reorientation to the study of urban popular cultures, ethnographic fiction offers an opportunity to engage in ethnographically rich fiction film production with media savvy research partners. Working with musicians to produce a fiction film about their music culture is much easier to explain than ethnography and much more revealing of existential themes than the observational documentary. The downside perhaps is that it requires knowledge of more advanced filmmaking techniques and a very strict grounding in ethnographic practice in order to not get swept away into Hollywood tropes. This paper will contextualize Rouch’s approach to ethnographic fiction before discussing its application to ethnomusicology through a detailed analysis of two original ethnographic film projects. The goal of this discussion is to illustrate both the methods for ethnographic fiction film but also the unique forms of existential research outcomes that emerge from this method.
Dario Ranocchiari (Universidad de Granada)
Co-utility and transmodality: two concepts for improving shared research practices on music
Keywords: participatory methodology, visual ethnography, shared research practices, ethnomusicology
The concepts of co-utility and transmodality has been proposed as possible basic principles for producing research outcomes in participatory ethnography. In few words, ‘co-utility’ refers to the effort of conciliating the priorities of both academic and non-academic subjects of research when producing the research outcomes. While ‘transmodality’ refers to the necessity of elaborating research products that can transcend the conventional modalities of academic knowledge transmission (e.g. written scientific papers, essays and books). In this paper, I will discuss and problematize these concepts, applying them to the production of different possible audiovisual outcomes of shared research experiences in music.
FILM SESSION 1 – CHAIR: YVES DEFRANCE
Miranda van der Spek (Mirandas film)
Worth Repeating! (28’)
Worth repeating is a film about the music of the Ouldémé people in the North of Cameroon and the relation with daily life, especially the production of millet. Music which expresses their worldview: the unity of man and nature, the cyclical thinking and the importance of the group above the individual. One of the characteristic of the Ouldémé music is the endless repetition of the polyphonic melodies, which are mainly played on flutes and trumpets of natural materials like reed, bamboo, wood and horns. At each stage of the agricultural cycle, there are different instruments and specific structured melodies played. The idea of the interconnectedness of the music with the agricultural life and the world view is reinforced by building the film as a cycle and an organic whole. Camera work and editing emphasize this congruency. The camerawork is sober, mostly filmed on a tripod, with a lot of close ups, slow filming. The editing is based on
rhythm, not only in music, but also following the rhythm in the nature, the daily activities and movements of people. As a whole the film is a musical composition in itself.
Michael MacDonald (MacEwan University)
*We’re Too Loud* (54’)
Filmed with 1950s era 16mm lenses on a digital cinema camera, *We’re Too Loud* is a stylish ethnographic film about a second-generation rock musician struggling to maintain a “hippie” way of life on a small northwest coast Canadian island. Informed both by Christopher Small’s notion of musicking and the emergent theory of ecomusicology, this film poses existential questions about musical creativity embedded within ecology. Each act is introduced by a quote from Wendell Berry’s *The Art of the Commonplace* (2002) to highlight the conflict that unfolds over the film’s 54 minutes. Breagan Smith’s family moved to Hornby Island, British Columbia, Canada along with many “back to the landers” in the 1970s. This migration of hippie youth settled, built communities, raised families, and developed an ecologically sound way of living. But now, as baby boomers retire, many of their generation move to the island, making it too expensive for many young locals who are forced to leave the island for larger towns or cities. After almost a decade living away, Breagan moved back to Hornby to return to his roots. The film begins a few years into his return where we meet Breagan and a small group of local musicians eager to maintain an ecological way of life. But soon after a show his hopes for a summer of concerts is dashed by a series of cancellations due to complaints of alcohol use and noise. Is it possible to live as a rock and roll artist on an island quickly becoming a retirement community? This film follows Breagan’s struggle to maintain a way of life on an island he loves, while it is quickly transformed by gentrification.
WORKSHOPS
Karen Boswall (University of Sussex)
*Lightweight, portable multi-track field recording*
Have you ever been travelling light in the field, and had to sacrifice making quality multi-track recordings of acoustic music because the field mixer, laptop and microphones wouldn’t fit in the backpack? Or are you a novice who previously worked with a sound technician and now has to record audio yourself? This workshop will give you an opportunity to explore the possibilities of recording quality multi-track audio using simple stereo field recorder(s) and portable microphones and stands. Participants will be able to practice good microphone placement, experience the difference between mono, stereo and surround sound recording, and get some useful tips on making good recordings of acoustic or amplified performances. Participants can bring their own cameras, field recorders, headphones and laptops to the workshop or take part as an observer. The editing software used in the workshop will be Adobe Premiere Pro – but this is transferrable to FCP7 or FCPX for those who haven’t (yet) made the switch.
Paulo Nuno Vicente, Maria de Sao Jose Corte-Real, Alexandra Urbano, Maria Espírito Santo, Giordano Calvi, Sofia Vieira Lopes, Miguel Carvalho, Marco Freitas e Joao Ricardo Pinto (Universidade Nova de Lisboa)
*Ethnomusicology and Emerging Digital Grammars*
This workshop will address audio-visual and multimedia concepts and technics for ethnomusicology science communication. Throughout legacy media grammars (audio, image, video) and emerging technologies (360° video, virtual and augmented reality, interactive documentary, binaural sound), this workshop will allow participants (maximum 8) to engage with and explore iNOVA Media Lab cutting-edge equipment and know-how. Besides iNOVA Media Lab professors/researchers, the instructors in this workshop are selected participants in a seminar in which pioneering experiences were developed during a very recent semester of collaborative academic at NOVA FCSH.
António Ventura (Universidade de Aveiro)
*For Whom you Have There*
The *Encomendação das Almas* is an annual practice that occurs during the Lent, at midnight, in the streets of various villages of the municipality of Idanha-a-Nova. It began being documented since the 1950's by various ethnographers and folklorists and in 2017 justified a patrimonialization process, in which the municipality, local informants, and a large group of idanhenses are active participants. In Penha Garcia, a group of women stops in three high places so that their voices can be heard throughout the village. These women believe that by singing and praying in unison are guiding their loved ones who are no longer alive, towards heaven where they can find eternal peace. This visual ethnography is the result of an investigation that has been under way since 2014, aiming to understand the importance and impact of this and other manifestations, their protagonists and contexts, in the 21st century in Penha Garcia.
Rajat Nayyar (Tallinn University)
*Ropani*
In Bihar (India), 'Ropani' is a woman who sows paddy saplings. This ethnographic film by Rajat Nayyar is about an intimate encounter with Aaji, who becomes 'Ropani' during monsoon and has worked in the paddy fields for 40 years. The research explores the space and music in which she dwells and that which dwells in her. The film also shows how Burhwal children learn to socialize and create relationships. Much like what Bambi Schieffelin (1990) observed, that by the virtue of their daily participation in events, Burhwal children acquire a range of interactional options; that in those events children participate directly as addressees and indirectly as observers of others in the negotiation of giving and taking, sharing and refusing; and further that children overhear almost everything that goes on since few events are managed privately.
Alexsander Duarte and Bruno Almeida (Universidade de Aveiro)
*Folgazões do Mogi Abaixo. Music and caipiridade in the South of Minas Gerais*
Keywords: audiovisual documentary, ethnomusicology, caipiridade, música raiz, viola caipira.
The use of images from ethnomusicologists’ fieldwork by researchers from other scientific domains is a current and relevant topic both for ethnomusicology and other scientific domains such as multimedia communication or audiovisual studies (Fernandes, 2014; Oliveira, 2011). This paper is the result of shared research that consists of the construction of an audiovisual documentary (within the context of a Masters in Multimedia Communication) based on ethnographic material (collected during a PhD thesis in Ethnomusicology). The audiovisual work began in 2017 and is still in development. It is an attempt to understand how the two fields can intersect to define a strategy of audiovisual communication of ethnographic contents. This strategy encompassed all phases of traditional audiovisual production adapting them to the specific needs of ethnographic scientific rigor and a project where filming preceded the pre-production process. The ethnographic work was carried out between 2009 and 2012 with the objective of understanding the protagonisms associated with the *música raiz* in the region of Sul de Minas, in the Brazilian state of Minas Gerais. *Música raiz* is understood, in this context, as a musical universe that encompasses several "rhythms", "shapes" or "styles", such as moda-de-viola, pagode-de-viola, querumana, guarânia, performed by a couple singing in duet, accompanied by the viola caipira. The term encompasses the segments *caipira* and *sertaneja* music in the sense that, for the protagonists, the classifications converge. The whole documentary comprises the elaboration of three chapters, each with an approximate duration of eight minutes. As the selection and editing of the material is in progress, we propose to showcase the first chapter, which introduces the context, in order to approach the various narratives constructed about the meaning of the word "caipira".
The RTP Song Contest is the longest television show and music contest in Portugal, held annually by the public Portuguese television network since 1964. The main goal of this contest is to choose the Portuguese entry at the Eurovision Song Contest, held by European Broadcasting Union since 1956. Both contests reflect the social and political anxieties in Europe over the last sixty years. Through these contests pass several narratives about Portuguese and European identities, about distance and proximity, about difference and resemblance, about tradition and modernity. More than 50 years from its premiere, RTP Song Contest still occupies a prominent space in music and television scenes in Portugal, gathering a wide network of musicians, composers, lyricists, producers, technicians, and professionals of media and music industries. The contest and its narratives are extended over time due to its huge visibility in other media, such as press, radio, internet, social media, and recording industry. So, to assert the role of the agents and to analyse the role of RTP Contest as a platform for identity narratives we have to expand our field and take into consideration the whole media apparatus that gravitates around it. Our methodological tools have to be conceived to cover the diversity of sources of information and its different natures. This paper is part of a research work still in course and aims to debate the methodological problems and possible solutions of a historical research about an audiovisual fieldwork.
Hugh Tracey is well-known for his sizable collection of musical sound, still images and film recorded throughout sub-Saharan Africa over four decades (1930s-70s). Archived in South Africa at the International Library of African Music (ILAM), which he founded in 1954, these av recordings and the documentation he created have served scholarship of African music in multiple ways. Two recent PhD studies - (Lobley, 2010) of the Hugh Tracey Collection’s value to ethnomusicology and (Coetzee, 2014) of his textual traces archived at ILAM - demonstrate the stark contrasts in his legacy. Lobley assesses the value of Tracey’s historical recordings to ethnomusicology at large without entering into critique of his colonial agenda. Coetzee applies postcolonial whiteness theory to his textual traces to elicit the racism embedded in his colonial attitudes. Evidence from these two theses is presented to provoke consideration of the many-layered aspects of one collector’s contribution to preservation of African music for posterity and ramifications for archival ethics now. I report on how ILAM disseminates Tracey’s recordings in the public sphere and, when possible, repatriates them to their communities of origin through digital return. As a mandate of post-colonial awareness, this work is attempting to establish an ethic of reciprocity in archival and ethnomusicological practice. I argue that giving back colonial archives such as Tracey’s to their communities of origin is mandated not only by his legacy, but also by the legacy of Ethnomusicology at large.
In 1956, the advent of television in Portugal had an impact on existing music, as well as an important role in the origin and dissemination of new sonorities that emerged in the 1950s and 1960s. This fact reveals the importance of studying the relationship between music and television, which has been largely centered on existing audiovisual archives. However, although television broadcasts in Portugal began in 1956, the actual possibility of recording by videotape -by Radiotelevisão Portuguesa (RTP)- would not occur until 1964. This
absence of images during the first eight years of emissions is challenging, given that the few motion pictures of this period which were made with cinematographic material do not allow for a sufficiently valid archive. The study of this period in the Portuguese context, which I define as primordial, challenge the investigative methods that are regularly used in television studies. As such, I intend to present a proposal for analysis adopted during my PhD research, which takes not the analysis of products, but the modes and models of production in the television context as a point of departure. Among other conclusions that I will present, this option revealed itself as important to understand the role of television in the dissemination of music in its relationship with the different media that formed the media field at the time, and to grasp the role of dictatorial power, present in the creation of television contents associated to music.
**PANEL 5 – CHAIR: JENNIE GUBNER**
**Jaime Bofill and Michael Brims (Conservatorio de Música de Puerto Rico)**
*Sounds of the Street Vendors, Havana, Cuba: A Collaborative Ethnography*
*Keywords: Havana (Cuba), pregón, urban soundscape, audiovisual ethnography, observational film*
The documentary “Sounds of Street Vendors” recreates the contemporary urban soundscape of Habana through the experience of the street vendors that walk about tirelessly announcing their goods throughout different parts of the city. From peanuts to flowers, knife sharpeners and even cleaning detergents and TV antennas each vendor has a signature tune with which he markets his products and alerts his customers. The song of the street vendor in Cuba and Latin America, known as the *pregón*, is a practice that dates back as far the colonial period. In Cuba, as various scholars have noted (Barnet 1998; Carpentier, 1994; Díaz Ayala, 1988) these *pregones* are often based on rural tunes and popular songs. Although street vending has always been an important part of everyday life in Cuba, during the early years of the revolution this type of trade was outlawed by the Castro regime. In recent years however thanks to new policies created to stimulate small private businesses and due to the economic crisis on the island, street vending has become increasingly popular. The film, an interdisciplinary project between myself an ethnomusicologist and my colleague filmmaker recreates the urban soundscape of Habana through the eyes of street vendors who use music as part of one of the most fundamental things humans being do on a daily basis: work. In this presentation we wish to discuss how collaborative efforts such as “Street Vendors” pose meaningful questions conducive to a deeper understanding of ethnography for both ethnomusicologists and filmmakers.
**Filippo Bonini Baraldi**
*The ethnologist between images and phantoms. Three stories of gypsy science-fiction and their implications for visual anthropology*
*Keywords: Gypsies, Romania, Visual anthropology, Cinema, Field research*
In a Gypsy village of Romania, the simultaneous presence of an ethnologist (myself), a film-maker (Tony Gatlif) and a cognitivist (Emmanuel Bigand) provoked a rocambolesque confusion of roles and an overthrow of film genres such as “documentary”, “fiction” and “scientific image”. In this paper I will expose three field-research anecdotes that explain how this amalgam occurred. The first story illustrates how my hosts interpreted Gatlif’s films as reliable documents of their daily lives, and how they’ve come to believe that I was myself a character of these films. The second story is about my documentary on the Gypsy funeral ritual (“Crying for the dead”), that my hosts watched as if it was a fiction, evaluating how everyone “played” its part. The third story describes how a set of scientific images, obtained by a cognitivist by means of a motion-capture experiment with two local musicians, were perceived on the field as a means to access a hidden layer of the person. Far from being trivial, these anecdotes illustrate how Gypsies look at different kinds of visual products, and reveal a particular way of conceiving of the ontological categories of person, person-image (actor) and
person-skeleton (phantom), rooted on a strong ambiguity between “being oneself” and “playing a role”. An ambiguity that may fade away in some ephemeral moments, when the “true” (eees) person manifests.
**Rose Satiko Gitirana Hikiji (Universidade de São Paulo) and Jaspers Chalcraft (University of Sussex)**
**Soundtrackers - musicking film with African migrant musicians in Brazil**
*Keywords: soundtrack, ethnographic film, African migrant musicians, musicking, improvisation*
Migrant African musicians are 'musicking' the films we are making about their lives. Beyond passive research subjects their creative work shapes our work in distinct ways. 'Musicking', a term coined by Christopher Small, amplifies the idea of music-making to include all aspects of music, in which we include filmmaking. In this presentation we discuss two different experiences of making collaborative research films with African musicians living in São Paulo, Brazil. Their work is both the substance and the soundtrack of our filming, and their improvisational methods reflect the creative and social processes behind their musicking. In the short film "Tabuluja", Yannick Delass, a singer-songwriter from DRC and São Tomé and Príncipe, improvises a soundtrack with voice and "modified" guitar that dialogues with his countryman Shambuyi Wetu's visual and oral discourse. Yannick's improvisation is direct, visceral and entirely focused on emphasising Shambuyi's visual messages, and supporting the latter's Chiluba/Lingala voice-over for this film about black consciousness. Meanwhile, in Lenna Bahule's film portrait, a work in progress with the Mozambican alt-jazz musician, we follow the process of her preparation for a major show back in Maputo. Re-engaging with Maputo's musicians and her family, she soundtracks her creative reinterpretation of local musical influences and inspirations, whilst renegotiating her cultural capital acquired through her success in Brazil. In both cases, Yannick and Lenna's soundtracking of their migrant experience - *Tabuluja* and *Nomade* - our filming is improvised in the untracked spaces of cultural production.
**FILM SESSION 3 – CHAIR: DARIO RANOCCHIARI**
**Isobel Clouter (The British Library)**
**Vikāra ko vinimaya: Exchange of ideas**
This is an observational film documenting the impact of reconnecting audiovisual heritage material in the country of origin. Through a case study which follows the journey of a digital copy of archival films and audio of Nepali cultural heritage traditions from British Library - C52 Dr Arnold Adriaan Bake South Asian collection - to the Music Museum in Nepal, and into the communities whose lives the films documented. Filmed during two separate trips in collaboration with the Music Museum. The first trip in 2014 recorded a series of vignettes documenting the relevance of cultural heritage traditions in modern Nepalese society (revisiting sites found in the archival footage) and observing day to day archival and engagement activities in the MMN and at the International Folk Music film festival (hosted by the MMN). The second trip documented the impact of returning archival footage of the Shati Ghantu ritual to a community where the ritual was once practiced. It explores issues of revitalisation of traditions, ownership of cultural images in the ‘selfie’ generation, the impact of modernisation on cultural practices and the importance of access to historic material. The film illustrates the changing roles for archives in the transmission of heritage documents of performance and cultural tradition. How direct engagement can act in revitalisation of tradition and therefore allows historic footage to gain further use as a means of sustaining traditions. Finally how collaboration between archives can result in greater visibility and access for musical traditions from around the world.
**Jana Belisová (Institute of Musicology, Slovak Academy of Sciences)**
**Ťažká duša / Heavy Hearth**
Documentary film *Heavy Heart* arose as a part of ethnomusicological research *Silalo panori / Cold water* (2014–2017) of ancient Roma songs. These songs are usually connected with memories and experiences of their interpreters. Documentary in a mosaic-like way traces the way of the original Roma music transport to the next
generation or also how it ceases to exist under the influence of social changes. Three stories of young people from Roma communities serve as certain interludes consisting of materials gained during research trips. Anna Michálková teaches her grandson the old songs, he likes them and the songs are the way for him how to do not lose contact with his old mom. On the other hand, Gusto Dunka is endeavoring to force his pubernal son Erik to learn Romani songs and guitar play. Erik, however, listens to a rompop, and instead of music he scuffles with his friends. Cousins Adrian and Tomas would like to learn to play guitar like Adrian's father Peter. But he is in England and cousins have to attend the Art School, where they teach their scales, sheets...
**PANEL 6 – CHAIR: BENJAMIN HARBERT**
**Miguel Ángel Berlanga (Universidad de Granada)**
*In the Hypertext and Video Era. Experiences on use of audiovisual in research, teaching and writing texts on topics of applied ethnomusicology*
*Keywords: Audiovisual, sources, papers, blogs, dissemination.*
Since 2003 I began to write texts conceived as hypertext, or "enriched text", particularly with audivisual archives. For years now, we ethnomusicologists have seen that this procedure in fact adds a plus of novelty and clarity to the texts, enabling a better dissemination. More recently, perhaps since 2010, I realized that this is applicable not only to dissemination, but also to ethnomusicological research: at present, neither of these two activities can be done without platforms like YouTube or Vimeo, whose implementation and usability, is a consolidated fact. Maybe we ethnomusicologists should conceive the materials to which these platforms give access, as something more than "didactic examples" for our written texts or informative blogs. We also should consider them as sources themselves, and it may be convenient to discuss more about the exact scope of their use as sources. We would probably give a qualitative leap in the way of conceiving dissemination and research. In order to argue these ideas, this paper focuses on some personal experiences on the use of videos. First, in their role as instruments for dissemination of topics of interest –through blogs and web pages–. Second, in their role as sources. For this last, I will refer to some recent experiences in writing articles, in which I have made an outstanding use of videos in this double role: as musical examples to which the text refers, and as sources used in the course of research.
**Luiza Bittencourt and Daniel Domingues (Universidade Federal Fluminense)**
*Virtual Audience: Youtube and the Reconfiguration of the Music Industry*
*Keywords: Virtual Audience, YouTube, Music Industry*
This paper analyzes the role of Youtube in the reconfiguration of the music industry in recent decades. The applied methodology consists of a literature review and case studies in order to (a) provide a brief history of the use of Youtube; and (b) to discuss the influence of the platform in the reconfiguration of the music industry through detailed analysis of five important contributions of Youtube in the music business: (1) the spread of video clips; (2) the enhancement of the production of content by ordinary people, amateurs and fans who began to produce their own videos to be shared; (3) the interactivity through the use of the Youtube as a social network; (4) to listen songs, albums and to organize playlists as a streaming platform; and (5) for the broadcast of live concerts. Finally, we intend to analyze the connection between the artist and the audience in each of these topics in order to understand how these technological advantages offered by Youtube influence in the formation and retention of a virtual audience.
**Nico Mangifesta (University of Rome “Tor Vergata”)**
*The Meguru Panggul Methodology on the Web 2.0: Characteristics of the e-Learning Videos of Balinese Gamelan Music.*
*Keywords: Balinese gamelan, meguru panggul, web 2.0, e-learning, didactic tools.*
The *meguru panggul* (learning with the mallet) is the traditional method for the transmission of musical knowledge on the island of Bali. It consists of teaching the single musical parts through their execution on the instrument in face-to-face mode between the teacher and the student. The widespread use of this methodology has enrolled the Balinese gamelan music in the field of oral transmission music, although there is also a locally developed music notation system. The diffusion and development of information and communication technologies in southeast Asian societies has increasingly enabled members of local communities to produce their own self-narrated cultural videos. A subcategory of the videos produced by Balinese musicians, available on free digital platforms such as popular video sharing services (Youtube, Vimeo, etc.), is represented by e-learning videos for Balinese gamelan music that reproduce the same teaching approach as *meguru panggul* methodology. These videos, which are in the style of similar tutorials for popular music or other musical traditions, are made for a heterogeneous range of motivations that identify a not unique model of social and economic relationships between producers and users. But the e-learning videos that use the *meguru panggul* methodology have in common some peculiar technical characteristics regarding the use of the filming point of view (observer / teacher / student) and the set-up of the instruments (single / multiple; straight / reverse), which allow coherent reflection on specific issues related to the Balinese gamelan learning process through digital media.
**ROUNDTABLE**
Jennie Gubner (Indiana University), Domenico Staiti (Università di Bologna), Matías Isolabella (Universidad de Valladolid)
*Doing, Discussing, and Teaching Audiovisual Ethnomusicology Today*
*Keywords: Ethnomusicological Filmmaking, Multimodal Ethnography, Teaching Audiovisual Ethnomusicology, Audiovisual Publications, Audiovisual conferences*
Our first two successful encounters around the topic of audiovisual ethnomusicology, in Valladolid (2014) and Ljubljana (2016), have unveiled a rich and diverse field of contemporary musical inquiry. Through this process, we have finally been able to learn about what others are doing and to measure the distances between our different approaches to, and perspectives on audiovisual research. Looking toward the future, we see this third encounter as an opportunity to reflect on some of the discourses and debates that have emerged over the past few years with the goal of collaboratively creating some best practices for our sub-discipline. While we celebrate the multiplicity of methodological and theoretical orientations represented by the members of our Study Group, we believe that in order to better understand each other’s perspectives and advance our field we need to think carefully about how we construct spaces and frameworks for critical debate and productive dialogue. In this roundtable discussion, the presenters will summarize some contemporary issues related to doing, discussing and teaching audiovisual ethnomusicology, and will then open the floor to engage with these topics more broadly with our audience. First, we will outline some interesting theoretical debates and points of tension that have emerged since our first meeting in 2014. To this end, our focus will not be on defining what is and is not audiovisual ethnomusicology but instead how we can develop vocabularies that help us to better articulate and communicate our diverse approaches to one another. Second, we will discuss how we might rethink and advocate new formats through which we share and promote discussion within and beyond our sub-discipline, both in the context of conferences and journals and publications. Lastly, audiovisual ethnomusicology is becoming increasingly popular not only among scholars but also between undergraduate, postgraduate and doctoral students, with a rising demand for specific courses and workshops. Our third theme will address approaches to the teaching of audiovisual ethnomusicology with the purpose of opening a space of discussion and debate about methods, orientations, and potential outcomes.
**FILM SESSION 4 – CHAIR: DOMENICO STAITI**
Jorge Castro Ribeiro (Universidade de Aveiro)
*Tradition and Encounters. Singing ‘Os Reis’ in Ovar (43’)*
The tradition of Singing “os Reis” in Ovar is a multi-localized poetic-musical practice, performed collectively, locally, in public and private spaces of the municipality of Ovar during the occasion of the Feast of the Magi (6 January), in a presentational format. It involves the musical performance of polyphonic original repertoires containing soloist, choral and instrumental parts by special groups (called troupes) formed by local people of Ovar (self-designated "vareiros"). The songs are directed towards specific individuals or institutions, containing messages alluding to Christian subjects inspired by the episodes of the Christmas cycle, namely the visit of the Magi Kings. The performance of Troupes de Reis promotes material (food, drinks and money) and symbolic (music, poetry, singing, homage and personal recognition) exchanges with its listeners, and contributes to the affirmation and permanent redefinition of social roles, being the musical performance the main interface of this dialogical relationship. This practice has been documented uninterrupted since the nineteenth century, with Troupes de Reis at its center, within which the processes of transmission, the renewal of values and the underlying contents take place. An example, among other, is the performance structure of a coded sequence of three pieces, designated locally by Greeting, Message and Farewell, which is apprehended and understood within the transmission and annual presentation contexts.
*Tradition and Encounter: Singing ‘Os Reis’ in Ovar*, was produced within the research project carried out by University of Aveiro ethnomusicologists for the inscription of this cultural manifestation in the National Intangible Heritage List.
**Horacio Curti (Universidade de Aveiro) and Ariadna Pujol Eolssigu! (14’)**
*Keywords: Applied Ethnomusicology, Audio-visual, exhibiting music, collaborative ethnomusicology, audio-visual ethnomusicology*
Facing the challenge of creating an exhibition of Korean Traditional Music for a music museum, the author relied on two central elements, Applied Ethnomusicology as approach and way of understanding the whole project, and audio-visual materials as means of creating narration beyond the word, helping to build a trans-disciplinary experience, as part of several complementary paths, for the audience to experience the multiplicities of Korean Musical practices. With the practical, rather than academic, objective of presenting, and representing, Korean traditional music from a Music Museum to the general public, the authors of the materials (an ethnomusicologist and a filmmaker) followed a standard audio-visual protocol that included script, pre-production, production (in Seoul) and post-production. Of a total of 17 audio-visual pieces differing in their nature from ‘poetic’ to educational to promotional, the main piece (of a more ‘poetic’ nature) is presented here. All the pieces have a central role on the project and are available online and presented to the visitors on 2 touchscreen and also through QR codes related to the objects in display and by the same method on the book-catalogue. This project confirmed, from a practical point of view, the power of audio-visual for ethnomusicological narration and its role as a mediator with people beyond the discipline. The contributions of the audio-visual materials to the overall project as well as the different ways in which it has played its role on it could be presented and debated in the complementary paper.
**FILM SESSION 5 – CHAIR: EUGENIO GIORGIANNI**
**Benjamin Harbert (Georgetown University)**
*Follow Me Down: Portraits of Louisiana Prison Musicians*
Decades ago, folklorists visited Louisiana prisons to collect disappearing work songs. *Follow Me Down* returns to the prisons to ask the question, what is the role of music in prison today? *Follow Me Down* is a feature-length documentary about music in prison. Shot over the course of two years in three Louisiana prisons, the film weaves together interview with and performances of extraordinary inmate musicians—some serving life sentences, some new commits and one soon to be released. The result plays like a concert film, but instead of bright lights and big stages, these musicians rap in okra fields, soothe themselves with R&B in lockdown and create gospel harmonies on the yard. With unprecedented access and an insistence on letting the music speak
for itself, the film offers an unexpected look at prison life, pushing viewers to reach their own conclusions about music, criminality and humanity. The three acts of the documentary offer different perspectives. At Angola Prison, older lifers seek redemption through song. Yet, the father of Angola’s gospel scene has lost faith in music’s promise. At the Louisiana Correctional Institute for Women, apprehensive newcomers audition for the choir. Through these women, we see how music offers hope and community. At Hunt Prison, inmates struggle to maintain their music club despite the unpredictability of administrative support and member commitments. We travel through these prisons as would inmates. Stories are unresolved and mysteries remain. One thing, however, is undeniably clear: the powerful impact of music on those who create it.
**PANEL 7 – CHAIR: JORGE CASTRO RIBEIRO**
**Giordano Calvi (Universidade Nova de Lisboa)**
*Video recording black metal narratives: fieldwork challenges*
*Keywords: Black Metal; Lisbon Black Metal Scene; Music recording in extreme conditions; Black Metal music recording obstacles; Narrative videos methodology;*
The extreme sonorities and sharp controversies of the black metal musical category, create problems in the process of audiovisual documentation of such performance practice. During the last ten years, a number of film documentaries appeared such as "Until the light takes us" (Aites, Ewell; 2008) and "Blackhearts" (Falch, Akselsen; 2017) focusing the Norwegian black metal scene. The content of those works features mainly the history and some details of reception. Focusing on different perspectives, my aim in the narrative video work in progress is to concentrate in the music sound and the techniques to accomplish it, discussing aesthetic details and reception behaviors. In this paper, I discuss difficulties concerning recording sessions during fieldwork: mainly related with lack of space during rehearsals and concerts, recording strategies in crowdie venues, dealing with lights and extremely loud sound conditions. The challenges concerning analytical and narrative perspectives in the final product will also be considered. My ongoing fieldwork ideas, procedures and some successive audiovisual materials will, in this presentation, be discussed to mature insights with colleagues and profit from the international environment of this Symposium.
**Benjamin Harbert (Georgetown University)**
*Expressive Understandings and National Constraints: U.S. Music Documentary Film in Socio-Economic Context.*
*Keywords: documentary, United States, modernism, capital, feminism*
In 1974 filmmaker/anthropologist Jean Rouch speculated: “I must mention the importance that sync filming will have in the field of ethnomusicology.” Researchers do use video. But decades after Rouch’s prediction, films are still not understood as doing cinematic theory. Documentary filmmakers outside of our discipline, however, have been making films about music for a half-century. This talk will present examples of films that offer expressive critical understandings of music in a variety of ways. In so doing, we can begin to imagine how we might produce, edit, and watch films from an ethnomusicological point of view. Reconsidering Albert and David Maysles’s Gimme Shelter, Jill Godmilow’s Antonia: A Portrait of the Woman, Shirley Clarke’s Ornette: Made in America, D.A. Pennebaker’s and Chris Hegedus’s Depeche Mode: 101, and Jem Cohen’s and Fugazi’s Instrument, I will propose tools that can help build a foundation for the study and practice of “cine-ethnomusicology” and address some of the disciplinary obstacles that prevent ethnomusicologists from producing ethnomusicological films. Building an international cine-ethnomusicology from these five documentary films should take care to acknowledge their origins. The final portion of the paper will contextualize these filmmakers’ approaches within a sketch of US music film history. Doing so will reveal how critiques of capital from within the marketplace, American modernism, as well as feminism have contributed to certain approaches within the field of documentary film and, by extension, the arguments that develop in expressive cinematic understandings of music.
Alice Villela (Universidade de São Paulo)
How to film participatory performances? Audiovisual production as translation of musical experience
Keywords: audiovisual, translation, musical performance, experience, Brazil.
The goal of this paper is to discuss issues involved in the filming of festivals, celebrations and popular Brazilian rituals, where the music making is produced collectively in practices that were defined by Turino (2008) as “participatory music”, in which there is no distinction between musicians and audience. By making music together, the participants take part in intense, non-verbal social interactions that often reach a climax, a collective trance, and in which the performance reaches an intensity that makes a big impression on the experience of the participants, an experience that is difficult to translate into words. How can one translate the experience connected to making collective and ritualized music using audiovisual language? Using practical examples from the filming of festivals, rituals and celebrations for a television series about musical instruments and popular Brazilian manifestations, we attempt to reflect on the potential of audiovisual production as a tool for translation. We understand the translation between a musical performance and an audiovisual narrative as a translation between different languages which, from the perspective of Plaza (2013), is considered to be work of an aesthetic nature, analogous to creative work, which brings this practice closer to the artistic field and poses a dialogue between anthropology and the cinema.
FILM SESSION 6 – CHAIR: MATÍAS ISOLABELLA
Robbie Campbell (SOAS)
Estevão: A sensory ethnomusicology of learning
Keywords: sensory-perceptual, dyslexia, neurodiversity, Chopi timbila, audiovisual methods
Chopi timbila xylophone music is a unique and endangered tradition, recognised by UNESCO as a masterpiece of Intangible Cultural Heritage. Although a body of research describes many aspects of timbila culture, the holistic and informal processes of oral transmission that critically influence the genre’s continued identity are little investigated or documented. Recorded over six months at the home of master Chopi timbila xylophone maker Estevão in rural Zavala, Moçambique, this film documents the learning processes of his extended family within the environment of traditional instrument fabrication and performance. Virtually unrestricted in their play and osmotic learning, infants, children and teenagers join adults in inhabiting the musical space. Immersed in its textural culture, they collectively embody the visual, auditory, and material sensory landscape. The film is consequently realised as an unbroken sequence of individual ‘scene-experiences’, all observed in intimate sensory detail: working with timbila materials and tools; children’s musical and non-musical imitation and play; processes of learning the music itself; and the surrounding natural environment. Presented not only as a sensory ethnographic impression of indigenous musical culture, but also as an expression of my own dyslexic preferences (and originally designed as a non-linear immersive installation), this film acts as an invitation for specialists from multiple cognitive, educational and therapeutic disciplines to engage with the central themes of my on-going PhD research: the relationships between euro-centric constructs of developmental learning difficulties (such as dyslexia) and informal and sensory-based music learning processes.
Conference Venue
The 2nd Symposium of the ICTM Study Group in Audiovisual Ethnomusicology will take place at Universidade Nova de Lisboa: Faculdade de Ciências Sociais e Humanas, Av. de Berna 26-C, 1069-061 Lisboa. The NOVA FCSH Campus is located in central Lisbon between Campo Pequeno Square and the Calouste Gulbenkian Foundation.
How to arrive
The campus is served by three underground stations at 5 minute walks:
- **Saldanha** takes you directly to the Airport (20 min) and to Oriente railway and intercity bus stations (15 min), located at Parque das Nações city area (red line).
- **São Sebastião** takes you directly to the old city centre (Baixa-Chiado), to the intercity bus station at Sete Rios / Jardim Zoológico (blue line), as well as to the Airport and to Oriente railway station (red line).
- **Campo Pequeno** takes you directly to the intercity bus station at Campo Grande (yellow line).
The campus is also a 5 minute walk from Entrecampos railway station, that takes you directly to Sintra (UNESCO World Heritage site), to Lisbon's Parque das Nações (former Expo 98) city area, and to Oriente railway station. The all area surrounding the campus is crossed by several city bus lines (check http://www.carris.pt for route details).
There is free wifi access across the FCSH/NOVA campus.
Museu Nacional de Etnologia
On Saturday 30 we will be visiting the National Museum of Ethnology.
The National Museum of Ethnology cannot be disconnected from the history of Portuguese anthropology. In it, it has been projected a fundamental dimension of the work carried out by the country’s pioneers in that field. From the Centre of Ethnology Studies, that Jorge Dias directs since 1947, he and those who will work with him in the subsequent years (Margot Dias, Ernesto Veiga de Oliveira, Fernando Galhano e Benjamin Pereira, among others), start an extensive research on the tangible culture that, years later, would be also gathered to form the museum’s collections.
The National Museum of Ethnology’s estate consists of around 40,000 objects, collected in several parts of the world, although the most representative collections are the ones from Portugal – both continental and insular – and those from the former colonies. These objects were mostly obtained through missions organised by the museum itself, or by its request. In several cases, they were also bought to private collectors or were the result of private people donations, or public or private entities ones.
Since January 2013, the museum presents its permanent exhibition “The museum, many things”. It is built around seven different sets of objects, that may change in time: The Balinese shadow theatre; Dolls from Southwest Angola; Pot lids with sayings from Cabinda; Portuguese folk music instruments; The tally from Rio de Onor (set dedicated to an object); Masks and puppets from Mali; and The sculptures of Franklim (set dedicated to an author). These result from collections that were studied due to an intensive internship program that the museum has been incentivizing. In addition, in the exhibition, we not only remember the museum’s main protagonists, who, since its origin, set its guidelines and crossed their paths, but also its researchers and collectors.
Meeting point
The meeting point will be at the entrance of the Museum at 15:30h
How to arrive
The National Museum of Ethnology is located in the neighborhood of Restelo, at a walking distance from the monumental area of Belem, one of Lisbon’s touristic hotspots.
Address: Av. Ilha da Madeira 1400-203 Lisboa
Access
Bus 28, 714 e 732 (Carris)
Bus 113, 144 (Lisboa Transportes)
Tram 15
Train Cascais Line from Cais de Sodré (Belém Station)
http://www.mnetnologia-ipmuseus.pt
Accommodation
You will find many accommodation facilities around the campus. The hotels and hostels below are set somewhere in between the campus and Saldanha / São Sebastião underground stations that take you directly to the airport and to Lisboa Oriente railway station.
Sana Reno Hotel ***
Av. Duque de Ávila 195/197, Lisboa
www.sanarenohotel.com/
Underground Station: São Sebastião
Hotel Principe Lisboa ***
Av. Duque d’Ávila 201, 1050-082 Lisbon,
www.principelisboahotel.com/
Underground Station: São Sebastião
Hotel Residencial Italia (Hostel)
Av Visconde Valmor, 67, Lisbon
www.residencialitalia.com/
Underground Station: São Sebastião
Hotel Residencial Canada (Hostel)
Av. Defensores de Chaves, 35, Lisboa
www.hotelcanada.pt/
Underground Station: Saldanha
Websites such as booking.com or Tripadvisor are useful options to find good accommodation deals. Lisbon has become a very popular tourist destination so we recommend you to book your flights and accommodation well in advance.
Where to eat and shop
The campus has a students' restaurant and three cafeterias. Around the campus you will find several and diverse restaurants and bars serving well-priced Portuguese and international food. There are also several supermarkets and convenience stores in the area.
You can also eat and shop at Campo Pequeno, Monumental, Atrium, Saldanha and El Corte Ingles Shopping Centres (5-15 minute walk from the campus).
Moving around Lisbon
Taxis
Taxis are a good way of getting around. Lisbon taxis are cheap. Taxi fares are calculated on the basis of an initial at charge, currently €3.25. If luggage is carried (bigger than 55x35x20cm) a further 1.6€ is charged. The call-out is charged at 0.80€.
From the airport to most locations in central Lisbon should not cost more than €12 plus any baggage and call-out charges. Meters are displayed in all licensed taxis so the fare should not come as a shock. Tips are voluntary: 10% is the norm.
Lisbon local taxis charge 20% more after 10pm and on weekends (using Rate 2 rather than Rate 1). The fare outside of the city is calculated on a km basis upon leaving the city limits, about €0.47/km, and any motorway/bridge tolls are paid by the client. When taking a cab, try to enquire about the price to your destination. Save your receipt and check if the license plate matches the receipt details. See if the meter is running and rate code is correct.
Taxi apps are now a popular way of getting a taxi and work pretty well. MyTaxi (www.pt.mytaxi.com) and Uber (www.uber.com) are available.
Autocoope - Taxis de Lisboa: +351 217 932 756 (http://www.taxislisboa.com/)
GEOTAXI: +351 218 444 400
Taxis 7C: +351 934 959 169 / +351 966 346 030
Taxitours + 351 964 120 673 (http://www.taxitours.com.pt/)
Rádio-táxis de Lisboa: +351 218 119 000
Metro - Metropolitano de Lisboa
This is one of the easiest ways to get around Lisbon. Accessible and relatively cheap, the metro has four main lines: Yellow (Rato – Odivelas), Green (Cais-do-Sodré – Telheiras), Blue (Santa Apolónia – Reboleira), and Red (S. Sebastião – Aeroporto).
NB: the stations closest to the conference venue are Campo Pequeno (yellow line), Praça de Espanha (blue line) or São Sebastião (blue and red line).
Ticket
Before hopping on the metro you must buy an electronic ticket, Viva Viagem, and charge it up (minimum charge €5). The card itself costs 50 cents and can be bought at the ticket office or using the vending machines. Upon charging the card, keep the receipt as it may be useful if you need to change a damaged card. A ticket exclusively for the metro can only be charged up to €20. You can check your card balance using the machines, choosing the option ‘carregamento/leitura’.
Tip: recharge your card with the approximate number of trips in mind, as you get a small bonus each time you charge it with more than €5.
A single ticket costs €1.30 and is valid for one journey, after validation, throughout the metro.
A one-day ticket Carris/Metro costs €6.15 and is valid for an unlimited number of journeys throughout the Carris and Metro networks for 24 hours after validation.
**Hours**
The first trains leave 06:30 from the terminal stations of each line; the last trains leave at 01:00 from the terminal stations of each line.
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**About Lisbon**
In 1620, Nicolao d’Oliveira explained that Lisbon, the principal city and head of the Kingdom of Portugal, was “more populated than all other cities of Europe”. Oliveira emphasized the “very healthy, mild air” of Lisbon, and vividly described the wide variety of goods that arrived in the city from India, Iran, Brazil, Ethiopia or Arabia. Only five years later, in 1625, António Coelho Gasco called Lisbon a “princess”, “imperial lady” and “Emporium of commerce”, and also indicated that “all the peoples of the world, even the most remote” travelled to Lisbon.
These words may inspire the visitor to discover the real city that lies behind the imperial rhetoric and Eurocentric view of the foreign peoples and goods that arrived to Lisbon, as well as, of course, behind the ghostly heritage of the 1755 earthquake, which resulted in the complete reconstruction of “Baixa”, in a new, “enlightened” fashion. Lisbon was on the first true world cities and still is a very cosmopolitan one.
We invite you to explore World Heritage architectural marvels, the Jerónimos Monastery and Belém Tower, with their intricate carvings showcasing all the glory and excitement of the Age of Exploration, and to discover the treasures from the East and the West inside the world-class Calouste Gulbenkian Museum, Museu Nacional de Arte Antiga, Fundação Oriente, Museu Nacional do Azulejo, or the acclaimed Design Museum (MUDE) and the Berardo Museum of Contemporary Art. The city’s legendary seven hills will also seduce you with their characteristic mosaic pavements and dazzling tiled façades, and will reward you with strategically-placed viewpoints offering breathtaking panoramas over the city after a ride on a charming old tram (don’t miss No. 25 and 28).
You’ll find yourself wandering through colourful 18th-century squares downtown and getting lost in the medieval maze of the Alfama district overlooked by an ancient (reconstructed) castle. Follow that with a dive into the spectacular Oceanarium and spend your nights indulging in the city’s gastronomic delights, listening to the sounds of Fado, or bar-hopping through the cobbled alleys of the shabby-chic Bairro Alto district. You’re sure to become mesmerized by Lisbon’s wonderful mix of the old-fashioned and the hip; of the historic and the modern, but you’ll also want to go outside the city to the fairytale town of Sintra and to the cosmopolitan shores of Cascais and Estoril.
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**Business hours**
Opening hours for shops and businesses across Portugal are usually 9.30am to 7.30pm, Monday to Saturday. Malls close late (11pm or 12am) daily. Cafés tend to open from 8am or 9am until 8pm daily; restaurants 12am-3pm and 7-10pm daily; banks 8.30am to 3pm (Monday to Friday); pharmacies 9am to 8pm, Monday to Friday; and supermarkets 8.30/9.30am to 8.30/9.00pm daily.
Lisbon districts
Baixa: broad squares, 18th-century architecture, patterned pavements, popular cafes
Bairro Alto & Chiado: vibrant nightlife, picturesque streets, classic and alternative culture, chic shopping, restaurants
Belém: the Age of Discovery, grandiose monuments, museums
Alfama: medieval maze, spectacular views, an imposing castle, the sounds of Fado
Uptown: masterpieces and museum treasures, shopping malls
Parque das Nações: the 21st century by the Tagus; futuristic architecture
Closest metro stations
- Bairro Alto: Baixa-Chiado (blue and green lines)
- Cais-do-Sodré: Cais-do-Sodré (green line)
- Alfama: Santa Apolónia (blue line)
- 24 de Julho: Cais-do-Sodré (green line)
- Parque das Nações: Oriente (red line)
- Docas: Tram no. 15, 18; bus no. 28, 714, 727, 732
Nightlife
Traditionally, the centre of Lisbon’s nightlife has been the Bairro Alto, with its fado clubs, traditional, canteen-style bars, and upscale discos. In the past year, the requalification of the riverside quarter of Cais-do-Sodré led to its rebirth as a nightlife centre – currently the most trendy – with a large spectrum of bars, tascas (traditional eating places) and clubs. The bars are often open as late as 2am and the clubs from 4am to 6pm. Much of the action also moves onto the Docas (Docks) district, situated just to the east of Ponte 25 de Abril (bridge). But don’t rule out other districts such as 24 de Julho, Alfama, Bica, Parque das Nações (Expo).
10 nightlife possibilities
- Club Lux (Av. Infante D. Henrique, Armazém A, Cais da Pedra a Sta Apolónia, 1950-376): partly owned by John Malkovich, this is hailed as “the city’s most stylish club” for the design, the crowd and the music.
- Club MusicBox (R. Nova do Carvalho 24, 1200-014): in Cais do Sodré, one of the city’s live music hotspots, hosting both Portuguese and international artists as well as regular DJ sets (rock, dance, hip-hop or reggae). Drinks are expensive, but totally worth the atmosphere.
- Clube Ferroviário (Railway Club - Rua de Santa Apolónia 59-63, 1100-468): near Santa Apolónia train station, a club with an amazing view of the Tagus River from the rooftop terrace. The club is spacious the downstairs halls have live music and /or DJs playing and the rooftop terrace offers tapas and drinks and various entertainment.
- Bairro Alto bar hop: Lisbon’s lively street party. Check out Majong – usually so crowded most of people stand outside in front of it.
- Docas: located at the old docks next to the ‘Ponte 25 de Abril’ bridge along the river in Alcantara between Baixa and Belem, this area is full of trendy cosmopolitan restaurants and bars.
- Hot Club Portugal (Praça da Alegria, 48): one of the oldest and best jazz clubs in Europe
• Chapitô (Costa do Castelo 7, 1149-079): Located near downtown (Rossio), on the hill of the Saint George castle, Chapitô offers a breathtaking panoramic view over Alfama and the river. Drink among young artists (Chapitô is divided into bar, restaurant, discotheque, bibliothèque, theater, training school) and enjoy the best night-time city views at this restaurant-bar.
• Incognito (Rua dos Polais de São Bento 37): An established ‘alternative dance bar’, Incôgnito offers a discerning mix of music from across the indie-rock-dance spectrum. You need to ring the doorbell to get in!
• Senhor Vinho (Rua do Melo a Lapa 18, 1200-723): the city’s best Fado House
• Solar do Vinho do Porto (R. São Pedro de Alcântara 45, 1250-237 Lisboa): sample the country’s famous wine
• Calouste Gulbenkian Foundation (Av. de Berna 45 A, 1067-001): world-class classical music program
• Op Art (Doca de Alcantara): One of the most famous night clubs at Docas (music played is mostly electro and house), where you can watch the sun rise to the sound of music.
Useful links
Visit Lisbon: http://www.visitlisboa.com/
TimeOut Lisbon: http://timeout.sapo.pt/
Agenda Cultural de Lisboa: http://agendalx.pt/cgi-bin/iportal_agendalx/
goLisbon: http://www.golisbon.com/night-life
Lisbon Guide: http://www.lisbon-guide.info
Turismo de Lisboa: http://www.visitlisboa.com/Home_UK.aspx?lang=en-GB |
RAPD markers for hybrid seed purity testing in tomato (*Solanum lycopersicum* L.)
Tomato (*Solanum lycopersicum* L., formerly *Lycopersicon esculentum* Mill.), a member of the Solanaceae family, is the second most important vegetable in terms of total production and has worldwide commercial distribution. The total production of tomato in India during 2002–03 was 7.62 mt from an area of 0.5 m ha, with average productivity of only 15.9 t/ha. Hybrid tomato varieties under optimum management give economically higher yield (50–100 t/ha) than open-pollinated varieties (30–60 t/ha). They also offer certain other inherent advantages like uniform quality products, gene combinations for disease resistance and proprietary control of breeder/s in the form of trade secret of parental lines. In the recent past, tomato hybrids have become popular among Indian farmers, and presently 50% of the area under tomato cultivation is covered under hybrids. In general, tomato hybrid seeds are being produced by hand emasculation and pollination. As a result, the cost of hybrid seed is high owing to huge investments in labour, time and cost involved in the purity testing of hybrid seeds through conventional grow-out-test (GOT) before it reaches the farmers. In addition, the results of GOT based on seedling morphology are often misleading due to the masking of the expression of specific morphological or physiological traits during seedling development. The usefulness and potential of PCR-based rapid and cost-effective markers like RAPD for hybrid purity testing have successfully been demonstrated in several vegetable crops, including tomato.
Two potential hybrids of tomato, viz. NTH-1 (DVRT × Flora Dade) and NTH-7 (DVRT-2 × 97/754) developed at the Indian Institute of Vegetable Research (IIVR), Varanasi under the National Agricultural Technology Project (NATP) on Development of Vegetable Hybrids were used in this study. Thirty-day-old seedlings of the two hybrids and their parental lines were transplanted on raised beds at a spacing of 60 cm × 45 cm. Young apical leaves were collected from 20 randomly selected plants of both the hybrids and their respective parents. Total DNA was isolated from each of these plants using the DNeasy Plant Mini Kit (Qiagen, GmBH, Germany) following a previously developed protocol. The DNA samples were quantified using a Hoefer DyNA Quant 200 Fluorometer (Amersham Biosciences, Hong Kong). For PCR analysis, the master mix consisted of 1.0 μl dNTPs (containing 10 mM each dNTP), 2.5 mM MgCl₂, 0.5 μl Taq polymerase (2.5 units/μl) with the supplied polymerase buffer (Bangalore Genie Pvt Ltd, Bangalore), 0.5 μl primer (1 μM) and 50 ng genomic DNA. The amplification programme consisted of one initial denaturation cycle (94°C for 60 s) followed by 35 cycles of 5 s at 94°C for denaturation, 25 s at 35°C for primer annealing, and 30 s at 70°C for primer extension and DNA synthesis. At the beginning of the cycling profile, the reaction was held for 3 min at 94°C. In the final cycle, the extension period was for 5 min at 70°C. The amplification products were electrophoresed in a 1.2% agarose gel, stained with ethidium bromide and analysed using Alpha Imager™ 3400 Gel Documentation System (Alpha Innotech, USA). Reproducibility of the RAPD markers was examined by carrying out five independent PCR reactions and gel analyses.
For NTH-1 hybrid, a total of 394 decamer oligonucleotide primers from Operon Technologies (Sigma, St Louis, USA) were initially used to identify polymorphs between the pooled DNA samples from ten plants of each parental line (DVRT-1 and Flora Dade). Three hundred and seventy-five (95.1%) primers generated repeatable amplicons and among them, six (1.6%) generated polymorphic fragments between the parents. One of these six primers, namely OPB-16 generated a unique 1193 bp amplicon in the male parent (Flora Dade), and four fragments of 630 bp, 900 bp, 1790 bp and 2011 bp, common to both the parents.
In case of hybrid NTH-7, the 253 primers screened, 51 (20.15%) generated amplicons, out of which only six primers (11.8%) generated polymorphic fragments. The OPB-19 primer generated a total of six fragments of 2186 bp, 1661 bp,
**Figure 1.** RAPD marker (OPB16₁¹⁹³) present in individual male plant (Flora Dade, lanes 1–4) hybrids (NTH-1, lanes 5–10), and absent in female plant (DVRT-1, lanes 10–20). M,
979 bp, 554 bp, 397 bp and 327 bp. Five of these fragments were common to both parents (DVTR-2 and 97/754). However, the 2186 bp fragment was specific to the male parent (97/754). The low level of polymorphism detected through RAPD markers in the parental lines of NTH-1 (1.6%) and NTH-7 (11.8%) reflects the status of relatively low genetic variability between the tomato-inbred lines. Narrow genetic base of Indian tomato inbred lines revealed from RAPD analysis has been reported earlier\textsuperscript{7}. Low incidence of RAPD polymorphism (4–8%) in tomato has also been reported in exotic parental lines\textsuperscript{3–5}.
Reproducibility of the OPB16\textsubscript{193} marker (Figure 1) was confirmed in the five independent PCR reactions. The OPB16\textsubscript{193} marker was absent in all the 20 female plants (DVRT-1) and present in all the 20 male plants (Flora Dade) and hybrids (NTH-1; Figure 1). Hence, the marker could be commercially used to detect selfed-seeds in the hybrid seed lot of NTH-1. Like OPB16\textsubscript{193}, reproducibility of the OPB19\textsubscript{2186} marker was also confirmed. It was found to be present in 20 individual plants each of the male (97/754) and hybrid (NTH-7), and absent in female plants (DVRT-2). Therefore, this male-specific marker (OPB19\textsubscript{2186}) was found to be useful to detect the percentage of selfed seeds in the hybrid seed lots of NTH-7, which would be time- and cost-effective than the GOT.
These results revealed that the RAPD markers are effective for the determination of genetic purity of tomato hybrid seeds. From the seed lots of both the hybrids (NTH-1 and NTH-7), hybrid crops comprising 100 plants were raised as a part of the routine evaluation process. There was no contamination in hybrid seed lots because based on morphological features, all the 100 plants of each hybrid were judged to be true hybrids. Although non-reproducibility is considered to be one of the major drawbacks in using RAPD markers, in this study, case-specific utilization of RAPD markers in practical plant breeding has been demonstrated for genetic purity testing of two potential tomato hybrids. The usefulness and potential of RAPD markers for purity testing of hybrid seeds have also been demonstrated in tomato\textsuperscript{3–8} and in several other vegetable crops like pepper\textsuperscript{9,10}, watermelon\textsuperscript{2}, cauliflower\textsuperscript{11}, cabbage\textsuperscript{12}, Chinese cabbage\textsuperscript{13} and broccoli\textsuperscript{14}.
ACKNOWLEDGEMENT. Financial assistance provided by ICAR, New Delhi under NATP Network Project on Hybrid Vegetables is acknowledged.
Received 6 March 2006; revised accepted 18 June 2007
Namrata Singh
Major Singh*
Sanjeet Kumar
Rajesh Kumar
Vineeta Singh
H. C. Prasanna
Mathura Rai
Indian Institute of Vegetable Research,
P. B. No. 5002,
P.O. BHU,
Varanasi 221 005, India
*For correspondence.
e-mail: firstname.lastname@example.org
---
1. \url{http://www.hortibizindia.org}
2. Rai, M., Singh, M., Kumar, S., Prasanna, H. C. and Kumar, R., \textit{Heterosis in Crop Plants} (eds Kalloo, G. \textit{et al.}), Research Periodicals and Book Publishing House, New Delhi, 2006, pp. 140–150.
3. Hashizume, T., Sato, T. and Hirai, M., \textit{Jpn. J. Breed.}, 1993, \textbf{43}, 367–375.
4. Paran, I., Horowitz, M., Zamir, D. and Wolf, S., \textit{HortScience}, 1995, \textbf{30}, 377.
5. Rom, M., Bar, M., Rom, A., Pilowsky, M. and GidonI, D., \textit{Plant Breed.}, 1995, \textbf{114}, 188–196.
6. Chuang, S., Wang, H. and Hu, T., \textit{J. Agric. For.}, 1999, \textbf{48}, 103–112.
7. Archak, S., Karhaloo, J. L. and Jain, A., \textit{Curr. Sci.}, 2002, \textbf{82}, 1139–1143.
8. Kumar, S., Singh, V., Kumar, S., Singh, M., Rai, M. and Kalloo, G., \textit{Veg. Sci.}, 2002, \textbf{29}, 101–105.
9. Ballester, J. and Carmen de Vincente, M., \textit{Euphytica}, 1998, \textbf{103}, 223–226.
10. Choe, Y., Park, D., Suh, K., Choe, Y. W., Park, D. Y. and Suh, K. H., \textit{RDA J. Hortic. Sci.}, 1998, \textbf{40}, 15–23.
11. Boury, S., Lutz, I., Gavalda, M. C., Guidel, F. and Schlesser, A., \textit{Agronomie}, 1992, \textbf{12}, 669–681.
12. Crockett, P. A., Bhalla, P. L., Lee, C. K. and Singh, M. B., \textit{Genome}, 2000, \textbf{43}, 317–321.
13. Meng, X. \textit{et al.}, \textit{Seed Sci. Technol.}, 1998, \textbf{26}, 829–833.
14. Crockett, P. A., Singh, M. B., Lee, C. K. and Bhalla, P. L., \textit{Aust. J. Agric. Res.}, 2002, \textbf{53}, 51–54. |
Criteria 6.3.4
Certificates of the Programme Attended by Teachers
2019 - 2020
1. Dr. Archna Prasad
Body Language: Key to Professional Success
| No. of weeks of NPTEL Courses | Equivalence of NPTEL course in terms of FDP |
|-------------------------------|---------------------------------------------|
| 8 | $\frac{3}{4}$ FDP of one week |
| 12 | Full FDP of one week |
Duration of NPTEL course: 4 Weeks
NPTEL-AICTE Faculty Development Programme
(Funded by the Ministry of HRD, Govt. of India)
This certificate is awarded to
ARCHNA PRASAD
for successfully completing the course
Body Language: Key to Professional Success
with a consolidated score of 85 %
Prof. Andrew Thangaraj
NPTEL Administrator
IIT Madras
Prof. Dilseep N. Makhedhe
Advisor (Research, Institute & Faculty Development)
At India Council for Medical Education & Research
Roll No: NPTEL19HS34S11180257
To validate and check scores: http://nptel.ac.in/moc
The candidate has studied the above course through MOOCs mode, has submitted online assignments and passed proctored exams.
This certificate is therefore acceptable for promotion / CAS / AICTE / FDP / FDP through MOOCs / 2817-18, among its other prescribed / certification courses.
F.No. AICTE : FDP / FDP through MOOCs / 2817-18
2. Ms. Sangeetha Manoj
Body Language: Key to Professional Success
| No. of weeks of NPTEL Courses | Equivalence of NPTEL course in terms of FDP |
|-------------------------------|---------------------------------------------|
| 4 | $\frac{3}{4}$ FDP of one week |
| 8 | Full FDP of one week |
| 12 | $1\frac{1}{2}$ FDP |
Duration of NPTEL course: 4 Weeks
NPTEL-AICTE Faculty Development Programme
(Funded by the Ministry of HRD, Govt. of India)
This certificate is awarded to
SANGEETHA P R
for successfully completing the course
Body Language: Key to Professional Success
with a consolidated score of 72 %
Prof. Andrew Thangaraj
NPTEL Administrator
IIT Madras
Prof. Dilseep N. Makhedhe
Advisor (Research, Institute & Faculty Development)
At India Council for Medical Education & Research
Roll No: NPTEL19HS34S11181749
To validate and check scores: http://nptel.ac.in/moc
The candidate has studied the above course through MOOCs mode, has submitted online assignments and passed proctored exams.
This certificate is therefore acceptable for promotion / CAS / AICTE / FDP / FDP through MOOCs / 2817-18, among its other prescribed / certification courses.
F.No. AICTE : FDP / FDP through MOOCs / 2817-18
3. Ms. Aditi A. Samant
Body Language: Key to Professional Success
Roll No: NPTEL19HS34S11180259
To ADITI A SAMANT
NEW NO: 6, KAMAL STREET, PADMANABHA NAGAR, ADYAR
CHENNAI - 600 034,
TAMIL NADU
INDIA
PH. NO: 9176787444
Duration of NPTEL course: 4 Weeks
| No. of weeks of NPTEL Courses | Equivalence of NPTEL courses in Regional FDP |
|-------------------------------|---------------------------------------------|
| 4 | $\frac{1}{2}$ FDP of one week |
| 8 | Full FDP of one week |
| 12 | $1\frac{1}{2}$ FDP |
NPTEL-AICTE
Faculty Development Programme
(Funded by the Ministry of HRD, Govt. of India)
This certificate is awarded to
ADITI A. SAMANT
for successfully completing the course
Body Language: Key to Professional Success
with a consolidated score of 84 %
Prof. Andrew Thangaraj
NPTEL Coordinator
(Oct-2018)
Prof. Dileep N. Malikrele
Advisor (Policy, Planning and Development)
All India Council for Technical Education
(March-2019)
Roll No: NPTEL19HS34S11180259
To validate and check scores: http://nptel.ac.in/moc
4. MS. NANDHINI C
Research Ethics
SWAYAM ONLINE COURSE CERTIFICATE CUM MARKSHEET
This Certificate is awarded to
C. NANDHINI
for successfully completing the 4 credit course
Research Ethics
(offered by Shri Manoj Kumar K. Swamy Sir, INFLIBNET Centre, Gujarat)
in the proctored examination held on 10.11.2019 for the session July-October 2019.
| Roll No. | Internal Assessment (out of 30) | Proctored Examination (out of 70) | Total Marks Obtained (out of 100) |
|----------|---------------------------------|-----------------------------------|----------------------------------|
| 360766 | 21 | 29 | 50 |
N. Gopakumar
Joint Secretary, UGC
National Coordinator
Dr. Sangita Murmu
Controller of Examination
Central University of Himachal Pradesh, Himachal Pradesh
Date of Issue: 19.12.2019
To validate and check scores, visit: https://swayam.gov.in/
5. MS.RACHEL K J Innovations, Business Models and Entrepreneurship
Roll No: NPTEL19MG555S1211436
To RACHEL K J
M. O. P. VAISHNAV SALAI, ICF EMPLOYEES
COLONY, AMBATUR, CHENNAI - 60
AMBATUR, CHENNAI
CHENNAI
TAMIL NADU
600038
PH. NO:-9500005414
No. of weeks of NPTEL Courses | Equivalence of NPTEL course with regular FDP
---|---
4 | $\frac{1}{2}$ FDP of one week
8 | Full FDP of one week
12 | $1\frac{1}{2}$ FDP
Duration of NPTEL course: 8 Weeks
NPTEL-AICTE Faculty Development Programme
(Funded by the Ministry of HRD, Govt. of India)
This certificate is awarded to
RACHEL KJ
for successfully completing the course
Innovation, Business Models and Entrepreneurship
with a consolidated score of 67%
Prof. Andrew Thangaraj
NPTEL Coordinator
IIT Madras
(Aug-Oct 2019)
Prof. Dilip N. Mukhede
Advisor (Research, Innovation & Faculty Development)
All India Council for Technical Education
Roll No: NPTEL19MG555S1211436
The candidate has studied the above course through MOOCs mode, has submitted online assignments and passed proctored exams. This certificate is therefore acceptable for probationary appointments in AICTE approved colleges from 2018 onwards in other non-mooc / orientation courses.
F.No. AICTE / RFD / FDP through MOOCs / 2017-18
6. Ms. Ramya Raman Innovations, Business Models and Entrepreneurship
National Institute of Technology, Tiruchirappalli - 620015
Department of Management Studies
Department of Humanities & Social Sciences
and
Department of Architecture
Certificate of Participation
This is to certify that Mr. / Ms. / Mrs. / Dr. Ramya Raman
from M.O.P Vaishnav College for Women
has participated in
"A 5-Day Workshop on Structural Equation Modelling (SEM) Basic & Advanced Analysis"
held from 2nd to 6th December 2019 organized by National Institute of Technology, Tiruchirappalli.
Dr. G. Subbaiyan Dr. N. Thamaraiselvan Dr. S. Mekala Dr. P. Gopalakrishnan
Coordinator Coordinator Coordinator Coordinator
7. Ms. Soundarya Creating and Sustaining Entrepreneurship Culture in Institutions of Higher Education
M.O.P. Vaishnav College for Women (Autonomous)
(College affiliated to University of Madras & Re-accredited at ‘A++’ grade by NAAC)
Chennai - 600 034
IGNITE 2019
One Week Faculty Development Programme
On
‘Creating and Sustaining Entrepreneurship Culture in Institutions of Higher Education’
6th - 12th December, 2019
This is to certify that Ms. Soundarya M.S. of M.O.P Vaishnav College for Women has participated and presented a Business Proposal on Vibe Kidz Library (Toys & Books).
Date: 12th December, 2019
Principal
8. MS. HUMSA T.N Creating and Sustaining Entrepreneurship Culture in Institutions of Higher Education
M.O.P. Vaishnav College for Women (Autonomous)
(College affiliated to University of Madras & Re-accredited at ‘A++’ grade by NAAC)
Chennai - 600 034
IGNITE 2019
One Week Faculty Development Programme
On
‘Creating and Sustaining Entrepreneurship Culture in Institutions of Higher Education’
6th - 12th December, 2019
This is to certify that Ms. Humsa T.N. of M.O.P Vaishnav College for Women has participated and presented a Business Proposal on GoodGains, A Healthy start to stay fit!
Date: 12th December, 2019
Principal
9. Ms. Ramani B
Descriptive Statistics with R Software
NPTEL-AICTE
Faculty Development Programme
(Funded by the Ministry of HRD, Govt. of India)
This certificate is awarded to
B RAMANI
for successfully completing the course
Descriptive Statistics with R Software
with a consolidated score of 56%
Prof. Andrew Thangara
NPTEL Coordinator
IIT Madras
Prof. Dileep N. Markhedo
Advisor (Research, Institute & Faculty Development)
All India Council for Technical Education
Roll No: NPTEL20MA24S21320159
To validate and check scores: http://nptel.ac.in/roc
The candidate has studied the above course through MOOCs mode, but submitted online assignments and passed proctored exams.
This certificate is therefore acceptable for promotions under CAS as per AICTE notifications dated 24th July 2018, Letter & other courses/ orientation courses.
F.No. AICTE / RFD / FDP through MOOCs / 2017-18
10. Ms. Alamelu M R
Descriptive Statistics with R Software
NPTEL Online Certification
(Funded by the Ministry of HRD, Govt. of India)
This certificate is awarded to
ALAMELU M R
for passing the course
Descriptive Statistics with R Software
with Score* 82%
Prof. Rajesh M Hegde
Chairman, Centre for e-Learning Education
IIT Kanpur
Prof. Satyaki Ray
NPTEL Coordinator
IIT Kanpur
Indian Institute of Technology Kanpur
*Continuous online assessment score
To validate and check scores: https://nptel.ac.in/roc
11. Ms. Sindhu V
Elements of AI
CERTIFICATE OF COMPLETION
Presented to
SINDHU V VIKRAMAN
This is to certify that you have successfully completed the 2 ECTS credits online course.
April 10, 2020
Thomas Boms
Professor, University of Helsinki
Megan Schuhle
UOG, Bonitas Education
https://certificates.moodle.fi/vaishnavi/GOI77f0tting
12. Ms. Haripriya A
Supply Chain Management
Confirmation of Course Completion
Date: 10th April 2020
Course Start Date: 1st April 2020
Course Completion Date: 10th April 2020
To whom it may concern,
This letter serves to confirm that:
A Haripriya Gunalan
has successfully completed all required elements (learning outcomes, assignments and projects) of the following online course:
Supply Chain Management (Short Course)
The candidate was assessed through a series of written assignments/projects in English.
If you have any further questions, please do not hesitate to contact me.
Yours sincerely,
Dr. Irfan Raja
Director - Learning
REGISTRATION NUMBER 208917
LETTER NUMBER LC-80152
This certificate remains the property of eLearning College and must not in any circumstances be altered or otherwise defaced.
13. Dr. Sandhya Rajasekhar
Writing for Young Leaders
SANDHYA RAJASEKHAR
has successfully completed
Writing for Young Readers: Opening the Treasure Chest
an online non-credit course authorized by Commonwealth Education Trust and offered through Coursera.
14. Ms. Harinee Ravimaran
Creative Thinking
Harinee Ravimaran
has successfully completed
Creative Thinking: Techniques and Tools for Success
an online non-credit course authorized by Imperial College London and offered through Coursera.
15. Dr. Uthira D
Managing Online Classes and Co-creating MOOCs
Certificate
This is to certify that
Dr. Uthira D
of
M.O.P Vaishnav College for Women
successfully completed Two Weeks Faculty Development Programme on
"MANAGING ONLINE CLASSES and CO-CREATING MOOCS"
from April 20 - May 06, 2020.
Dr. S.P. AGGARWAL
(Principal)
Ramanujan TLC
Ramanujan College
Dr. NIKHIL RAJPUT
(Convenor)
Assistant Director TLC
Ramanujan College
16. Dr. Nirupama E
Managing Online Classes and Co-creating MOOCs
Certificate
This is to certify that
Dr. E. NIRUPAMA
of
M.O.P VAISHNAV COLLEGE FOR WOMEN (AUTONOMOUS)
successfully completed Two Weeks Faculty Development Programme on
"MANAGING ONLINE CLASSES and CO-CREATING MOOCS"
from April 20 - May 06, 2020.
Dr. S.P. AGGARWAL
(Principal)
Ramanujan TLC
Ramanujan College
Dr. NIKHIL RAJPUT
(Convenor)
Assistant Director TLC
Ramanujan College
17. Dr. C.S. Srividya
Managing Online Classes and Co-creating MOOCs
Certificate
This is to certify that
Dr. Srividya Prathiba C.S
of
M.O.P. Vaishnav College for Women
successfully completed Two Weeks Faculty Development Programme on
"MANAGING ONLINE CLASSES and CO-CREATING MOOCS"
from April 20 - May 06, 2020.
Dr. S.P. Aggarwal (Principal)
Ramanujan ILC
Ramanujan College
Dr. Nikhil Rajput (Convener)
Assistant Director, TLC
Ramanujan College
18. Dr. Nisha U
Managing Online Classes and Co-creating MOOCs
Certificate
This is to certify that
Dr. Nisha U
of
M.O.P. Vaishnav College for Women
participated in Two Weeks Faculty Development Programme on
"MANAGING ONLINE CLASSES and CO-CREATING MOOCS"
from April 20 - May 06, 2020.
Dr. S.P. Aggarwal (Principal)
Ramanujan ILC
Ramanujan College
Dr. Nikhil Rajput (Convener)
Assistant Director, TLC
Ramanujan College
21. Dr. Vijayalakshmi M
Managing Online Classes and Co-creating MOOCs
Certificate
This is to certify that
Dr. Vijayalakshmi M
of
M.O.P VAISHNAV COLLEGE FOR WOMEN
successfully completed Two Weeks Faculty Development Programme on
“MANAGING ONLINE CLASSES and CO-CREATING MOOCS”
from April 20 - May 06, 2020.
Dr. S.P. Aggarwal
(Principal)
Director, TLC
Ramanujan College
Dr. Nikhil Rajput
(Coventor)
Assistant Director, TLC
Ramanujan College
22. Ms. Nisha M
LaTeX
Certificate of Participation
This is to certify that NISHA MOHAN participated in the LaTeX Faculty Development Programme organized at Chevalier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Kannan M Mondigala
IIT Bombay
23. Ms. Vaishnavi C S D
LaTeX
Certificate of Participation
This is to certify that C S D VAISHNAVI participated in the LaTeX Faculty Development Programme organized at Chevalier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Kannan M Moudgalaya
IIT Bombay
24. Dr. K. Sindhu
LaTeX
Certificate of Participation
This is to certify that SINDHU SANJEEV participated in the LaTeX Faculty Development Programme organized at Chevalier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Kannan M Moudgalaya
IIT Bombay
25. Dr. Fernandes Jayashree
LaTeX
Certificate of Participation
This is to certify that DR.FERNANDES JAYASHREE FELIX participated in the LaTeX Faculty Development Programme organized at Chevalier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Kanan M Mondalys
IIT Bombay
26. Ms. vidya Padmanabhan
Managing Online Classes and Co-creating MOOCs
Certificate of Participation
This is to certify that VIDYA PADMANABHAN participated in the LaTeX Faculty Development Programme organized at Chevalier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Kanan M Mondalys
IIT Bombay
27. Ms. Arpita Maitra
LaTeX
Certificate of Participation
This is to certify that ARPITA MAITRA participated in the LaTeX Faculty Development Programme organized at Chevallier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Kannan M Moudgalaya
IIT Bombay
28. Ms N Meenakshi
LaTeX
Certificate of Participation
This is to certify that MEENAKSHI N participated in the LaTeX Faculty Development Programme organized at Chevallier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Kannan M Moudgalaya
IIT Bombay
29. Ms.Priyavadhani M
LaTeX
Certificate of Participation
This is to certify that PRIYAVADHANI M MURTHY participated in the LaTeX Faculty Development Programme organized at Chevalier T. Thomas Elizabeth College for Women in APRIL 2020, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to LaTeX were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
From: 27-04-2020 to 01-05-2020
Prof. Koushik M Mondal
IIT Bombay
30. Dr. Brinda Ramanujam
R-PROGRAMMING
Certificate of Participation
This is to certify that
BRINDA RAMANUJAM
from
MOP. VAISHNAV COLLEGE FOR WOMEN
has participated and completed 5 Days Online Faculty Development Program (FDP) on R Programming organised by Indo Global Group of Colleges, New Chandigarh in association with IIT Bombay Spoken Tutorial (An Initiative of National Mission on Education through ICT, MHRD, Govt. of India) from 27th April to 1st May 2020.
Er. Sukhwinder Singh
FDP Coordinator
IGCE
Er. Vanita Rani
HOD CSE
IGCE
Dr. SP Ahuja
Principal
IGCMT
Dr. Promila Kaushal
Principal
IGCE
Certificate of Participation
This is to certify that SAKTHI KUMARESH participated in the R training organized at Shri Krishnaswamy College for Women in January 2020 semester, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to R were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
May 4th 2020
Prof. Kannan M Moudgalya
IIT Bombay
E Certificate
This is to certify that
ALAMELU C
of M.O.P.VAISHNAV COLLEGE FOR WOMEN,CHENNAI
has successfully completed with the grade A in the 7 DAY online course on RESEARCH METHODOLOGY
jointly organized by GRABS Educational Charitable Trust and Tamilnadu Association of Intellectuals and Faculty from 05-05-2020 to 11-05-2020
Course coordinator
Dr. Kamala Nellima
Course Director
Dr. M Thiagarajan
33. Dr. R. Preetha
Advanced Research Methodology
REST SOCIETY FOR RESEARCH INTERNATIONAL
(An autonomous body of RBST Trust, India)
Registered under the Indian Trusts Act, 1882: 43/2009
Email: firstname.lastname@example.org; Web: www.rsri.org.in
CERTIFICATE OF APPRECIATION
ONE WEEK STTP ON ADVANCED RESEARCH METHODOLOGY
Certificate No: AAF1087
This is to certify that Dr. R Preetha has successfully completed and Qualified the exam of One Week STTP on Advanced Research Methodology from 11 May, 2020 to 15 May, 2020 organized by REST Society for Research International (RSRI), Krishnagiri, Tamil Nadu, India.
Dr. A. V. Raghu
President
Prof. Bhavna Sharma
Registrar
Dr. Ranjan Kumar Ghadai
Coordinator
34. Ms. Priyanka R
Futuristic Accounting
INDIAN ACCOUNTING ASSOCIATION
TIRUCHIRAPPALLI BRANCH
IN ASSOCIATION WITH
INDIAN ACADEMIC RESEARCHERS ASSOCIATION
TIRUCHIRAPPALLI, TAMIL NADU, INDIA - 620021
Certificate of Course Completion
This certificate is to Priyanka.R of M.O.P VAISHNAV COLLEGE FOR WOMEN, HUNGAMBANKAM, CHENNAI participated and successfully completed with the grade A in the 5 DAYS ONLINE COURSE ON FUTURISTIC ACCOUNTING held on 11th to 15th May 2020.
Course Director
(Dr. Premraj Dhar)
Course Coordinator
(Dr. K. KrishnaKumar)
35. Ms. Jayanthi J
GeoGebra 5.04
Certificate of Participation
This is to certify that JAYANTHI J participated in the GeoGebra 5.04 training organized at Jamal Mohamed College (Autonomous) in January 2020 semester, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to GeoGebra 5.04 were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
May 12th 2020
Prof. Kannan M Moudgalaya
IIT Bombay
36. Ms. Gayathri Krishnamoorthy
Journalism and Mass Communication
Certificate
This is to certify that Prof. GAYATHRI K of M.O.P VAISHNAV COLLEGE FOR WOMEN, CHENNAI, TAMIL NADU has participated in the Online Faculty Development Programme organised by the Department of Journalism and Mass Communication, Kristu Jayanti College, Bengaluru, from May 12, 2020 to May 16, 2020.
Dr. Gopakumar A.V., Dean, Faculty of Humanities
Rev. Fr. Josekutty P.D., Principal
37. Dr. R. Jamuna Chezhian Training in R Language
Auxilium College (Autonomous)
Gandhi Nagar, Vellore-632006
(Accredited by NAAC with A+ Grade with CGPA of 3.55 out of 4 in the 3rd Cycle)
Certificate of Participation
This is to certify that Mrs R JAMUNA CHEZHIAN, Assistant professor, M O P VAISHNAV COLLEGE FOR WOMAN, has participated in One Week National Level Online Faculty Development Programme and successfully completed the hands on training in R Language, held during 13.05.2020 to 20.05.2020, organized by the PG and Research Department of Mathematics, Auxilium College (Autonomous), Vellore, Tamil Nadu, in collaboration with Spoken-Tutorial Project, IIT Bombay, funded by National Mission of Education through ICT, MHRD, Govt. of India.
L. Sivakumar
Head, PG & Research Dept. of Mathematics
Organizing Secretary
https://sites.google.com/view/online-fdp-on-r-langu
Principal
38. Ms. Kiran Varma 360 Degree Classroom Management- Teaching Methodology
CERTIFICATE OF PARTICIPATION
This is to certify that
Mr. / Ms. KIRAN VARMA
of...M.O.P. VAISHNAV COLLEGE FOR WOMEN
has participated in participated in the One Week Online International Faculty Development Program (IFDP) on 360° Classroom Management – Teaching Methodology held from 16th to 22nd May 2020.
Dr. K. Maran
Director
Sairam Engineering College
Dr. A. Rajendra Prasad
Principal, Sri Sairam Engineering College
Sai Prakash Rao Murthy
Chairman, Sairam Educational Institutions
MHRD
Sai RAM ENGINEERING COLLEGE
Approved by AICTE and MHRD, Govt. of India
An ISO 9001:2015 Certified and
Sustainable Development Goals (SDGs) Compliant Institution
West Tambaram, Chennai - 44.
www.sairam.edu.in
Sustainable Development Goals
SU/SUSTAINABLE GOALS
20
39. Ms. Gavoury R
Managing Online Classes and Co-Creating MOOCS 2.0
Teaching Learning Centre
Ramanujan College
University of Delhi
Sponsored by
MINISTRY OF HUMAN RESOURCE DEVELOPMENT
PANDIT MADAN MOHAN MALAVIA
NATIONAL MISSION ON TEACHERS AND TEACHING
Certificate
This is to certify that
Gavoury R
of
Computer Science, M.O.P. Vaishnav College for Women(Autonomous)
successfully completed Two Weeks Faculty Development Programme on
“MANAGING ONLINE CLASSES and CO-CREATING MOOCS:2.0”
from May 18 -June 03, 2020.
Dr. S.P. AGGARWAL
(Principal)
TLC
Ramanujan College
Dr. NIKHIL RAJPUT
(Convener)
Assistant Director
Ramanujan College
40. Ms. A. Angayarkanni
Managing Online Classes and Co-Creating MOOCS 2.0
Teaching Learning Centre
Ramanujan College
University of Delhi
Sponsored by
MINISTRY OF HUMAN RESOURCE DEVELOPMENT
PANDIT MADAN MOHAN MALAVIA
NATIONAL MISSION ON TEACHERS AND TEACHING
Certificate
This is to certify that
A. ANGAYARKANNI
of
M.O.P. VAISHNAV COLLEGE FOR WOMEN
successfully completed Two Weeks Faculty Development Programme on
“MANAGING ONLINE CLASSES and CO-CREATING MOOCS:2.0”
from May 18 -June 03, 2020.
Dr. S.P. AGGARWAL
(Principal)
TLC
Ramanujan College
Dr. NIKHIL RAJPUT
(Convener)
Assistant Director
Ramanujan College
41. Dr.R.Anusha
Managing Online Classes and Co-creating MOOCs 2.0
Teaching Learning Centre, Ramanujan College
University of Delhi
Sponsored by
MINISTRY OF EDUCATION
PANDIT MADAN MOHAN MALAVIYA NATIONAL MISSION ON TEACHERS AND TEACHING
This is to certify that
Dr.R.Anusha
of
Computer Science, M.O.P. Vaishnav College for Women(Autonomous),Chennai
TWO - WEEK FACULTY DEVELOPMENT PROGRAMME on
"Managing Online Classes & Co-creating MOOCs 2.0"
from May 18 - June 03, 2020 and obtained
Grade A+.
Blockchain Hash: 0e6d175e9d16d67e3496b16f173238e9b1c2e8d7b3e3226b2216161
Prof. S. P. Aggarwal
(Principal & Director)
TLC, Ramanujan College
Dr. Nikhil Kr. Rajput
(Convener)
Ramanujan College
42. Ms. CS PADMASINI
Managing Online Classes and Co-creating MOOCs 2.0
Government of India
Ministry of Human Resource Development
Teaching Learning Centre
Ramanujan College
University of Delhi
Sponsored by
MINISTRY OF HUMAN RESOURCE DEVELOPMENT
PANDIT MADAN MOHAN MALAVIYA
NATIONAL MISSION ON TEACHERS AND TEACHING
Certificate
This is to certify that
PADMASINI C S
of
DEPARTMENT OF COMPUTER SCIENCE, M.O.P VAISHNAV COLLEGE FOR WOMEN
successfully completed Two Weeks Faculty Development Programme on
"MANAGING ONLINE CLASSES and CO-CREATING MOOCs:2.0"
from May 18 - June 03, 2020.
Dr. S.P. AGGARWAL
(Principal)
Director, TLC
Ramanujan College
Dr. NIKHIL RAJPUT
(Convener)
Assistant Director, TLC
Ramanujan College
43. Dr. Pavitra. M. Davey
Managing Online Classes and Co-creating MOOCs 2.0
Teaching Learning Centre, Ramanujan College
University of Delhi
under the aegis of
MINISTRY OF EDUCATION
PANDIT MADAN MOHAN MALAVIYA NATIONAL MISSION ON TEACHERS AND TEACHING
This is to certify that
Dr.Pavitra.M.Davey
of
B.Com Accounting and Finance shift II, M.O.P Vaishnav college for women
has successfully completed TWO - WEEK FACILITY DEVELOPMENT PROGRAMME on
"Managing Online Classes & Co-creating MOOCs 2.0"
from May 18 - June 03, 2020 and obtained
Grade A+.
Blockchain Hash: [Link]
Prof. S. P. Aggarwal
(Principal & Director)
TLC, Ramanujan College
Dr. Nikhil K. Rajput
(Convenor)
Ramanujan College
44. Ms. Lakshmi Priya S
Research Methodology
MAR GREGORIOS COLLEGE OF ARTS & SCIENCE
Block No:B, College Road, Magappair West, Chennai-37
Affiliated to the University of Madras
An ISO 9001:2015 Certified Institution
Department of Business Administration-Shift I
Certificate of Course Completion
This is to certify that LAKSHMY PRIYA S of M.O.P.VAISHNAV COLLEGE FOR WOMEN, CHENNAI has participated and successfully completed the five days National Level Online Course On Research Methodology organised by the Department forum from 19th to 23rd May 2020.
Dr.C.M.Sudha Arogya Mary (Course Director) Mr.R.Leonard Solomon (Head of the Department) Mrs.Ann Hepzhibah Niroja (Vice Principal) Dr.M.Sivarajan (Principal) Rev.Fr.Philip Pulipra (Secretary)
E-Certificate signature not required
http://www.mgcchennai.ac.in/ SOAR ON YOUR WINGS LIKE EAGLES - Isaiah 40:31
45. Ms. Seema Thomas
Research Methodology
Wilson College &
KES’ Shroff College of Arts & Commerce
Vasantraodada Patil Institute of Management Studies & Research
in association with
University of Mumbai
Organised
Seven Days International Online Workshop
On
“RESEARCH METHODOLOGY”
CERTIFICATE
OF
COMPLETION
This certificate is awarded to
Seema Thomas
from
MOP Vaishnav College for Women
for successfully completing
Seven Days International Online Workshop on
“RESEARCH METHODOLOGY”
conducted from 19th May to 25th May 2020 as per
UGC guidelines for completion of Ph.D. and M.Phil. coursework.
The Grade secured in the qualifying examination - O.
Dr. Anna Pratima Nikalje
Principal, Wilson College
Dr. L. Bhushan
Principal, KES’ Shroff College
Dr. Ranjeet Anand Shinde
Principal, VMC
46. Ms. Sruthi Kesh
Research Methodology
Wilson College &
KES’ Shroff College of Arts & Commerce
&
Vasantraodada Patil Institute of Management Studies & Research
in association with
University of Mumbai
Organised
Seven Days International Online Workshop
On
“RESEARCH METHODOLOGY”
CERTIFICATE
OF
COMPLETION
This is to acknowledge that
Ms. Sruthi Kesh
from
M.O.P Vaishnav College for Women
has successfully completed
Seven Days International Online Workshop on
“RESEARCH METHODOLOGY”
conducted from 19th May to 25th May 2020.
Dr. Anna Pratima Nikalje
Principal, Wilson College
Dr. L. Bhushan
Principal, KES’ Shroff College
Dr. Ranjeet Anand Shinde
Principal, VMC
47. Ms. E. Renuga
Training in R Language
Certificate of Participation
This is to certify that **E RENUGA ELANGO** participated in the R training organized at Auxilium College Autonomous in January 2020 semester, with course material provided by the Spoken Tutorial Project, IIT Bombay.
A comprehensive set of topics pertaining to R were covered in the training. This training is offered by the Spoken Tutorial Project, IIT Bombay, funded by the National Mission on Education through ICT, MHRD, Govt. of India.
May 20th 2020
Prof. Kanam M Moudgalya
IIT Bombay
48. Dr K B Priya Iyer
FDP on R
Certificate of Participation
This certificate is awarded to
**Dr K B Priya Iyer**
of
M.O.P. Vaishnav College for Women
has participated in “One Week Faculty Development Programme on R” in association with Spoken Tutorial, IIT Bombay (An Initiative of National Mission on Education through ICT, MHRD, Govt. of India) during 21st to 27th May 2020.
Certificate ID: TVUCAS-FDP-017
49. Dr. Shakila P
Building an Optimal Portfolio in the Post COVID 19 World
Kristu Jayanti College
School of Management
Online Faculty Development Programme (FDP)
On
Building an Optimal Portfolio in the Post COVID 19 World
May 21 - 28, 2020
Certificate
This is to certify that
Dr. SHAKILA. P. ASSISTANT PROFESSOR
of M.O.P VAISHNAV COLLEGE FOR WOMEN (AUTONOMOUS), CHENNAI, TAMILNADU
has participated in the Online FDP on “Building an Optimal Portfolio in the Post COVID 19 World” organised by
the School of Management, Kristu Jayanti College (Autonomous), Bengaluru
between May 21 and 28, 2020
Dr. M. K. Baby
Head, School of Management
Dr. Aloysius Edward J
Dean, Faculty of Commerce & Management
Fr. Josekutty P.D.
Principal
50. Dr. SUDHA TRIVEDI
Faculty Development Programme
PARVATHY'S ARTS & SCIENCE COLLEGE
Wisdom City, Madurai Main Road, Dindigul-2.
(Affiliated by Madurai Kamaraj University Madurai)
(Recognized by UGC under 2F)
हिन्दी विभाग
प्रमाणपत्र
यह प्रमाणित किया जाता है कि
SUDHA TRIVEDI
M.O.P. Vaishnav College for women
हमारे महाविद्यालय में हिन्दी विभाग के द्वारा 26 मई 2020 से 30 मई 2020 तक हिन्दी में
संकाय विकास कार्यक्रम में भाग लिया है।
Mrs. R. Sumathi, HOD,
Department of Hindi
Dr. S. Sukumar,
Principal |
The focus of this monitoring effort is urban interstate interchanges, where congestion is typically problematic during AM and PM rush hours. The results of this research indicate that not all freight significant corridors have the same level of congestion as others; while many cities experience costly gridlock on a recurring basis, others are more fortunate, experiencing only minor delays or no congestion.
Both private and public sector freight stakeholders can use this information to understand the severity of congestion and mobility constraints experienced along the freight transportation system. For each freight significant location on the list, ATRI provides a time-of-day speed profile showing when congestion impacts freight operations. The list of all 250 locations is available online at www.atri-online.org. ATRI and FHWA will continue this monitoring effort next year, with an analysis of data collected throughout 2011.
### ATRI Designing Real-Time Weather Notification System for Truck Drivers
Inclement weather has become an increasing concern for the trucking industry. As delivery time windows contract and just-in-time manufacturing pressures increase, on-time deliveries are becoming ever more critical. At the same time, trucks are often the first victims of critical weather events; high winds, slippery roads and blinding precipitation all play havoc with fleet safety and operations.
ATRI and FHWA have jointly analyzed ATRI’s “Freight Performance Measures” data – which monitors hundreds of thousands of truck GPS units – to identify numerous instances where weather events dramatically impacted trucking operations. In some instances, these same trucks were deliberately headed into weather events such as hurricanes with much needed emergency response supplies.
In an effort to monitor and notify truck drivers of critical weather events, ATRI has undertaken an important research initiative to capture real-time weather data from National Oceanic & Atmospheric Administration (NOAA) databases. The moving weather event data would be virtually “geo-fenced” onto roadways and truck routes; when trucks enter a weather buffer zone, they would receive real-time weather notifications with enough advance notice to take action, e.g. re-routing or safe parking, as needed.
ATRI is now working with a major telecommunications provider to engineer a weather information delivery system that would inform drivers of events without creating unnecessary distractions. ATRI is also working with several motor carriers, state DOTs and NOAA to pilot test the system in operational settings where critical weather events are known to occur. It is hoped that preliminary research data and findings would be available to interested stakeholders in April 2012.
### ATRI’s Vice President of Research Appointed to Journal Advisory Board
Dan Murray, ATRI’s Vice President of Research, was appointed in September to the Editorial Advisory Board of the *Journal of Transportation Law, Logistics & Policy*. The quarterly Journal contains academic-quality research and articles on timely subjects of interest to transportation attorneys, government officials and a wide variety of policy, legal and academic experts in the field. ATRI has had several research papers published in the Journal, which covers all modes (rail, truck, air, and water), and all aspects of transportation law and policy, including matters of interest both nationally and internationally. Contributors to the Journal include practicing attorneys, legal and academic experts, and government officials. The Journal’s subscribers consist of transportation law professionals, freight transportation experts and policymakers, Supreme, Federal, State and Local courts, government libraries, as well as university libraries around the world.
Recent appointees to the Editorial Advisory Committee include Russell W. Pittman with the U.S. Department of Justice, and Former FMCSA Administrator Annette Sandberg.
### Economy Remains Industry’s Top Concern in Annual Survey
For the third consecutive year, uncertainty about the economy was strong enough to trump concerns for a host of other issues facing the trucking industry according to an annual survey by ATRI. Nearly one in three respondents listed the economy as the most pressing trucking industry issue. The annual survey, now in its seventh year, was conducted by ATRI on behalf of the American Trucking Associations and surveyed over 4,000 industry participants. Trucking, as CSA dropped two spots from its 2010 second place finish. Other critical issues on the 2011 top ten list were fuel prices, congestion, transportation funding, tort reform, onboard truck technology, and truck size and weight. A full copy of the Top Industry Issues report is available from ATRI at www.atri-online.org.
### Distribution of Industry Issue Importance Rankings
| Industry Issue | Importance Rank |
|---------------------------------|-----------------|
| Economy | 1-2 |
| Hours of Service | 3-4 |
| Driver Shortage | 5-6 |
| CSA | 7-8 |
| Fuel Issues | 9-10 |
### ATRI and FHWA Release Bottleneck Analysis of 250 Freight Significant Highway Locations
The American Transportation Research Institute (ATRI) and the Federal Highway Administration (FHWA) last month released the findings of their annual congestion monitoring report. The research, which assesses the level of truck-oriented congestion at 250 freight significant locations on the national highway system, uses ATRI-developed analysis methods, customized software tools and terabytes of data from trucking operations to produce a congestion severity ranking for each location. FHWA’s Office of Freight Management and Operations sponsors and ATRI operates this ongoing research, which is part of the Freight Performance Measures (FPM) initiative.
The Trucking Industry Mobility and Technology Coalition Annual Meeting
Over 200 members participated in the Trucking Industry Mobility and Technology Coalition’s (TIMTC) 2011 annual meeting on October 17-18 at the Grand Hyatt Resort and Convention Center. Representatives from government, the trucking industry, motor carrier enforcement and the insurance industry spoke at the Monday afternoon educational session “(Data) Mining for Gold: Using Your Driver Data to Reduce Crashes,” which focused on how “data mining” is used by carriers, insurers and government to strategically and cost-effectively identify and resolve safety issues.
Speakers included FMCSA Administrator Anne Ferro C.R. England Chief Operating Officer Chad England; New Mexico Department of Public Safety Major Ron Cordova; and Maxum Specialty Insurance Group Transportation Division Vice President Doug Hathaway. Discussions focused on the need to understand how driving histories relate to future crash risk, and for the development of targeted solutions for minimizing future safety risks.
On Tuesday, a panel of government officials, FHWA Deputy Administrator Greg Nakan and NHTSA Deputy Administrator Ron Medford, and industry executives, James Bung Trucking President and CEO Jim Bung and Jet Express President Kevin Burch, discussed the benefits to research and program development that come from government and industry collaboration, as well as the challenges associated with determining when initiatives should be voluntary (carrots) versus mandatory (sticks).
The presenters indicated that strong government and industry partnerships are critical to the success of future technology deployments and safety initiatives. It was noted that, while there are tremendous hurdles to overcome (privacy and security issues, funding, etc.), these technologies are important tools for continuing to increase highway safety; a goal shared by everyone. The debate will continue, however, on determining when initiatives should be voluntary versus mandatory.
Also on Tuesday, “A Day in the Life of a Connected Truck” offered a glimpse into the future of advanced truck technology that will improve safety and increase productivity in the industry. Several government and industry representatives discussed how life will change once technologies such as wireless roadside inspections (WRI), universal truck identification, virtual weight stations and other intelligent transportation systems (ITS) are implemented.
TIMTC also had the opportunity to sponsor a Sirius/XM radio broadcast during the annual meeting. The Dave Nemo Show aired live on October 17th and 18th from 8:00 to 10:00 each morning. Guests included FMCSA Administrator Anne Ferro, Former FMCSA Administrator and Founder of the Hill Group John Hill; Executive Director of the Coalition for Transportation Productivity John Rannan; and ATRI’s Director of Highway Operations Darrin Roth.
TIMTC, established in 2009, is sponsored by the U.S. DOT and is jointly managed by ATRI, the Commercial Vehicle Safety Alliance (CVSA), the American Association of State Highway Transportation Officials (AASHTO) and the American Trucking Associations (ATA).
For more information on TIMTC and a complete summary of the annual meeting sessions, please visit www.freightmobility.org.
Board Member Spotlight: Ludvik F. Koci
Lud Koci is one of ATRI’s longest standing Board members, having first been appointed to the ATRI Board in April 2001. Mr. Koci’s industry career spans 50+ years, starting in 1954 when he joined General Motors as a cooperative education student at the General Motors Institute. He held a number of engineering positions at Electric Motor Division, a railroad locomotive builder, including that of Assistant Chief Engineer starting in 1972. In 1976, Mr. Koci transferred to the General Diesel Division of GM’s ODD, where he was General Motors as Director of Diesel Engine and Transmission Engineering. Two years later, he was named General Director of Engineering for DDA, including responsibility for diesel engines, gas turbine engines and automatic transmissions. He was promoted to General Manager of the division and elected GM Vice President in October, 1982.
In 1988, after the purchase by Roger Penske, he was promoted to Executive Vice President of Detroit Diesel Corporation (DDC). Mr. Koci currently holds the positions of President, Vice Chairman, and CEO of DDC. Following that, he became a Vice President of Daimler Corporation in charge of engine development for commercial engines headquartered in Stuttgart. Today he is President of Penske Transportation Components LLC and a Director of Penske Corporation.
In addition to his service on the ATRI Board, he has served on the Board of Directors of Wabash Corporation and VM Motori S.p.A., an Italian company. In addition, Mr. Koci also serves on the Boards of various charitable organizations such as Focus Hope, Mary’s Children Family Center, Orchard Lake Schools, where he is Chairman of the Board of Regents and SS Cyril and Methodius Seminary. He is a member of the Cardinal Club of Detroit, Legionus and is a Knight of the Order of Malta and a Knight Grand Cross of the Order of the Holy Sepulchre. He has lectured at a number of schools and universities on subjects of business, value and ethics.
Mr. Koci has been married for 54 years and he and his wife, Trudy, have eight children, five of whom were adopted from four nations.
RAC Member Brett Sant
ATRI RAC Member Brett Sant currently serves as the Vice President of Safety and Risk Management for Knight Transportation, Inc., a position he has held since November 2005.
His supervisory responsibilities have included loss prevention, security, insurance procurement, claims management and administration, driver development, training and counseling. Prior to his time at Knight, Brett was the Director of Safety and Driver Development for Edwards Bros. Trucking. His professional experience includes over 13 years of management responsibilities in the transportation industry, in various segments including truckload, refrigerated, tanker and LTL. At Knight, Brett and his colleagues have initiated a number of significant safety initiatives and claim intervention efforts that have helped to significantly reduce vehicle crashes, industrial injuries and their resulting financial impacts.
Brett is actively involved in industry efforts to improve motor carrier safety. In addition to his service on the ATRI RAC, Brett is active in the American Trucking Associations where he serves on the Safety Management Council’s Regulations Committee as its Vice Chairman. He is also active in his home state of Arizona, where he serves on the legislative committee responsible for enacting legislation prohibiting indemnification by motor carriers of another party’s negligence.
Brett graduated from the University of Utah with a B.A. in History. He currently resides in Goodyear, Arizona along with his wife and three sons.
Developing a Real-Time Truck Parking Info System
ATRI is a team member and co-designer for a large-scale U.S. DOT-sponsored research initiative that is building and testing a comprehensive Truck Parking Information System. The core team, which is led by the MN Department of Transportation, includes ATRI and the University of Minnesota. When built, the “SmartPark4Trucks” system will use automated cameras and a series of wireless servers to provide accurate, real-time truck parking information, using a variety of communication tools. Aside from variable message signs on the road, the parking information will be fed wirelessly to onboard truck communication systems, as well as the SmartParkTrucks web server which will also allow dispatchers to assess and communicate parking opportunities.
One of the most important aspects of the system is that it will be installed, tested and integrated across both public and private sector facilities; initial corridor testing will include 2-3 public rest stops and one private truck stop on the I-94 corridor between Fargo-Moorhead and Minneapolis-St. Paul. Scott Wombold, Vice President of Strategic Sales with Pilot Travel Centers and an ATRI RAC member, is facilitating the truck stop integration component. The onboard system integration will be supported by PeopleNet Communications. Tom Kearney, FHWA’s Project Manager for the U.S. DOT’s Truck Parking Program, is providing continuous technical support to the MN/DOT Team as well as facilitation with the country’s other truck parking initiatives.
ATRI Analysis of Carrier and Driver CSA Impacts
As part of its research to quantify the impact of CSA on the trucking industry, ATRI conducted two separate surveys to identify motor carrier and commercial driver attitudes and understanding of FMCSA’s new regulatory program, Compliance, Safety, Accountability (CSA), along with operational impacts which may be occurring. Survey results describe more than 4,300 truck driver responses collected between March – April 2011, as well as nearly 700 motor carrier responses from July – August 2011.
At the time of the motor carrier survey, 96.5 percent of carriers had accessed their company’s CSA scores at least once, with roughly 85.1 percent of respondents viewing their CSA scores monthly. The number of self-reported Safety Deficiency Areas (SEAs) and CSA Behavior Analysis and Safety Improvement Categories (BASICs) above threshold were strongly correlated, meaning carriers generally maintained their favorable or unfavorable safety status under CSA as in SafeStat. However, a higher proportion of carriers reported having at least one identified problem area, likely due to the fact that more safety areas are measured under CSA (i.e. 7 BASICs compared to only 4 SEAs).
Interestingly, although roughly two-thirds of drivers were somewhat or extremely concerned about job-related unsafe CSA scores, only 10.5 percent of respondents laid off only 5 percent or fewer of their drivers due to CSA-related concerns. Still, a majority of drivers and carriers agreed (83.6% and 89.1%, respectively) that CSA would exacerbate the existing driver shortage. These beliefs were substantiated by claims from 72.2 percent of carriers that it is now more difficult to hire new drivers, due to greater driver accountability and increased transparency of historical safety records.
There were mixed reports as to whether CSA has increased carrier and driver interactions with FMCSA. Only a quarter of drivers believed their relationship with FMCSA had increased in any way since CSA’s national launch in October 2010. Conversely, 55 percent of carriers said this was true, although this increasing reported may have been due to the four month gap between surveys, during which time CSA had time to expand. Further, a third of carriers stated that FMCSA interventions had become more frequent, with interventions now including more detailed data collected via on-site or off-site compliance reviews. Notably, reports of increased I&R and interventions were more common among carriers reporting a greater number of BASICs above threshold.
Drivers and carriers both believed that CSA would ultimately improve the quality of truck drivers, but only carriers thought the changes would translate into better industry safety overall. As a whole, drivers were more supportive of FMCSA using CSA to measure carrier safety performance than driver safety performance, while carriers were more supportive of FMCSA measuring drivers. Still, carriers approved of FMCSA using the data more than they approved of the data being used by shippers, brokers or insurers, while support was lowest for the general public having access to the data.
Finally, on a 14-item CSA knowledge test, drivers answered an average of 5.7 items correctly, compared to 10.2 by carriers. Both groups of respondents struggled with technical details, such as correctly identifying which five BASICs are publicly available. Drivers, however, consistently had difficulty separating CSA fact from fiction, such as believing that CSA will rate drivers on Body Mass Index. Although performance on the knowledge test varied, drivers and carriers were able to accurately rate their level of CSA expertise prior to taking the test.
Copies of the driver and carrier survey results, as well as the ATRI CSA Knowledge Test, are available from ATRI at www.atrinsider.org. |
Dhaka Art Summit
ঢাকা আর্ট সামিট
Seismic Movements
সঞ্চারণ
Dhaka Art Summit
Seismic Movements
সঞ্চারণ
7-15 February 2020
www.dhakaartsummit.org
#DhakaArtSummit2020
#SeismicMovements
Editors
Dhaka Art Summit Team
Nadia Samdani, Director and Co-Founder
Teresa Albor
Diana Campbell Betancourt, Chief Curator
Copyeditor
Philip Baber
Teresa Albor, Director of Cultural Affairs
Mohammad Sazzad Hossain, Head of Administration
Ruxmini Reckvanna Q Choudhury, Assistant Curator
Eve Berman, Associate Producer
Artist and Collective Entries
Azizee Fawmi Khan
Bipul Mallick
Diana Campbell Betancourt
Kathryn Weir
Kehkasha Sabah
Lucia Zubalova
Ruxmini Reckvanna Q Choudhury
Sumon Wahed
Teresa Albor
Zannatun Nahar
Curatorial Texts
Anjalika Sagar and Kodwo Eshun (The Otolith Group)
Antonia Alampi, Bonaventure Soh Bejeng Ndiung,
Olanji Ewunnet (SAVVY Contemporary)
Bishwajit Goswami
Diana Campbell Betancourt
Dulcie Abrahams Altass, Koyo Kouch,
Marie Helene Pereira (RAW Material Company)
Gudskul
Hikmah Dadi
Kathryn Weir (with Diana Campbell Betancourt)
Mustafa Zaman
Nina Palm (for Srijan-Abartan)
Philippe Pirotte
Sean Anderson (with Diana Campbell Betancourt)
Publisher
Samdani Art Foundation
Shanta Western Tower
Level 5, Suite 501 & 502
163 Shanta Tejgaon Link Road Tejgaon 1/A
Dhaka, 1208 Bangladesh
firstname.lastname@example.org
Graphic Identity
Fraser Muggeridge studio
Design
Fraser Muggeridge studio
Distributor
Samdani Art Foundation
Coordination
Mohammad Sazzad Hossain
Printers and Binder
Sun Press
Introductory Letters
Thinking at the Edges of Language
Curatorial Notation
Geological Movements
Colonial Movements
Independence Movements
Seismography of Struggles
Social Movements and Feminist Futures
Collective Movements
Stepping Out of Line (CR4)
Stitching Collective
The Collective Body
DAS 2020 Collectives Platform Participants
Nobody Told Me There’d Be Days Like These
Spatial Movements
On Muzharul Islam: Surfacing Intention
Geographies of Imagination
Roots
Srijan-Abartan
Moving Image
Modern Movements (MAHASSA)
Samdani Art Award
Team Biographies
Credits
Partners
Where the mind is without fear and the head is held high
Where knowledge is free
Where the world has not been broken up into fragments
By narrow domestic walls
Where words come out from the depth of truth
Where tireless striving stretches its arms towards perfection
Where the clear stream of reason has not lost its way
Into the dreary desert sand of dead habit
Where the mind is led forward by thee
Into ever-widening thought and action
Into that heaven of freedom, my Father, let my country awake.
*Where the Mind is Without Fear*, Rabindranath Tagore
Dhaka Art Summit has grown from an inkling of an idea in 2012 into a globally respected platform five editions later – a platform where we are able to come together and see the world outside of ‘narrow domestic walls’ and to find new ways to connect with each other through the power of art. Rajeeb and I have long been inspired by the work of Rabindranath Tagore (and other Bengali intellectuals) in the way that they were able to share their words and creativity with the world and refused to be seen as inferior to the imperial powers dominating the world they created their work in. Similarly, today – we feel that the art produced in Bangladesh, and also in South and Southeast Asia, Central and South America, Africa, Oceania, the Arab World (i.e. the global majority world – more people live here than in Europe or North America) is incredibly powerful, yet the world lacks enough platforms outside of commercial or soft-power channels to make this work visible to audiences that have so much to learn from it. This is where DAS comes in: together with our team, the artists, curators, scholars, and our partners – we have proudly built a truly public event where anyone can engage with the excellent exhibitions and public programme and feel welcome to ask questions and engage with the ideas through our arts mediation and education initiatives. We work tirelessly to keep this event free and ticketless so that there are no walls of class coming between art and its ability to touch all people. We are proud of all of the talented creative visionaries and scholars who have given their time and unique insight into the world to all of us enjoying this platform in Bangladesh.
‘Ever-widening in thought and action’, as Tagore put it, DAS changes and evolves from edition to edition and we look forward to watching DAS deepen in meaning locally and internationally in the years to come. Rajeeb and I are proud to have founded DAS which is primarily an event for the people of Bangladesh, and we are grateful to the hard work and sacrifices that people made before us to give us the freedom to envision such an initiative in our home country. Our country is celebrating the 100th birth anniversary of Bangabandhu Sheikh Mujibur Rahman who led Bangladesh to freedom and founded the Bangladesh Shilpakala Academy which has hosted DAS since its inception, and Centre for Research and Information (CRI), ICT Division, Bangladesh Shilpakala Academy and the Ministry of Cultural Affairs are presenting a new look into his journey in its lounge which we hope will inspire other people to take action to make the world a better place.
Best wishes, Nadia
Director, Dhaka Art Summit
Co-Founder and President, Samdani Art Foundation
Dear Visitor,
It has been my pleasure to chair the organising committee of Dhaka Art Summit since its inception, and to see it grow and become more impactful from edition to edition. This is our fifth edition of this globally celebrated research platform, and it is one where we put mobility at the core of our thinking. We wanted to bring people to Bangladesh whose ideas could have deep resonance here, but who might not have otherwise had the opportunity to come to our wonderful country. We have participants from as far as Mali, Zambia, Argentina, Barbados, and New Zealand (naming only a few examples) and many other countries with contexts that resonate with the challenges we face in Bangladesh – and I greatly look forward to seeing what will be born from the incredible meeting of minds that we will experience in February 2020 at the Bangladesh Shilpakala Academy. I would like to thank the Ministry of Foreign Affairs and our missions abroad for facilitating visas for the participants who come from much more diverse geographies than they have in the past. South Asia remains the core of our platform – but we know that we have much to learn from other regions and we want them to be inspired by what we have built here together in Dhaka, Bangladesh.
Dhaka Art Summit is a beautiful example of a private/public partnership and what is possible when private foundations with a public mandate (such as the Samdani Art Foundation) come together with the Ministry of Cultural Affairs, ICT Division and Bangladesh Shilpakala Academy. Culture is an important part of Bangladesh, and the success and energy of DAS and the people who come together to make it possible attests to that. I would like to extend a very special thanks to the art collectors who have very graciously loaned some of their priceless masterpieces to be exhibited at DAS where these exceptional works of art can be seen and admired by the thousands of visitors from home and abroad who will be visiting the exhibition. It is my hope that our community of supporters and collaborators grows stronger with each edition – and that we can continue to host and nurture this important environment of creativity for years to come.
Sincerely,
Farooq Sobhan
Chairman, Dhaka Art Summit Organising Committee
A Warm Welcome to the 5th edition of Dhaka Art Summit!
It has been a great honour and privilege to have been working alongside the Samdani Art Foundation since hosting the first DAS in 2012, watching the art and culture of Bangladesh thrive not only in our own country, but all over the world through our many initiatives at the Bangladesh Shilpakala Academy. We look forward to seeing our building come to life as it does every two years in February at DAS through its varied and enthusiastic audience of arts professionals, art lovers, and students from across the full spectrum of Bangladesh’s education system. Bangladesh was built through creativity, generosity, hard work, and a commitment to culture, fueled by many layers of collaboration across the country and the world. The success of Dhaka Art Summit can be found through these qualities as well and we could not be more proud of our 5th collaboration with the Samdani Art Foundation to produce this event that is so loved by our people.
Since its inception, the Bangladesh Shilpakala Academy has striven to promote, and to be involved in different endeavours that highlight the creative work of our country including painting, sculpture, graphic arts, pottery, photography, theatre, music, etc. We support these creative practices through our facilities and programming. Out of the many activities of the Academy such as organising workshops, seminars, short-term specialised training, providing financial grants for talented artists, and hosting competitions in the various fields of Fine and Performing arts, we hope to build the academy into a hub for young and old arts and theatre enthusiasts alike. We also hope to have made a significant difference in preserving the enthusiasm for art and culture. Working with DAS has given us the ability to further enrich the international channels of empowering our country’s cultural development further.
Best wishes,
Liaquat Ali Lucky
Director General, Bangladesh Shilpakala Academy
Dear Reader,
Thank you for being a part of our fifth edition of Dhaka Art Summit, the first one with a title: Seismic Movements. This play on words looks at how the world is moving and how we move the world, also considering the conditions that move us to act. While I am not from Bangladesh, I am moved by its people and all of the challenges they have overcome through commitment, creativity, and a passion for culture – inspiring qualities that you will see all around you as you visit DAS. Bangladesh is a place where you can palpably see what creativity can do, what it can solve, and what is at stake if you just accept things as they are.
I connect with Bangladesh’s struggle for language and independence because my family comes from a place called Guam where speaking our native language was banned for generations as part of the strategy of colonial control. I have lived the difficulty of having one’s voice drowned out by larger and more powerful narratives, and I am proud that through hard work of the thousands of people who come together to put on DAS, Bangladesh is not a place that can be ignored when it comes to art.
I am skeptical of big global exhibitions; however, DAS is unique in this challenging context in the way that it brings together 300,000+ people to physically cohabit a utopian space where we can ask and attempt to answer difficult questions together. In a time when what we consider to be private conversations in digital space are used to sell us advertising, the importance of convening in person could not be more urgent (to name just one example). I am grateful to Nadia and Rajeeb Samdani for their vision to create this platform for the public to enjoy, they move mountains to make DAS happen and I’m inspired to see how a dream became a purpose, and how it does so much good for so many people. I look forward to seeing DAS continue the incredible journey built up across these five editions. I am proud to see how my closest colleagues at Samdani Art Foundation Sazzad and Ruxminni, Teresa, Nawreen, Tanzila, Mobin, Asifur, Md. Nasim, Adam, and Lucia have grown over this time, and impressed at how a small group of people could become catalysts for the exponential growth in artistic and research projects extending into Bangladesh. Thank you to my entire team (old and new, personal and professional) and all of the artists and curators and writers (past and present) and our growing group of supporters for building the DAS you see today. Thanks for being a part of our movement.
Diana Campbell Betancourt
Chief Curator, Dhaka Art Summit
Artistic Director, Samdani Art Foundation
One of the many tactics of colonialism is imposing rules and standards from elsewhere and expecting people with no previous connection to these concepts to adapt their lives to them. In the case of Bangladesh’s history, West Pakistan was trying to claim the need to ‘purify’ Bangla as it originated and evolved from ‘Hindu’ influences of an ancient ‘Sanskrit’ language. “…Bengali alphabets are full of idolatry, each Bengali letter is associated with this or that god or goddess or Hindu Pantheon. Pakistani Hindu Devotional Script can’t co-exist…,” said Fazlur Rahman, Central Minister for Education, explaining why it was important to introduce Arabic script in East Bengal in a statement from 27 Dec. 1948.
‘Every Bangla Alphabet Narrates a Bengali’s life’, reads one of the many posters from the 1952 Language Movement in Bangladesh. The Language Movement was seismic. It led to Bangladesh becoming the first country in the modern world where the government is directly led by a desire to think, speak, and act in its mother tongue. Every February, most of the country celebrates its victory in overthrowing foreign attempts to control how its people express themselves, embracing the plurality embedded in their culture.
Language has the ability to programme us and shape how we see and experience the world; we can be different people in different languages. I like thinking at the edges of languages, finding new cognitive possibilities. The Bangla lets me buck trying to translate something that doesn’t fit into the logic structure of another language. Most of the people reading this catalogue and visiting DAS do not speak or read English as their primary language and the texts within this volume were written with this fact in mind. English is a tool that allows us to communicate with each other and provides a portal for non-Bangladeshis to understand our unique context, but it has many limits.
Opening up New Readings into DAS in the Space between English and Bangla
Seismic/Seismic Movements is one example of what is possible when thinking across and between languages, where the theme of the show cannot be fully expressed by understanding only the English or the Bangla title. This brief essay is an attempt to muddy up the clear organisational structure of ‘Seismic Movements’ by introducing the Bangla concept of শোচনা (pronounced shon-cha-ron).
A moving stereoscopic view of the exhibition and the works within it opens up when we consider the meaning embedded in both of the titles and ponder their slight differences.
While Seismic Movements tend to be big, external and very visible, causing land and power structures to quake, শোচনা is subtler and connotes a continuous flow (in no particular direction) of movement on both micro and macro levels. শোচনা cannot be confined, and it is not linear. It can appear as blood or emotions circulating within the body, or to the wind outside, or to concepts that move across generations like wisdom. The neural connections made in the process of translation are another form of শোচনা. The circulation of our visitors through the Bangladesh Shilpakala Academy is a form of শোচনা, as is the ideating process of building DAS as its core concepts develop across editions.
Bangladesh is the country with the most rivers within its borders and their শোচনা creates the mud, sediment, and soil that transformed into the bricks of Muzharul Islam’s architecture and the earth and clay transformed by Adrián Villar Rojas, Bharti Kher, Damían Ortega, Héctor Zamora, Korakrit Arunanondchai, and Otobong Nkanga in their DAS projects. The dust circulating across the atmosphere speaks to another form of শোচনা. In the work of Elena Damiani, The Hilsa fish navigating across the borders of East and West Bengal would be another form of শোচনা, as would be the experience of tasting this staple of the Bengali diet and the pursuit of learning to cook it by Pratcha Phinthong and his collaborators Dr. Arnab Biswas and Md. Sajedul Haque. The convergence of scholarly minds considering Modern Art Histories in and Across Africa, South and Southeast Asia (MAHASSA) changes the circulation of knowledge connecting scholars outside of traditional North American or European centres, and can be seen as another form of শোচনা. The transfer of skills from teachers to students that built the art history of Bangladesh as chronicled in Bishwajit Goswami’s exhibition Roots is yet another form of শোচনা.
Like the earthquakes described in Seismic Movements, the idea of শোচনা doesn’t have a fixed centre. Politics today remind us of the dangers of only paying attention to life in cities, and the works of art in this show speak to experiences across all walks of life, especially those in rural contexts as found in the work of Art Labor, Back Art, Damían Ortega, Gidree Bawlee, Kamruzzaman Shadhin, Mahbubur Rahman, S. M. Sultan, and many other artists in DAS. The connection of culture and agriculture is especially evident across this Summit as artists sow the seeds of ideas, watch them germinate in the research and
production process, and reap and share the results with one of the largest art going publics in the world. Weaving, stitching and sewing are other subthemes found across DAS especially in projects by Art Pro, Gudskul, Taslima Akhter, and Taloi Havini.
Scars, Wounds, and Joints
The ‘Wounds Series’ by Somnath Hore found in the first gallery on the second floor is a moving testimony to the scars of violence that British and Pakistani colonialism left on these lands (connecting deeply to Walter Ilgino’s writings on Colonial Wounds and Decolonial Healings). These haunting works on paper also are reminiscent of aerial views of a landscape. The concept of scars and wounds ties together the bodily sense of ‘Roughness’ and the geological reading of ‘Seismic Moments’. While scars are reminders of the healing process of the body as it repairs damaged tissue, fault lines and mountains are scars of terrestrial collisions, joints between moving plates. Religions from all over the world reference soul-searching and spiritual journeys to mountains as part of the quest for enlightenment beyond the confines of the human body. Works by Hlubaishu Choudhuri, Karan Shreshta, Liu Chuang, Milani Apang, Nilima Sheikh, Omer Wasim, Sara Sejil Chang, Subash Thebe and Zhao Tao, among many others speak to this sense of spiritual and bodily experience found in the mountainous regions connecting East, South, and Southeast Asia known as Zomia, chronicling the violence found in these highly charged locations.
Like most architecture in Bangladesh, DAS also exists on unstable foundations. Our institutional history shows the shifting lines of what is and what is not possible. The American choreographer William Forsythe speaks to the potential for failure as being a catalyst for action: “forms of failure that can be tried out on the patience of our team of collaborators, I would argue that it is the vulnerability, malleability, and instability of DAS that makes it such a powerful site for knowledge and artistic production. Metamorphosis and adaptability are sources of power in contexts such as Bangladesh. We reinvent ourselves in every edition, building on the fertile sediment of ideas accumulating since 2012.
DAS is a kind of joint, a metaphorical fault line connecting diverse histories and allowing for the circulation of ideas and energies of new structures to hold these ideas and histories together. Like fault lines, these ideas are generated through friction, through coming into contact. Coming into contact also allows us to heal and build new forms of solidarity as initiatives before we have done in the past including the Festival of Arts Shiraz–Persepolis (1967–77), The World Festival of Black Arts in Dakar (1966) and FESTAC in Lagos (1977) which have been referenced in past and present DAS editions.
Moving with the Flow
Storytelling is a fluid and vulnerable process, but people going onto stories like rocks on a cliff in order to find a sense of identity and belonging in the world. It is not an accident that so many works connect to the uncontrollable and multi-directional flow of পাথর which allow fact, faith, and fiction to coexist even in contradictory ways. We enter DAS under the watch of a monumental mud goddess by Bharti Kher which is a hybrid form created from two forgotten deities joined in the process of transforming into a snake. This nearly four-metre-tall sculpture was created by a Muslim artisan who makes Hindu goddesses for Bengali rituals, and the earth from which it is formed has seen Animist, Buddhist, Hindu, and Muslim traditions thriving on top of it. This secular goddess is a disinterred fragment of the earth across the course of DAS and disappear once the exhibition is over. All that will remain is a story, and one that you are tasked with telling to keep it alive.
Curatorial Notation
Inspired by the geological reading of the word ‘summit’ as the top of a mountain, Seismic Movements: Dhaka Art Summit 2020 (DAS 2020) considers the various ruptures that have realigned and continue to shift the face of our spinning planet. Seismic movements do not adhere to statist or nationalist frameworks. They join and split apart tectonics of multiple scales and layers; their epicentres don’t privilege historical imperial centres over the so-called peripheries; they can slowly accumulate or violently erupt in an instant. DAS 2020 is a cumulative festival building on the ideas we have been pondering since our first edition in 2012. Like in music, this Summit is arranged into both improvised and organised movements that can be experienced separately, but the complete work requires all of the diverse sounds and rhythms resounding within it to be considered together. It is a sum of many parts that reinforce each other and expand with unplanned trajectories and connections resulting from the energy and vision of our many collaborators and partners.
DAS 2020 touches upon geological movements, colonial movements, independence movements, social movements and feminist futures, spatial movements, the conditions that move us to act and the power that comes with moving collectively. We do not just consider forms of artistic production, but also forms of institutional production that enable artistic practices and pedagogies, generating new vocabularies of social organisation and building better ways to create and live together. What do the stirrings of a movement feel like and how do we learn from the experience of living through one? In the words of Sara Ahmed, a movement requires us to be moved. What might happen when ideas move from inside the exhibition to the larger reality outside? We designed DAS 2020 with this in mind, maintaining a porous barrier between the ‘inside’ and the ‘outside’ of the venue. DAS 2020 is about shaking up our understanding of the present and the past, creating opportunities to come together and make and write (art) history from new perspectives, trying to give a voice to the people who are not in the most dominant positions to be heard.
We reach a summit through a journey that pushes our mental and physical limits. We experience ourselves and the world with fresh eyes as obscured vantage points become visible and we feel ourselves grow small as we climb towards the top of a mountain. Could it also be that the mountain, in turn, sees us change in scale as we approach its zenith?
Diana Campbell Betancourt, Chief Curator Dhaka Art Summit
Artistic Director, Sandami Art Foundation
with Ruxmini Reckvna Q Choudhury and Teresa Albor
1. Thank you to Muhammad Nafizur Rahman for sharing his research with me which inspired the form of this essay. Thank you to Dr. Zahid Rahman whose project found on page 41 inspired the English title.
2. While we celebrate the freedom to speak Bangla in Bangladesh, it is also important to remember forty languages still exist on this land and DAS’s ongoing programme seeks to give agency to all people to have the freedom to express themselves in their mother tongue.
3. I am deeply moved by the work and practice of Cecilia Vicuña in the way it generates movement across-section of Spanish and English, and while she was not exhibited in DAS 2020, her life long work was a seismic movement to articulating the ideas found in this essay.
4. Fraser Muggeridge studio’s Graphic Identity for DAS juxtaposes manually printed coloured backgrounds alluding to the movement of platelets and bacteria within the body and a bespoke font of ‘shaky text’ alluding to earthquakes to create a beautiful contrast of the natural and the artificial.
5. পাথর was selected as the joint title for DAS 2020 after extensive whatsapp debates between my assistant curator Ruxmini Reckvna Q Choudhury and our MAHASSA colleagues Nurjahan Khan, Mubarak Rahman, and Anerra Khatoon. We were able to bring to life the idea during our final lunch in August 2019 while we were attending the AAA chapter of MAHASSA.
Geological Movements
We may think of ‘land’ as fixed but it is constantly shifting: below us through erosion, volcanic eruptions, and earthquakes; swirling above us as dust clouds. The earliest signs of life, the impetus of cellular movement, as well as aeons of extinction are inscribed in stone and fossils. Fossil fuels, created from the remains of life from the deep geological past, power much of our way of life and threaten our collective future through the violent process of extracting and burning them. Geological and political ruptures often overlap, and the artists in this movement excavate metaphors to consider our past, present, and future on this planet beyond human-bound paradigms. Their works challenge us to find commonalities and to emerge from this sediment to heal, imagine, design, and build new forms of togetherness. What will coalesce and fossilise our presence on this planet for lifetimes to come?
Adrián Villar Rojas
The Theater of Disappearance (detail), 2017. Floor tiles and blocks of brown marble with incrustations of ammonites and orthocer fossil. Courtesy of the artist and Marian Goodman Gallery. This work will comprise part of a permanent pavilion as part of the Samdani Art Foundation collection at Gritutta, the Samdani Art Centre and Sculpture Park.
New Mutants is a new immersive installation by Adrián Villar Rojas where visitors enter DAS by walking over a marble floor encrusted with 400-million-year-old ammonite and orthoceras fossils. These now-extinct species of undersea creatures thrived for 300 million years, swimming across the super-ocean Panthalassa and witnessing the creation and breakup of the single continent Pangaea. Panthalassa’s sunken seafloors emerged from the raptured-earth walls that rise from the fossil floor, tracing the seismic shift that occurred in the evolution of humanity and our planet when we learned to control fire, invented agriculture, and began to settle and build civilisations. This work serves as a metaphor to think outside of human-bound time, and to consider common ground on which to come together.
Villar Rojas creates site-specific installations using both organic and inorganic materials that undergo change over time. Tied to their exhibiting context, they generate irreproducible experiences relying on a ‘parasite-host’ relation. His team-based projects that extend over open-ended periods allow him to question the aftermath of the normalised production of art in the Capitalocene era.
b. 1980, Rosario; lives and works nomadically
Elena Damiani
‘There is a strange sympathy between the atmospheric particles that float through the sky and the human beings who migrate across the ground and then across the sea. Each body sets the other into motion – a pattern of movement and countermovement.’
Adrián Lahoud, Climates: Architecture and the Planetary, 2016.
Elena Damiani has created a collage of watercolour renditions of storming dust particles in the atmosphere as captured by NASA. Several hundred million tonnes of dust unsettle and travel through the Atlantic and Pacific Oceans from deserts to the Caribbean, Central America, and South America. We imagine land to be static, but deforestation, desertification, and climate-change-related storms distribute dust across vast distances in our planet’s atmosphere. The handmade Nepalese paper beneath the layers of paint making up this work is a surface that could be read as stone tiles, an aerial view of a desert, or even a microscopic view of human skin.
As the dust settles, 2019–2020. Watercolour on handmade Lokta Barbour grey paper. Commissioned for DAS 2020. Courtesy of the artist and Revolver Gallery
Damiani creates installations, objects, and works on paper that focus on the politics of space and memory. She portrays landscapes and geological processes to reinterpret natural stages and their generative processes. Her work draws inspiration from collage techniques and historical science books, while the stone and metal in her sculptures recall the environments she studies and refracts.
b. 1979, Lima; lives and works in Lima
Jonathas de Andrade
Pacificos, 2010. Super8 transferred in HD, 12 min. Courtesy of the artist and Vermelho
Through the process of animating a styrofoam board model with maps and paper, Jonathas de Andrade proposes a fictional geological solution for the political turmoil and violence that normally accompanies changes of borders. A massive earthquake erupts over the Andes, detaching Chile from the South American continent. As a consequence, the sea returns to Bolivia, Peru, and Ecuadorian coastline, Argentina gains coasts with both the Pacific and the Atlantic oceans, and Chile becomes a floating island adrift in the seas. The aesthetic approach of the film allows the artist to touch upon topics such as the notion of truth as an ideological construction and the fabrication of mass commotion/emotion as political artifice.
De Andrade works predominantly with installations, videos, and photo-research. Addressing those overlooked in the dominant cultural narrative of Brazil, the artist ponders on the relationships between different social milieus. In collaboration with labourers, indigenous tribes, the disabled, and others, de Andrade commonly points out the inequality stemming from the discourses of colonialism and neo-imperialism. The artist co-founded the artistic collective A Casa como Convém in 2007.
b. 1982, Maceló; lives and works in Recife
Karan Shrestha
Within Nepal’s contained geography, the landscape presents possibilities for adversity to spring from any fissure: be it a decade of revolutionary upheaval, political instability, natural disasters, economic ruptures, repressed social edifices, or perpetual state violence. Through the installation of a three-channel video and an ink drawing, in these folds addresses the resulting precariousness that has characterised Nepali recent past incorporating documentary and fiction. Karan Shrestha questions the rhetoric of progress prescribed for paving the way forward and considers how transcendental practices that have endured over time are attempts at grappling with the everyday.
Shrestha’s works overlay encounters in physical landscapes on mental maps of people and spaces he comes across so as to examine and restructure notions of the present. His practice – incorporating drawings, sculpture, photography, text, film, and video – seeks to blur the oppositions that build and define our individual and collective identities.
History Is Present Tenne, 2017. Courtesy of the artist
b. 1985, Kathmandu; lives and works between Kathmandu and Mumbai
Matías Duvillé
*My red way*, 2019, Sanguine on paper. Courtesy of the artist and Barro Gallery
Matías Duvillé’s earthy mud- and iron-oxide-infused sanguine drawings call to mind landscapes in transition from natural disasters and also from human interference from the extraction and clearing processes needed for infrastructure development. Similar to these methods, Duvillé’s drawings pulse with expressive brutality, trying to represent what the end of the world might look like both in a geographical and psychological sense. These works are inspired by the mental landscapes that are created inside our heads when we look directly at the sun and close our eyes to recover from its blinding light. The artist takes us along on his journey deep into the mind, trying to connect us with the idea of a universe out of control.
Duvillé works with objects, videos, and installations, although he predominantly employs drawing. His works evoke scenes of desolation with rarified, timeless atmospheres like those that precede a natural disaster: hurricanes, tsunamis, or situations of abandonment in the forest that act as a dreamlike vision of a wandering explorer, like a mental landscape.
b. 1974, Buenos Aires; lives and works in Buenos Aires
Omer Wasim
*In the Heart of Mountains* situates us amidst Omer Wasim’s journey in the mountains of the Gilgit-Baltistan region of Pakistan, a contested terrain that he scaled with queer friends and friendships. The work, as well as his action, denounces romantic visions and imaginaries of the area perpetuated by the state, and instead relies on charcoal to make visible the mountains as witnesses to state violence, colonial and neo-colonial rule, and as places where death-wolds arise. These mountains anticipate their own demise, foreshadowing capital interests in the region that are in diametric opposition to nature, ecology, and people. Queer bodies and community enable this mode of inquiry, becoming, in the process, insurgents that counter state-sponsored redaction and violence. While it also stands alone as an installation, the work also becomes an environment for new readings into the future.
*In the Heart of Mountains*, 2019, Charcoal on canvas, lacquer, wooden armature. Commissioned for DAS 2020. Courtesy of the artist
Wasim is an intermedia artist whose practice queers space, subverting the frames of development and progress that shape human relationships to the city and nature. His work bears witness to the relentless erasure, violence, destruction of our times by staying with queer bodies as they hold space and enact desire.
b. 1988, Karachi; lives and works in Karachi
Otobong Nkanga
Land extends beyond mere soil, territories, and earth. It relates to our connectivity and conflicts in relation to the spaces we live in and how humans try to find solutions through simple gestures of innovation and repair. As relationships with nature and people become affected, how can we find a platform to share, learn, exchange and heal? A series of tables forming a circular structure serve as the basis for an exchange between visitors and a group of persons who have been – personal, caring vital relationships with the earth. Otobong Nkanga weaves together strands of *landversations* realised in Beirut, Shanghai, and São Paulo in this project’s newest iteration in Dhaka, and her collaborators have included geologists, housing and land rights activists, farmers, and many others who transform the land itself into other realities. What is ordinarily constructed through their contact with land now forms the foundation for new situations of exchange and transmission, activating interpersonal networks that come together in DAS with the power to move the world outside the exhibition.
Nkanga’s drawings, installations, photographs, sculptures and performances examine the social and topographical relationship to our everyday environment. By exploring the notion of land as a place of non-belonging, Nkanga provides an alternative meaning to the social ideas of identity. Paradoxically, she brings to light the memories and historical impacts provoked by humans and nature.
*Landversation*, 2016, Beirut, Lebanon. Site-specific installation and conversations, various materials, variable dimensions. Table view with Otobong Nkanga (left) and visitors. Photo: Walid Rashid. Courtesy of the artist and Beirut Art Center
Raphael Hefti
*Quick Fix Remix*, 2015. Courtesy of the artist and Fiorucci Art Trust. Photo: Giovanna Silva
Raphael Hefti uses the language of material to communicate a fascination with the behaviour of liquid metals, a material history which is part of the epic story of human civilisation across vast geographies. This performance, a spectacle between blunder and precision, is a conversation with the world of heavy industries and iron casting. The artist misappropriates thermite welding processes typically used to repair high-speed train tracks, transforming liquid steel through a blazing landscape of incisions that leaves behind a bed of solidified metal debris. Just as volcanic eruptions make visible the hidden energy properties of the molten rock and liquid metal moving beneath the earth, Hefti’s ‘artistic alchemy’ makes visible the hidden industrial practices and processes that form the machine-made landscapes powering our way of life.
Working across sculpture, installation, painting, photography, and performance, Raphael Hefti explores how humans transform materials in the everyday urban landscape by pushing and testing material limits, while removing these materials from utilitarian obligations. He often works with teams of industrial technicians to modify and misapply routine procedures and construction methods to open up new possibilities and unexpected beauty through guided accidents that he documents in his work.
b. 1974, Kano; lives and works in Antwerp
b. 1978, Biel; lives and works in Zurich
Colonial Movements
Ongoing legacies of colonialism establish and maintain conditions of exploitation throughout the global majority world (the world outside of Europe and North America which hosts most of the human population on the planet). Naked capitalism and internationalism, sometimes masked under the guise of religion and development aid, continues to drive networks of power controlling the globe. Revealed through its extractive actions of planting and uprooting indigenous goods and people, colonialism still extends deep into the furthest reaches of the Earth through the seeds of commodities. Artists across generations have made works that reflect how histories of land are intimately entangled/embedded with narratives of hunger, dispossession and ultimately erasure. Colonisation is inscribed in the physical and cultural DNA of the worlds we inhabit, and the artists working across these spheres help us navigate through complex webs of greed and addiction to imagine solidarities for alternative and autonomous futures.
Adebunmi Gbadebo
Adebunmi Gbadebo addresses the concepts of land, memory and erasure in her work. In this new work, sheets of paper constructed with beaten cotton linters and human hair collected from black barbershops serve as abstracted documentations of genetic histories, embedded in the strands of hair. The dominant blue dye traces Gbadebo’s maternal family history to three plantations where her ancestors were forced into slavery. Gbadebo’s use of indigo inevitably links her historical lineage to Bengal, where the plant was introduced as a cash crop from around the year of 1777 by the British East India Company. The more recent histories of Bangladesh and the USA (where Gbadebo traces her family’s history) are interlinked through the garment industry. The bold, blue colour produced from the indigo plant can serve as a reminder of the vast amount of denim clothing produced in Bangladesh for international export. The conditions under which the clothing worn by western consumers is produced by Bangladeshi workers should not be erased from history.
Using black hair, cotton, rice paper, indigo and sometimes silkscreened photo imagery, Gbadebo creates abstract ‘portraits’ of her enslaved ancestors. The DNA of those people still exists in these works of art. She perceives hair as a means to position her people and their histories as central to the narratives in her work.
b. 1992, Livingston; lives and works in Newark
Annalee Davis
The last will and testament of Thomas Applewhaite written in August 1816 directed that six years after his death his ‘little favourite Girl Slave named Frances shall be manumitted and set free from all and all manner of Servitude and slavery whatsoever.’ At the time, Applewhaite was the owner of Walkers – the site where the artist Annalee Davis lives, works, and explores. *F Is for Frances* maps Frances’ name in a series of large drawings on ledger pages. The land forming her name are marked by 17–19th century sherds found in the soil of former sugarcane fields, suggesting fragments of history understood only in part – usually through the words of the white colonial-settler and most often a male voice. With Frances, another voice becomes audible and visible.
Davis has a hybrid practice as a visual artist, cultural instigator, educator, and writer. With the media of printmaking, painting, installation, and video art, she works at the intersection of biography and history, focusing on post-plantation economies through engaging with a particular landscape on Barbados. Davis has been involved in two founding and curatorial ventures initiatives, including Fresh Milk (*f. 2011), an arts platform and micro-residency programme, Caribbean Linked (*f. 2012), an annual residency in Aruba, and Tilting Axis (*f. 2015) an independent visual arts platform bridging the Caribbean through annual encounters.
b. 1963, Barbados; lives and works in Barbados
Apnavi Makanji
Sourced from the *Atlas International Larousse Politique et Economique* (1950), the pages making up Apnavi Makanji’s collages are records of the treasures of the globe as represented through the eyes of imperial powers in their quest for progress and the modern condition. In fact, these pages of statistics are effectively lists of extractivism. They remain silent on the violence inflicted on the land, the people, the way slavery, and on the displacement of indigenous communities. The artist has chosen to look at them instead as tools of capitalism and proof of systematic violence. These collages are not only a representation of what has been forgotten, buried, or annihilated, they also stand in for a subconscious that is mutant and diseased. In its soft sensuality and secretions, the work attempts to trigger a visceral memory of a situated environment that existed before it was reduced to highly mobile commodities.
Makanji works with the media of installation, drawing, and film, producing complex constructs informed by botany, memory, displacement, and environmental urgency. They are interested in exploring the intersection of these concepts within the context of human-engendered climate emergency.
b. 1976, Bombay; lives and works in Geneva
Candice Lin
Candice Lin’s works establish a network of connections between historical and contemporary Asian and African diasporas in the Americas, as well as their generational traumas. *Papaver Somniferum* is a tapestry where a person is ravaged by snarling beasts, speaking to the necropolitical horrors of life in the Caribbean for Asian and African workers brought across the seas to grow commodities for imperial consumption. In *The Ruins of Industry*, Lin reinterprets an engraving of Bolivian silver mines by Theodor de Bry. The Andean potato was cultivated to feed indigenous miners mining silver and mercury in South America. This silver and the excess potatoes travelled across the sea and fuelled the Industrial Revolution, changing the course of world history. In *The Tea Table*, Lin appropriates an engraving by John Bowles (c. 1710) which was a satire on affluent fashionable ladies and featured a devil lurking under the table as Envy drives Justice and Truth out of a door. In this rendition, Lin draws connections between tea, opium, and sugar by replacing the symbolic figures with images of tea production and opium abuse.
*Papaver Somniferum* (Tapestry), 2019. Jacquard woven tapestry. Courtesy the artist and François Ghebaly
Lin works predominantly with sculpture and video, addressing notions of cultural, gendered, and racial difference, rampant sexualities, and deviant behaviour. Interested in the fluid boundaries between the self and the other, she examines how Western ideologies of the self influence the politics of power within notions of individualism, selfhood, freedom, and difference.
b. 1979, Concord; lives and works in Los Angeles
Dhali Al Mamoon
The history of colonialism is objectively the history of despair. Dhali Al Mamoon’s ongoing work searches for the self through the narrative of historically contextualised images, with a nod to the existentialist found in the analysis of every work of art. Our appearance, sartorial/material representation, and constructed sense of self carry the legacies of colonisation; history, memory, and flashes of understanding shape our perception of the world. In free-play works on paper and canvas, the artist draws in commodities that changed the course of South Asian history under the control of the British East India Company: tea and indigo and spices. Tea and indigo, in both solid and liquid form, correspond to the colours of amber and blue used extensively in the artist’s pallet, evoking a sense of melancholy associated with the history of how these materials were misused to exploit people and lands.
Al Mamoon works with drawings, paintings, kinetic sculptures and installations, addressing issues of knowledge, history and identity. Constructing complex experiences, he is interested in deconstructing the collective memory of his homeland of Bangladesh. He focuses on the ways in which colonialism dehumanised, exploited and dislocated people from their own land, culture and tradition, separating them from traditional systems of knowledge.
b. 1958, Chandpur; lives and works in Chittagong
Elia Nurvista
Beyond their sparkling surfaces, sugar and jewels are linked by stories of violent exploitation of labour and the environment. From Africa and the Caribbean to Asia, from Europe to the Pacific, the history of sugar is tied to the mass movement of people around the world as part of exploitative plantation economies that fuelled a global demand for its sweet taste. This model of commodity production continues today; the amount of money that producers of commodities make is far removed from the taxes that foreign governments levy on them and from the profits that traders and corporations enjoy as a result of addictive cycles of consumption. Elia Nurvista’s gemstone-shaped candy sculptures remind viewers of an underlying bitterness behind the ‘sweet taste’ that we have grown accustomed to.
Nurvista presents her social research through mixed-media installations, food workshops, and group discussions. Her predominant focus is on the production and distribution of food, and its broader social and historical implications. Nurvista’s works explore the intersection between food and commodities, and their relationship to colonialism, economic and political power, and status.
b. 1983, Yogyakarta; lives and works in Yogyakarta
Faiham Ebna Sharif
The Baganija communities of Bangladesh are made up of tea workers who originate from at least ninety different ethnic groups from across South Asia formerly known as British India. While their ethnic and linguistic origins differ, their histories are intertwined as they were forcefully moved as indentured servants to the tea gardens of Sylhet and Chittagong, where they remain to this day. After the partition of British India in 1947 and the Bangladesh Liberation War of 1971, these people became citizens of Bangladesh and lost touch with their ancestral homelands. *Cha Chakra* is Faiham Ibna Sharif’s research-based work that uses old printed materials, advertisements, historical documents and show the ongoing story of inequity and exploitation behind the second most consumed drink (after water). His research extends into the resistance of the community as it strives to hold onto its traditions in this newly commissioned presentation.
b. 1985 in Dhaka, lives and works in Dhaka and Uppsala
Gisela McDaniel
Many people are unaware that the United States still holds five inhabited territories from the Caribbean Sea to the Pacific Ocean that fall under the definition of a colony. The power and interests of the US military are given as reasons to deny the people of these colonies the same rights of self-governance that America fought for in the War of Independence in 1776. Gisela McDaniel is a mixed-race Chamorro artist whose DNA carries the complex history of colonialism in the American territory of Guam. Her paintings subvert traditional power relations by allowing the subject to talk back to the viewer through overlaid audio interviews. As evidenced in the works of artists like Paul Gauguin, power dynamics can be extremely problematic between native women and the men colonising their lands, and McDaniel’s work pushes back against a primitivist gaze. This haunting new series of portraits provide a portal into the struggle of mixed-race people to find a sense of belonging and to pick a side in conflicted cultural and political battles for autonomy.
McDaniel’s work is based on a process of healing from her own sexual trauma while engaging with other female sexual trauma survivors through the practice of portraiture. Interweaving assemblages of audio, oil painting, and motion-sensored photography, she creates pieces that ‘come to life’ and literally ‘talk back’ to the viewer, giving agency to the subjects of her paintings.
Hira Nabi
Any attempt to map a history of plant species reveals that it is as migrant and varied, if not more than the human species. Can territorialisation be temporal as well as geographical? *Good Seeds / Bad Seeds* is a series of works thinking through botanical imaginaries and their influence upon nation building. The work traces the crafting of a regional and cultural identity tied up with fabricating *Pakistaniat*. Building upon a collection of archival postcards standing as a site of initial inquiries into ‘marking the soil’, cultivating and farming it, extracting from it, hydrating and dehydrating, and designing it in specific ways – I propose an allowing for a set of future possibilities as a way to expand an inclusive, regional identity of cross-pollination and care.
Nabi is a filmmaker and multimedia artist. Her practice moves across research and visual production interrogating the relationship between memory, histories and place. She is currently working on researching cinema houses in urban Pakistan, and on identity-making and cultural production in Lahore through a study of its gardens and botanical influences.
b. 1987, Lahore; lives and works in Lahore
Hlubaishu Chowdhuri
The Chittagong Hill Tracts in Southeast Bangladesh are comprised of three districts (Khagrachari, Rangamati and Bandarban) hosting eleven different ethnic communities with over a thousand years of diverse cultural, linguistic, and ethnic histories that differ from those of the majority Bengali population of Bangladesh. Chowdhuri’s paintings depict the map of Chattagram (previously Chittagong) division, and forms of figures and objects emerge in the voids of intertwined lines that seem to pulse like veins. In her map series, the artist paints internally conflicted lands. She explores the paradox of forced migration of indigenous peoples and their often non-reversible spiritual connections to their lands, stressing the importance of overcoming conflict derived from cultural and ethnic differences in order to find new ways to peacefully coexist.
Chowdhuri works predominantly with painting. As a member of the Marma indigenous community of the Chittagong Hill Tracts, her art is greatly influenced by the region’s socio-political instability and cultural history. Chowdhuri’s paintings reflect the existential crises of Indigenous people over time through motifs drawn from indigenous knitting and craft techniques.
b. 1992, Khagrachhari; lives and works in Chattogram
Kamruzzaman Shadhin
Kamruzzaman Shadhin’s collaborative work interweaves strands of history that seem innocently distinct from but are in fact connected to present-day peasant conditions in South Asia. The artist invited ecological migrants residing in his village who moved from the ‘jute tracks’ of Southern Bangladesh to create a memorial reminding us of how the desire and pursuit of a commodity economy continues to transform the land that we stand on. Seventy giant shikas hang in a formation based upon the Assam Bengal Railway that operated under British India from 1892–1942. Railways were a form of modernity that destroyed people and their ways of life; their construction transformed Bengal’s lands from growing food to producing globally desired commodities (jute, indigo, opium).
Shadhin’s participatory practice incorporates sculpture, painting, installation, performance, video, and public art interventions. His work maintains a satirical edge, dealing directly with the politics of environmental degradation and destruction and its effects on communities across Bangladesh. Migration, social justice, and local history are recurring themes in his works. He is the founder of the Gidree Bawlee Foundation of Arts (f. 2001) and a founding member of Chhobir Haat (f. 2005).
b. 1974, Thakurgaon; lives and works in Dhaka and Thakurgaon
Liu Chuang
Liu Chuang observes the displacement of indigenous peoples and cultures left in the wake of harvesting massive amounts of energy from hydroelectric dams, connecting historical narratives and stories of material and immaterial profit and loss across Asia via the mountainous region known as Zomia—which extends into the Chittagong Hill Tracts of Bangladesh. The work links mining sites, the exploitation of minerals and energy from deep within the earth, to new currencies seeking to evade centralised national control, moving from the fifth century BCE to present-day China through a mixture of shot and found footage, the narration of fact and fiction, and sound.
Chuang works with found materials, such as window grilles and pulp-fiction books, in addition to video, installation, architecture, and performance. He critically reflects upon life in contemporary China, focusing on its culture of transnationality and globalisation. The artist is interested in attending to larger socio-political phenomena that often go unnoticed in day-to-day existence.
b. 1978, Hubei; lives and works in Shanghai
Madiha Sikander
Madiha Sikander’s *Majuma* (‘assemblage’ in Urdu) is an installation inspired by the similarities in the practices of miniature painting and Canadian First Nations weaving in terms of their relationship with labour and materiality. Cloves, beads, and microfilaments are woven together to create a transparent and powerfully scented curtain that invites us to consider how the world we experience today was defined by colonial and trade routes drawn up by imperial powers. ‘Each bead reifies how the lines of the Silk Road and the routes of the Spice Trade map the Indian subcontinent, trade routes tracing to the Neolithic and extending to Southern Europe… Africa… and Asia. Each bead recalls the European expropriation of indigenous lands in the Americas and of human beings in the African continent – the “slave trade beads” Europeans used in their dealings with indigenous American groups.’
da Silva, Denise Ferreira. *In the Raw*. e-flux. Accessed November 18, 2019. www.e-flux.com/journal/39/25795/in-the-rav
Majuma (detail), 2017-18. Cloves, monofilament, glass, metal beads. Courtesy of the artist
Sikander works with found objects, such as books, newspaper images, and family photographs, as well as items from flea markets. Her work addresses historical erasure and memory, notably in relation to labour, space, and material. Through repurposing and layering familiar materials, Sikander collapses the different tenses of time and space.
b. 1987, Hyderabad; lives and works between Karachi and Vancouver
Mahbubur Rahman
Unlike individuals, ideas have the potential to become immortal. Since 2004, Mahbubur Rahman’s performance, sculpture, and video work has been embodying the popular folk story of the hero Nurul Din from the Rangpur Peasant Rebellion of 1783, specifically drawing references from the late Bangladeshi writer Syed Shamsul. Just as Haq revived Nurul Din as an allegory to fight back against the military rule of the 1980s, Rahman evokes this figure to encourage standing up against the injustices of today.
Rahman created this two-channel video from a performance he realised with Bangladeshi indigo farmers of today, Bihari migrant rickshaw pullers in Kolkata (likened to human horses), and horse riders on the bank of the Padma river in Bangladesh (the same source of water as Kolkata’s Ganga river) surrounding the Farakka Barrage that has divided these once continuously flowing waters between India and Bangladesh since 1975. These locations and stories link East and West Bengal via their shared British colonial history; times have changed, but the stories of oppression of the working class persist. Rahman’s *Transformation* is a call to rise up, remembering brave figures whose ghosts (that live on through stories) can’t rest until justice is served.
Rahman works across painting, video, installation, and performance. He pushes the experience of art beyond visual pleasure, addressing wider social responsibilities in reference to his personal experience of anguish and anxiety in the context of contemporary Bangladesh. He is a co-founder of Britto (f. 2002).
Transformation (still), 2018–2019. Two-Channel HD Video, 14:35 min. Courtesy of the artist
b. 1969, Dhaka; lives and works in Dhaka
Munem Wasif
Munem Wasif began visiting Rohingya refugee camps on the Myanmar–Bangladesh border in 2009. These camps have grown exponentially since the violent incidents escalating in 2017 that have caused hundreds of thousands of refugees to flee into Bangladesh. The artist is unable to type the word ‘Rohingya’ correctly because his computer lacks Bangla language programming; in Myanmar the word ‘Rohingya’ is expunged from official discourse in favour of the term ‘Bengali’. Silkscreened onto a British colonial map, the distorted typography of the word ‘Rohingya’ hints to Myanmar’s denial of the existence of this ethnic group which has been living within its borders for generations.
What can you hold onto when running away to save your life? How can you be, belong, or settle when nobody accepts you as a citizen? How do you legally prove your very existence after decades of systemic violence? *Spring Song* (2016–19) is a work in progress that revolves around objects and archival material found in the camps. Placed against vivid monochromatic backgrounds, these precarious assemblages, decaying documents, and faded photographs convey fragmented memories and feelings of displacement.
Wasif’s work takes a humanistic approach, exploring social and political issues of Bangladesh primarily through photography but also video and sound. His works are remarkable for their clarity and depth, while his emphasis on long-term engagement with his subject matter allows for a broader understanding of the sites and cultures of the Bengal region and greater South Asia.
b. 1983, Dhaka; lives and works in Dhaka
Sutra, 2019. Silkscreen and pigment print on archival paper. Courtesy of the artist and Project 88
Nabil Rahman
Nabil Rahman was born in and currently lives in the tea-district of Northeast Bangladesh, Sylhet; he was raised in New York and has experienced how value and values (mis)translate across these vastly different yet connected contexts. The least expensive cup of tea at Starbucks costs around $1.75 in the United States, while the daily wage of a tea picker can be less than the equivalent of $1.25 per day of work. Tea is the most consumed coffee more than 25kg of tea in one day – and tea is the second most consumed drink after water. The artist plays the role of facilitator when sharing his privilege with creative individuals working in neighbouring tea gardens, allowing their creativity to bloom in ways not tied to capitalist production, searching for new shared tools of expression.
Rahman’s practice archives the industrial present using found objects, mark-making and the written word. Creating ironic references to the histories and languages of abstraction, he investigates its politics by weaving traces of the global flows of material into his work, destabilising the supposed aim of abstraction in search of a pure form.
b. 1988, Sylhet; lives and works in Sylhet
Neha Choksi
The American President Travels (East) (detail), 2002 (renamed 2019). Installation with wood, bamboo, paint, printed fabric. Courtesy of the artist and ProKo889
As a study of the possible ecologies of powerful males, this installation visually configures a scratchy and deteriorated archive of the 20th century travels of nine U.S. Presidents to over two dozen eastern nations, both revealing the paper diplomacy conducted through American newspapers and revelling in the comedy of each President filling his predecessor’s shoes on the public’s family album. A sheen of romantic gestures as well as I-scratch-you-if-you-scratch-me is lent to the many scored moments through the use of sheer silky fabric, backscratchers, and the form of a massage table.
Working across performance, video, installation, sculpture, and other formats, Choksi disrupts logic by setting up poetic and absurd interventions in the lives of everything – from stone to plant, animal to self, friends to institutions. Embracing a confluence of disciplines, she allows in strands of her intellectual, cultural and social contexts to revisit the entanglements of time, consciousness, and socialisation.
b. 1973, Belleville; lives and works in Los Angeles and Mumbai
Rossella Biscotti
Rossella Biscotti is interested in the power of storytelling and how this can open up a deeper exploration of untraced by history that reveals changing value systems. One of the stories that fascinates her is the story of Clara, a female rhinoceros who was brought to the Netherlands from Bengal in 1741 by a captain of the Dutch East India Company (VOC) along with a large shipment of textiles. While the details of the life of Clara are unclear and can be deduced from the reproduction of the ship’s original manifest document reproduced on the wall, Clara was not, suggesting that the captain was trying to profit off her exoticness as a separate source of income from his official VOC duties. Clara toured around Europe for seventeen years. While she is not visible in this official document, her purported scent seeps across the space as an allusion to the fish oil rubbed across her skin on the journey but also how collective memory keeps stories (like Clara’s) alive.
An installation made from cast natural rubber embellished with food-colouring and batik-inspired patterns carries Biscotti’s interpretations of the powerful female characters in the Buru Quartet (1980–88), a series of novels by the late Indonesian author Pramoedya Ananta Toer while he was in prison. On a material level, the first rubber seeds were brought to Indonesia from the Belgian Congo, and batik techniques were exported to Africa via Europe as African Wax Cloth, speaking to the global scale of colonialism. Pramoedya chose to tell the story of motherhood narrated on the bodies of women, where only inheritable possessions were batik fabric and jewellery. Among the characters is a woman called Surati who deliberately infects herself with smallpox to avoid colonial subjugation as a concubine on a sugar plantation and Princess of Kasiruta who dresses as a man to fight for freedom by night. Biscotti was inspired by the journeys and survival strategies employed by these women to resist the patriarchal colonial regimes they were born into, and imagines their characters in design motifs cast into these seductive floor-based forms.
b. 1978, Molfetta; lives and works in Brussels and Rotterdam
Clara, 2016–2019. Document transfer on wall. Courtesy of Witte de With Center for Contemporary Art, Rotterdam. Photo: Kristófer Dávid
Princess of Kasiruta (detail), 2019. Natural rubber. Courtesy of the artist and MoC Chipperfield. Photo: Jeroen Lavrijs
Samsul Alam Helal
Disappearing Roots, 2019. Pigment print. Courtesy of the artist
Samsul Alam Helal’s series Disappearing Roots considers the displacement of Indigenous people in the Chittagong Hill Tracts of Bangladesh. The Kapital Dam was built in 1962 as a hydroelectric dam, and it produces about 5% of the total electricity consumed by Bangladesh. However, its creation displaced over 100,000 people (70% Chakma) and also submerged many homes, including the palace of the Chakma king which remains buried deep underneath a lake that is currently frequented by tourists. Globally over 10 million people per year are displaced by World Bank development projects (dams and infrastructure projects); according to a 2019 article on the artist Liu Chuang by Mark Rappolt in ArtReview Using video and photography, and through the artist’s long-term engagement with the Hill Tract communities, his work captures the remaining traces of ancient ways of life, highlighting the violence of gentrification and the trauma found in submerged symbols of cultural autonomy. ‘If even a royal palace can drown, what hope is there for ordinary people?’ asks the artist.
Helal works with photography, sound, 3D models, and video to document the experiences of communities that are often part of the working class or a minority. His work explores the identities, dreams, and longings of their individual members. Helal prefers to explore these in a studio set-up, blurring boundaries between documentary photography and fiction.
b. 1985, Dhaka; lives and works in Dhaka
Sawangwongse Yawnghwe
In Sawangwongse Yawnghwe’s painterly practice, historical and political analyses of Shan State (Burma) are intertwined with personal and familial histories. This work commissioned for DAS contextualises the Shan State heroin-opium complex within opium’s long and invisible history of impacting the drawing of borders across vast geographies. Opium traverses not only national borders, but blurs the line between the legal and the illegal.
‘Because relationships are informal and regulated in irregular and informal patterns and because the balance of power and coalitions among the powers-that-be are unstable and shifting… no single economic-commercial actor can dominate the field… Entrepreneurial groups… operate with only one goal in mind… making and maximising profit. It is a world where the colour of flags or ideology is not as important as the colour of wealth.’
Chao Tzang Yawnghwe, The Political Economy of the Opium Trade: Implications for Shan State, 2003
Yawnghwe works with painting and installation, addressing often fictional archives as a critique of Myanmar’s ethnocentric nationalism. Growing up in the context of the country’s patterns of military repression and domination, his work intertwines his personal experience with politics. Yawnghwe’s family history of political engagement represents a point of crossing of the two.
b. 1971, Shan State; lives and works in Chiang Mai and Zuphen
Shiraz Bayjoo
Shiraz Bayjoo’s immersive environment Pran Kouraz (meaning ‘take courage’ in Mauritian Creole) is inspired by his own history in Mauritius, once known as the Maroon Republic, a place created through the will and imagination to escape and overcome slavery and colonial subjugation. The story of the escaped slave becomes a wider metaphor about creating a new world on the back of migration and displacement. The act of creativity becomes a tool for freedom, survival, and self-transformation in the wake of trauma. Bayjoo worked with a group of eight-year-old migrant students in the UK, asking them to explore their rights as young people and to consider their own stories of courage and overcoming. The children critique the experiences of transmigratory groups today from their experiences of isolation, loss, and displacement stemming from patriarchal colonial legacies, power structures, and relationships that continue to endure and dominate. The resulting conversation presented in the form of a film, creates a visual metaphor for the multiplicity of pressures facing humanity today.
Bayjoo works with painting, photography, video, installation, and artefacts stored in public and personal archives. His work addresses ideas of nationhood and the exploration of identity tied to the history and legacy of European colonialism. Drawing from a past of complex relationships of migration and trade, he traces the meaning of postcolonial collective identity.
b. 1974, Port Louis; lives and works in London and the Indian Ocean region
Somnath Hore
The Famine of 1943, the communal riots of 1946, the devastations of war, all the wounds and wounded I have seen, are engraved on my consciousness’, ‘Wounds is what I saw everywhere around me. A scarred tree, a road gouged by a truck tyre, a man knifed for no visible or rational reason… The objects was mutilated, the wound remained’, reflects Somnath Hore, an artist celebrated in Indian art history who was born in what is now Bangladesh. He transformed hand-made paper into scarred, blistered, pierced, and wounded surfaces reminiscent of human skin in the aftermath of trauma in the highly experimental Wounds Series from the 1970s. This body of work speaks not only to the violent regional history that the artist lived through in the build-up and aftermath of the 1947 partition of British India and Bangladesh’s subsequent war for independence in 1971, but also to the social scars of division found across our shared human history.
Hore worked to document and reinscribe the suffering working class into public memory, testifying to his important role as an artist-witness in a time of historical crisis. His works were published in various revolutionary publications, notably those of the Communist party. Hore invented and developed various printmaking techniques in addition to working in painting and sculpture. Later on in his career, Hore worked as an educator at multiple arts institutions, such as the Indian College of Art and Draftsmanship (Kolkata), Delhi College of Art, M S University (Baroda) and Kalak Bhavan, Visva Bharati.
b. 1921, Chittagong; d. 2006, Santiniketan
Thao Nguyen Phan
*Mute Grain* (2019) examines the little-discussed 1945 famine in French Indochina during the Japanese occupation (1940–1945), in which over two million people died of starvation, partly due to Japanese demands to grow jute over rice to support their war economy. This three-channel film poetically weaves together oral histories, folk tales, and lyrical chronicles to tell a story that history left behind in Vietnam, creating narratives that blur the border of fantasy and reality. Beyond her research in Vietnam, Thao Nguyen Phan also consulted Bengali literature in creating the work, notably Bankim Chandra Chattopadhyay’s *Anandamath* (1882), set in the Bengal famine of 1770. Her film revolves around a young woman named Tám, who becomes a hungry ghost unable to move to the next life, and Ba, who anxiously searches for his sister. Ba (*‘March’*) and Tám (*‘August’*) represent the poorest months of the lunar calendar, when farmers once borrowed money and worked side jobs to sustain themselves.
Phan works with painting, video, installation, and what she calls ‘theatrical fields’, such as performance gesture and moving images. Utilising literature, philosophy, and open poetic spaces conducive to reflection, she highlights unconventional issues arising from history and tradition. This allows her to challenge received ideas and social conventions. In 2012, Phan co-founded the collective Art Labor.
b. 1987, Ho Chi Minh City; lives and works in Ho Chi Minh City
Yasmin Jahan Nupur
*Let Me Get You a Nice Cup of Tea (Fierce LIVE Edition)*, 2019. Antique furniture, antique tea set, embroidered textiles, tea, performance. Commissioned for DAS 2020 and Fierce LIVE. Courtesy of the artist and Exhibits20, with support from the Peabody Essex Museum, Salem
Tea has impacted cultures and changed the course of world history by bringing people together and tearing them apart: from the Opium Wars and the American Revolution to the mass movement of workers as part of plantation economics; from the fostering of friendships to marriage proposals through the ritual of tea ceremonies. Yasmin Jahan Nupur has arranged a tea party through a performative process. She has harnessed the tea genome and, through the act of sharing, brings participants to think more and more closely about the origins of this everyday commodity.
Nupur works with sketches, installations, and performances. Her work explores human relationships from various perspectives, reflecting her belief in democratic rights regardless of social position. She explores social discrepancies such as those of women and migrants in South Asia, hoping to support increased understanding between peoples of different backgrounds.
b. 1979, Chittagong; lives and works in Dhaka
Zainul Abedin
Zainul Abedin is considered by many to be the founding father of modern art in Bangladesh. In response to the Great Famine of Bengal (1943) under the British rule of India, he made hundreds of sketches depicting starving victims, serving as a form of visual testimony. His sketches spoke to the atrocities experienced by victims under what was a man-made famine and fuelled the public’s will for independence. Throughout his artistic career, Abedin remained true to the representation of the struggles of those most vulnerable in society, notably the rural peasantry. He was actively involved in the Language Movement of 1952 and the Liberation War in 1971. Having witnessed the Bhola Cyclone devastation, he expressed solidarity through his scroll painting *Monpura ’70*, drawing parallels between the struggle of the victims of the cyclone and that of the people of Bangladesh. Abedin travelled extensively, depicting those suffering under oppression, often returning to his familiar sketches such as in his series on the people of Palestine.
In addition to being one of the most important artists of his generation, Abedin was also an academic and bureaucrat who helped establish the first art college in Dhaka in 1947, after the partition of British India. He was given the title Shilpacharya (‘great teacher of arts’) for his contribution towards art education in Bangladesh. Abedin also established the Folk Art Museum and a folk village in Sonargaon in 1975.
b. 1914, Kishoreganj; d. 1976, Dacca
Zhou Tao
*Winter Night: Summer Clouds* (21 sets), 2019. Inkjet prints on paper. From a film produced with support from Samdani Art Foundation and Kadist. Courtesy of the artist and Vitamin Creative Space
Zhou Tao spent nearly two years in an eco-industrial park at the foot of the Kunlun Mountains creating these images that swiftly alternate between natural landscapes of sandstorms, dust clouds, and the changing seasons, and realistic portraits of humans and other species fighting for survival in a state of exhaustion. Human agency is not only manifested in transforming the external world but can also be exercised by preserving an internal, poetic space. Co-commissioned by Times Museum and Council and supported by Samdani Art Foundation and Kadist, his latest work, *North of the Mountain*, was shot with an 8K-resolution camera that is able to capture shades of brightness and darkness beyond the capacity of the human eye. It is the artist’s radical attempt to ecologise the body of the filmmaker as well as filmmaking technologies in a place that is largely shut off from the gaze of the world outside.
Zhou Tao predominantly works with video, producing plotless events in a documentary language with a core focus on the sense and sensation of time. His works connect disparate milieus, often on the threshold between the natural and the artificial as a metaphor for the spatial multiplicity of modernism, incomprehensible to the human mind.
b. 1976, Changsha; lives and works in Guangzhou
Independence Movements
The shared energy fuelling movements and building constellations of solidarities across time and diverse geographies defies shallow geopolitical definitions that carve up the world. Artists played a major role in spreading the deep yearning for independence in what is now Bangladesh, as well as elsewhere in the global majority world. Creative individuals with conviction were willing to stake their position and shift the course of history by galvanising people around their work which became the images, words, and songs to rally resistance and transform mere individuals into a collective force to be reckoned with. The artists in this movement chronicle the spirit of resistance and struggle for freedom, shifting from euphoria to disillusionment and back again. Independence is a spirit that needs to be kept alive and moved and nurtured across generations.
Antonio Dias
Antonio Dias is an artist whose transnational experiences coloured his conceptual art practice. Supported by a Brazilian patron, he travelled to Nepal in 1976 ‘to buy paper for an edition’. He soon discovered that the kind of paper he imagined could not be purchased in a store. Over an intense period of five months in 1976–77, living near the Tibetan border with Nepali artisans, Dias adapted their practices of making paper by mixing in plant fibres and materials such as tea, earth, ash and curry. This presentation includes the installation *Do it Yourself: Freedom Territory*, whose words and motifs appear in *Trama* – the edition that brought him to Nepal. The *Illustration of Art / Tool & Work*, also from 1977, marks a shift in his practice. His process became less about the ‘illustration of art’ (a series from 1971–1978) and more about the physicality and the making of art. This work is a rare example where Dias and his Nepali collaborator’s hands both appeared in the work, depicted as equal participants by the red Nepali clay they collaborated on. Dias returned to these papers to create works for at least a decade, layering further life experience into these remarkable collaborative surfaces that carry traces of experimentation, invention, and reinvention.
Dias was one of the leading figures of 20th-century Brazilian art, working across various media to question the meaning of art and its systems. He left Brazil in 1966 and arrived in Paris in time to participate in the May 1968 protests. Because of his political involvement he was forced to move again; he settled in Milan, where he became the only Latin American member of the Arte Povera movement, and spent his career working across Brazil, Italy, and Germany.
b. 1944, Campina Grande, Paraíba; d. 2018, Rio de Janeiro
Bouchra Khalili
*Bouchra Khalili translates the illegal transnational journeys of individuals into utopian midnight-blue maps, where solidarities between people make visible the waiting, setbacks, force, and compromise found in the condition of statelessness.* In her words: ‘constellations are by essence reference points located in spaces where landmarks do not exist: the sky and the sea. As maps, they were used for centuries by sailors looking upward to locate themselves below. Constellations are also visual translations of narratives; many of them are based on mythology. Translating these forced illegal journeys into constellations of stars also aims to challenge normative geography in favour of a “human geography” – based on micro-narratives and singular lives. The limits between the sky and the sea blur, eventually suggesting an alternative form of orientation: the landmarks are [no longer] boundaries as established by nation-states, but the path of singular lives, from where the world can be seen. As alternative maps of the world, *The Constellations* suggests a counter-geography, of singular gestures of resistance against arbitrary boundaries.’
Working with film, video, installation, photography, and prints, Khalili’s practice articulates language, subjectivity, orality, and geographical explorations. With her work, Khalili investigates strategies and discourses of resistance as elaborated, developed, and narrated by individuals – often members of political minorities.
b. 1975, Casablanca; lives and works in Berlin and Oslo
Kapwani Kiwanga
*The Secretary’s Suite* is an installation that investigates the complexities of gift economies. Presented within a viewing environment inspired by the 1961 office of the United Nations Secretary-General, Kapwani Kiwanga’s single-channel video examines the history and tradition of gifted items within the United Nations’ art collection. Countries that are members of the UN, including Bangladesh, often donate works of art and objects of cultural value. When on display in public spaces, the Secretary General’s office, or are stored away from private view. This work raises questions about how gifts can impact power dynamics in relationships and with differing cultural significance across the course of history.
In her ongoing project, *Flowers for Africa*, Kiwanga researches archival imagery relating to African independence, before consulting with florists to recreate flower arrangements found therein which were presented as gifts to celebrate newly independent nations. Initially fresh, the flowers and foliage are left to rot, in the course of their transient cycle and wilt and dry. In Kiwanga’s own words: ‘Just as the enthusiasm present during the period of independence has faded, pan-African dreams have been eclipsed by the everyday difficulties of the average African citizen.’ Rather like the process of storytelling, the past is momentarily brought back to life for consideration. The selection of African countries in this presentation relates to these countries entangled histories with South Asia.
Kiwanga’s work traces the pervasive impact of power asymmetries by placing historical narratives in dialogue with contemporary realities, the archive, and tomorrow’s possibilities. Her work is research-driven, instigated by marginalised or forgotten histories, and articulated across a range of materials and media including sculpture, installation, photography, video, and performance.
Maryam Jafri
Maryam Jafri’s *Independence Day 1934–1975* features over 60 archival photos culled from more than 30 archives of the first Independence Day ceremonies of various Asian, Middle Eastern, and African nations. The swearing-in of a new leadership, the signing of relevant documents, the VIP parade, the stadium salute, the first address to the new nation – all are supervised and orchestrated by the departing colonial power. This photographic sequence is strikingly similar despite disparate geographical and temporal origins, revealing a political model exported from Europe and in the process of being cloned throughout the world. Although a great deal of research has been done on both the colonial and the postcolonial eras, this project aims to introduce a third, surprisingly neglected element into the debate – that 24-hour twilight period in between, when a territory transforms into a nation-state.
Jafri works with video, sculpture, photography, and performance, which act as a support for her research-based, conceptual practice. Her works address and question the cultural and visual representations of history, politics, and economics, such as the politics of food production and consumption, the highly coded performance rituals of nascent nation-states, and cultural memory and copyright law.
b. 1972, Karachi; lives and works in Copenhagen and New York
Murtaja Baseer
How does a living artist share their historically important work when the person keeping it for decades is not willing share it publicly in exhibitions or publications? Murtaja Baseer created a powerful series of drawings between 1971 and 1972 in Dhaka and in Paris, depicting the Pakistani military as prehistoric figures towering with physical might over Bengali people. The work violently alludes to the wartime atrocities of rape and rape as well as the colonial efforts to subjugate the Bengali language. Baseer first began these dinosaur drawings for mass dissemination in East Pakistani newspapers before the Liberation War broke out. Now 88 years old, the artist is working with archival material and a younger generation of artists to reimagine this series of work as a mural for all to see at the entrance of DAS, emblazoning it in public memory.
Sketch on pro-liberation of Bangladesh from Pakistan used as the cover of English language magazine, *The Express*. Published by Zahir Rahman in 1971. Courtesy of the artist
Murtaja Baseer is known for his abstract-realist paintings reflecting his daily experience of Bengal. In 1967, he started *Wall* series, his first step towards abstraction, which depicted the entropy and layers of textures and colours on the walls of old Dhaka, a reflection on the society under the dictatorship of Ayub Khan (1958–1969). He actively participated in the Language Movement of 1952 and pre-liberation war demonstrations. He was sent to jail throughout the East Pakistani period for his leftist political views and later left for Paris. He demonstrated his solidarity with the Liberation Movement through his work by changing the spelling of his name from Muztaza Bashir to Murtaja Baseer, adjusting the letters to suit the Bengali language. Baseer is also a writer, poet, numismatist, and acted as an academic at the University of Chittagong until 1998.
b. 1932, Dacca; Lives and works in Dhaka
Pratchaya Phinthong
Waiting for Hilsa, 2019. Colour film. Commissioned and produced by Samdani Art Foundation for DAS 2020. Courtesy of the artist, gb agency, BANGKOK CITYCITY, and Samdani Art Foundation
Stories of the Hilsa fish and its migration across salty and sweet waters have been inscribed in South Asian culture for centuries as they historically swam from the Bay of Bengal up the Padma river and into the Ganges. In 1975 the Farakka Barrage (dam) was completed on the Indian side of the Bangladesh-India border, disrupting this migration. Pratchaya Phinthong draws a mental map of this cross-border conflictual reality, combining photos taken at the Farakka Barrage, reconstructed images, books, and objects – taking into consideration geopolitics, social inequality, and human relationships. Using Bangladesh’s ‘national fish’, the artist metaphorically examines nation-state powers, but also presents to us an example of water as a source of life and the ability of sensations such as taste to transcend ideas relating to national identity.
Phinthong creates situations without predetermined forms that rely on an element of viewer participation with the aim of creating a shared experience. He addresses financial fluctuations, media alarmism, and the global labour market, while employing them as metaphors for human behaviour. Interested in creating dialogue, he often juxtaposes different social, economic, or geographical systems.
b. 1974, Ubon Ratchathani; lives and works in Bangkok
Rashid Talukder
Fed up with being oppressed linguistically, economically, and culturally under the rule of West Pakistan (1947–1971), masses of people in what is now Bangladesh rallied in support of an independent sovereign country. People coming from all walks of life engaged in protests finally leading to the liberation war. This bloody war was catalysed when West Pakistan refused to hand power to Sheikh Mujibur Rahman in 1971, despite him having received the majority of the democratic votes in general election of Pakistan. Rashid Talukder dedicated himself to capturing the mass revolution of the East Pakistani people and their fight to maintain freedom as a newly independent nation. His images of empowered female activists, artists (including Murtaja Baseer whose renditions of resistance and independence are installed near this work) and students who participated in the making of Bangladesh greet visitors at the entrance of DAS, grounding us in the history of public assembly in Bangladesh that makes the Summit possible.
Arms drill by women members of the Chatro Union (students union) 1st March, 1971, 1971/1010. Inkjet print. Courtesy of Dirk Picture Library
Rashid Talukder was a photojournalist whose images represent a significant contribution to the collective memory of Bangladesh. Among many other defining events in the history of the nation, he documented the struggles of East Pakistan in the 1960s that led to the liberation war and the formation of Bangladesh. His photographs immortalise mass uprisings, resistance movements, and the participants, of whom many were killed by the Pakistani army. Talukder also photographed artists, highlighting their role in the liberation. As a photojournalist, he worked at the Daily Sangbad and The Daily Ittefaq successively, reaching wide audiences. Dedicated to expanding the field of photojournalism in Bangladesh, he founded the Bangladesh Photo Journalists’ Association in 1972.
b. 1939, Pargana; d. 2011, Dhaka
S. M. Sultan
While South Asian art history describes him as a landscape painter, S.M. Sultan is remembered in Bangladesh for his energetic paintings of strong farmers made after 1975. These large-scale paintings, primarily made with natural pigments on unprimed jute canvases, celebrate the strength of Bengali peasants, both male and female, in their struggle against colonial and ecological disasters. Farming had been piquing the interest of the era of the British Raj, and just the year before Sultan first painted these icons of physical might. In this context, his depiction of the weak and downtrodden as invincible forces growing the future of Bangladesh can therefore be seen as subversive.
After travelling extensively as a celebrated artist both internationally and within South Asia, Sultan retreated from urban life, moving to his home village of Narail, where he founded the Shishu Shwarga art school. His devotion to rural art education has had a lasting legacy, inspiring many initiatives to promote personal growth outside of urban centres through art. Sultan’s activities highlight the importance of rural culture in the collective identity of Bangladesh.
b. 1923, Narail; d. 1994, Jessore
Solidarities Between the Reincarnated interrogates the place of the archive document in a personal re-appropriation of history at the crossroads between echoes that persist amidst institutional amnesia and gaps in transgenerational collective memory. At its core, this project considers the movement of people through (post-)colonial violence and the obscuring of its legacy in the context of France’s use of colonial troops in global and colonial conflicts and of communities born from it. Tuan Andrew Nguyen offers imagination and creation as ways in which to connect the gaps and fulfill a desire for connection through imagined lines of solidarity whose absence in the historical canon are brought to clash against expanded possibilities for the means by which we can remember.
Tuan Andrew Nguyen’s practice explores strategies of political resistance enacted through counter-memory and post-memory. Extracting and re-working narratives via history and supernaturalisms is an essential part of Nguyen’s video works and sculptures where fact and fiction are both held accountable. He initiated The Propeller Group (f. 2006), a platform for collectivity that situates themselves between an art collective and an advertising company.
b. 1976, Sai Gon; lives and works in Ho Chi Minh City
Seismography of Struggles: Towards a Global History of Critical and Cultural Journals is an inventory of non-European critical and cultural journals, including those from the African, Indian, Caribbean, Asian, and South American diaspora, produced in the wake of the revolutionary movements of the end of the 18th century up to the watershed year of 1989. The project is presented as an installation consisting of two films made up of montages of images from critical and cultural journals produced on different continents, and a third, which is a collection of historical manifesto texts from the aftermath of the Haitian revolution until the fall of the Berlin Wall. Covers, texts and portraits of founders, language and discourses present a long continuum of graphical inventions, including some 800 documents accompanied by an original musical composition produced by Jean-Jacques Pailx.
Figures of artists and writers appear alongside intellectuals, militants, activists, writers, and other authors of literary, poetic, visual and political texts. They made a mark on their era and beyond. This project helps to see, read and understand a particular writing of the history of the world outside of a Eurocentric lens. This history was not carried out in the margins or the periphery as has been said, but over a very wide territorial distance where struggles where shared over time despite a perceived lack of geographic connectivity.
The sound and visual work included here reflects populations who have experienced colonialism, practices of slavery, Apartheid, and genocide. Also included are works from others who experienced violent dictatorships as well as brutal political and cultural convulsions. The struggle against slavery is at the root of many critical and cultural journals. Colonialism impacted the social and cultural cohesion of a number of communities and was also fought against in both writing and gesture by constantly renewing the modalities of political action.
In the 18th century, the American Revolution failed to put an end to slavery and to the dispossession of Native Americans. The abolitionist drive was principally nourished by maroonage, a method of resistance and resettlement by African Americans, especially by former slaves who escaped to the Americas and formed independent settlements. This began as early as the 16th century, first in Africa, spreading to the Mascarene Islands, then...
to the Americas and the West Indies, through its clandestine political and artistic practices – inaugurating a practice of singing, poetry, and dance that continues to this day – and, later, through its narratives and texts. Very few materials from that era have survived, and the rare few that exist are highly contested. Yet, it is clear that a model of critical resistance was born and realised in various media, as well as in cloth, wood, papers, and a variety of signs and drawings. The equivalent practice in Europe was Samizdat, which involved the clandestine copying and distribution of literature banned by the state, especially formerly in the communist countries of eastern Europe. Samizdat was produced underground by Jews to fight against oppression. But all of these precarious practices have withered over time.
The journals chronicled in this project constantly affirm their thwarted ambition for independence; as a whole, they are made up of singular voices from bold writers who are drawn to renewed political and cultural prospects. The oldest material evidence of this eminently modern exercise is *L’Abelille Haytienne*, a critical journal that was founded on the island of Haiti in 1817. The journal expresses the constant desire for emancipation. Christopher Columbus landed in Haiti in December 1492 and named it Hispaniola. The island later became a French territory and was renamed Dominica and, over time, more than 400,000 slaves live there and were subjected to France’s ferocious rule. C.L.R. James noted that, in 1789, this territory alone accounted for more than two thirds of French foreign trade. In 1804, the revolt of subjugated populations gave rise to the birth of a small independent state of Haiti. Even though this cause was won, the struggles continued.
For over two centuries, print media has been a space that has accommodated varied experiences. Born out of a sense of urgency in response to colonialism, journals have aligned with a critical, political, aesthetic, poetic, and literary ambitions and helped sustain graphical and scriptural creativity. They have appeared with regularity in the struggles that women and men have waged for their emancipation. Consisting of formal singularities and political objectives that support human communities and their aspirations, the journal, this fragile object, often pulled together difficult material that was motivated by noble causes and the determination of committed authors. The journal reveals a rare aesthetic power. In this all-digital era, we must re-establish and qualify its formal, aesthetic, and political function on a global scale.
Zahia Rahmani is one of France’s leading art historians and writers of fiction, memoirs, and cultural criticism. Rahmani curated *Made in Algeria, genealogy of a territory* (2016), dedicated to the role of cartography in the colonial expansion. Rahmani founded the Global Art Prospective (f. 2015), a collective of young researchers and actors within the art scene who are specialists in non-European territorial and cultural spaces.
What does an enfranchised future look like? Since the inception of the nation-state, not everyone has been considered a citizen with rights to protect. Throughout the world, the disenfranchised including peoples of colour, indigenous peoples, and people of diverse sexual and gender orientation, continue to fight for spaces to endure, imagining how and when their security, their representation in and of the world is recognised. The artists in this movement employ fantasy and poetry to imagine territories that emancipate them from the everyday violence of capitalism, patriarchy, and political/religious fundamentalism. These worlds might exist in outer space, on the ocean floor, at the poles of the planet, or they may emerge from hiding places between the lines that seemingly restrict and foreclose uncertain histories.
Adriana Bustos
Adriana Bustos’s *Vision Machine* project poses questions about what we see, how we see it, and how vision can reinforce or dismantle the narratives which underlie systems of oppression. Two large maps – representing polarised views yet identical in structure – depict the constellations as they appeared in the skies on day one of month one of the Christian era. The names of stars have been replaced by images and concepts which act as guides to the drawings around them. One of the maps quotes historical images depicting acts of patriarchal violence. They are rendered in red, and when seen through a filter positioned in front of the work they fade away and our gaze is instead drawn to the images in the opposite map depicting known and unknown heroines as well as references to repressed practices and events associated with women. This commission for DAS extends the artist’s research into the feminist histories of South Asia.
Bharti Kher
*Bharti Kher’s Intermediaries* series invites us to consider a transitional space in the present – somewhere between truth and reality. This notion of the go-between or medium fascinates Kher, often resulting in unlikely pairings becoming hybrids, often half-female forms such as these women in the process of becoming snakes in this newly commissioned project for DAS. Made by traditional idol makers, Kher’s painted mud and clay sculpture rises from the earth and will return to it through the natural process of entropy, speaking to the many layers of religions and cultures that have existed on the land that is now Bangladesh. Her work reminds us that there are multiple selves within us and that we are in a constant state of transformation.
Kher’s way of working is radically heterogeneous, encompassing painting, sculpture, text, and installation. Central themes are the notion of the self as formed by multiple and interlocking relationships with human and animal bodies, places, and readymade objects. The body, a central element to her work, is one of the many tools she uses to transform metaphysical narratives into forms of hybridity.
b. 1969, London; lives and works in New Delhi
Chitra Ganesh
Using printmaking, video, installation, and sculpture, Chitra Ganesh unpacks gender and power in a futurist imaginary inspired by the utopian, feminist, sci-fi novella *Sultana’s Dream* (1905) by Bengali author and social reformer Begum Rokeya Sakhawat Hossain. In the words of the artist, the project ‘draws on Hossain’s vibrant imagery, translating a story written in verse into a visual grammar that connects the present to the shape of 21st-century life: apocalyptic environmental disaster, the disturbing persistence of gender-based inequality, the power of the wealthy few against the economic struggles of the majority, and ongoing geopolitical conflicts that cause widespread death and suffering. These works comment on this fraught moment in world history, demonstrating the enduring relevance of feminist utopian imaginaries in offering an invaluable means of envisioning a more just world.’ Ganesh met with Bangladeshi artisans and architects as well as members of the broader queer and disability communities during the process of creating this commission for DAS. Their open process of sharing knowhow challenges received notions of how labour is gendered and organised within patriarchal structures.
Ganesh’s work draws from and deconstructs historical and mythological texts to queer the future of the iconic female figure. Her pictorial language is inspired by surrealism, expressionism, and South Asian visual culture, such as Kalighat painting and ACK comics.
Edgar Cleijne and Ellen Gallagher
*Oeadax*, 2010. 16 mm film projection, Hand-painted slide projection. Music: ‘Message From A Black Man’ by The Whateutrs, 1970 (A&M Records). Courtesy of the artists and Gagosian Gallery
The collaborative film installation *Oeadax* is named after a new species of bone-devouring worm discovered around the time this work was made. The discovery inspired Edgar Cleijne and Ellen Gallagher to draw parallels between science fiction and hard science protocols, focusing on transformation processes of physical matter where you think you see one thing, but it turns out to be completely different. The work is based on ‘whale fall’, the scientific term for dead whales that have fallen to the ocean floor and are consumed by scavengers. The work relies on antique film technology (16 mm and synced slide projectors), but the artists also use modern 3D animation technology to draw into the film, weaving between watery passages and creating a portal into enchanting worlds populated with micro-organisms and submarine life forms and mythical stories of the African diaspora.
Edgar Cleijne is a Dutch artist predominantly working in photography and film. Merging discordant threads of analogue and digital imaging and sound, Cleijne looks at the effects of the human-engendered climate emergency in the crossing points of culture and nature. See page 46 for Ellen Gallagher.
b. 1965, Eindhoven; lives and works in Rotterdam and New York. b. 1965, Providence, Rhode Island; lives and works in New York and Rotterdam
Ellen Gallagher
*Waterly Ecstatic (RA 169.35m 37.73s D37° 22' 31.12"), 2017, Cut Paper. Courtesy of the artist and Saldanha Art Foundation*
Ellen Gallagher’s *Water Ecstatic* series imagines life as fluid from our early days as cells that develop into foetuses within amniotic sacs in our pregnant mothers to the imaginary underwater world of Drexciya. In this myth, created by a Detroit-based electronic band of the same name, children born from pregnant African slaves thrown overboard during their passage across the Atlantic Ocean have gills and webbed feet and are therefore able to thrive underwater without the need to come up for air in the oppressive racist world above. Drexciya’s world started out on the ocean floor and sailed into the cosmos when the group bought the name of a real Drexciya star whose celestial address is referenced in the title of this work. Gallagher relates her labour-intensive cut-paper process on bright white paper to scrimshaw (illustrative carvings primarily made on whalebones and ivory). The intricate forms that she carves into paper of botanical and marine life growing from African masks conjure a utopian realm, adjacent to a horrific one, that can only exist in the realm of fantasy.
Gallagher’s work comprises painting, film, cut and layered paper, and intricate combinations of the three. Through accrual, erasure, extraction, and synthesis, she counters static representations of race and nation, traversing geographies and histories. The eclipse of the African body into American blackface minstrelsy informs Gallagher’s investigations into the violence embedded within the history of abstraction.
b. 1965, Providence, Rhode Island; lives and works in New York and Rotterdam
Héctor Zamora
*Movimientos Emisores de Existencia (Existence-emitting Movements)* is an action in which a group of women walk directly on an installation comprised of hundreds of raw clay vessels in different shapes and sizes inspired by traditional ceramic traditions of Bangladesh. Most cultures, including those of the artist’s native Mexico as well as Bangladesh, perpetuate the iconic image of a woman bearing a vessel as a symbol of transmitting water or food; a symbol of the hard domestic labour weighing down women in society. Héctor Zamora disrupts the order of things by placing the vessel not upon the women’s heads, but rather beneath their feet. By inverting the equation, what occurs is a shared space of liberation where women can turn the tide of patriarchy and recover pleasure in their lives.
*Movimientos Emisores de Existencia (Performance view), 2019. Courtesy of the artist and Labor and Otazu Foundation*
Zamora uses materials that resonate with the location of his chosen site, such as terracotta and bricks that allow him to question and engage with institutional structures. He often operates in dialogue with local communities, which allows him to produce ephemeral site-specific works that highlight social, political, and historical issues specific to their context.
b. 1974, Mexico City; lives and works in Lisbon
Himali Singh Soin
*we are opposite like that polar futurisms (xiii), 2017-present, multi-channel video. Courtesy of the artist*
*we are opposite like that* is a magic-realist tale from the high Arctic circle, told from the nonhuman perspective of an elder that has witnessed deep time: the ice. Shown in an installation format for the first time, Himali Singh Soin’s videos recount the 19th-century anxiety of an imminent ice age and illuminate the hubris of the abandoned township of Ny London, where British extractionists mined marble that turned to dust when the permafrost evaporated. An alien figure, part-cyborg, part-vessel of scientific knowledge, expands the blank, oblivious whiteness, foraging for decolonial possibilities in a landscape of receding glaciers. Inspired by field recordings, an original score for a string quartet creates an ethereal soundscape coded with temperature variances and latitudes and longitudes from the field, *we are opposite like that* beckons the ghosts hidden in landscapes and turns them into echoes, listening in on the resonances of potential futures.
Soin works across text, performance, and moving image. She utilises metaphors from the natural environment to construct speculative cosmologies that reveal nonlinear entanglements between human and nonhuman life. Her poetic methodology seeks inspiration from the ancient Stoics and contemporary philosophy to explore alchemical ways of knowing and the loss inherent in language.
b. 1987, New Delhi; lives and works between London and New Delhi
Huma Bhabha
Intense in their presence, Huma Bhabha’s works aggressively attract the viewer by layering visual textures from across the many landscapes (real and imagined) that she has inhabited, from rural New York to Karachi to cinemas projecting horror and science fiction movies. She found in her research that illustrators of sci-fi movies and comic books used African masks and imagery from other cultures to develop their characters. According to the artist, the theme of that sci-fi death row is “the end state of the world, the future, and the fate of human beings – closely parallel her own interests as she explores the global as local and globalisation as the new colonialism. She sees these themes as ‘eternal because as human beings we haven’t been able to get beyond them.’” Bhabha’s alien forms emerging from photographic paper, cork, and styrofoam suggest a world beyond our human limitations.
*Cowboys and Angels, 2018, Cork, styrofoam, acrylic paint, oil stick. Courtesy of the artist and Saldanha Art Foundation*
Bhabha’s work addresses themes of colonialism, war, displacement, and memories of home. Using found materials such as styrofoam, clay, construction scraps, and cork, she creates haunting human figures that hover between abstraction and figuration, and include references to science fiction, horror films, tribal art, religious reliquary, and modernist sculpture.
*Reel Stillman, in the Studio: Huma Bhabha, Art in America, May 15, 2018, www.artinamericanmagazine.com/news-features/magazines/huma-bhabha*
b. 1962, Karachi; lives and works in Poughkeepsie
Marzia Farhana
We live in a man-made world; the discrimination against women and nature on this planet is a part of the machinery behind its violent destruction. Marzia Farhana’s DAS commission *Sovereignty to Nature* addresses this discrimination from a eco-feminist perspective. Situating her subject matter in Bangladesh, a nation among the world’s most heavily affected by environmental destruction, with less than five per cent of its forest cover remaining, Farhana traces the current situation to the male invention of capitalism that subjugates nature to a rational economic calculus. Divided into three individual paintings signifying collapsed bodies in an apocalyptic world, elements such as machinery parts, toys, every-day ordinary materials, domestic materials, and human figures tell the story of the destruction of nature and the consequential suffering of women and the planet. Farhana invites the viewer to call for a radical restructuring of human sovereignty, where all living and non-living inhabitants of our planet are included.
Farhana works with several media including painting, installation, and video. Her practice is time-and-space based, facilitating collaborations, participation and reinforcing the possibility of co-authorship on works of art that are often simple. Farhana has recently co-authored works with a government school in Bangladesh, as well as with local communities in Kochi. For her, art is an ‘act of resistance’ to overcome the violence committed by the domain of the hegemonic society.
b. 1985, Dhaka; lives and works in Dhaka
Nilima Sheikh
‘Immediate trauma finds historic/mythic prototypes. Dire times call for apocalyptic vocabularies’, reflects Nilima Sheikh on the tragedies long-plaguing Kashmir, the epicentre of the destruction left in the wake of the British partition of India and exacerbated by rising Indian nationalism. The work takes the form of a narrative scroll that immerses the viewer in its representation of mourning, loss, and absence. As in the song, the body is broken, so too in painting we look for form to express and articulate what can seem inexpressible. In many cultures of mourning, women participate in prime roles, however, there are times when mourning has to be conducted in silence, in solitude, in the incantations of memory. Sheikh has been visiting Kashmir since she was a young child and has made work about the plural history of the place since 2002. This new work signals the valor of the women of Kashmir, whose energies are necessary to metaphorically ignite the flame of the cooking pot to reignite home-life in the face of an oppressive world outside.
Sheikh works with paper, painting, installation, and large-scale scrolls. Drawing from her extensive research on traditional Indian and Asian art forms, including mural paintings from China and screens and scrolls from Japan, her work reflects her decades-long advocacy for women’s rights. Sheikh’s mystical landscapes address themes such as displacement, longing, historical lineage, violence, and ideas of femininity.
b. 1945, New Delhi; lives and works in Baroda
Sara Sejin Chang (Sara van der Heide)
The Mother Mountain Institute aims to give a voice to mothers who have, often under duress, given their child up for adoption. Legacies of imperialism and colonialism can be read through the lens of transracial and transnational adoptions with the Global North. The interests of the birth mother are often overlooked when custody is transferred, and in precarious social and economic conditions can be faced with pressure from the state, the church, and/or criminal traffickers. In this work, two figures are evoked: the Mother and the Mountain, who both speak. A woman’s voice narrates the story, based upon an interview with a mother by the artist that took place in January 2020 in Bangladesh. Alternating, the mountain speaks. After separation, the respective desires of the mother and child to find one another again remain. Like celestial bodies pulled by gravity, they circle around each other. Besides the political, economic, cultural, and historical issues provided about the who, the how and the when, no sufficient answers are provided that can heal the inner wound of being separated from one’s child. The mountain is present here as a patient shelter and as a spiritual entity who might provide answers to impossible questions transcending rational thought, represented through sound and drawings made during the artist’s walks in hills and mountains known for their spiritual qualities in Poland, India, Bangladesh, Lebanon, and South Korea. www.mothermountaininstitute.org
b. 1977, Busan; lives and works in Amsterdam and Brussels
Saskia Pintelon
No News Good News is an ongoing body of work where the artist Saskia Pintelon imagines a world where the text comprising the English, Flemish, and Sinhalese newspapers that she reads is rearranged to tell stories of more hopeful and equal futures. With a subtle sense of humour, these subversive works push back against patriarchy in the world which often defines what is newsworthy, proposing new rules to break rigid standards of beauty and definitions of success and happiness. They question reigning paradigms about a variety of subjects from old age, to romance, matrimony, gender, religion, addiction through association and juxtaposition. The strong visual quality of Pintelon’s newspapers forces us to stop and reflect, and through her imaginative editing process we are able to consider news that we overlook as a result of information overflow.
b. 1945, Kortrijk; lives and works in Mirissa
Saskia Pintelon is at heart a figurative painter who periodically verges towards abstraction and text-based work. Inspired by local and universal issues, stories from the gut and the heart, politics and day-to-day concerns, her body of work interprets the collective human experience, entwining it with the cycle of life with intimate and cosmic preoccupations. She has spent nearly four decades working in Sri Lanka and her work reflects the hybridity of living between and across cultures.
Collective Movements
We have been witnessing movements of people of all ages from Chile, to Lebanon, India, Hong Kong and beyond, all voicing a desire for forms of agency in the context of persistent repressive colonial and authoritarian structures. DAS was formed through the collective building of a grassroots transnational civil space where culture can be shared beyond the limits of the nation state. Together with artists who create situations, build relations, and organise events and institutions, we aim to create a strong sense of community rooted in Dhaka. The word body can also be read as individuals who come together as a group. Like antibodies, individuals within any body need to maintain the ability to disagree with the group and contribute to the dynamic evolution of the fragments, situations, and personalities that make it up. A powerful aspect of groups is that they are dynamic and fluid; they can come together, break up into two or more groups, move when they need to, and dissolve when their work is done, reforming if/when they are needed again.
The mosquito, a pivot of epidemics such as yellow fever, dengue fever, and Zika, has often been a propagator of anguish, fear, and urban and environmental crises in Vivian Caccuri’s native Brazil as well as in Bangladesh, which recently suffered the worst dengue epidemic in its history. Caccuri seeks a new environmental relationship with mosquitoes and proposes a futuristic moment when a new parasite emerges in Brazil that has overcome its fear of mankind, developing immunity and thriving in new symbiotic relationships with these insects in the wake of environmental destruction. Inspired by hallucinations typical of yellow fever, Caccuri’s new sculptural work melds the human body and the mosquito body into one. The protection of the skin spreads into space as if breaking the visible boundary between this membrane and the environment.
Caccuri works with objects, installations, and performances in combination with sound. Complex experiments in sensory perception allow her to create situations that disorient everyday experience, addressing ecology, interspecies relationships, and the legacies of globalisation and colonial violence. Caccuri’s practice lingers between visual art, experimental music, and anthropology.
b. 1986, São Paulo; lives and works in Rio de Janeiro
Fernando Palma Rodríguez
'Language programmes us', shares Fernando Palma, indicating that it is possible to be a different person in different languages. Palma is an expert in programming; he has a background as an electrical engineer and he is interested in the transmission of systems, knowledge, and electricity. Part of Palma's work is preserving the Nahuatl language, a group of languages related to the Aztec people, settled mainly in the central part of Mexico. Palma believes 'Indigenous languages that we begin to see a different relationship between people and their environment, their art and culture', writes Palma. For example, the word for artist in Nahuatl language is derived from the word for the number five – because the artist is the fifth point connecting the four points on a compass: North, South, East, West. This definition does not contain the triangular axes of fame, power or money. The artist had a formative experience in Bangladesh visiting the Chakma community during a residency at Britto Art Trust in 2003, understanding that the condition of his community was similar to that of Indigenous peoples on the other side of the world. He returns to Bangladesh to catalyse transmission of Indigenous knowledges of language and ecology through workshops related to his body of work creating Nahuatl inspired pictograms (found in *The Collective Body*).
In an empty, uninhabited lot covered by wild weeds and grass, a big sculptural figure is raised. It is made of red bricks and could be mistaken either for a stupa, or a pre-Columbian pyramid. It is a sculptural silo, containing an offering with a sample of one of the native corn species of Mexico, a single seed.
Seeds can be deposited on any land, and with some luck and under the right conditions, they multiply in a micro-explosion of fertility. Limits of private property are tested when rituals, knowledge and products are taken from one place to another. A ‘mexa’ is a piece of land that grows from use and abuse of Mesoamerican agricultural practices and are necessary to produce products to meet the basic needs of a family. A mexa contains a diverse ecosystem that produces corn, beans, squash and chile working in solidarity. This ecosystem is, to a certain point, what has fed us, and one of the most valuable gifts that Damián Ortega wishes to share from Mexico.
Ortega uses sculpture, installation, performance, film, and photography to arrive at events of deconstruction, both material and conceptual. In his work, the familiar is altered and re-purposed, leading the viewer to inspect the unexpected interdependence of the components involved. Ortega highlights the complex social, political, and economic contexts that are embodied in every-day objects.
b. 1967, Mexico City; lives and works in Mexico City
Olafur Eliasson
Several spotlights project light on a white wall; however these lights only become perceptible when visitors enter and move across the space, blocking the light source and filling the void of the room with the presence of their shadow. The moving shadows of visitors create a sort of choreography and stretch and contract in tones ranging from grey to black, varying based on the movements of bodies in the space. Differences in race, religion, age, and class are flattened in this work as details used to identify individuals are reduced to moving outlines, and we become more aware of the present moment and the patterns we can build by engaging with people around us.
Olafur Eliasson’s art is driven by his interests in perception, movement, embodied experience, and feelings of self. He strives to make the concerns of art relevant to society at large. Art, for him, is a crucial means for turning thinking into doing in the world. Eliasson’s works span sculpture, painting, photography, film, and installation. Not limited to the confines of the museum and gallery, his practice engages the broader public sphere through architectural projects, interventions in civic space, arts education, policy-making, and issues of sustainability and climate change.
b. 1967, Copenhagen; lives and works in Berlin
Taloi Havini
*Reclamation* is a new work by Taloi Havini created in collaboration with her Hakē clan members. The artist draws from recent historical movements of conflict as well as acts of resilience and self-determination experienced within the social fabric of her inherited matrilineal birthplace, the Autonomous Region of Bougainville. *Reclamation* is a site-specific assemblage of natural materials, harvested from the artist’s own matrilineal Hakē clan land. Here, Havini traces the significance of lineaments in traditional Boukan architecture. Individual panels have been shaped, cut and lashed within an arched form to reference formal Indigenous knowledges and map-making, echoing temporal spaces created for ritual and exchange to assert aspace for collective agency.
*Reclamation* speaks to notions of lineage and navigation. Underlying the ephemeral installation of cane and earth are questions about the ways in which we relate within temporal spaces; how borders are defined and claimed, as well as the role of Indigenous science and ancestral knowledge over fixed historical understandings. Havini weaves together the tensions of precarity and resilience, vulnerability and activism to create a space of encounter and transmission.
Havini speaks through geographic and cultural specificity of situations with global implications, working at a time where communities across the globe find themselves at the tipping point of environmental and social change. Havini works with photography, sculpture, immersive video and networked installations. She considers the resonance of space, ceremony, and how material culture can be defined and translated through contemporary practice.
b. 1987, Arawa; Lives and works in Sydney
The artist Vasantha Yogananthan photographed SECMOL’s moving Ice Stupa project in Ladakh (see page 78). Yogananthan’s work straddles fiction and documentary, and this project shows how an imagined idea for a utopian future can come into being through creativity and institution building.
Yogananthan’s photographic approach has been developed over the last 10 years whilst working on the major independent projects Piémanson (2009–2013) and A Myth of Two Souls (2013–2020) which have been published, exhibited and awarded internationally. Yogananthan is deeply attached to analogue photography for its slow – almost philosophical – process. His interest in painting led him to work around the genres of portrait, still life and landscape.
b. 1985, Grenoble; lives and works in Paris
Above our heads, this very second, thousands upon thousands of birds are flying in flocks. From the lightest shift in incline of feathers is born a collective moment that allows for protection and efficacy whilst flying over great distances. From the ground there appears to be perfect synchronicity within these flock movements, a marvel that scientists are still trying to understand. A flick of a wing, banal on its own, is the genesis of significant impact when performed with other, similar winged beings.
This fascinating and naturally occurring activity is a useful starting point for *Condition Report 4: Stepping out of line; Art collectives and translocal parallelism*, which exists as a forum for addressing practices and forms of production that take the cooperating, non-hierarchical group as a guiding principle. The fourth edition of RAW Material Company’s biannual symposium program exploring the artistic landscape in Africa and beyond, CR4 delves into examples of collectivity both historic and contemporary to assess the scope of change possible through the practice of art intervention and resistance. Dreams of cooperation are not always fulfilled, and we acknowledge that the same spirit of resistance, survival or predation that facilitates collective action can wane or backfire, leaving members out of formation. Yet the aesthetic, physical and social fields of intervention that are the focus and fodder of collectives merit attention, particularly given the role they play in the seismic movements that are the focus of DAS 2020.
This symposium, through its form and content, opens up the different lines of enquiry that emerge from collective practice, with a particular focus on webs of international solidarities. Writers and curators are in dialogue with members of collectives, allowing both critical analysis and historical production to sit side by side with practice. We begin with an investigation into the formal aesthetic of the collective and the forms, structures and shapes that emerge both organically and strategically when we flock together. Drawing on both traditions of Bengali ensemble music and the Senegalese *Perc* – a structure for community dialogue – allows us to enact collective forms and give shape to this coming together. Moreover, the space we use in Dhaka is designed to let the outside in and vice versa, an acknowledgement of the large number of collective practices that are currently threatened by displacement of entire communities for economic or climatic reasons, who are thus separated from the material space that plays an active role in the affirmation of collective existence.
Moving from concerns around form, the conversation will unpack different propositions for making histories of collective practice, and collective practices of making histories. Polyphonic in their very nature, collective movements have proven complex to anchor in any one narrative. Members may tell different and contradictory stories, highlighting aspects of particular relevance to their own journey or the wider circles within which they move, beyond the sphere of the collective itself. And yet we know that these stories must be told. If we accept this reality, can we think of the generative space between the swarm behaviour of two neighbouring bees? What historiographical approaches are necessary for unearthing and learning from gossip, witness accounts, and inconsistency? As articulated by Elvira Dyangani Ose, how can we ‘claim history as a participatory experience’? International collectivism can at times be even harder to map, across linguistic lines and countries with differing relationships to the archive, and yet we must learn to become more agile and more creative in our historiographical methodology, if we want to do justice to these histories.
Engaging in a more frontal manner with the contemporary moment and the crescendo of interest within both the art world and the fields of social
sciences and humanities in collectives and collectivism – indeed as a fully-fledged ‘ism’ – we will also ask questions related to the relationship between collective practice and economy, Are visions of commons and non-hierarchical labour structures purely utopian within a global, late capitalist order? Do collectives shun capitalism because it is not legitimate, or is it that collective practice must fall on either side of a state/private dichotomy? How do collectives create models of institutions that disrupt this opposition? How do collectives engage with informal and bartering economies to survive, produce, and endure, and what lessons can be learnt from these strategies? Challenging traditional notions of authorship and therefore ownership, artist collectives also serve to challenge and reject the vision of the mythical, singular and historically male artist, drawing attention to the plurality of skills and efforts needed to generate and support a project.
Continuing in this vein, it is worthwhile to pause on the ways in which collective practice can influence how formal institutions function, and to consider to what ends and through which channels we can create new alliances of support across domains. Many collectives also tend to have a shorter lifespan than formal institutions, and we will consider the death and dispersal of collectives as key moments in their existence. The act of moving from the flock formation that signifies that the need which brought them together is no longer of relevance; a danger has passed, or the aerodynamic support they provided one another has given sufficient time for rest. To be cognizant of how to collectively separate, shift energies and acknowledge the end of a mission is a skill that will also be discussed; what happens after the seismic movement?
Fundamentally, CR4 is an invitation to think about the ‘we’ and the forms of our relationships to one another. We will question and map strategies that allow the flock to fly and get the job done, and then to leave formation without injury, in a bid to open up this prescient field of study while learning and practising how we can live better together.
Featuring
Akalko
Centre for Historical Reenactment (Kemang Wa Lehulere)
Chimurenga (Zitaho Dayile)
Cosmin Costea
Dance Of The Field (Emeka Okereke)
Elizabeth A. Povinelli
Gidree Bawlee (Salma Jamal Moushum)
Green Papaya (Merv Espina)
Hong Kong Artist Union – KY Wong
Jatliwangi (Ismal Muntaha)
John Tain
Joydeb Roaja & Hill Group
Laboratoire Agit’Art (Pascal Nampemania Traoré)
Luta ca caba inda (Sonia Vaz Borges)
Marina Fokidis
Mustafa Zaman
Rahima (Taslima Akhter)
ruangrupa (Farid Aditama Rakun)
Shawon Akand
Shomoy Group (Dhali Al Majmoon)
Shoni Mongol Adda (Tarana Willy)
Somankidi Coura (Raphaël Grisey and Bouba Touré)
The Otolith Group
Stitching Ecosystem
Stitching Ecosystem is a mini-festival format comprised of a series of workshops, sharing sessions, and market spaces with a focus on five of Gudskul’s eleven ‘collective studies’ subjects: Collective Sustainability Strategy, Public Relations, Spatial Practices, Art Laboratory, and Knowledge Garden. Gudskul will connect and reconnect collective networks and foster inter-collectiveness in order to understand and collaborate across different themes and contexts. This will also operate within a bigger ecosystem, while maintaining the valuable organic intimacy found in any collective praxis. Further, this series of activities will cultivate, foster and distribute knowledge among the participating collectives in DAS, while also expanding network and sharable resources with the general public.
Collective as School
Collective as School is a sharing session between over forty collectives participating in DAS 2020 from Africa, Australia, Central and South America, Oceania, and South and Southeast Asia. Each collective will share their respective stories about how and why their collectives were established, what their goals are, how their regeneration processes unfold, what they learned, what their structure looks like, how they have sustained and survived, how they self-evaluate, how knowledge gets distributed within the collective internally and externally to broader communities, and how they collectively support each member as an individual. This sit-down introductory session will produce a series of scheme/maps of potentials, strategies, and common understanding to prime the remaining nine days of DAS.
Speculative Collective
Speculative Collective is Gudskul’s latest iteration of a knowledge-sharing and mapping module that was conceived as a tool to explore new forms of cultivating through direct practice, forming a kind of know-how. Compressed both spatially and temporally, the project extends from ongoing work within the context of Jakarta. In a loosely defined process, Gudskul invites strangers to meet and share what they consider to be ‘knowledge’ by playing the roles of both teacher and student in a quick reciprocal exchange. This newly formed pair must then couple with another pair, forming a temporary collective. Gudskul has designed a ‘tool’ to enable participants to record this process for themselves and carry it on past these random yet choreographed meetings.
Gerobak Cinema
Gerobak Cinema is a mobile screening station presented as part of The Collective Body curated by Diana Campbell Betancourt and Kathryn Weir. The Chattogram based collective Jog and the Jakarta based collective ruangrupa collaborate using a rickshaw, producing screening sessions in several spots around the Bangladesh Shilpakala Academy, taking the energy from inside the venue out into the streets of Dhaka. The equipment will be collaboratively designed by Jog artists, developed by IT technicians, and created by the community according to local aesthetics to screen their own videos/movies, or even particular Bangladeshi movies. With these activities, we are trying to strengthen the relationships and collaboration potentials with the local community who may have not arrived at the world of contemporary art.
Printmaking Workshop
A collaborative workshop and sharing session between Grafis Huru Hara (Jakarta) and Pangrok Sulap (Sabah) and Shunno Space (Dhaka) will explore and raise similar issues the collectives are facing through specific media: woodcut and linocut techniques. This workshop will be open to students.
Loneless Market
One of our central focuses in developing an ecosystem is how sustainability could be understood through different perspectives. Not only in monetary aspects, but also values and notions, network and regeneration. Loneless Market is a session designed by Gudskul to develop exchange activities in material and immaterial things, and also at the same time generating revenues to benefit all of the participants of this marketplace. This will be a celebration of the nine days of collective work built across DAS. DAS is a non-commercial research platform that exists to support grassroots art ecosystems – and all proceeds go directly to the collectives involved in this platform.
Cooking & Karaoke Tent
For the last evening before DAS closes, Gudskul will collaborate with local collectives to imagine a big dinner through creating a fusion of Bangladeshi and Indonesian food recipes. A karaoke session will play some well-known Bangladeshi and Indonesian songs and the group will be open to song requests. Open to all participating collectives and artists in DAS, this event serves to strengthen the bonds and networks built up across DAS 2020.
The Collective Body
Curated by Diana Campbell Betancourt and Kathryn Weir.
Assistant curator: Kehkasha Sabah. Supported by Adam Ondak, Lucia Zubalova, Ruxmini Reckvana Q Choudhury, Teresa Albor
Expressions of community and connections that precede the neoliberal individual and the nation-state are at the heart of *The Collective Body*, an exhibition that brings together more than thirty collaborative art initiatives. Half of these are from Bangladesh, where the thriving contemporary art ecology is largely carried by artist-led interdisciplinary initiatives that have developed festivals, art spaces, schools and collaborative networks to support their practice in the absence of centrally funded institutions or sources of economic support. Alongside these, artists and collectives have been invited from parallel contexts in order to crystallise discussions pertinent to collaborative practice in Bangladesh, drawing parallels and creating unprecedented forms of exchange of tools and strategies across Asia, Africa, Central and South America, and Oceania. The curating process opened articulated conversations from which emerged common interests and preoccupations; these include the transmission of long-standing aesthetic forms, relationships between rural to urban contexts, labour movements across agricultural and industrial domains, climate change and environmental toxicity. An emergent network of initiatives comes together at DAS to address – through puppet shows, concerts, debate, installation, documentation and performance – issues ranging from land rights and resource extraction, to strategies of visibility and contestation, to analyses of the intersection of gender, caste and ethnicity.
*The Collective Body* structures a reflection rooted in the dynamics and questions of contemporary art initiatives in Bangladesh but reaching out to multidisciplinary groups of creative practitioners across diverse geographies to highlight the collective processes that may be ignited in the space of freedom. The agency and potential of social transformation may contribute to forms of profound structural change yet remain relatively invisible before attaining a critical mass. An extraordinary example from Bangladesh is *Mangal Shobhajatra*, a community procession to celebrate *Pohela Boishakh* (Bengali New Year) created in 1987 by Jessore-based artists’ collective CharuPith. Today it attracts massive crowds who carry painted paper masks, crowns, traditional dolls, and large sculptures that integrate folk forms and motifs, and perform music and comedy from Bengali culture in public spaces across the country; it is part of UNESCO’s list of intangible cultural heritage list since 2016. This is not a generations old tradition, it is an initiative started as part of CharuPith’s wider practice of drawing inspiration from the plurality of rural culture in Bangladesh and creating a festive atmosphere for people across generations (especially children) to experience the potential of art to create spaces of freedom. CharuPith is a longstanding research and education-based initiative located in southwestern Bangladesh; close to ten thousand young students have graduated from its independent school of fine arts. Rising fundamentalism has threatened the use of masks due to criticism of the figurative nature of the art with resulting security threats to the festival. The presentation in *The Collective Body* includes a series of masks created by senior artists with a long-term engagement in the festival, speaking to the role that artists in Bangladesh play in embodying secular values.
Artist and philosopher Denise Ferreira Da Silva speaks of ‘the task of unthinking the world, of releasing it from the grips of the abstract forms of modern representation’ that have supported violent forms of appropriation and extraction in modern juridic and economic systems. She suggests that artistic practice should today be considered ‘a generative locus for engaging in radical reflection on modalities of racial (symbolic) and colonial (juridic) subjugation operating in full force in the global present.’ Artist-led initiatives such as Trovoa in Brazil, The Hill Group, Kaali, and Shako in Bangladesh, Mata Ani Collective in New Zealand, Tarma in Myanmar, and eilen and Propeller in Austria, among others, have been tearing away the cloak of invisibility cast by structural racism within the art world. The manifesto of Brazil’s National Trovoa, a group of black and non-white women artists and curators which can be seen both as a collective and as a movement, states ‘We understand the need to speak of and to exhibit the plurality of our languages, discourses, research and media produced by us as racialised women’. A rallying call that lives in physical and digital space, Trovoa counts over 150 members and empowers the most disenfranchised members of the art world to become visible together. Reflections on blackness and racial subjugation must respond to different histories and contexts. The largest African diaspora in the world is found in Brazil, the context that has given birth to both Trovoa and Ferreira da Silva’s approaches to blackness. In South Asia also, the colour of a woman’s skin can subject her to structural prejudice. Skin-colour terms are used widely across the country, derogatory phrases are directed at women with dark skin or indigenous features, and advertisements for arranged marriages explicitly favour ‘fair skin’. *The Collective Body* brings together two generations of female-led collectives from South Asia (Shako) and South America (Trovoa) for a five-hour tea party within the exhibition’s dedicated discussion space to compare experiences, and in their words, to ‘darken our thoughts.’ The results of these discussions will be published in Bangla, English, and Portuguese on social media.
The imperative to ‘unthink the world’ is also linked to what Ferreira Da Silva calls the deep implication of the human and non-human (and of life and non-life) to the collective, fluid, intuitive body and the elements that combine and recombine within it. In terms of the practices of art, where the image ‘reduces the basis of existence to lethal abstraction’ (as Ferreira Da Silva states in the film of 2019, *4Waters: Deep Implication*), elemental matter is always more complex than its representation and can open pathways for artists’ collective radical reflection. Jatiwangi Art Factory in Indonesia, located in the rural district of Jatiwangi that includes 16 villages, have been developing new community-based practices that take as their point of departure the local material of clay, particularly drawing on histories of roof tile production. Activities have ranged from tasting, chemically testing and cooking local clay to developing a Ceramic Music Festival using clay-based instruments to reanimate ceramic production. The elemental matter of clay makes for a complex and mysterious natural earth and tells up to widespread mythological stories of humans being shaped from this. For DAS, Jatiwangi has explored parallels between the clay-based cultures of Indonesia and Bangladesh.
The Vietnamese collective Art Labor brings together agronomy as well as colonial and cultural history to study the circulation of plant species in international markets and the effects of industrial agriculture, notably focussing on Robusta coffee beans (introduced to Vietnam in the French colonial period). Policies of increasing scale and monoculture techniques led to the introduction of coffee farms that led to mass deforestation and rapid changes in the lifestyle of local indigenous Jarai community in the Northern Highlands of Vietnam. Art Labor collaborates with these communities, from which one of the collective’s members comes, to diversify sources of economic support outside of coffee cultivation and support Jarai culture and farming practices. Also working on community regeneration and seeking food sovereignty through revisiting Indigenous agriculture traditions, Calpulli Tecalo works on the outskirts of Mexico City to revive Indigenous language and farming techniques,
constructing an ecology of knowledge to rethink and defend the use of the land. *Adopta Una Milpa* is one example of the organisation’s agricultural regeneration projects that reinforces systems of collectivity embedded within Nahuahtl language and culture. As opposed to the monoculture of industrial farming, *milpa* is a mixed crop field where around a dozen crops are planted together – maize, avocados, squash, bean, melon, tomatoes, chilis, sweet potato, jicama, amaranth, and others – which are nutritionally and environmentally complementary, helping each species to grow and providing complementary proteins to the farmers.
Unthinking the world takes place not only through working with unexpected materials but also with unexpected groups historically excluded from serious or professional consideration. To quote change refugees or those affected by natural disasters, all examples taken from specific art projects included in DAS. *Calpulli Tecalco* has facilitated *The Book Club Incaualli Ohtli* for over twenty years, introducing several generations of children to Nahuahtl language and storytelling and also engaging them in imaginative activities with pictographic representation of their linguistic roots. Storytelling is one of the many ways that an idea can move across generations and be renewed. In Bangladesh, *Glorae Bawlee Foundation of Arts* and *Bhutwala Bangla* acts as a catalyst for social inclusion through socially produced activities, bringing together local communities and artists to experiment with local cultural traditions. In 2018, they created *Hamra* to develop experimental forms of puppeteering. The presentation in DAS, *Golpota Shobar* performs local history and myths surrounding a small village in northwest Bangladesh and the many living and non-living beings that inhabit it – as imagined by a theatre company of children. The handmade puppets made with found materials by the children, narratives of small incidents in the village, natural and/or supernatural beings that connect to long histories of waves of migration through to recent south to north movements of climate change refugees. In 2015, Bangladesh’s neighbouring Nepal was hit by a massive 7.8 Richter scale earthquake, killing more than 9,000 people and leaving 22,000 injured and 3.5 million homeless. The collective *ArtTree Nepal* initiated *12 Bisakh Post Earthquake Community Art Project* at Thulo Bayisi, Bhaktapur, Nepal which started as an immediate relief initiative and developed into a six-month-long collective healing process involving more than 100 artists, community members, researchers, and musicians who created multiple workshops and narrative programmes, helping to allow the emotional ground of the community to settle in the wake of the trauma.
In recent times, an increased awareness of questions of the interdependence of the human community with non-living elements has emerged in the context of climate change and industrial toxicity. Bangladesh is home to one of the largest poisonings of a population in history via arsenic in the groundwater, exacerbated by ill-conceived plans for shallow wells imported by foreign NGOs who sought inexpensive solutions to provide clean drinking water, but whose lack of specific knowledge of the local context instead unleashed enormous harm. When Europe and North America are directly affected by toxicity and freak weather effects that they previously had only read about in places like Bangladesh, their elites no longer consider the ‘other’ as a distant threat. Instead, danger, the limits and violence of neoliberalism begin to be broadcast through the system’s own infrastructure. The ‘end of the world as we know it’ is announced as a contemporary crisis without any recognition that this is the culmination of a more than 500-year accelerating history, the effects of which have been long felt by others who the system discounted, by other lifeforms, and by non-life. Artists, as receivers and transmitters of some of the key questions of our time, and particularly those working collectively in contexts that are often forced to confront state and colonial forces, have been approaching environmental interdependence in powerful and lateral ways. Made up of architects, remote-sensing geographers and visual culture researchers, *INTRPRRT* investigates underreported environmental crimes known as ecocide (including the case of arsenic poisoning in Bangladesh). Their advocacy work, visual culture research, exhibitions and publications work towards making justice approachable in the fight against climate emergency and all forms of ecological impunity through collaborations with lawyers and policy-making bodies.
Whereas *INRPRRT* works through the judicial systems of the world, The Students’ Educational and Cultural Movement of Ladakh (SECWOL) engages scientists and engineers with young people growing up in Ladakh, especially those from rural or disadvantaged backgrounds. This platform equips young Ladakhis with the knowledge, skills, perspective, and confidence to choose and build a sustainable future in a high desert landscape water scarce for years. Temperatures in the Indian Himalayas are rising due to a result of climate change, causing snow from glaciers to melt faster, negatively affecting local communities that rely on springtime meltwater for agriculture. Resulting from two years of experiments at SECWOL Alternative Institute, *Ice Stupa* was born as a local solution to a local problem, which is now being implemented elsewhere in the region and the world. *Ice Stupa* is an artificial glacier created by piping an un-useful winter mountain stream down below the frost line, and then capturing it out of a vertical spout in the desert plateau. When the warm water encounters freezing ambient temperatures, it transforms into a cold ice formation with minimal surface area exposed to direct sunlight. The artificial glacier lasts late into the spring, allowing communities extended access to water throughout the season, as opposed to ice, which melts much faster. This is a local solution at a human scale.
Particularly in resource and infrastructure-poor contexts, artists work to amplify local initiatives, voices, and materials, even experimenting with alternative economic systems, other approaches to technology and different articulations of scale in political and social intervention in order to generate other sustainable models. The multidisciplinary platform Aman Iwan has developed an action-based research process, combining a research laboratory and the concrete experimentation of a workshop. The realities of diaspora and migration have allowed for new connections to be made. Far from which the members retain connections to many different places. Combining cultural translation and local, rooted knowledge, the platform focusses on cultural heritage preservation and renewal through knowledge transmission. In the installation *The Weight of Water* commissioned for *The Collective Body*, one landscape disappears while another appears, using elements inspired by longstanding water management and irrigation systems in Afghanistan, where Aman Iwan founding member Fadwa Wardak works with artisans on reviving traditional building arts. Wardak says that ‘Water management systems are both indicators of exceptional human know-how enabling settlement and catalysts for the evolution of certain landscapes, sometimes leading to their disappearance.’
Responding to a lack of spaces for the exchange and debate of ideas in Bangladesh, the open-membership artist-led initiative *Shonimongol Adda* (Bangla for ‘Saturday Tuesday Debate Group’) was formed by inviting friends to come to a quiet local café and to pay for their own food and drink (with a little extra to jointly compensate an invited speaker) and to engage with a different guest speaker twice a week to debate topics such as ‘What is public space?’ (with a police commissioner as a guest speaker). The platform became so successful that members of the group took over management of the restaurant, which is now known as Kamor Cafe. It continues to host bi-weekly debates and exhibitions and has recently begun publishing newsletters.
While initiatives such as *Shonimongol Adda* push the limits of where a space for art could be located, several artists’ collectives in the exhibition examine the political limits of where their passports allow them to go. The Shelter Promotion Council based in Kolkata and Dhaka’s Britto Arts Trust collaborated in 2014 on *Project No Man’s Land*, a research and process-based project that brought together twenty-four artists on the borderlines of Dhontilla of Monipur Para in Sunamgonj, Bangladesh and Kalibari village in Cherapunj, India, where they developed installation, performance, sound, photography and video works on either side of the border. Their activities on either the border or across it, either side, who in it, seeming unthinkable act, allowed the artists to shed their documents and meet and embrace each other in the zone between the borders. In another border area, issues between Bangladesh and Myanmar have been highly publicised in the wake of the Rohingya crisis, dominating conversations related to these two countries’ relationships, and making it nearly impossible for Burmese citizens to obtain Bangladeshi visas, and vice-versa. Two collectives of young female photographers from either country came together in Yangon in 2019 to explore notions of identity, respect, hope, conflict, and resolution through storytelling and photography, a collaboration which culminated in the photo book project *Bridging the Nar* (the river connecting Bangladesh and Myanmar). Based on their interests and experiences, artists from each country were paired up and took a journey to solve problems, make new friends and create new memories through the process of artistic exchange. The Burmese artists were denied visas to Bangladesh when it was time for the reciprocal exchange to occur, and *The Collective Body* is facilitating these collectives to meet in Dhaka for the first time. The Lagos-based platform Invisible Borders has placed political and conceptual border crossing at the heart of their activity of collaborative road trips bringing together photographers, filmmakers and writers from across the African continent. Founder Emeka Okereke speaks of the role that the important and influential Drik Photojournalism Research Initiative Drik (and its school Pathsala) played as a model when he was conceiving invisible Borders even though there had been no direct contact in Bangladesh. *The Collective Body* invited Invisible Borders to conceive together with the Drik Network a collaborative road trip taking Bangladesh as a starting point and they decided to focus on the area in the northeast of the country around Sylhet. This landmark trip inscribes itself into long histories of exchanges and solidarities between Africa and Asia and brings into the present their radical imaginaries.
The very act of assembling this event’s collective of collectives in Dhaka dissolves borders through bringing initiatives together outside of an international art circuit centred in Europe and North America and tending to involve individuals who can speak ‘art world English’ and are also from countries where visas can be more easily procured. Born from relationships distributed across the global majority world between groups of artists who responded to the challenge to travel to Dhaka, *The Collective Body* opens a space for public conversation around common interests and preoccupations within reimagined geographies. Some important shared themes include the transmission of long-standing aesthetic forms, relationships between rural and urban contexts, labour movements across agricultural and industrial domains, climate change and environmental toxicity. An emergent network of initiatives comes together at DAS to address – through puppet shows, concerts, screenings, debate, installation, documentation and performance – issues ranging from land rights and resource extraction, to strategies of visibility of cultural workers, to analyses of the intersections of gender, raciality, caste and class in their symbolic and economic dimensions. When art is practised in life, not abstracted to formal dimensions or insular conversations, material approaches come to the fore that recompose and reinforce existing elements. Networks of artists and other producers develop generative spaces and work against the uniformisation of economic and cultural systems and experiment with other futures.
*Denise Ferreira Da Silva, In the Raw, e-flux journal #93, September 2018, at www.e-flux.com/journal/93/215798/in-the-raw*
Akāliko means ‘timelessness’ in Pali, the language of the Buddhist scriptures, reflecting the group’s belief that musical forms have always been present in everyday life in society. The promotion of electronic and experimental music is at the heart of Akāliko’s activities and they collaborate with artists and professionals who make digital and sound art. They operate as a for-profit organisation and are committed to addressing social issues through their events and projects.
Born out of Dhaka’s electronica scene, the group was originally established in 2012 as an independent music production label set up to address the need for a common platform to promote the work of ‘bedroom’ music producers. As Dhaka does not have a vibrant club scene, the founders of the group felt compelled to address the lack of infrastructure by amplifying local efforts, voices, and resources. Since 2014 they have expanded their practice to collaborate with like-minded performance artists, writers, choreographers/dancers, communication specialists, psychologists, and, most recently, sound artists, while at the same time maintaining their label. Their compilations are streamed online and are also available for purchase through major international music platforms.
One example of their collaborative approach, the Dhaka Noise Project captures the essence of Dhaka’s underground: both amateur and experienced music producers worked with non-traditional sound to compose their pieces. Akāliko will soon launch a cloud-based user-generated version of the Dhaka Noise Project. Recent Akāliko releases include the double EP Psycho-geography by UK/Bangladeshi group After Art. A new compilation is underway for release in 2021.
Email: email@example.com
Websites: www.akaliko.xyz; www.soundcloud.com/akalikorecords
Facebook: www.facebook.com/AkaliKoCollective
Key people: Fahim Ahmed, Shahidul Alam, Mohammad Faisal (founder and curator), Mlayeecha Shafiq, Sajid Bazin, Shariful Islam, Shawkat Arif, Shoummo Saha, Sinir Kabir, Vira Patel (cofounder of Akāliko Records)
Aman Iwan
Founded 2015, Paris, France
Aman Iwan is a platform that focusses on the relations that link territories and their populations in order to understand the contemporary issues that affect and connect distinctive research contexts throughout the world. Its main objective is to bring together an international network of actors who collaborate to preserve different forms of heritage in danger of disappearing. Aman Iwan hosts two poles in relation to this network. On one hand, as an independent research laboratory, each year it brings together a community of researchers around a selected topic. This results in the production of a printed publication, an issue of the journal Aman Iwan, and a series of talks and workshops on geographic criticism. On the other hand, it’s a creative workshop that creates projects emerging from the research laboratory’s topics which respond to local issues and create a space of experimentation.
In this way, Aman Iwan has created an action-based research process, through the research laboratory and the creative workshop. The laboratory intellectually feeds the workshop, whilst the latter provides an income stream allowing the platform to exist autonomously. Whether in France, India, Afghanistan, Benin, Lebanon, Chile, Spain, Brazil, Algeria, Burundi or elsewhere, the research of the Aman Iwan platform has often resulted in the implementation of projects carried by local communities themselves. For example, in Afghanistan a craft school is being designed with local artisans. In India, an agricultural cooperative is in the process of being set up by farmers. In Benin, a project is being conceived to document the different types of lake habitat, threatened by rising waters. In France, a centre for artistic creation and crafts has been created to support artisans in order to resist urban renewal processes resulting in gentrification. Each project is accompanied by members of the Aman Iwan platform who are rooted in these different territories.
Email: firstname.lastname@example.org
Website: www.amaniwan.com
Instagram: @aman.iwan
Facebook: www.facebook.com/collectifamaniwane
Key people: Céline Dreyfus, César Bazin, Christian Bérenguer, Tristan Cassin, Amir Chaibi, Samuli Côte, Céline Dreyfus, Marine Delvaux, Michael Doherty, Kasiti Kosooka, Suzanne Labonne, Patrick Le Bailly, Raphaël Lescure, Hamada Abd Nasser, Nash Pinho, Yousfi Salemka, Félix Warland & Lies Wielckens
Art Labor
Founded 2012, Ho Chi Minh City, Vietnam
Art Labor is an artist collective that works between visual arts, social and life sciences. In various public contexts and locations, they do not produce single artworks but develop projects that are journeys across many years, during which each theme or inspiration becomes a seed to cultivate. Seeds grow and inspiration expands to develop into rhizomatic interconnected bodies of work.
Art Labor is currently on their third journey JUA, arising from their fascination with agrarian cultivation over the last century, during which major displacements of plants and people into and away from Vietnam took place. In particular they have been researching Robusta coffee and rice – two products that mark Vietnam today as a global agricultural exporter.
Their second project Jrai Dew (2016–2018) reflected the costs of a capitalised world through mythic narratives. As well as collaborating with filmmakers and designers, they worked side by side with jrai wood carving artists to create sculpture gardens in their villages in Central Highlands of Vietnam. Employing products and symbols related either to the Highlands or to violent changes in history, Jrai Dew opens up poetically and critically a scene of human chaos.
The group also organises public knowledge-sharing workshops; these have included focusses on ceramics, image manipulation, performance art, and video art. While meeting every month, the group also organises festivals. Each year since 2017 they’ve hosted the Artpro Winter Performance Festival (AWPF) and, starting in 2019, the Artpro International Video Art Festival.
Email: email@example.com
Website: www.artpro.com.bd
Facebook: www.facebook.com/artproinitiative
Key people: Anjana Singha Gupta, Md. Idzad Hasan, Farah Naz Moon, Anish Halder Sagar, Zaraqun Nahar Nijhum
Artpro
Founded 2016, Dhaka, Bangladesh
Artpro was founded in 2016 by a group of artists who wanted to explore various forms of making and to engage a diverse public. Artpro hosts a collaborative project bringing together artists and communities once a month as part of an initiative entitled Weekend Artwork (WAW). Rather than an event-based model, the group is process-based.
Many of Artpro’s projects mobilise artists to work with marginalised segments of society. For example, their ongoing project Wakshi Katha: Interwoven Dialogues (2019) involves traditional embroiderers. Artpro members engage the artisans in storytelling where the stories are often inspired by the word to expressions of rural folk culture. Another project, Soundscape (2018), brought together 15 contemporary artists who collectively composed sound-art pieces using simple instruments to explore the art of listening.
WAW4 by Artpro Art Initiative, 2018. Courtesy of Artpro
ArTree Nepal
Founded 2013, Kathmandu, Nepal
Through interdisciplinary and socially rooted practices ArTree questions mainstream narratives with strategic grassroots interventions. ArTree members prioritise critical discourse, research, collaboration, and exchange to promote collective growth and situate art within its social context. Mobilising political and pre-colonial vocabularies, the collective raises pertinent geopolitical issues with effects on everyday life, including the privatisation and corruption of the medical & education sectors, Nepali youth migration, and discrimination on the basis of gender/sexuality, caste and ethnicity.
In 2015, Nepal was hit by a massive 7.8 Richter scale earthquake, killing more than 9,000 people and leaving 22,000 injured and 3.8 million homeless. ArTree initiated *12 Bisket* (Post Earthquake Community Art Project) at Thulo Baise, Baikatpur, Nepal. What started as an immediate relief initiative developed into a six-month long collective healing process. More than 100 artists, community members, researchers, performance artists and musicians participated in the project through various programmes and exhibitions.
In 2017 and 2019, ArTree presented the exhibitions *The Work of Art as Scream of Freedom and Opposite Dreams: The Politics of Local*, commenting on how Nepal’s mainstream history has excluded the stories of marginalised, underprivileged, indigenous peoples and how Nepal was colonised by Mughal kings and ruling elites who were allies with British East India Company.
Email: firstname.lastname@example.org
Facebook: www.facebook.com/Artree-Nepal-295759690559204
Instagram: @artreenepal
Founding members: Sheela Shri Bahaduri, Hit Man Gurung, Mehn Limbu, Subas Tamang, Lavkant Chaudhary
Back ART Foundation
Founded 2013, Dhaka, Bangladesh
Back ART refers to the founders’ ‘backpack’ approach combining youth, enthusiasm, and the portability of ideas. The group was founded to create opportunities to make and show challenging work that is less likely to gain visibility in institutional contexts and that engages with public space. Some of the subjects the group explores include rural life, urbanisation, refugees/migration, memory, language, environmental and climate issues that cause migration, as well as performance in all its dimensions. They explore folklore and long-standing aesthetic forms, seeking ways to situate these forms within contemporary art practice.
*Native Myth 1st Season 2015, Ichchahati, Bangladesh, 2015*. Courtesy of Back ART. Photo: Shubho O Saha
Email: email@example.com
Website: www.backart.org
Facebook: www.facebook.com/BackARTBangladesh
Key people: Biplob Bijnadas, Cibhobi Zulkarnain, Uma Mandal, Shubho O Saha (co-founders)
Britto Arts Trust
Founded 2002, Dhaka, Bangladesh
Britto Arts Trust (a non-profit artist-run collective) is located in a converted store within a commercial arcade and is a place where artists can meet, discuss, exchange skills, and exhibit and perform their work. Talks, film screenings, and a range of other activities provide support and visibility opportunities for artists. The project space, which is owned by the Trust, was opened in 2011, but from its establishment, the collective rented spaces and supported artists’ practices in a variety of ways, including participation in exchange programmes facilitated by the Triangle Network and other international partners.
Britto aims to encourage critical discourse, research, interaction, diversity, and innovation in art. As well as initiating the first Bangladesh Pavilion at the 54th Venice Biennale in 2011, they have hosted five international artist workshops (which typically involve ten international and ten local artists). Their media-specific workshop (which includes traditional and experimental media) has been held annually since 2003. For example, one iteration, *Pixelation*, focused on exploring new-media art.
The collective has organised 31 residency programmes in Dhaka, hosting international artists, students, researchers, and curators. Other projects include *Isq Milpa* (2009 and 2014), an initiative involving public art interventions across a square mile of the old city of Dhaka; *New Media Art Festival* (2009); and *Shohormama* (2018). Outside of Dhaka, *No Man’s Land* (2014), a project exploring critical geopolitical issues, took place on the India-Bangladesh border near Bhogalani, Sylhet; “Praktiker Prakritajatra” (which means ‘people walking together’) is a community art project involving different indigenous and ethnic groups living in border and coastal areas of Bangladesh and India.
Email: firstname.lastname@example.org
Website: www.brittoarts.org
Facebook: www.facebook.com/BrittoArtsTrust
Key people: Tayeba Begum Lipi, Manibur Rahman, Mosharraf
Calpulli Tecalco
Founded 1990s, San Pedro Atocpan, Mexico
The central mission of Calpulli Tecalco is the investigation, conservation and rehabilitation of Mesoamerican (agri)cultural traditions that were once vibrant in their home of San Pedro Atocpan, but are disappearing due to rapid urbanisation in Mexico City. By gathering local community members and agents from different fields, the organisation seeks to recover traditional practices of language and agriculture and works on the construction of an ecology of knowledge to rethink and defend the use of the land. This is achieved through various stages beginning with the recognition of the territories where mostly children and young people participate in artistic activities coordinated by founder Fernando Palma and artists from Mexico and elsewhere. The rest of the project’s cycle of activities – cultivation, harvest and traditional cooking – is also imbued with cultural practices, stimulating the exchange of experiences.
*Overlapping, 2012*. A collective art project by Britto Members. Courtesy of Britto. Photo: Ifanil Wirtz
Adopta Una Milpa is an agricultural regeneration projects that reinforces systems of collectivity embedded within Nahuatl culture and part of its fight for food sovereignty by reactivating long-dormant milpas. A milpa is a field, usually but not always recently cleared, in which farmers plant a dozen crops at once. Milpa crops are nutritionally and environmentally complementary. Maize lacks the amino acids lysine and tryptophan, which the body needs to make protein and niacin; Beans have both lysine and tryptophan, squashes have an array of vitamins; avocados, fats. The milpa, in the estimation of H. Garrison Wilkes, a maize researcher at the University of Massachusetts in Boston, ‘is one of the most successful human inventions ever created.’ Parallel to Calpulli Tecalco, *The Book Club Incaulli Ohtli* has been active for over twenty years engaging several generations of children with the Nahuatl language.
Email: email@example.com
Website: www.calpullitecalco.com
Facebook: www.facebook.com/calpulli.tecalco.39
Key people: Carolina Rodriguez Meza, Fernando Palma Rodriguez, Maria Elena Palma Rodriguez
The Center for Historical Reenactments (CHR) was a collaborative platform based in Johannesburg, South Africa. Since its founding in 2010, CHR has responded to the demands of the current moment through an exploration into historical legacies and their resonance and impact on contemporary art. By addressing current urgencies, which have grown over the debris of the issues of the past CHR has embarked on activities (events, seminars, exhibitions, residencies, interventions, etc), engaged local (South Africa) and international practitioners and raised questions about the political potentials of artistic interventions in histories.
In their projects, CHR has investigated how, within a particular historical hegemony, certain values have been created, promoted and subsequently sublated into a broader universal discourse. CHR recognises that historical constructions play essential, almost central roles in the formation of the apparatus and what has been taken for granted as a given in the dominant world order. Therefore within the scope of emerging new artistic productions historical re-enactments as an artistic framework can, and do play a significant role. CHR has explored how artistic production helps us to deconstruct particular readings of history and how historical context informs artistic creation, both which become central questions: How art can help us reinterpret history and its contextual implications and how it can add and suggest different historical readings and help in the formation of new subjectivities.
Charupith
Founded 1985, Jessore, Bangladesh
Charupith is a longstanding research and education-based initiative located in Jessore in southwestern Bangladesh and led by an executive committee of seven members. It includes an art gallery for young artists, a library, a resource centre, studios for sculpture, printmaking, painting, and craft, accommodation for artists, and a village centre in Rupdia, Jessore. Close to ten thousand young students have graduated from this independent school of fine arts, which offers courses in art, dressmaking, architecture, city beautification studies, craft, and art history. It is one of the few art institutions outside the capital and, due to its policy of charging a single taka tuition fee, is affordable. Charupith has organised more than a hundred and fifty exhibitions in their gallery and regularly runs workshops and art camps. They also organise art competitions, participate in national and international festivals, maintain a media lab and have attributed year-long residency fellowships.
Inspired by the teachings and practice of S. M. Sultan, a mentor to Charupith’s founders, the initiative draws inspiration from the rural culture of Bangladesh. Charupith believes children thrive in an atmosphere of freedom, collaboration, and ritual rooted in culture; for this reason, it gives priority to organising six seasonal festivals. The best known of these is Mangal Shobhajatra, a community procession at dawn to celebrate Pohela Boishakh (Bengali New Year) initiated by Charupith in 1987. For this crowds carry painted paper masks, crowns, traditional dolls, and large sculptures which integrate folk forms and motifs, performing music and comedy from Bengali culture. The Faculty of Fine Arts, Dhaka University, as well as other art schools, universities, and colleges from across the country, join most their own Mangal Shobhajatra, which since 2016 has been included in UNESCO’s list of intangible cultural heritage.
Chimurenga
Founded 2002, Cape Town, South Africa
Taking its name from the Shona word for ‘revolutionary struggle’, Chimurenga is a pan African platform of writing, art and politics. Drawing together a myriad of voices from across Africa and the diaspora, Chimurenga takes many forms operating as an innovative platform for free ideas and political reflection about Africa by Africans.
Its outputs include a journal of culture, art and politics of the same name (Chimurenga Magazine); a quarterly broadsheet called The Chronic; The Chimurenga Library – an online resource of collected independent pan-African periodicals and archival books; the African Cities Reader, a biennial publication of urban life, Africa-style; and the Pan African Space Station (PASS) – an online radio station and pop-up studio.
For Chimurenga, the aim of these projects is not just to produce new knowledge, but rather to express the intensities of our world, to capture those forces and to take action. This has required a stretching of the boundaries, for unless form and content are pushed beyond what exists, form is merely reproduced, remaining colonised by what has gone before. This requires not only a new set of questions but its own set of tools; new languages and methodologies that allow engagement with the lines of flight, fragility, the precariousness, as well as the joy, creativity and beauty that defines contemporary African life. Chimurenga has addressed such topics as the rewriting of the continent’s history, the role technology plays in its future, and its musical histories and diasporas.
Depth of Field Photography Collective (DOF)
Founded 2001, Lagos, Nigeria
Depth of Field (DOF), founded in 2001, is arguably one of the foremost photography collectives in Africa. The earlier members comprised of Uche James Iroha, Kelechi Amadi-Obi, Toyin Sokefun (now Ty Bello) and Amaze Ojeikere. In 2004, Zaynab Oduns and Emeka Okereke joined the collective. During the most active years of DOF, members of the collective realised collective projects and exhibited together, establishing a remarkable track record of collaborative practice. The six artists who make up the collective assigned, usually themselves, a weekly theme and met a week later to hold critique sessions discussing all the resulting images. Some notable exhibitions include: Lagos Inside (French Cultural Centre, 2003), Lagos Stadtansichten: Lagos (IFA Gallery Berlin, 2004), Snap Judgement (ICP New York, 2004), Depth of Field (South London Gallery, 2005), The Unhomely (2nd, Seville Biennale, 2006).
Although today the members rarely work collaboratively, they have preserved the energy and collective spirit of DOF in their respective artistic practices, and thus have established other platforms of collaboration. Uche James Iroha is the director of Photo Garage, Lagos. Kelechi Amadi-Obi and Ty Bello are involved in the mentoring of a generation of fashion and portrait photographers who are dedicated to pushing the boundaries of aesthetics and visual content in that domain. Emeka Okereke is the founder and artistic director of Invisible Borders Trans-African Project.
Website: chimurenga.chimurenga.co.za, panafriicanpeacestation.org.za
Facebook: facebook.com/whorolovespeacestation
Instagram: @chimurengasa
Email: firstname.lastname@example.org
Key People: Ziphoze Nkosi Dyalile, Duduetshangwe Molefe, Grace Njoroge, Stacy Hardjy, Borgani Kona, Moreb Edagbo, Akin Folarin, Tunde Olatunji, Eta Muyodi, Mamadou Diallo, Dominique Phalange, Nana Kwame Adjei, Bola Jorgehese
Drik, Pathshala, and Chobi Mela
Drik: Founded 1989, Dhaka, Bangladesh
Pathshala: Founded 1998, Dhaka, Bangladesh
Chobi Mela: Founded 2000, Dhaka, Bangladesh
Drik is an independent media organisation committed to challenging social inequality. It specialises in providing state-of-the-art media and communication products for a diverse range of clients. Establishing its own identity through images and words, it defies the stereotypes created by Western media and is a vibrant source of creative energy that refuses to be stifled.
Pathshala South Asian Media Institute is a path-breaking school of photography in South Asia. It offers a wide range of educational programmes in photography, film, and television for local and international students. The students are drawn from a wide range of backgrounds nationally and internationally. They are encouraged to understand the world of visual storytelling, creating collaborative learning spaces with 21st-century resources. The vision of the institute is to enable an independent, responsible, and creative media industry that contributes to a just and equitable society. The Institute is accredited by the University of Dhaka and collaborates with university exchange programmes internationally.
Chobi Mela International Festival of Photography has become a global platform that brings the world to Bangladesh (as opposed to taking Bangladeshi students to global festivals). Chobi Mela has been a forum for regional concerns and critical artistic practices and creates the conditions to rethink collaborative regional platforms. Each edition has a theme and different venues, and photographers and visual artists are invited to submit proposals through an open call. The organisers, which include former students and teachers of Pathshala as well as invited artists, encourage ‘thinking beyond borders’ as a way to revitalise society.
eleven
Founded 2016, Australia
eleven is a collective of Muslim Australian artists, curators and writers. It functions as an independent creative platform through which alternative narratives and autonomous Muslim artistic voices can be expressed, shared and experienced. As a network of creative thinkers and practitioners, eleven uniquely straddles contemporary art, academia and grassroots community engagement with the intent to amplify intellectual, robust and inclusive conversations about art and Muslim faith in Australia. This is articulated through the member’s respective art practice, curatorial practice, writing, academic research and community outreach strategies.
Gidree Bawlee
Founded 2001, Ballia, Bangladesh
Thakurgaon-based Gidree Bawlee Foundation of Arts acts as a catalyst for social inclusivity through community-focused activities in northwest Bangladesh. Since 2001 the foundation has brought together local communities and artists from across the country to learn from, expand, and experiment with local cultural traditions, often creating something new in the process. In addition to working with the Indigenous Santal community of Ballia, Gidree Bawlee also collaborates with other communities living in the village, who are equally custodians of their ancient heritage. The goal is to build creative communities, with every member participating in these ‘social sculptures.’
Over the years, Gidree Bawlee has organised a series of distinctive artist-in-residence programmes, each with a different focus – tradition, environment, craft – but all based on a collaborative workshop methodology to build a strong sense of community among diverse groups. Roots and Land-Art brought artists from Dhaka together with Indigenous artists; In-Site projects have an environmental art focus; while The Future is Handmade targets the long-standing art forms of the region, introducing urban fashion entrepreneurs, designers, and artists to local artists so that they may together develop new forms with the potential to generate income.
In 2018, Hamra was initiated, which, among other practices, includes experimental forms of puppeteering. Also in 2018, the first Charcha sessions were organised, which are practice-oriented and aim to facilitate continuous (as opposed to one-off) collaborations. The organisation also supports local cultural activities and traditional sports all year round.
Green Papaya Art Projects
Founded 2000, Quezon City, The Philippines
Green Papaya Art Projects is an independent and interdependent initiative that supports and organises actions and propositions that explore alternative approaches to the production, dissemination and representation of art in various disciplines. It endeavours to provide a platform for intellectual exchange, sharing of information, critical dialogue and creative-practical collaboration among the arts community.
Green Papaya’s previous activities have included non-media based manoeuvres, inclusive of cross-practices in contemporary art that covers moving image, sound, contemporary dance and performance, intervention, fashion, graphic and industrial design, built environment and architecture. It has also hosted local and international residencies (both formal and informal), started a pirate FM radio, published print and music in various formats, and even organised a biennial (the 15th edition of VIVA EXCon, the Visayas Islands Visual Arts Exhibition and Conference, in 2018). Green Papaya’s programming has evolved over the years in response to the changing social and political climates, and the needs of the various communities it hosts and addresses. It continues being an open platform, to become a safe, open kitchen and open space that strives to uphold artists’ positions and interests by providing discursive spaces that entail the most conducive and challenging conditions for both production and presentation of ideas.
Starting and ending on its own terms, Green Papaya is now preparing for its closure on 5 May 2021. In consolidating and disseminating its archives, Green Papaya is investing in possible futures.
Gudskul
Founded 2018, Jakarta, Indonesia
Gudskul: Contemporary Art Collective and Ecosystem Studies (or for short, Gudskul, which is pronounced like ‘good school’ in English) is a public learning space established by three Jakarta-based art collectives: Grafis Huru Hara, ruangrupa and Serrum. Since the early 2000s, all three have actively immersed themselves into the contemporary art realm by practising a collective and collaborative mode of working. They collectively formed Gudang Sarinah Ekosistem in 2015 to practice an expanded understanding of collective values such as equality, sharing, solidarity, friendship and togetherness. The collective transformed into Gudskul in 2018.
Gudskul are operating within an ecosystem environment, in which many actors are co-operating: artists, curators, art writers, managers, researchers, musicians, film directors, architects, cooks, artistic directors, designers, fashionistas, street artists, among many other individual skills. This diversity renders Gudskul as a rich and dynamic ‘Ekosistem’ (Ecosystem), a fertile ground for enriching learning experience. Gudskul consists of collectives focusing on different artistic practice and media: installation, archive-based, video, sound, performance, media art, critical participation, graphic arts, design, pedagogy, etc. This variety of perspectives also contributes to diversifying the issues and actors involved in every collaborative project happening socially, politically, culturally, economically, environmentally, and pedagogically.
Serrum
Founded 2006, Jakarta, Indonesia
Serrum is a Jakarta-based art and pedagogy study group founded in 2006. The word ‘serrum’ comes from ‘share’ and ‘room’ and can be understood further as a ‘sharing room’. Serrum approaches pedagogical, sociocultural and urban issues with artistic and educational presentation techniques. Its activities include art projects, exhibitions, workshops, creative discussions and propaganda. For media subjects, Serrum utilises video, murals, graphics, comics and installation art.
Email: email@example.com
Website: www.gudskul.art
Facebook: www.facebook.com/gudskul
Instagram: www.instagram.com/gudskul
Key people: Adi Setiawan, Aditya Setiawan, Ari Sundono, Ajang Nurul Ani, Amy Zahrawan, Angga Wijaya, Anita Bonit, Arief Rachman, Berto Tukan, Daniella Praetomo, Farid Rukun, Indra Kusuma, Iskandar, Joko Pramono, Joko Sartono, Marcelina Dwi, Moch Harsof, MG Pringgotono, M Sigit Budi S, Narpati Awangga (Othmee), Reza Afifson, Saleh Husain
Hill Artists’ Group
Founded 1992, Chittagong Hill Tracts, Bangladesh
The Hill Artists’ Group is based in three districts along Bangladesh’s south-eastern border with India and Myanmar known as the Chittagong Hill Tracts. Home to 11 distinct ethnic groups with different languages and cultures, the region is under the control of the Bangladeshi army. A 1997 accord between the government and groups seeking autonomy is still in the process of being implemented in full. In this highly militarised environment, many indigenous people are reluctant to use public spaces. The Hill Artists’ Group organises exhibitions to increase public engagement and, more recently, art camps for artists and young people.
Email: firstname.lastname@example.org
Facebook: www.facebook.com/HillArtistsGroup
Key people: Sharmeen Chowdhury, Lovely Chakma, Ronel Chakma, Jaydeb Roaja, Sayu Tripura, Zing Mun Lian Bawm
Hong Kong Artist’s Union
Founded 2016, Hong Kong
2019 witnessed the city of Hong Kong in turmoil and organic networks of self-organised protests are cultivated in the anti-extradition movement. Concerning the shrinking freedom of speech in town, the Hong Kong Artist Union (HKAU) has been taking an active and leading role in voicing the artists’ burning concerns over political censorship as well as the spread of white terror in town. Through the network it has built since its establishment in 2016, the HKAU endeavours to unite the multitude of individual artists for the cause of not only professional interests but also human rights and freedom in Hong Kong.
Aware of the shift of mobilisation in social change, the HKAU is committed to building a platform for networking artists who tend to work individually rather than collaboratively. They see the importance of unionising artists defending its professional codes as well as rights in a collective and cross-disciplinary manner. Yet, they also value individuality that empower artists to have their own voices. They seek to investigate, by uniting artists through empowering individual practices, how they can build a sustainable network that celebrates diversity and facilitates mutual understanding as well as solidarity, especially in the face of political repression of human rights.
Established in 2016, the Hong Kong Artist Union has recruited over 300 members. Their services available to HK artists include but are not limited to: providing legal consultancy, advocating for equality and fighting for fair treatment by organising talks, workshops, exhibitions, calling for strikes and protests etc.
Email: email@example.com
Facebook: www.facebook.com/HongKongArtistUnion
Key people: Hung Yu-Tung, Odan, Him Lo, Keery Wong, Kwong Ka Ying, Wen Yau
Artists collaborating with children for project Shikshkar shurude chitakola at Bhilshaka School, Khagrachari, Chittagong, 2019. Courtesy of Hill Artists’ Group. Photo: Jaydeb Roaja
The group takes inspiration from Chunnilal Dewan (1911–53), the first formally trained Bangladeshi Chakma artist, who encouraged many indigenous artists to pursue academic training and to use art for social good by engaging with local communities. Collectively run by 11 artists between the ages of 20 and 60, the group has 30 artist members. A BDT100 (c. US$1) monthly subscription fee is used to fund annual exhibitions, hosted in Chittagong, Dhaka, and elsewhere.
Art camps take place across the Chittagong Hill Tracts, connecting local and ethnic groups through art, and using local knowledge as a catalyst for artistic exploration. Workshops are also planned with primary and secondary school students, involving Bangladeshi artists, theorists, and researchers. In order to build on the success of the annual group show, two additional annual solo shows are envisaged to promote the work of the Hill Tract community’s most promising emerging artists.
Hong Kong Artist Union at Work. Courtesy of Hong Kong Artist Union
Invisible Borders Trans-African Photographers Organisation
Founded 2009, Lagos, Nigeria
Invisible Borders Trans-African Photographers Organisation is an artist-led initiative that works with artists and individuals in contributing to the gathering of evidence for art and misrepresentations of Africa from within the 54 countries of Africa through art and photography. The organisation hopes to expand its activities beyond issues that relate to geographic borders and other forms of discriminating parameters in photography and arts. It is a platform that also stands as a symbol of the exchange of ideas between cultures and people.
The Invisible Borders Trans-African Road Trip Project, is a flagship project in which about a dozen artists (including photographers, writers, filmmakers and performance artists) collectively take road trips across Africa to explore and participate in various photographic events, festivals and exhibitions while engaging on a daily basis with the environment and the people encountered. The emphasis is primarily on the collective journey of the participating artists who, during their momentary stops in capital cities, create photographic, video and textual works. They also collaborate intensively with colleagues from each of the countries involved.
INTERPRT’s current casework includes gathering spatial evidence of contamination from nuclear testing, mining and forced labour extraction in sites in Oceania, Asia/Pacific and Africa. This is carried out in collaboration and cooperation with international criminal lawyers, investigative journalists, scientists and local political and civil society organisations. Its advocacy work on climate justice is currently in collaboration with the cultural NGO Further Arts from Port Vila, Vanuatu.
INTERPRT is part of the global campaign for criminalising ecocide under international law. The group undertakes advocacy work, visual culture research, and produces exhibitions, forums and publications towards making international justice approachable. INTERPRT is commissioned by TBA21-Academy and institutionally affiliated with Trondheim Academy of Fine Art at Norwegian University of Science and Technology (NTNU) and its engagement with Dhaka is part of a long-term dialogue with the Museum of Modern Art in Warsaw and DAS, supported by the Office for Contemporary Art (OCA) Norway.
Jatiwangi Art Factory
Founded 2005, Jatiwangi, Indonesia
Jatiwangi triannual ritual of ringing the Jatiwangi bell with 11,000 People, 2019. Courtesy of Jatiwangi. Photo: Phul
Jatiwangi Art Factory is a community-based organisation focused on examining how contemporary art and cultural practices can be contextualised within local life in a rural area, in terms of both form and ideas. Its activities include festivals, performances, music, video, ceramics, exhibitions, residencies, monthly discussions, radio broadcasting and education.
JAF’s key programmes are the annual Village Video Festival, the biannual Jatiwangi Residency Festival and the triannual Ceramic Music Festival. These invite artists and cultural practitioners from various disciplines and countries to live, interact and work with the local people. Jatiwangi district, known in the past for its ceramic pot-fife production, includes 16 villages.
The Village Video Festival invites artists and non-artists with a passion for video and media art to collaborate with Jatiwangi’s residents and take part in workshops tutored by invited practitioners, including video artists, researchers, filmmakers, and visual communication experts. During the Jatiwangi Residency Festival artists are guests in village homes and collaborate with their hosts and neighbours to create experimental art for the festival event. Artists and villagers have an opportunity to showcase their skills and ideas, wherever possible using materials available from Jatiwangi.
The Ceramic Music Festival represents the emergence of a new culture in Jatiwangi of music from clay-based instruments or ceramic music. The first CMF in 2012 saw more than 1500 Jatiwangi people beating roof tiles in the RampaK 1001 Perkusii Genteng (1001 RoofTiles Percussion Band), involving people from all 16 villages in the Jatiwangi district; the orchestra became a moving one. Along with JAF and the district government apparatus (district chief, police chief, chiefs of the villages, and so on), more than 3000 Jatiwangi people sang the Jatiwangi hymn and made a collective pledge against self-interest and corruption, promising to uphold Jatiwangi’s culture.
Jog Art Space
Founded 2012, Chittagong, Bangladesh
Jog Art Space is based in Chattogram, in south-eastern Bangladesh, the second-largest city in the country, but a place where emerging artists find it difficult to survive. Unlike Dhaka, Chattagram has no commercial galleries and no network of contemporary art collectors, leaving artists to find alternative ways to sustain themselves. Jog Art Space provides the local visual arts community with mentoring support, exhibition opportunities, platforms for exchange and discussion, and access to international artistic exchange programmes. Founded as an informal learning platform, Jog Art Space has grown to become an important support network beyond what is provided by the local art scene. Many of the founding members of the group are teachers at the Institute of Fine Arts and see themselves as a bridge to experimental ways of working outside the confines of the academy, thus the name Jog, which translates as ‘connect.’
CHERAGI ART SHOW 6-7 2017. Performance by Joydeb Roaja. Courtesy of Jog Art Space. Photo: Zihan Karim
Through the use of photography, video, live performance, and unusual installations, the group interrogates the idea of what art is and how it is made. They advocate taking art out of the gallery, and into public spaces, which they refer to as ‘the emancipation of art.’ Thus, the group has organised events such as their signature Cheragi art show, which takes place in a bazaar, with performances and installations in open-air food markets, a restaurant, Abhoy Mitra Ghat (on the bank of the Karnaphuli River), and a bookshop.
Once based in a local market, Jog now has a space in southern Chittagong, making it possible to host artists-in-residence, who come from Bangladesh as well as other countries including Japan, Taiwan, and France. During their stay, resident artists conduct workshops with local artists.
Email: firstname.lastname@example.org
Website: www.jogartspace.blogspot.com
Facebook: www.facebook.com/jogartspace
Key people: Zihan Karim, Zahid Ali Chowdhury Yavru, Joydeb Roaja, Syed Ali Chowdhury Karim
Jothashilpa
Founded 2016, Bangladesh
Jothashilpa is a centre for traditional and contemporary arts, which considers itself ‘a melting pot where fine art, folk art, native art, and crafts are juxtaposed and create a new art language.’ The group questions the notion of ‘high art’ and believes art is an integral part of society which emerges from everyday life. They work with cinema banner painters, weavers and ceramicists among others, and their priorities include fair trade, women’s empowerment, and community development.
Working with and supporting over five hundred artists, artisans, and craftspersons from across Bangladesh, the group makes sure their collaborators are paid fairly and acknowledged for their work. They maintain a showroom and small shop where work made by collaborating artists can be purchased, as well as an online shop.
Email: email@example.com
Website: www.jothashilpa.com
Facebook: www.facebook.com/jothashilpa
Key person: Shawon Akand
Laboratoire Agit'art
Founded 1974, Dakar, Senegal
In 1974, along with late filmmaker Diblír Diop Mambety and a group of artists, writers, musicians, actors and filmmakers, Issa Samb founded the Laboratoire Agit'art. Its multidisciplinary actions were directed against the formalism of École de Dakar, an object-bound movement developed at the National Art School of Dakar and shaped by Léopold Sédar Senghor’s philosophy of Négritude. Aiming to start out from this conception, moving into experimentation and agitation, of ephemerality rather than permanence, and political and social ideas rather than aesthetics notions, the Laboratoire Agit'art developed a distinct ‘aesthetic of the social’. Audience participation was paramount to the group’s work, giving the privileging of communicative acts over physical objects. Neither utopian nor self-referential, it grounded its actions in the immediate socio-political situation. Today many of the early members have passed away, but the group's spirit persists, materialised in the practice of those who walk in their footsteps.
Email: firstname.lastname@example.org
Website: www.facebook.com/laboratoire-agitart-5214164627657202
Key people: Ican Ramagali, Pascal Nampaniaka Traoré
Luta Ca Caba Inda
Informally founded in 2012 (but potentially existing since a poisoned arrow trespassed Nuno Tristão on the waters of the West African coast)
For nearly thirty years, an archive of film and audio material was stored at the Guinean Film Institute in Bissau, institutionally neglected and on the verge of complete ruination. The material in it is a testimony of a decade of collective and internationally connected cinema praxis in Guinea Bissau, as part of the people’s struggle for independence from Portuguese colonialism (1963-1974) and subsequent nation-building.
In 2012, in collaboration with the Guinean filmmakers Sana na N’Hada, Flora Gomes and Soulemane Dial and with institutional support from Arsenal - Institute for Film and Video Art (Berlin), artist Filipa Cesar, curator Tobias Hering and many others embarked on a long term project aimed at re-accessing this archive. Its peculiar state, suspended between ruination and work-in-progress, activates questions about past promises and their contemporary pertinence.
The project was titled *Luta ca caba inda* (The struggle is not over yet), after one set of reels found in the archive, a documentary film from 1980 on post-independence Guinea-Bissau abandoned in the editing process. The title cursed the completion of the film, the struggle and also this never to be finished project.
In the course of the *Luta ca caba inda* project a series of discursive events and public screenings have been dedicated to activating the potencies of this collection. *Luta ca caba inda*, as an informal collective of people and praxis, enables an ecology of relations and spaces of care and subjectivity to emerge, materialising in collective assemblies where images and sounds of the archive are discussed between the filmmakers, and European and African audiences. Here the cinema acts as a collective editing room and assembly for reflection on conditions of the present and projecting new futures.
Kaali
Founded 2018, Dhaka, Bangladesh
Kaali Collective is a group of six female photographers from Bangladesh who have individual practices but have come together to support each other. The name is derived from the Goddess Mahakali, the embodiment of power and destruction.
Through the practice of photography, their aim as a new collective is to create a sense of trust and mutual respect, and in doing so, create the conditions that will enable them to sustain themselves as artists, emotionally if not financially. While they have worked on collective projects, notably a collaboration with Thuma Collective – a Myanmar-based group of female photographers – that resulted in a book, they are primarily focused on supporting each other at this stage of their collaboration. They meet on an ad hoc basis, more or less monthly, but are in constant communication. They depend on each other for honest critique, validation, and motivation.
They describe themselves as ‘woman photographers who feel the need to write and rewrite their own stories’, although the theme of their work is not necessarily about their lived experience as women.
Email: email@example.com
Facebook: www.facebook.com/Kaali-Collective-42555568232029
Key people: Aumgawkhak Chak, Juthika Dewty Gaytreye, Farhana Satu, Farzana Hossen, Rajoyana Chowdhury Xania, Sadia Harun
Mata Aho Collective
Founded 2012, Aotearoa
Mata Aho Collective is a collaboration between four Māori women who produce large scale fibre-based works. Their conceptual framework is founded within contemporary realities of matauranga Māori (customary Māori knowledge systems), and centres the experiences and knowledge generated by women within and beyond those systems.
Mata Aho produce works with a single collective authorship that could not be physically or conceptually realised within their individual capacities. Their sewn textiles take a practice primarily realised by women at a domestic scale (the scale of the body) and render it large. For them, sewing is a form of wānanga (a conference or forum) that is integral to customary knowledge, be it genealogy, history, or philosophy; the completed textiles become the forum in which this knowledge is passed down.
Mata Aho is the Māori name for the viewfinder on a camera, whose function is to compose, construct and focus. ‘Mataaho’ is also the personification of distant lightning, called upon by the collective’s members as they live in different parts of Aotearoa/New Zealand and often have to signal each other like bat women from afar.
Email: firstname.lastname@example.org
Website: www.mataahocollective.com
Instagram: www.instagram.com/mataahocollective
Key people: Erwina Baker, Bridget Hewett, Sarah Hudson, Terri Te Tau
Pangrok Sulap Collective
Founded 2010, Ranau Sabah, Malaysia
Pangrok Sulap are a collective based in Sabah in Malaysian Borneo, consisting of Indigenous Dusun and Murut artists, musicians and social activists who are dedicated to empowering rural communities through art. Membership is fluid and participation open, and their name expresses their make-up, locality and orientation: Pangrok means punk rock, and Sulap is a hut used as a resting place by Sabaian farmers. Pangrok Sulap has no permanent members as it is ‘willing to welcome anyone who wants to contribute.’
‘Their ethos is conveyed by the slogan ‘Jangan Beli, Bikin Sendiri’: “Don’t buy, do it yourself”. The group came together to conduct charity work in rural schools, orphanages and homes for the disabled. Working primarily with wood-cut printmaking, they create works that are impressive in scale and seductive in detail, depicting narratives relating to pertinent issues in Sabah. The group has consistently fought against censorship, worked to spread awareness of Sabah’s endangered rainforests, and promoted the power of the arts to empower.’
Email: email@example.com
Facebook: www.facebook.com/pangroksulap
Instagram: www.instagram.com/pangroksulap
Key people: Rito Leong, Mr Freddy Simon, Jirum Manat, Mohd Hizal, Jibrail Jamil, Memoto Jack
proppaNOW
Founded 2003, Brisbane, Australia
Queensland’s leading Indigenous arts collective, proppaNOW, presents a unique and controversial perspective of black Australia which is sometimes confronting and always thought-provoking. Set up in Brisbane in 2003, this collective gives urban-based Aboriginal artists a voice.
The name proppaNOW best encapsulates the philosophy of the collective. The group adopted the name after a conversation between Bell and Ah Kee – they wanted to form a ‘proppa’ group and it had to be about ‘Now’. The collective aims to provide a supportive environment for members to explore current social and cultural issues through art.
Website: www.proppanow.wordpress.com
Facebook: www.facebook.com/proppanow
Instagram: @proppanow @proppaNOW
Twitter: @proppanow
Key people: Vernon Ah Kee, Tony Albert, Richard Bell, Jennifer Herd, Gordon Hoskey, Laurie Nilken and Megan Cope.
ruangrupa
Founded 2000, Jakarta, Indonesia
ruangrupa is a collective that supports the idea of art within urban and cultural contexts by involving artists and people from other disciplines such as social sciences, politics, technology, media, etc, to contribute critical observation and views about Indonesian urban contemporary issues. ruangrupa also produce collaborative works in the form of art projects such as exhibitions, festivals, art lab, workshop, research, as well as books, magazines and online-journal publications.
From 2015-18, ruangrupa co-developed the cultural platform Gudang Sariwa Elhamar. As a cross-disciplinary space, it aims to maintain a dialogue and establish an integrated support system for creative talents, diverse communities, and various institutions. It also aspires to be able to make connections and collaborate, to share knowledge and ideas, as well as to encourage critical thinking, creativity, and innovation. The results of these joint collaborations are open for public access, and presented with various exhibitions, festivals, workshops, discussions, film screenings, music concerts, and publications & journals.
In 2019, together with Serrum and Grafis Huru Hara, ruangrupa co-initiated GUDSKUL: contemporary art collective and ecosystem studies (or Gudskul, in short, pronounced like ‘good school’ in English). It is a public learning space established to practice an expanded understanding of collective values, such as equality, sharing, solidarity, friendship and togetherness. See page 70.
RURU, 2000 onwards. Installation image from 31st São Paulo Bienal, 2014. Courtesy of ruangrupa and São Paulo Bienal
ruangrupa have been chosen to curate documenta fifteen, which they will centre around the notion of ‘Lumbung’ (literally translates to ‘rice barn’) as a metaphor for common good management and governance. ruangrupa practice Lumbung at GUDSKUL, and intend to expand it into planetary scale through the next edition of documenta.
Website: www.ruangrupa.org
Key people: Abu Darmawan, Ajeng Nurul Ain, Daniella Frisia Praptono, Firdi Rakun, Indra Ameng, Iswanto Hartono, Julian Santisetiati, Rifwan Andan, Narpati Awangga and Reza Arfisna
The Students’ Educational and Cultural Movement of Ladakh (SECMOL) was founded by a group of young Ladakhis to reform the educational system in Ladakh. Today, their activities are extremely varied and numerous. SECMOL organises activities for Ladakhi youth, runs a campus for students going to school or college in Leh, develops solar energy projects, and much more.
Ladakh is a high desert region in the Indian Himalayas, with a culture and history drawing from Tibet, India, Kashmir and Central Asia. No road connected it to the outside world until the 1960s, but recent decades have brought waves of development. SECMOL strives to equip young Ladakhis and others growing up in Ladakh, especially those from rural or disadvantaged backgrounds, with the knowledge, skills, perspective, and confidence to choose and build a sustainable future. One of such initiatives is SECMOL’s Ice Stupa project, an artificial conical ice formation with minimal surface area exposed to direct sunlight, which allows for an extended access to water in local communities impacted by climate change.
Over the years, students and teachers at the SECMOL School Campus have been working on a variety of innovative projects such as solar-heated mud buildings that need no heating even in -25°C, low-cost greenhouses that enable large scale farming even in Ladakhi winters, underground mud pipes that are one-tenth the cost of the cheapest water pipes, solar rickshaws, solar-heated bio-gas plant and rocket stoves that cook and heat with a fraction of the wood needed by other stoves and even bake bread with the exhaust heat… just to name a few.
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Shako
Founded 2003, Dhaka, Bangladesh
‘Shako – Woman Artists Association of Bangladesh’ – for women and by women – believes art can play a role in healing society. It raises funds for individuals, male and female, who are unwell or in need of medical treatment; uses art to encourage physically or mentally challenged people; and promotes female artists and helps them develop skills. As ‘shako’ is a temporary bamboo bridge, built to make it possible to cross rivers and streams, an apt metaphor for Shako’s work connecting talented female artists to vulnerable communities.
Shako has organised over thirty exhibitions, pointedly exhibiting the work of well-known professional artists alongside that of workshop participants and lesser-known artists, demonstrating their belief in social equality and inclusion. They routinely donate at least fifty per cent of all profits made from artwork sales to those in need and also maintain a fund for emergency relief. They have also run over ten therapeutic workshops for groups such as the workers who survived the 2013 collapse of the Rana Plaza factory, acid attack survivors, cancer patients, and children from shelter homes.
Email: firstname.lastname@example.org
Key people: Kulso Pawanlal (founder), Farzana Zeba, Farzana Islam, Kanak Charpa Chakma, Naima Haja, Rebaika Sultan, Shuloksha Chaudhury (founding members)
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Shelter Promotion Council
Founded 1986, Kolkata, India
Shelter Promotion Council (India) was established with the objective of promoting the cause of housing and inclusive development of rural and semi-urban areas with special emphasis on the economically weaker section of society. It is a Voluntary Organisation consisting of social activists, architects, engineers, scientists, environmentalists, artists and planners.
Through participatory planning processes, they are currently examining the future of our cities in terms of cultural significance, sustainable and passive architecture, adaptation of vernacular technology in contemporary architecture and public amenities and services. The organisation is working in the context of urban renewal projects in Kolkata and smaller towns of East and Northeast India as well as rural development of temporary/ kuccha building technology, design and construction.
The council has produced public art festivals in Sikkim called Blooming Sikkim Public Art Festival and Hornbill Public Art Festival in Nagaland, the first of its kind which comprised a mélange of new media art and contemporary art addressing issues of social, political and environmental concerns in India. It has produced No Man’s Land, an ongoing public art project at the international border of India and Bangladesh in East Khasi Hills, Meghalaya. It is an attempt to do public art projects across both sides of the border to shape and understand the strong historical, cultural and sociological contexts that govern both sides of the border. Shelter Promotion Council focuses on interventions in public spaces ensuring access to art for people from all walks of life, cutting across socio-economic and cultural barriers.
Email: sayantan@email@example.com
Website: www.shelterpromotioncouncil.com
Facebook: www.facebook.com/shelterpromotioncouncil
Key people: Sayantan Maitra Borku
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Shomoy Group
See Page 83
Shomoy Group members, From left to right: Dhal Ali Mamoon, Aziz Sharafi, Ali Morshed Naton, two friends, Shishir Bhattacharjee, and Saidul Haque Juike and Dilara Begum Jolly at a train window. Image courtesy of Shomoy Group
Untitled Place & Time (Bholaari), India, 2014, Courtesy of Shelter Promotion Council. Photo: Sayantan Maitra Borku
Shoni Mongol Adda is not a conventionally structured group – yet, paradoxically, it attempts to create structure around the Bengali practice of informal discussions that fall outside of hierarchies and protocol. Just as the word ‘adda’ can easily be translated (it means ‘to meet’ or ‘to sit and talk with friends and peers’), the group is a longstanding get-together of like-minded people who share ideas and knowledge in a serious yet informal way. The adda sessions are hosted by guest speakers who present their work. Twice a week, on Saturday and Tuesday (“Shonibar” and “Mongolbar” in Bangla, which is where the group derives its name), artists, curators, art teachers, journalists, economists, architects, filmmakers, theatre artists, and others come together by invitation or word of mouth and engage in conversation. There’s also a pun in the name: as ‘shon’ and ‘mongol’, besides being days of the week, can also mean ‘food’ and ‘good’.
Examples of recent sessions include Humanity, Crime, and Investigation, led by a police sub-inspector; Imagination and Thinking Related to Cosmological Matter, led by a retired engineer and cosmology enthusiast; and A Short Political Economy for Artists, led by a politician.
The venue is Karnor Cafe and Restaurant, an artist-run cafe close to the Shilpakala Academy in Dhaka. The cafe, originally a separate venture, is now run by a member of the group and has a symbiotic relationship with Shoni Mongol Adda – alternately run by members, changing its name, but consistently providing the backdrop since 2016, and even hosting exhibitions.
The group is expanding its scope and has received funding from Sandanii Art Foundation to hold three discussions/seminars in different art institutions in the greater Dhaka area, to reflect on media, new media, the evolution of folk art, and the history of the oldest art school in East Bengal. The group also plans to disseminate documentation of each adda via web and print publications.
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Agricultural Cooperative of Somankidi Coura
Founded 1977, Mali, Kayes Region along the Senegal River
Sowing Somankidi Coura, a Generative Archive, is a long-term research endeavour by Raphaël Grisey in collaboration with Bouba Touré around the permacultures and archives of Somankidi Coura, a self-organised agricultural cooperative along the Senegal river founded by a group of former African migrant workers and activists in France in 1977 after the Sahel drought of 1973. Sowing Somankidi Coura unfolds and generates cine-geographies that reveal the boundaries between the liberation struggles of migrant workers in France, the Pan-African history of the cooperative and potentialities of permaculture.
Through a practice of filmmaking, archiving, publication, workshop and theatre, Sowing Somankidi Coura, engages in the articulation of liberation narratives, collective care and peasant alliances towards a denaturalisation and decolonisation of development politics.
Planting trees, Farming cooperative of Somankidi Coura, 1977
Photo: Bouba Touré
The research navigates the liaisons across partial perspectives; situated knowledges and ecosystems; hetero-temporalities; affinities between soils, plants, animals and farming techniques; and human reservoirs. Deploying diverse modes of image circulation, the work aimed at resisting forces of erosion, determination, national migration management politics, and the patenting of colonial agro-industries.
The Association of the women of Somankidi Coura, the Regional Union of the agricultural cooperatives of Kayes (URCAK), the Radio Rural of Kayes, are organisation and/or collectives closely linked to the Cooperative of Somankidi Coura.
Email: firstname.lastname@example.org, email@example.com, firstname.lastname@example.org
Key people: Sirik Soumarif, Ousmane Sinark, Bethily Baktorké, Ladi Niangalo, Mbaye Diop, Moussa Diaby, Assa Soukho, Fatoumata Soumaré, Gueye Kémié, Ndiaye, Moussa Diaby, Bargaly Camara, Bata (Moussa Diallo), Brahimé Camara, Dramane Diaby, Assa Soukho, Fatoumata Soumaré, Gueye Kémié, Ndiaye, Soumaré, Samba Sy, Doudou Diakhité, Oumou Diarra, Dao Diangana, Faye Niangane, Fane Niangah, Ibrahima Bathily, Awa Bathily, Bardo Coulibaly, Binta Diaw, Saba Niangane, Fatou Camara, Fatoumata Soumaré, Fatou Niangane, Saly Diouf, Ousmane Keita, Ibrahima Traoré, Saly Soukho
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Sowing Somankidi Coura, a Generative Archive
Founded 1977, Mali, Kayes Region along the Senegal River
Website: www.sowing-somankidi-coura.net,
Email: email@example.com/research@sowing-somankidi-coura
Email: firstname.lastname@example.org, email@example.com
Key people: Raphaël Grisey and Bouba Touré
Thuma Collective members posed in front of an artwork at their second collective exhibition Disclosure at Myanmar Deitta Gallery, Yangon, Myanmar, September 2019. Courtesy of Thuma
Thuma Collective is a group of seven women photographers from Myanmar who are dedicated to visual storytelling. ‘Thuma’ means ‘She’ in Myanmar language. They come from different non-photography backgrounds bringing in their diverse experiences and perspectives to the collective. The collective aims to promote the practice of visual storytelling in Myanmar and amplify voices through the eyes of women and to inspire and encourage women who are interested in using photography as a language to tell stories and engage with their world.
They have worked with NGOs, local women and youth organisations to provide training on using photographic storytelling as a tool to connect with others as part of advocacy and artistic expression. They have had two group exhibitions in Myanmar: Us and Beyond in May 2019 and The World is Not Enough published collective photobook and Disclosures in September, 2019. In early 2019, they collaborated with Dhaka-based photographers from Kaali Collective on Bridging the Naf, an exchange programme resulting in a series of photo stories and a photobook. Currently, they are participating in Contemporary Documentary Photography Practice, an immersive 7 month course which is a collaboration with Myanmar Deitta Gallery, funded by Foundation for a Just Society and supported by VII Academy.
Email: firstname.lastname@example.org
Facebook: www.facebook.com/thumacollective
Instagram: thuma_collective
Key people: Zin Mar Htet Htut Khin, Shwe Wutt Hmon, Tin Htet Paing, Yu Yu Myint Than
The idea of the National Trovoa came from four women artists of colour, each of whom was reflecting on the presence of their bodies in the world. They come from a movement that calls attention to the lack of visibility, space and remuneration – in other words, providing a context for the female artist of colour.
The discussion grew out of and resulted in a collective as a space of possible exchanges. They are a group of artists and curators gathering with the intention of making a national exhibit of visual arts produced by black and non-white women. They understand the need to speak of and to exhibit the plurality of their languages, discourses, research and media produced by them as women of colour.
To the Trovoa artists it increasingly became more of an issue that, in the art circles in general, even in spaces said to be open, that value the call for diversity and the presence of racialised bodies, there is no understanding that the discourse of non-white artists goes well beyond the denunciatory speech of a day-to-day racism.
In Trovoa there is also a strong discussion about freedom in their productions as artists. In Brazil specifically, there is little interest of institutions to absorb their work, and in addition to that, if it is not related to racial trauma, they tend to be perceived as a homogenous group, the ‘women of colour artists’, the collective holds.
Email: email@example.com
Instagram: @nacionaltrovoa
Key people: Ana Lira, Ana Almeida, Ana Clara Tito, Ariana Nualá, Bia Rizzoti, Carolina Laurindo, Caetê Vitória Bruxello, Celia Santos, Ceci Benderla, Dhuwara, Elisa de Souza, Francisca Gabbard, Gabriela, Ida Reis, Isabella, Heloísa Harlade, Ione Maria, Jairara Dias, Juliana dos Santos, Kalor Pacheco, Kerolane Kemdlin, Kayan Etelson, Kika Calafatto, Lais Amaral, Luíziana Rodrigues, Mariana Moraes, Mariana Siqueira, Natália, Natacha, Neelly Cepa, Okun, Raquel Rocha, Silvana Mendes, Sunshine Santos, Thays Chaves
Uronto
Founded in 2012, Dhaka, Bangladesh
Uronto is an artists’ community that reconnects with lost memories of forgotten places through interdisciplinary contemporary artistic interventions. They create opportunities to connect to cultural histories through coexisting and co-creating, gaining access to memories that inspire creative workers and empower current generations with knowledge. The Uronto Residency Art Exchange Program is one of the major yearly initiatives of Uronto, which involves interactive pop-up residencies and workshops at sites that are mostly abandoned and soon-to-be-demolished heritage buildings in rural areas. Uronto believes that if we lose a heritage building we lose a part of our sense of belonging. Each iteration takes place in a new location, explores a new community, and brings together a new group of local and international artists from different backgrounds, including visual artists, writers, musicians, storytellers, architects, photographers, and so on. Operating as a ‘site-responsive’ art exchange program, between ten to fifteen creative practitioners are convened through an international open-call. The participants live in the surroundings of these structures, fully immersed in day-to-day life, for a week to ten days, exploring oral history through the community. The process culminates in an ‘Open Studio Day.’ Since 2012, through nine iterations, Uronto has brought together over a hundred artists of various creative orientations from more than nine countries making work at nearly a dozen soon-to-be-lost architectural structures/palaces in Bangladesh.
Uronto mediates between local and international artists, rural and urban inhabitants, as well as conventional and experimental creative disciplines. Through shared experiences and storytelling, they have created an archive (available on their website) of lost narratives. Their work is a collaboration that both cherishes old narratives and creates new ones, resulting in a greater appreciation of the chosen sites.
Email: firstname.lastname@example.org
Website: www.urntoart.org
Facebook: www.facebook.com/UrontoArt
Key person: Sajida Mitran
Nobody Told Me There Would be Days Like These
Curated by Mustafa Zaman
Assistant Curator: Ruxmini Reckvana Q Choudhury
The 1980s was a decade during which art played an increasingly social-political role in Dhaka’s art scene. This defiant point of departure from ‘surface painting’, which saw its emergence in the 1960s, can be seen as a tectonic shift since this strain of art-making continues to inform the discourses and debates across the cultural horizon in Bangladesh to this day.
Artists sought detours and vocalised antagonistic positions primarily to dislocate art from its elite academic perch. Dehumanisation and storytelling became twin conduits for artists to formulate new strategies to articulate dissent. In artist-curated exhibitions, access to ideas and information on art and artists was supplied with the intention to edify the public. This ‘critical turn’ left its influence on many disciplines – it effected a change in how artists, poets, as well as theatre and film activists perceived the relationship between their works and society. Thus, the 1980s witnessed a determined detour through reframing of the ‘social’ and invocation of the ‘political’.
New idioms were born out of the resistance movements waged against the longest-ruling military dictatorship in Bangladesh – the regime of the recently deceased general H.M. Ershad that lasted from 1981 to 1990. The dictator’s unscrupulous move to align with those who collaborated with the Pakistani army during the Liberation War in 1971, the pseudo-Islamic garb that came with the emerging brand of populism he was responsible for, the opening up of the economy to global market forces, and ongoing human rights violations with political repression, provided the backdrop for the subsequent resistance movements leading to the final overthrow of the dictator in 1990.
To parse the developments of the 1980s, one can say that in the arts, it was the decade of radicalisation or interrogation won over introspection and action over passivity. It was an era of political resistance as well as cultural re-organisation. In the arts, this critical turn resulted out of the conviction that to topple the dictator one must spread antagonism in all spheres of life. After the fall of the dictator in 1990, the ‘democracy’ in Bangladesh became entangled with issues of corruption and flawed elections, and art and activism of the 1980s were carried over to subsequent decades to be reframed and re-organised to bear on various different goals.
As DAS mounts its fifth edition, in which a synergy of the newest samples of South Asian art provide fodder for the public eye/mind, ‘Nobody Told Me There Would be Days Like These’ maps the history of groups that laid the ground for art and theatre, film and literary movements in the 1980s with the hope that we do not collectively reneg on our promises made in favour of life. The exhibition’s title is a nod to a song from the same era by John Lennon and Yoko Ono.
Visual Arts
Shishir Bhattacharjee, Could have been the Story of a Hero 2, 1986, Oil on canvas. Courtesy of the Artist
In the visual arts, Quamrul Hassan (1921-1988) set a visual language into motion that sought to critique the emerging ruling elite of the early 1970s. Otherwise well-known for his pleasant depiction of rural life, Hassan, who belonged to the first generation of artists in East Bengal after Pakistan had emerged, tackled what may be termed as the gentrification of urban society and the concomitant loss of social values. His political art, which articulated a critical voice by crowding his canvas with symbolic motifs where the dominant minority or alienated elite is represented in both human and animal form, was the first attempt in Bangladeshi art to instrumentalise ‘social fact’.
Later in the 1980s a group of young artists calling themselves ‘Shomoy’ emerged fresh out of art institutions. The group’s politically cast art once again brought creativity to centre stage and sought to redefine narrative painting in South Asia. Shomoy, which literally translates to time, sought political salvation, hoping to end the military misrule which coloured life in Bangladesh in the 1980s. Their creative acts percolated into a critical analysis of their time, often reflecting the prevailing mass discontent, seeking to restore the ethos of the 1971 Liberation War. The members of Shomoy were Dhali Al Mamoon (b. 1958), Wakilur Rahman (b. 1967), Habibur Rahman (b. 1958), Shishir Bhattacharjee (b. 1960), Nisar Hossain (b. 1960), Dillara Begum Jolly (b. 1960), Aziz Sharafi...
(b. 1956), Saiful Haque Juise (b. 1960), Ali Morshed Noton (b. 1958), Lala Rukh Selim (b. 1963), Tawfiqur Rahman (b. 1959).
Shomoy works lay at the intersection of many fields of emerging discourses and forms. The most active Shomoy members, including Shishir Bhattacharjee, Dilara Begum Jolly, Nisar Hossain, Dhali Al Mamun, and Wakilur Rahman also transported their creative energy to activities which lay beyond the scope of their respective disciplines. To understand the drift, one must take into account how the idea of dissent began to redefine cultural production of the era. The most active protagonists of theatre, cinema and poetry began to respond to the unfolding political events and the marketisation of the economy.
Shomoy artists worked simultaneously through various themes and trajectories, utilising the power latent in little-noticed popular culture of South Asia. They devised their own brand of social realism – a way to attend to the ‘here and now.’ The works of Shishir Bhattacharjee, Wakilur Rahman, and Nisar Hossain unveiled the decadence and dehumanisation of the era while throwing up sharp critiques of the dictatorial and imperial political scheme. Both Dilara Begum Jolly and Dhali Al Mamoon’s figurative motifs began to break down into mangled entities referring to what was rotting in society, while Nisar Hossain’s insect-like predators were set against a backdrop teeming with references to rickshaw paintings.
The belief in secularism and democracy was of prime importance to the generation of artists that came to maturity in the 1980s. Pitted against the destructive power unleashed through subsequent regimes, their conviction to create a secular social sphere fuelled their creativity, although the zeal for the ‘real’ assumed many different dimensions. In theatre, where a dialectic between popular logic was the common thread to all this, artist’s voices often turned sarcastic while talking back to power.
Architecture
Networks of knowledge also kept people in sync with one another although they were working from within their respective disciplines. Chetana, a platform that grew out of a study circle that was presided over by late architect Muzharul Islam (1923–2012), often hosted their programmes in the presence of poets and literary personalities. The group was instrumental in paving the way for interdisciplinarity. The late poets Shamsur Rahman (1929–2006) and Kabir Chowdhury (1938–2018) and late professor and educationist Kabir Chowdhury (1923–2011) attended Chetana’s inauguration event. The most important element of their activism was that they attempted to bring Bangladesh’s architecture and heritage into the conversation about modern architecture. Chetana saw the union of like-minded architects: Razul Hassan, Nazmul Haq, Syed Azaiz Rasul, Uttam Kumar Saha, Nahas Khan; these architects worked in different fields. The graduates, then, at the architecture department of Bangladesh University of Engineering and Technology, BUET, comprised the group. Saiful Haq (b. 1958), and Kazi Khaled Ashraf (b. 1959), were members from the time they were fourth year students at BUET and are now established architects and researchers who continue to build on the ethos of Chetana.
Theatre
Dhaka Theatre’s Peer Awaj Pasa Jai, directed by Abdullah Al Mamun, South Korea, 1981. Courtesy Dhaka Theatre
Resistance took the most effective and potent form in the arena of the theatre. The most influential iconic theatre and literary personality Selim Al Deen (1949–2008), who initiated Dhaka Theatre, was also responsible for Gram Theatre (launched in 1983) and worked to extend urban theatre to the rural hinterland. Nasiruddin Yousuf Bacchu, an actor-director, played an important role in the creolisation of modern theatre by way of absorbing Al Deen’s ideals and activism. By the late 1980s, more than 150 theatre troupes were developed in villages across the country under Gram Theatre, although most ceased to be active over the following years. The troupe gave momentum to a country-wide cultural regeneration and in spreading awareness among the masses about the slow erosion of society and politics under military rule. As a playwright and teacher, Selim Al Deen introduced what many refer to as ‘Epic Realism.’ His extensive study on Bengali popular theatre genre called ‘jatra’ coupled with his attempt in retracing the Hindu-Buddhist performance heritage led to his renowned drama ‘Kittankhola’, which is still considered a milestone in the modern theatre history in Bangladesh.
Dhaka Theatre and Aranyak among other theatrical groups were instrumental in staging dramas that either harked back to the theme of the Liberation War and the repression of the Pakistan junta, or aimed to expose the anomalies of military dictatorship. Some groups even attempted to poke fun at the then military ruler. Theatrical performances served as a means to educate and open the eyes of the masses. ‘Payer Awaj Pawa Jay’ is a case in point. First staged by Dhaka Theatre in 1976, it was written by the late writer and poet Syed Shamsul Haq (1935–2016) and was themed around the atrocities of the Pakistan army and the abuse of power by the village elite in the name of religion.
Film
Short Film Forum, Morshedul Islam, Chaka working (still). Courtesy Morshedul Islam
The Short Film Movement added a decisive layer to the cultural fabric woven since the early 1980s. Morshedul Islam and Tareque Masud debuted as young filmmakers in the 1980s and were part of a greater movement centred on the Bangladesh Short Film Forum. Formed in 1986 by a group of young independent filmmakers, the activists inspired and mentored by Alamgir Kabir (1938–1989), the platform was created after years of activism and campaigning for creative and aesthetically pleasing cinema by collectives called film societies. When the forum came into being it featured some of the most notable young Bangladeshi film makers among its members at the time, including Morshedul Islam (b. 1957), Tanvir Wokammel (b. 1955), late Tareque Masud (1956–2011), Enayet Karim Babul, Fareq Shahriar, Abu Sayeed (b. 1962), Shameem Akhter, Fazlur Hossain Farad, Yasmine Kabir, Nurul Alam Anique, Zahidul Ahsan Anjan, N. Rashid Chowdhury, and Akram Khan.
The Forum, by way of a biennial and non-competitive International Short and Independent Film Festival, kept hope alive for independent filmmaking, beyond injecting the cultural scene with much-needed optimism in favour of cultural activism. The first festival was held in 1988 and was entirely dedicated to short films. The forum is still active and it continues to organise seminars and workshops on films and film festivals all over Bangladesh, in addition to holding film shows and film-related events at their permanent venue at Bangladesh Film Centre in Shabaghi, Dhaka.
Tareque Masud and Morshedul Islam played a decisive role in the development of Bangladeshi film, they made films that at once drew critical appreciation and public attention, the former for his documentaries and latter for his short-length films. ‘Adam Surat’, a documentary on the legendary artist S. M. Sultan by Tareque Masud, and ‘Chaka’ by Morshedul Islam were among the most influential films of the era, while Abu Sayeed, an early enthusiast of short films, made a series of interesting feature films. Chaka carried over the idea of the ‘writings’, a theme that runs across many of his works, from the 1980s to the new millennium while Sayeed attempted to bring ‘Kittankhola’, a popular stage play written by Selim Al Deen, to the silver screen in the year 2000.
Literature
The Little Mag movement was the veritable crucible of talents where writers and poets willing to break the mainstream circuit gathered. Working as a platform for literary aspirants who were willing to look beyond already explored territories, the alternative publications that gave it its shape also created space for artists and filmmakers to work in alignment with the cultural-political goals of the time. Among many who played a catalytic role, poet Sajjad Sharif (b. 1963) was particularly active in threading the literary world with the world of art and film as he was behind some specific moments of convergence between members of the Shomoy group and the filmmaker Tareque Masud.
Little Mag Movement, Cover of Gandeeb, 3rd issue, 1988. Courtesy of Sajjad Sharif
Sajjad Sharif’s contributions can be traced to the early editions of the ‘Anindya’ (meaning one who lived eternally without blemish) and ‘Gandeeb’, or ‘Gandiva’ (the bow of Arjuna, the central character of the Mahabharata). Little magazines were self-published zines; the writers and poets involved took turns in editing and publishing them. Sometimes they were sponsored by literary enthusiasts. They were cheap and contained works of prose and poetry by emerging poets and writers.
Although not directly involved with any little magazine, Ahmed Sofa (1943–2001) inspired many in the alternative literary circuit with his outspoken nature and intellectual honesty, including Salimullah Khan (b. 1958). While Sofa was stationed at Aziz Market, a place where these magazines were conceived and sold, he nurtured a new breed of young poets and writers. These were the literary creatives of the time who fought against conventional patterns of thought that then pervaded mainstream culture.
Among the little magazines that worked as nodal points through which artists, writers and poets made their presence heard, Anindya saw its beginnings in 1985 and Gandeeb had its start in 1987. Together they worked as an alternative platform where the possibility of a new world could be imagined to appear. The editors of the two of the most influential and long-lasting alternative magazines (both are in circulation now) were respectively Habib Wahid (b. 1962) and Tapan Barua (b. 1956). Of the emerging renegades who helped develop their reputation, some became part of the mainstream at a later date.
Universes exist within us and universes exist beyond us. We inhabit our bodies; our bodies inhabit dwellings; and our imaginations inhabit limitless realms free from our mortal limitations. The artists in this movement explore the spaces that we move through (physical, social, political, discursive) and the ways we are able to transmit stories and knowledge across (life)times, building bridges from past to present to future. These stories and the belief and value systems embedded in them often speak to how humanity related to physically inaccessible worlds below the earth’s crust and beyond the sky. Certain works of art have the transformative power to make us feel and understand what is at stake, inspiring us to take action and bring new worlds into being. Your movement through the Bangladesh Shilpakala Academy was carefully considered in our design of the Summit, contributing to the activation of artworks and ideas found across the venue. By sharing your experience with others both in physical and digital space, we can make history together.
Clarissa Tossin
A Quela do Céu (The Falling Sky), 2019. Laminated archival inkjet prints and wood. Commissioned and produced by Samdani Art Foundation for DAS 2020. Courtesy of the artist and Commonwealth and Council
When we talk about environmental concerns relating to the Amazon, we must consider its native peoples as part of the ecology. For instance, the terra preta, or black soil – the most fertile in the Amazon Basin – is a product of long-term indigenous land management practices, going back to ancient times. Discoveries such as these expand our perception of the forest beyond wild land myths and re-signify the ‘jungle’ as a result of human interactions with nature over time. The Amazon rainforest has been the recurring subject of Clarissa Tossin’s work, providing a rich study in the impacts of global commodity chains and by extension, the perpetuation of colonial forces enacted on the region’s environment, cultures, and people. A Quela do Céu (The Falling Sky) further engages with themes of ecology, precarity and social justice. The weavings combine satellite images of the recent fires in Amazônia with Nasa images of the Mars plane named after the forest (Amazonis Planitia), the Amazon River and the Milky Way. The patterns were made to resemble the geometric partition of land created by agribusiness mostly visible from satellite images or bird’s-eye view. The triptych suggests a constellation of planets that project ambiguous visions of futurity, post-human landscapes and the ruins of a world yet to come.
Clarissa Tossin uses installation, video, performance, sculpture, and photography to negotiate hybridisation of cultures and the persistence of difference. By embracing semantic displacements in given material cultural ecosystems, Tossin’s work reflects on circulation from the level of the body to the global industry.
b. 1973, Porto Alegre; lives and works in Los Angeles
Korakrit Arunanondchai and Alex Gvojic
Rising up three-storeys of the DAS venue, Korakrit Arunanondchai’s monumental sculpture of a naga (a reincarnating deity found across the mythology of South and Southeast Asia that shifts between snake and human form) transforms into a stage for the artist’s newest performance work in collaboration with Alex Gvojic that connects the ritual-based histories of Bangladesh and Thailand. Arunanondchai and Gvojic will create a soundscape within an environment based on Ghost Cinema, a post-Vietnam War ritual in Thailand where outdoor screenings function as communions between the audience and the spirits. Introduced by American soldiers stationed in Thailand who screened films in the forests, creating enigmatic projections which locals attributed to ghosts, the appropriation of the ritual by locals reflects the rich history of military coups and their effect on local folklore and rituals.
Together from No History in a room filled with people with funny names & Working images towards performance. Courtesy of the artists, BANGKOK CITY/CITY, CLEARING, Carlos Ishikawa
Arunanondchai works with performance, video, and installation, addressing the crossing over of themes like family, superstition, spirituality, history, and politics. With an interest in collaboration, he transforms gallery spaces into arenas of connections, personal and cross-cultural. These allow him to explore relationships in recorded history while sidestepping its preoccupation with linear narratives. Alex Gvojic specialises in the interdisciplinary crossing of art, fashion, and music. Within his breath of multimedia projects, which span from entertainment production to environmental design, each embodies a signature sharpness in both imagery and concept.
b. 1986, Bangkok; lives and works in New York and Bangkok
b. 1986, Chicago; lives and works in New York
Minam Apang
Untitled, 2017. Charcoal on cloth. Courtesy of the artist and Samdani Art Foundation
Minam Apang produces expansive intricate imaginary landscapes that reveal her spiritual connection to where her artistic energy comes from. The artist moved from Arunachal Pradesh to Goa, mirroring the migration of large numbers of youth from Northeast India who are forced to leave due to a rampant military presence and the consequent lack of employment opportunities. Apang’s savage yet delicate newly commissioned drawing registers this trauma, reimagining it at a mythical scale suspended above the heads of viewers. The sea seems to lay siege to the mountains, tilting the axis of the world – alluding to the conflicted landscape of Arunachal Pradesh, but also to the many chapters of change that our planet has experienced: the same Himalayas that are melting today were once completely underwater.
Apang’s practice predominantly employs drawing with charcoal. In early works, she painted scenes inspired by the folktales and myths passed down orally by her tribe in Arunachal Pradesh. More recently, her landscapes and figures are drawn from imagination and informed by hybrid experiences of the landscapes she has inhabited.
b. 1980, Nahariagun; lives and works in Goa
Mizanur Rahman Chowdhury
LOVE LETTER TO THE LAST SUN is a newly commissioned interactive installation composed of a combination of everyday objects and natural elements (fire, water, earth, air) and aims to recalibrate the ecological co-existence of human and non-human living organisms in our universe. The work oscillates between fictional reality, between the conceptual and the concrete, between an imagined reality and the construction of it. It fights against normative expectations. The progress of modernity is leading us towards the great destruction of this planet. Through Mizanur Rahman Chowdhury’s use of cameras and projectors, the viewer is able to locate her/himself within the web and connectivity of a total magnetic force, while perceiving the energetic pulses of the universe. Immersing the viewer in his utopian world, s/he is re-connected with planets and other beings, both human and not.
Chowdhury’s interdisciplinary practice plays with different media, ranging from installation, assemblage, video, collage, sculpture, found footage, experimental film and more to conjure a multifaceted artistic universe. By creating unfamiliar space and situations for everyday mundane objects, Chowdhury creates unique interpretations while engaging new experimental territories with vast potentials.
b. 1981, Noakhali; lives and works in Dhaka
The Place Where The Sun Has Another Name, 2019. Mixed media installation. Courtesy of the artist and Chobi Mela [X] International Festival of Photography
Subash Thebe
Memories of possible and not so possible events woven into stories have been a fundamental way of accessing and disseminating knowledge to future generations in almost all indigenous communities, including Subash Thebe's Limbu community.
In a sense, memory is more significant for the future than for the past. The glacial lakes in Subash Thebe's new painting are rendered in actual and imaginary time frames; sometimes they freeze back into glaciers and other times they grow bigger. At times, the Himalayas are rich with snow and glaciers and at other times they are nothing but grey tectonic rocks. There's a spaceship in the frame, its shape inspired by the object called *Silamsakma* commonly used in Limbu rituals. This memory of its existence in the future explores implications previously unimaginable.
NINGWASUM - Moving Across Time and Space, 2019. Acrylic on canvas. Commissioned for DAS 2020. Courtesy of the artist.
William Forsythe
*Fact of Matter*, 2008. Forsythe's mate rings, polyester belts, ground support rigging. Courtesy of the artist. The development and international exhibition of *Choreographic Objects* by William Forsythe is made possible with the generous support of Susanne Klatte.
*Fact of the Matter*, one of William Forsythe's *Choreographic Objects*, poetically speaks to the interplay of collective and individual experience in navigating the world and its challenges and forms of thinking that can be activated through movement. The object is not so much there to be seen as to be used, and engaging with the object and the artist's instructions gives the user a new perspective of the self as they become aware of their body's mass, strength, and coordination as a unified system. These three qualities are not as unified as we would like them to be, and we invent strategies to pull through what may seem like an unmanageable space while learning from the strategies devised by other people using the object.
Forsythe is known for his radical innovations in choreography and dance. His deep interest in the fundamental principles of organisation has led him to produce a wide range of projects. Parallel to his career as a choreographer, he creates installations, film works, and interactive sculptures, known as *Choreographic Objects*.
b. 1949, New York
On Muzharul Islam: Surfacing Intention
Co-Curated by Diana Campbell Betancourt with Sean Anderson and Nurur Khan and Assistant Curator Ruxmini Reckvana Q Choudhury
Observing the interplay and occasional confrontation inherent among architectural spaces within an emergent nation-state, seventeen artists/collaboratives respond to the built and unbuilt legacy of the groundbreaking Bangladeshi architect Muzharul Islam (1923–2012). Active in politics because of his own conviction that 'it was the most architectural thing he could do', Islam humbly and uncompromisingly forged an architectural movement in what was East Pakistan as part of a broader claim toward decolonial consciousness in the 1950s leading to the country's independence in 1971. His buildings and ideas influenced multiple generations of Bangladeshi architects working today and subsequently international figures. Working across photography, painting, sculpture, performance, sound, and film, the artists in the exhibition present work that at once negotiates and builds worlds that are borne from the local environmental and cultural climate of Bangladesh. For Islam as well as these artists, architecture and art are conceived as benefiting all who make up the lands of any nation, no matter their origin, without the boundaries of class or caste.
If the inception of the monument connoted manifestations of power, how do histories of collective agency, that which builds and/or questions the monumental, begin to be made visible? Architecture, in its capacity to embody the simultaneous recording of historical narratives in addition to marking action across time, also extends hands to shape, modify, represent and experience the environment.
Bangladeshi architect Muzharul Islam, born a generation prior to the partitioning of the Indian sub-continent and at work during the 1952 Language Movement and the 1971 Liberation War, was alarmed to witness attempts to transform the territory of his birth from a communal ecology grounded in culture to an alienated society in which interdependence was reduced. He dejected architecture and the assembly of physical and institutional structures as a fortress against the singular pursuit of liberty and citizenship. While Islam believed in the strength of a Bengali identity, he also recognised how modernism as an ideology and tool could be deployed to extend the country’s influence beyond the region. Bangladesh, according to Muzharul Islam, should be conceived as modern from the beginning.
In a striking departure from his predecessors, Islam’s prolific works throughout the country ensured that the pursuit of a Bangladeshi-born architecture was as much concerned with articulating the multiple worlds in which the individual and society functions within, also locating oneself, a calculation of value built from within and not externally construed. Islam harnessed the diachronic histories of the built environment in Bangladesh as a means to reject prescriptive views of Bengal rooted in vernaculars. He instead refocussed how his collaborators, workers, students, and leading architects of his time including Louis I. Kahn and Stanley Tigerman could witness a Bengal of 2,000 years ago that was building large scale cities and monuments, and as a means to imagine a future of a country that did not yet exist. Muzharul Islam’s practice and ideology influenced multiple generations of Bangladeshi architects whose work has been increasingly visible internationally over the last five years. However, until recently, there has been little critical scholarly research in English about this architect who tirelessly and uncompromisingly fought to construct a new social order in cooperation with communities and partners of the land. Muzharul Islam’s conception of modernity in Bangladesh was conceived as an extension of its lands while also ensuring a way of life that was accessible to and responsive of an international community of architects, designers and artists.
The production of a modern architecture in Bangladesh and more broadly, in South and Southeast Asia, expressed the potential of space with a materiality that was fluid in meaning and nature. While the introduction of concrete and cement in the region at the beginning of the 20th century promised the rise of new industrial techniques and forms, the use of brick in Bangladesh allowed for a return to the ground, to the unobstructed lands occupied for millennia by many different peoples. How brick might be conceived within modernist paradigms that privileged the multiple industries related to concrete, was crucial for an emergent nation attempting to assert its own visual and spatial identity. With an almost ontological connectivity to building, to histories in and out of brick, brick remains an essential material to connect to multiple scales and contexts. Muzharul Islam’s brick architecture invests in tectonics that reconfigured how surfaces might be understood both as symbol and method. One may regard Islam’s drawings and buildings as a structuring of structures. For the architect, and the artists presented in this exhibition, contrasting (im-)materialities allow for the mutability of meaning even among precise configurations of settings. One may be able to observe how Muzharul Islam, as both an architect and an activist, revealed how communities and cultures could serve as agents in the imagining of new institutions.
The conceit of the exhibition’s title reveals a paradox found within the reception of modern architecture in Bangladesh. On one hand, surfaces are both agents of and metaphors for what contains us. Buildings can be surfaces. And surfaces may embody how buildings are designed and built. Informing our visual and haptic faculties, surface is also that which collapses the negotiable nature of built space. Surfaces are a place where things, here and not here, live. In architecture, we are at once connected among assemblies of surfaces that may have been ‘designed’ or ‘chosen’ while they are also subject to entropy, to the passage of time. By extension, the collaborative efforts for much of how Muzharul Islam’s projects transpired also allows for a questioning of labour; he built with and for the people of Bangladesh, refusing to inscribe himself as the ‘genius creator’. Intention, likewise, is tied to internal and external processes that may broaden one’s understanding of affect. The intention of a project is also a means and index of strategies for making. Found at the horizon of the known, or perhaps at the threshold of building as object and form, intention remains ever-present, pointing a way forward, a movement toward a fragile yet more complete notion of self-knowledge.
By surfacing intention, we are attempting to suggest how Muzharul Islam revealed subjectivities among his built and unbuilt projects. Consequently, the prompt for each of the artists allowed for expansive readings that are rooted in Bangladesh but also leverage other local contexts such as Tehran, Warsaw, Rio de Janeiro, New Delhi, and others. Each of the artists brought together for this exhibition use process, materiality and form to disassemble the boundaries that have long defined self and other. Conventional dialectics embedded within notions of gender and context are also questioned. In our discussions with each of the artists, how surface in all of its manifestations came to inform their own conception of Islam’s architecture was apparent. Surface was imagined as a modern agent for thinking through and responding to alternative spatial paradigms. Yet, we remained steadfast that such diverse perspectives resonate with how and why the (modern) architecture of Bangladesh might be reconceived through projection, sculpture, performance, photography, drawing and painting.
What are the residues of intention? By circulating through this exhibition one participates in a journey that reveals elements of Muzharul Islam’s ideology that cannot be read by looking at an architectural plan or model. Fingerprints carry the material traces of a day’s activities and are unintended marks of our presence in a space. One of the first works visitors encounter when entering the Bangladesh Shilpakala Academy is an immersive installation on the winding central staircase of the venue choreographically built up by Rana Begum. Fingerprints of Bangladeshi collaborators of DAS come together to form a pattern of collective art, a moment of democracy, speaking to what the hands of the people can achieve together, while maintaining the individuality of each person through the unique markings and spirals making up each fingerprint. If you look closely, similar traces of individual makers can be found on the terracotta screens and bricks of Muzharul Islam’s art school, Charukula, now formally known as the Faculty of Fine Art, University of Dhaka (designed 1953–55). Similarly, works by Ayesha Sultana, Maria Taniguchi, and Prabhavathi Meppathil measure the markings of making that build up and transform over time through processes of accumulation, oxidation, and entropy.
As we pass Begum’s installation and enter Gallery One, we become enveloped in another spiraling environment of iron rebar growing from what appears to be two stairs ripped out of the central staircase of Muzharul Islam’s School of Fine Art. The climb up and down this staircase in addition to the hidden (and often forgotten) emotions from those daily journeys are part of what makes the art history of Bangladesh. As a student, Malika Somerska to whom I attribute this element of Muzharul Islam’s architecture in a seemingly displaced sculptural form. Hajra Waheed’s video The Spiral (2019) draws us into another reading of the spiral, taking this catalytic geometry as a starting point to reflect on processes of upheaval in human experience. The video is a meditation on undefeated despair and the possibilities for radical hope that Islam fostered in his practice as Bangladesh fought for its independence. The spiral staircase in Muzharul Islam’s Charukula winds around a courtyard, a pivotal support structure bearing silent witness to the lives of generations of minds around it. Tanya Goel has wrapped the pillars of the Bangladesh Shilpakala Academy’s South Plaza with Bangla resistance poems that Muzharul Islam and his peers engaged with at the dawn of Bangladesh’s existence. These texts and their florid Bangla forms painted in textured brick dust unfold as visitors circulate around these co-dependent structures which float free from obstructing walls for the first time in DAS’s exhibition history.
Muzharul Islam designed his buildings with the hope that they would provide culturally grounded upward mobility for all the people passing through them in their own pursuits of knowledge. Movement is key to the works by Aditya Novali, Shezad Dawood, and Dayanita Singh in this exhibition. Novali created rotatable paintings inspired by the situated modernism of Muzharul Islam and his Indonesian contemporary, Y.B. Astuti Kusuma. These paintings move freely throughout the course of the show, speaking to how influence moves and shapes architecture across space and time outside of nationalist frameworks. Drawing on the futuristic geometry of Muzharul Islam’s drawings, Dawood’s adaptable ‘stage set’ functions somewhere between architecture and tapestry. For a number of years, Dawood has been developing a notion of ‘paintings without painting’, that are created through the collaging and layering of different textile elements, some incorporating Bengali kantha techniques. These works, which include plans for the University of Chittagong (1968–71), function as hangings and room dividers which envelop visitors and connect to a video that documents a dance performance realized in collaboration with choreographer Adrienne Hart, composer Patten, costume designer Priya Ahluwalia and Dawood. Dayanita Singh’s ‘Museum of Shedding’ takes the elitist form of the museum off its metaphorical pedestal and puts it in the hands of the people, where they too can become new curators, adjusting the placement and display of the floating images within it. Institutions are dynamic mechanisms for the making of society. Like Islam and his emphasis on change from within, Dayanita’s Museums are open structures, frameworks for the making and reception of multiple meanings and audiences.
While movement was crucial to Muzharul Islam, so was standing still, a necessary state of being to learn from nature and its transformations across time. The urban plan of most of Muzharul Islam’s universities and educational buildings speak to how he wanted students and others not only to learn about art and culture within the classroom, but also from the activities teeming beyond the windows and across the roofs, verandahs, and ponds hosting other components of student life. The National Library in Dhaka has one artwork inside, a monumental mural of a jungle, and Lucas Arruda’s exquisite jungle paintings speak to a kind of knowledge that cannot be taught from books. They are embodied and yet distant; seductive yet menacing. Daniel Steegmann Mangrané’s narrative film shot in Charukula, looks at the intuitive relationship between humans and non-humans and the kind of interconnected ecology that Muzharul Islam tried to foster in his work in Dhaka in the 1950s, which has ongoing lessons for other parts of the world today. The Otolith Group’s film O Horizon grounds the spirit of Dhaka’s art school in its predecessor Santiniketan in West Bengal, speaking to the wisdom its founders and architects tried to glean from its surrounding structures and forests.
While the works described thus far draw inspiration from Muzharul Islam’s built spaces, many of these
spaces no longer carry the architect’s intentions due to bureaucracy, degradation or ideas of modernisation that implemented elements such as air conditioners and false ceilings, obscuring the quiet majesty of his spaces. The invention of blueprints, aspects of which are used today in contemporary architectural practice, carry with them of what is to come, what is near to come but might never appear or what may have ceased to be. Muzharul Islam and Stanley Tigerman spent nearly ten years developing five polytechnic institutes across the country, including detailed studies into different microclimates of Bangladesh, which were never realized beyond visionary drawings and blue-prints from 1965–71. Marlon de Azambuja awakens Dhaka’s multiplicity of identities at all scales in an installation inspired by the ‘bones and organs of the city’, shifting how we consider, design, and imagine the clumps, blocks, and voids that make life in the city and architecture today imagine and construct the urban environments that contain us. Seher Shah and Randhir Singh’s cyanotype prints of Muzharul Islam’s poorly preserved Central Library at Dhaka University employ conventional architectural representational methods, such as the plan and elevation, and function between the precise formalism of a blueprint and the intuitive nature of drawing, Haroon Mirza’s animated scores of light and sound derived from Muzharul Islam’s drawings and blue-prints for Chittagong University bring to life an architectural vision for sites that would train Bengalis (the East Pakistanis) to develop their own destiny (even if eventually most of these projects were funded by the World Bank).
Sometimes it is not possible to think or operate in a free and radical way with radical transparency, and it is necessary to remain invisible, emerging when the time is right. William Forsythe’s work, *A Volume within which it is Not Possible for Certain Classes of Action to Arise* (2015) locates the need to find new ways of navigating spaces that offer freedom, akin to the king of social spaces that Muzharul Islam tried to create within his lifetime. If previous (Western) modernist paradigms for truth-seeking were in part coalesced in and around solutions, to finality, then this exhibition attempts to reverse course, to allow for an opening, even if brief, to the possibilities afforded by architectures that may not yet be visible. These are architectures of becoming. For this exhibition, inasmuch as for the architecture of Muzharul Islam, surfacing is thus an active method for articulating simultaneities in a society’s arising, an awareness of emergent parallel hierarchies among the people, a recognition of value’s precarity, of collaborations borne from collectivity, each of which threatens to disturb the surface.
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The authors wish to thank and cite the dedicated research of the exhibition’s curatorial advisor Nurur Khan. Many of the ideas in this essay and exhibition stem from long conversations with Khan and relate to his upcoming PhD thesis.
The library building is a single-storey structure with a flat roof, constructed using brick and concrete. The facade features large windows that allow natural light to enter the interior space. The interior of the library is spacious and well-lit, with bookshelves lining the walls and a central aisle for easy access to the books. The library also has a reading area with comfortable seating arrangements.
The architectural plan of the library building shows the layout of the interior spaces, including the reading area, bookshelves, and other facilities. The plan also indicates the location of the entrance and exit points, as well as the orientation of the building in relation to the surrounding environment.
The library building is located in a serene and peaceful environment, surrounded by trees and greenery. This setting provides a conducive atmosphere for studying and reading. The library also has a small garden area where visitors can relax and enjoy the natural surroundings.
Overall, the library building is a well-designed and functional space that serves its purpose effectively. The combination of modern architecture and natural elements creates a harmonious and inviting environment for users.
Photos: Randhir Singh. Drawings courtesy of Muzharul Islam Archive
Hajra Waheed
The Spiral (still), 2019. Video. Courtesy of the artist
‘[The spiral] is made from the power and will of individuals and unarmed people; from the extraordinary achievement of ordinary people and ordinary daily actions of tending to, listening to, watching over, and protecting. It is survival as revival, resistance as reclamation, resilience as transformation.’
Waheed’s multidisciplinary practice ranges from interactive installations to collage, video, sound, and sculpture. Among other issues, she explores the nexus between beauty, surveillance, and the covert marks of power that structure lives, while also addressing the traumas and alienation of displaced subjects affected by legacies of colonial and state violence.
b. 1980, Calgary; lives and works in Montreal
Haroon Mirza
How does one envision a building while also recognising its inhabitation through time and space? Even with the best of intentions, spaces change over time and often deteriorate if not maintained. This is the case with several buildings designed by Muzharul Islam, such as the Jaipurhat Limestone and Cement Project (which was built as housing for 7500 workers and is now a girl’s military school) and the five government high schools designed by Islamic Architect Stanley Tigerman throughout Bangladesh. Architectural plans and blueprints are like scores for the future. Haroon Mirza has composed a new sound and light installation, A Lesson In Theology (2019–2020), reimagining Islam’s frequencies of thought. For both the artist and the architect, building a society relies on the ways in which education contributes to and informs how equality transcends previously encoded class divides.
Mirza’s medium is electricity, which is seen and heard simultaneously. He adopts found objects and audiovisual equipment in his installations and performances. Inviting the viewer to re-evaluate their definitions of noise and music, Mirza’s work is known for its physical impact and its undermining of straightforward narrative by exploring the sociocultural histories of the objects, ideas, and processes he employs.
Installation view at the Australian Centre for Contemporary Art, Melbourne, 2019. Courtesy of hrm199 and Australian Centre for Contemporary Art, Melbourne. Photo: Andrew Curtis.
b. 1977, London; lives and works in London
Lucas Arruda
Arruda’s small-scale atmospheric compositions dwell on the viewer’s experiences as opposed to geographical specificity.
b. 1983, Sao Paulo; lives and works in Sao Paulo
Maria Taniguchi
Like Muzharul Islam, Maria Taniguchi finds beauty in the marks of the human hand on objects that we associate with industrial production, such as bricks. These traces inform not only the contexts in which they were made but also the people who made them. Taniguchi’s painted architecture calls to mind the transformative and meditative process of brick-laying as well as the subtle changes that can be found across seemingly identical architectural facades through the movement of light and shade. Bricks are an apt metaphor for Muzharul Islam’s philosophy that can be read as nationalism expressed through modernity. ‘When I mention standing on one’s own soil’, writes Muzharul Islam, ‘it is to find oneself, but not to find oneself and become stagnant. What I am seeking is to stand on one’s own feet and then to proceed forward. If for that reason I have to take two steps backward to go one step forward, I have no problem with that. I think that there is no other way of moving forward.’
The National Library of Bangladesh (1978–9) reflects the architect Muzharul Islam’s engagement with Louis I. Kahn. Upon entering the lobby, one immediately encounters a monumental mural of a jungle painted. This immersive and magnanimous image, an unusual choice for a library, greets those seeking knowledge while conveying Islam’s belief that learning must be grounded in the demands of climate and place. Jungles rebuild themselves as dynamic and diverse ecosystems, akin to Islam’s ideas about Bangladeshi society, which had to rebuild itself after the Pakistani army brutally massacred the country’s intellectuals in 1971. Lucas Arruda creates images that concern the body’s response to light throughout the day and life. In the mural in Islam’s National Library, Arruda’s jungles coalesce a metaphysical sensation that can’t be described by scouring all the books in the library. They allude to another form of feeling and knowing.
Taniguchi works with painting and video in addition to printmaking, pottery, and sculpture. Her work focuses on concepts of composing, constructing, and framing, whilst referring to the craftsmanship and history of the Philippines. The repetitive process of creation employed in much of her work has been likened to the urban structure of Manila.
b. 1981 Dumaguete City; lives and works in Manila
Marlon de Azambuja
Marlon de Azambuja’s sprawling installation captures the density of Dhaka as well as its precarity in the wake of exponential urban growth resulting from climate change-related migration. The work unveils the inner organs of the city – construction materials such as bricks and concrete blocks, industrial clamps and building tools. Like unsung artists, Bangladesh’s construction workers transform these everyday materials into the buildings that make up the cityscape of emergent massive cities such as Dhaka. Dhaka is the world’s most densely populated city, a fact that Muzharul Islam could never have imagined when he was the senior architect for the government of East Pakistan.
Brutalismo–Cleveland, 2016. Commissioned by FRONT International: Cleveland Triennial for Contemporary Art. Courtesy of the artist and Instituto de Visión. Photo: The Cleveland Museum of Art
‘Cities should provide the environment for civilised life within the context of our own culture… The city can develop only as a part of the physical environment of the country, with the ultimate aim of abolishing all differences between the city and the rural areas. The traditional relationship with nature… should be continued in the cities.’
Islam, Muzharul. Muzharul Islam Archive. Accessed November 15, 2019. www.muzharulislam.com
Monika Sosnowska
Nearly every Bangladeshi artist exhibiting at DAS 2020 has climbed up and down the spiral staircase at Charukala (the Faculty of Fine Art) at Dhaka University as part of their artistic journey. Muzharul Islam viewed architecture as a vehicle to a better life, elevating local materials to their highest potential (while avoiding decoration). For Islam, the common Bangladeshi woman and man could rise above the circumstances in which they were born and education. Inspired by Islam and his vision, Monika Sosnowska has created a sculpture using similar materials to the staircase at Charukala, but removing its function. This sculpture leads nowhere, and while it pays homage to foundational structures, it also invites the viewer to consider the illusions inherent in built spaces.
Sosnowska uses building elements and materials to create disorientating installations, spaces, and objects that explore the psychological impact of architectural space. She is interested in architecture’s capacity to influence behaviour as well as reflect social structures and ideologies. Flaws, glits, and deformities in her work are used to question aspects commonly attributed to global modernisms.
Stairs, 2019-2020. Commissioned and Produced by Samdani Art Foundation for DAS 2020. Courtesy of the artist and Foksal Gallery Foundation
b. 1972, Ryki; lives and works in Warsaw
The Otolith Group
founded 2002 by Anjalika Sagar (b. 1968) and Kodwo Eshun (b. 1968), who live and work in London
O Horizon refers to the surface layer of soil, changed in the area around Santiniketan as the result of Rabindranath Tagore’s introduction of new flora to the planning and development of the campus. The film extends The Otolith Group’s ongoing consideration of the current geological age as one in which human activity spurs the primary changes on climate and the environment. O Horizon reflects upon modernist theories of dance and song developed by Tagore and the experimental practices of mural, sculpture, painting, and drawing developed by India’s great modernist artists associated with Santiniketan. O Horizon draws together visual arts, dance, song, music, and recital to assemble a structure of feeling of the Tagorean imagination in the 21st Century. The work also has resonances with Muzharul Islam’s campus of the Faculty of Fine Arts, University of Dhaka, where learning and convening of students unite the indoors and outdoors around circular forms such as the rooftops and ponds.
O Horizon, 2019. 4K video. Commissioned by Bauhaus Imaginists and co-produced by the Rubin Museum, with support from Project 88. Courtesy of the artists
Prabhavathi Meppayil
Time is rarely subtle. Yet among Prabhavathi Meppayil’s works, one’s gaze is enmeshed in a rare confluence of multiple structures, temporalities and forms that reconfigure our notion of space in and of time. At once archaeological in process and expansive in reading, Meppayil’s multimedia paintings conound for their immediacy and immeasurability. These newly commissioned works observe how Muzharul Islam’s reliance on both social and empirical structures informed the making and occupation of space. For Meppayil, her work shares in a similar layering of ideas; of an intuitive composition of sublime architectures that may be affected by forces such as entropy while at the same time, resistant to present-day desires for immediacy and easy reproduction. In this oscillation between additive and subtractive connotations, of surfaces marked and degraded, Meppayil’s works encourage the generative act of looking closely and seeing beyond.
Prabhavathi Meppayil’s practice rests in her meticulous approach to conceiving and executing processes specific to the materials that she uses. Coming from a family of goldsmiths, Meppayil adopts artisan techniques as a means to relocate particular materials as a generator of forms, providing a parallel reading to the way in which western art histories were received in the twentieth century. Through the use of non-traditional tools and often copper wire, she carves, erases and highlights carefully nuanced lines and patterns into layers of gesso and underlay the blurring of painting, drawing, and other disciplines while establishing meditative installations.
b. 1965, Bangalore; lives and works in Bangalore
Rana Begum
Many buildings designed by Muzharul Islam carry the marks of their makers. The architect reminded Russian-born American architect Louis I. Kahn that Bangladesh’s most skilled construction workers possessed a refined knowledge of building yet were illiterate, prompting Kahn to consider other ways of translating his vision for building in Bangladesh. In a similar spirit, writer Kazi Nasrul Islam invokes a generation of indigenous forms of learning by knowing in his poem *ink on my hands, ink on my hands*. Inspired by her memories of growing up in Sylhet, Rana Begum creates an immersive participatory installation in the central staircase of DAS 2020, where the fingerprints of the individuals who come together to build DAS form an abstract portrait of the collective energy of the Summit and city.
Begum utilises industrial materials such as stainless steel, aluminium, copper, brass, glass, and wood in her minimalist sculptures and reliefs. Her contemplative works explore shifting interactions between geometry, colour, and light, drawing inspiration from both the chance encounters of city life and the intricate patterns of Islamic art and architecture.
Seher Shah and Randhir Singh
First presented at DAS 2018, Dhaka Library is part of a collaborative body of work by Seher Shah and Randhir Singh exploring overlapping ideas in architecture, photography, drawing, and printmaking. Cyanotypes were one of the first photographic printmaking processes developed in the 19th century and a precursor to the blueprint, which was an important reproduction method for architectural and engineering drawings well into the 20th century. Working with this printmaking process, Shah and Singh focused on Muzharul Islam’s Dhaka Library (1953–1954), fragmenting its unique architectural components through photographic images. The artists were drawn to Islam’s work due to its aesthetic qualities, including heavy massing, the sculptural use of concrete, and repetitive structural grids, along with a rationalist intent driven by a desire to break from the status quo.
Seher Shah’s practice uses experiences from the field of art and architecture to question the rational language of architectural drawing. Randhir Singh is an architectural photographer who draws on his education as an architect to focus on ever-changing meanings found within modern architecture and urbanism in South Asia. Over the past few years, they have collaborated on a number of projects to explore the relationships between drawing, photography, and architecture.
Shezad Dawood
Considering how the body and fabric may become architecture, and where architectural space is always a platform for human performativity, Shezad Dawood’s installation draws on the legacy of Muzharul Islam to create an adaptable stage set. His interior functions somewhere between architecture and tapestry. With the layering of sound, Dawood examines the influence of Bengali polymath Rabindranath Tagore on Muzharul Islam, but also how Tagore’s work informs the later spiritual work of Alice Coltrane. Referencing Islam’s approach to nondualism, the project extends such flows into the space of the exhibition and enacts a series of dynamic collaborations much like the architect who regularly collaborated with artists, poets, and singers.
Tanya Goel
The brick is perhaps the oldest and most ubiquitous building material. Tanya Goel was inspired by the detailed texture found in the brick patterns of buildings by Muzharul Islam. In designing the Faculty of Fine Art, for example, Islam introduced a subtle geometric pattern on the face of each handmade brick, integrating a modern architectural language with the vernaculars of regional building. Islam was an avid supporter of the Bengali Language Movement and designed numerous institutions during the emergence of independent Bangladesh. Encouraged by these patterns that subtly constructed a nation based on culture and language, Goel has created pigments from brick dust sourced from around Dhaka. She has wrapped the pillars of the Shilpakala Academy in textured painted Bengali poems of independence. The words unfold across the columns that support the building, and the viewer must move around them to decipher the script, paying homage to the modern pillars that hold up today’s Bangladeshi nation. The artist has also traced details of Islam’s ageing buildings in brick dust, protecting them for the next generation through the process of drawing. She juxtaposes these zoomed-in details within their wider (material) context by framing them within her photographs of Islam’s Faculty of Fine Art, National Library, and male dormitory at Jahangirnagar University (as they stand today), paired with paintings she made on fragments of debris collected from these sites.
Goel is invested in the afterlife of construction, creating pigments from charcoal, aluminium, concrete, glass, soil, milk, graphite, and foils, all of which are sourced from building sites. Exploring abstraction within her painting practice, Goel works with the concepts of density and complexity inherent to the synthetic repetition of mathematical formulas, balancing unforeseen orders and potential chaos.
Geographies of Imagination
Envisioned by SAVVY Contemporary with Antonia Alampi, Bonaventure S.B. Ndiung, and Olani Ewunnet with Jothashilpa in association with the Goethe Institut, Bangladesh and Samdani Art Foundation
*Geographies of Imagination* is a growing research and exhibition project that manifests itself as a cartographic time-line, a performative process of un-mapping the geography of power and a space of discourse. The project is an attempt to rethink, reconfigure and pervert history-at-large and cartographic histories in particular. Each iteration of *Geographies of Imagination* assumes a different point of departure, situates itself within another real or fictional geography, and thus brings about differing research processes and outcomes.
For this rendition in Bangladesh, *Geographies of Imagination* has two vantage points. For its first point, it takes the partition of 85 million people throughout Bengal in 1905 implemented by the British Raj in an effort to ‘reorganise’ but ultimately to divide and rule, by cutting through the middle of the Bengali-speaking ‘nation’. Its second point is the Congo Conference hosted in Berlin in 1884, a moment when fourteen western ‘great powers’ partitioned the African continent amongst themselves for their geopolitical, exploitative economic and colonial agendas and fantasies, thereby re-imagining the cartography of the African continent irrespective of the peoples, cultures, and languages of Africans.
This incomplete timeline winding across the South Plaza of DAS features significant socio-political and cultural movements that pre-defined identities and nationhood, as well as rebellions and revolts against colonial rule. It is a thread of forgotten stories of resistance that plant the seeds for future emancipation across different geographies. This includes how the socio-political movements on the African continent informed resistance movements in Asia and vice-versa. One such example is the Indigo revolt (ca. 1859–1862), through which Bengali farmers organised against plantation owners who severely undercut the price of indigo, thereby forcing farmers to sell their products at a price far below their own cost of production. We trace lines that move across centuries and oceans, looking at the aftermath at the Arusha Conference (1961–1967), brought forth by Kom women in western Cameroon against the British administrative interference in agriculture (which was a female domain) and the alleged plan by the ruling political party to sell Kom land to Nigerian Igbos. The rebellion, which was crucial for the victory of the democratic party at the time of independence from colonial rule, had at its core women stripping naked in front of men as a weapon of rebellion – a practice implemented by other groups like the Takembeng.
We weave in connections between conferences and alliances that have strengthened positions of emancipation in contexts facing similar conditions of oppression. Novel forms of trans-national solidarity, from the first Pan-African conference held in London (in 1900), through the Baku Congress (1920), the Asian Relations Conference (1947), the Bandung Conference or African-Asian Conference in Indonesia (1955) and to the foundation of the Movement of the Non-Aligned that followed in Belgrade (1961–ongoing), among others. We pause on movements for independence and self-determination of countries and political speeches bearing witness to new proposals and ideas with regards to justice, and sovereignty. But we also look at populistic and nationalistic speeches of more recent political leaders, at new border control monitoring systems, visa regulations, economic trades, and import and export of labour forces, that create and multiply invisible frontiers and partitions, and at how recent technological developments have facilitated novel forms of cartographic scarification and forced constructions of spaces and communities.
In a time when in Cameroon the lines of citizenship are drawn upon remnants of colonial language structures between Anglophones and Francophones, in a time when the Citizen Amendment Act and national register of citizens want to make Indian Muslims foreigners in their own country, in a time when black Africans are kicked out of South Africa in several waves of xenophobic attacks, in a time when the Rohingyas are openly persecuted in Myanmar, we must reconsider the powers that make geography be.
This iteration of Geographies of Imagination was developed through a wide range of interviews with academics and researchers from various disciplines, artists, curators, and researchers based predominantly in Dhaka in collaboration with the Samdani Art Foundation and Goethe Institut, Bangladesh. The timeline recurs with dates held in Bengali, Ethiopian and Gregorian calendars, to emphasise how the system of time itself is situated and subject to different representations and variations. The visualisation is the outcome of a close dialogue with the Dhaka-based Jothashilpa collective, working with master cine and banner painter Istik Mohamad Shoaib, artist and researcher Shawon Akhand, and artists Sharmin Afroz Laboni and Alia Kamal.
Roots
Curated by Bishwajit Goswami. Research assisted by Sumon Wahed
This exhibition was made possible through the initiative and dynamic energy of Brihatta
Artists in Bangladesh have played a key role in building the institutions that support artistic production in the country, from founding formal institutions like art schools (such as Zainul Abedin with the Faculty of Fine Art, University of Dhaka and Rashid Choudhury with the Institute of Fine Arts, University of Chittagong) as well as informal art education outside of the capital (S.M. Sultan’s Shishu Swarga and Charupith). Dhaka based artist and educator Bishwajit Goswami’s exhibition examines the transfer of knowledge by art educators who have been critical in the building of Bangladesh’s art history.
Decolonial Awareness and Action
There was a strong sense of decolonial awareness in the 1950s that pervaded the art scene of what was then East Pakistan. Several Muslim students and teachers from the Government School of Art in Calcutta opted to move to East Pakistan to develop their own distinct style after the 1947 partition of India among these artists were Zainul Abedin, Safiuddin Ahmed and Quamrul Hassan. Zainul Abedin, for example, founded Dhaka’s art institute in a context that previously had no recent history of institutional or professional art training. This first generation of artists initiated was not only a stylistic shift, but a call for the rethinking of East Bengali cultural practice, in addition to identifying its lack of institutional representation. They founded institutions to allow this culture to flourish in the new context of East Pakistan, and later Bangladesh.
Building from Scratch
The first generation of teachers in what is now the Faculty of Fine Art, University of Dhaka made deliberate strides to cultivate a context for artistic expression outside of British or West Pakistani domination. The school was and continues to be an intellectual meeting point and its building designed by Muzharul Islam made it one of the first examples of modern architecture in East Pakistan, if not all of South Asia. These teachers were politically active and vocal against the injustices imposed on them by West Pakistani rulers. They participated in mass movement demonstrations as part of the Language Movement of 1952 leading up to the Independence movements of 1969-1971, remained involved in the struggle for democracy of 1980s and later participated in the anti-fundamentalist uprising movements of the last two decades. Newly-founded formal institutions like art schools as well as informal art education platforms outside of the capital (S. M. Sultan’s Shishu Swarga and Charupith, 1953-1955), artists such as Zainul Abedin with the Faculty of Fine Art, University of Dhaka in 1948, Rashid Choudhury with the Institute of Fine Arts, University of Chittagong (1970), and Shoshibhuson with Maheshprasha School of Art; currently Fine Arts School, Khulna University (1904), established deep and resilient roots allowing the culture of East Bengal to spread its branches all over the country.
The Birth of Bangladesh
The birth of Bangladesh was made possible by a shared hope of creating a secular, democratic and socialist country where Bengali culture would flourish. It was a cultural movement before it was a nationalist one. The government’s commitment to create institutions to nurture the country’s culture was not limited to Dhaka – it extended to Chittagong (Southeastern Bangladesh), Rajshahi (North Bangladesh), and Khulna (Southwest Bangladesh). The 1971 war resulted in the search for inspiration from Bengali cultural heritage and sparked a new impulse to communicate with the population at large by incorporating social and political interpretations into art. Quamrul Hassan depicted the furious face of West Pakistani aggression and encouraged people to demolish it in his poster *Annihilate These Demons*. In 1988 he again awakened the people against the authoritarian ruler of HM Ershad by inscribing his last drawing with the title *The country is under an impudent ruler*.
Many of the artists in the 1950s such as Aminul Islam (1931-2011), Murtaja Basar (1932-), Rashid Choudhury (1932-1986), and Abdur Razzaque (1932-2005) went abroad for higher education and trained in the art centres of the ‘Western world’ (France, Italy, USA) where they came in contact with avant-garde movements. Looking eastward, Mohammad Kibria (1929-2011) travelled to Japan where he adopted a style of abstraction influenced by Japanese (as well as American) philosophy.
The artists of the 1960s searched for expanded and more meaningful involvement with ideas that had begun to dominate artistic and aesthetic discourse combining local and international influences. Hashem Khan (1941-) and Rafiqun Nabi (1943-) are notable examples of artists who portrayed local issues through illustrations and cartoons. Mustafa Monwar (1935-) invested his time in introducing art and creative practices to the masses through his widely broadcast television show that taught children how to express themselves with puppets, drawings, and watercolours. A great deal of passion flowed through the works of the 1970s where the impact of the Liberation War
was visible. The re-emergence of figurative art was a welcome relief from the obsessive preoccupation with abstract formalism of the previous decades. Hamiduzzaman Khan (1946–), Chandra Shekhar Dey (1951–), Ajoy Roy (1950–) and many other artists demonstrated an interest in the increasing ‘realisation’ of their work and for the first time, a generation of East Pakistani Artists of the 1960s worked in parallel with the first generation of Bangladeshi Artists of the 1970s with their teaching and artistic activities. They began to develop the local art scene by introducing art criticism, exhibition and graphic design to support the public dissemination of art. They established formal exhibition platforms (such as the Asian Art Biennale (f. 1981), which is the oldest continually running biennial of contemporary art in Asia) to share their work with both local and international audiences.
The generation of the 1980s developed a critical point of view about history and reality to combat the oppressive dictatorial regime of Ershad. The artists from the Shomoy Group (Dhali Al Mannon (1958–), Shishir Bhattacharjee (1960–), Nisar Hossain (1961–) and others) blended elements of diverse social issues and represented time and history. The contribution of this generation of artists is significant; they brought about new readings of modernism, altering the art world and its values (more information about this generation can be found in Ifatulsa Zaman’s exhibition at DAS on page 83).
Roots, Branches, and Leaves; Generations, Collectives, Individuals
The works of art in this exhibition visually stand for the individual contributions of 61 artists as they developed unique styles while being mentored by artist-pedagogues from the previous generation. When the socio-political environment was stable (which it rarely is in Bangladesh) artists became more focused on their personal practices and strove to build an art market in this young country, and several opened up commercial art galleries. However, during the several periods of unrest in the country, many shifted their focus to activism. They formed collectives and artist groups to create a support system to push their radical ideas and demand for reform into being. This energy carried across generations, and the borders between individuals, groups, and generations are ambiguous. Visitors are invited to form their own narratives of connectivity across space and time through the artworks themselves, but also through the underlying networks that built the art scene of Bangladesh that we experience together at DAS.
A Guide to Bangladesh’s Art Schools
Name changes of cities, streets, and buildings are common in South Asia, so the institutions described in these biographies are referred to by multiple names. The guide below is an attempt to map out how the four main art schools of Bangladesh were referred to at different times of their history.
Faculty of Fine Art, University of Dhaka:
Government Institute of Arts, Dacca (1948-1963)
East Pakistan College of Arts and Crafts, Dacca (1963-1971)
Bangladesh College of Arts and Crafts, Dacca (1972-1983)
Institute of Fine Art, University of Dhaka (1 September 1983 – 1 August 2008)
Faculty of Fine Art, University of Dhaka (2 August 2008 – present)
Institute of Fine Arts, University of Chittagong:
Department of Fine Arts, University of Chittagong (1970-2010)
Chittagong Art College (1973-1984)
Government Art College, Chittagong (1984-2010)
The Department of Fine Arts and Government Art College combined together to form Institute of Fine Arts, University of Chittagong (2010-present)
Faculty of Fine Arts, University of Rajshahi:
Rajshahi Arts & Crafts College (1978-1994)
Department of Fine Arts, University of Rajshahi (1994–2015)
Faculty of Fine Arts, University of Rajshahi (2015–present)
Fine Arts School, University of Khulna:
Maheshwarpasha School of Art/ Arts (1904-1983)
Khulna Art College (1983–2009)
Institute of Fine Arts, University of Khulna (2009-2019)
Fine Arts School, University of Khulna (2019–present)
Abdur Razzaque
Simultaneously a painter, a printmaker and a sculptor, Abdur Razzaque is known for his Jagroto Chowrongi (The Vigilant Crossroad), a memorial sculpture dedicated to the valiant Bengali Freedom Fighters from 1971 at Gazipur, Tongi. Razzaque earned his Fine Art Degree from the Government Institute of Arts, Dacca in 1954 and then received a Fulbright Scholarship to study Fine Arts at the State University of Iowa, USA. He returned to Bangladesh as a research assistant until 1957. Upon his return to Bangladesh (then East Pakistan) in 1958, he joined the Government Institute of Arts, Dacca as a teacher. He established the first sculpture department in the country in 1963 and dedicated himself to the development of the academic programme at a time when figurative sculptural representation was considered anti-religious and was therefore discouraged.
Abdus Shakoor Shah
Over a large span of his career, Abdus Shakoor Shah’s work has been drawing on folk motifs and ancient Bengali ballads including Mahua and Malua love stories, Nakshi Kanthar Maath, Gazir Pata, Manasha Pata through painting, tapestry, batik and serigraphy. Shakoor was encouraged by his father Rashid Shah to explore his heritage, culture and roots while studying at the Department of Fine Arts, Chittagong University. As a teacher, he inspires his students to find inspiration from the region. He earned his BFA from the East Pakistan College of Arts and Crafts, Dacca in 1970, and his Post Graduate Diploma from the M.S. University, Baroda, India in 1978. He is an Honorary Professor of the Department of Craft, University of Dhaka and formerly held the position of Director of the Institute of Fine Art.
b. 1946, Bogra; lives and works in Dhaka
Abul Barq Alvi
Abul Barq Alvi, a painter and printmaker, has been an inspiration for several generations of Bangladeshi art students. During the Liberation War of Bangladesh in 1971, he was arrested by the occupying forces and incarcerated and tortured. The war left a deep scar in his psyche that changed his perception of reality. Instead of recording external impressions, he became more interested in exploring the inner world of nature where images are reduced to their essential forms. He completed his BA at the East Pakistan College of Arts and Crafts, Dacca in 1968 and conducted postgraduate research at Tsukuba University, Japan from 1983-84. He is currently Honorary Professor of the Printmaking Department, Faculty of Fine Art, University of Dhaka where he held the position of Dean from 2012 to 2014.
Graveyard, 1972, Oil on Board. Courtesy of the artist and Bangladesh National Museum.
b. 1949, Pabna; lives and works in Dhaka
Abul Monsur
Over a more than three-decades-long career as an art educator and writer, Abul Monsur applied his literary practice to contribute to the field of art theory and criticism. He also promoted Bangladeshi artists through publishing artist monographs. To integrate the disciplines of art and literature, Monsur and his friends published the annual magazine Proshongo in 1985 and later established Shilpo Somonnoy (a space for young artists) in 1999. As a student, Monsur was involved with the collective Oti Shamprotik Arnra that created a 13-panel mural in 1972 narrating the history of Bangladesh which was part of the India-Bangladesh Friendship Fair in Calcutta (considered to be the first international exhibition of an independent Bangladesh). Monsur started his career as a teacher in the Department of Fine Arts, University of Chittagong and taught theory until 2012. He completed his studies at the Bangladesh College of Arts and Crafts, Dacca in 1972 and received his MFA in Art History from the M.S. University in Baroda in 1982.
b. 1947, Chittagong; lives and works in Chattogram
Abu Sayeed Talukder
Abu Sayeed Talukder played an important role in developing the foundation for modern ceramics and studio pottery practice in Bangladesh, by introducing modern techniques and concepts such as crystalline glaze and establishing ceramics as a mainstream art medium. He experimented with pottery-making, primarily using terracotta. He completed his BA in 1985 and his postgraduate degree in Ceramics at the Central Academy of Applied Art, Beijing, China. He became a teacher at the Ceramics Department, Institute of Fine Art, University of Dhaka in 1987 where he had previously completed a certificate course in 1980.
Strangled, 1983, Black terracotta & sand. Courtesy of the artist and Bangladesh Shilpakala Academy.
Alok Roy
Alok Roy is known for his monumental figurative sculptures combining folk and classical terracotta style in a contemporary fashion. Inspired by the ancient architecture of Bengal, his sculptures often carry fragments reminiscent of architectural forms and are frequently situated in natural environments, interacting with the elements of sunshine, wind, and rain. One of his finest masterpieces that combines sculpture and architecture is his residence Aroni, where he also established Chittagong Sculpture Center in 2018, a space for students to share knowledge about sculpture. Alok Roy completed his studies at the Bangladesh College of Arts and Crafts, Dacca in 1973 and earned his MFA from M.S. University in Baroda, India (1978). He later served as a teacher at the Institute of Fine Arts, University of Chittagong from 1978-2016.
b. 1950, Mymensingh; lives and works in Chattogram
b. 1954, Sirajganj; d. 2005, Dhaka
Book cover of SHILPI DARSHAK SARBALOCHAK (A Book on Art), Muktidhara, Dhaka, 2nd Edition, February 2014
Mrid Shilpa Chir Kollakker, 1998. Ceramic. Courtesy of Department of Ceramic, Faculty of Fine Art, University of Dhaka. Photo: Noor Photoface
Aminul Islam
Anwarul Hug was one of the initiators of the Government Institute of Arts in Dhaka in 1948 and served as a teacher until 1977. He made significant contributions to the development of the curricula of the school. Anwarul Hug was the founding teacher of the Department of Drawing and Painting. He was a somewhat reclusive figure, preferring to stay away from the public gaze, focusing on institution building activities, administrative, teaching and administrative duties. He completed a Fine Art Degree in 1941 and a ‘Teachship’ Course at the Government School of Art, Calcutta and taught there until Partition in 1947, after which he relocated to Dhaka.
b. 1931, Narayanganj; d. 2011, Dhaka
Anwarul Hug
Banizul Hug was a vital figure in the foundation of two major art institutes in Bangladesh: Chittagong and Rajshahi Art College. Hug joined Chittagong Art College in 1973 as one of its first teachers. While teaching there, he built a hostel for the art college students to transform it into a residential campus. But soon after, he left the institution to establish Rajshahi Art College in 1978 which is now the Faculty of Fine Arts, University of Dhaka. He remained there as founding principal till 1986. Hug was a painter whose work reflected the serene beauty of nature with surrealist motifs. He completed his BFA at the Bangladesh College of Arts & Crafts, Dacca in 1973.
b. 1918, Uganda; d. 1981 in Dacca
Banizul Hug
Bulbon Osman
Despite having a background in sociology, Bulbon Osman has dedicated his career to the teaching of art history. He completed his BA in 1962 and his MA in 1963 at the Sociology Department of the University of Dacca. Osman began his teaching career in 1966 as a teacher of the ‘Sociology of Art’ at the East Pakistan College of Arts and Crafts, Dacca. Osman’s involvement in theory has also inspired him to become a self-taught artist working across painting and printmaking. He contributed to the Swadhin Bangla Betar Kendra (Free Bengal Radio Centre) during the Liberation War of 1971. Osman is currently serving as an Honorary Professor of the History of Art Department, Faculty of Fine Art, University of Dhaka.
b. 1941, Howrah; lives and works in Dhaka
Chandra Sekhar Dey’s canvases capture the magic of everyday life in Bangladesh and its stories, mostly focusing on urban landscapes. His unique use of the colour white in his art practice is notable and stands out in the Bangladeshi context. He worked as a teacher at the Chittagong Art College from 1973-1977 and from 1984-1988. During that time, he also volunteered at several cultural spaces in Chittagong. Active as a student, Dey was one of the key members of the collective group *Oti Shamprotik Amra* that created the 13 panel *Abahoman, Bangla Bangali* murals in 1972. He completed his BFA at the Bangladesh Institute of Arts and Crafts, Dhaka in 1972 and his MFA in 1975 at the Fine Arts Department, University of Chittagong.
b. 1951, Chittagong; lives and works in Dhaka
Debdas Chakraborty works across various mediums and disciplines creating artworks that are distinct for their combination of lines that build up abstract geometric forms. His *Brisi* (Rain) series is the finest example of his style. As a politically aware artist, Chakraborty’s artworks repeatedly depict social realism, but in an abstract form. Debdas Chakraborty taught at the Fine Arts Department of Chittagong University for almost a decade from 1970-80. During the Liberation War of Bangladesh, he worked as a designer for the temporary Government of Bangladesh. Chakraborty completed his art education at the Government Institute of Arts in 1956.
b. 1933, Shariatpur; d. 2008, Dhaka
Dhali Al Mamoon is known for his versatile experimental works, both in terms of their ideas and the diverse media employed. His drawings, paintings, sculptures, installations and videos explore history and identity of Bengal. He finds it difficult to escape history and is driven by the need to articulate the social and political imperatives of the nation. His art writings reflect his anti-colonial standpoint and reveal the inferiority complex issues of colonised people in their cultural contexts. He was a founding member of the Shomoy artists’ group, active from 1980 to 1995. He completed his Master Degree in Fine Arts at the University of Chittagong in 1994 and studied at the DAAD Fellowship at the Hochschule der Künste, Berlin, Germany from 1993-94. He is a Professor in the Department of Painting, Institute of Fine Arts, University of Chittagong and one of the most influential teachers in Chittagong.
b. 1958, Chandpur; lives and works in Dhaka
Farida Zaman has been an inspiration for women in Bangladesh over her five decade long career due to her persistence to keep working against all odds. The artist’s subjects interact with time and space, and she is particularly well known for her fishnet series. Zaman has published illustrations and articles in journals across Bangladesh. She completed a BFA at the Bangladesh College of Arts and Crafts, Dhaka in 1971 and an MFA at the M.S. University, Baroda, India in 1978 and later earned a PhD from the Visva-Bharati University, Santiniketan, India in 1995. She is an Honorary Professor of the Department of Drawing and Painting, Faculty of Fine Art, University of Dhaka.
b. 1953, Chandpur; lives and works in Dhaka
Foyejul Azim
Foyejul Azim’s artistic journey centres on the theory of art which he taught from 1982–2018 at the Institute of Fine Arts, University of Chittagong, publishing several theoretical books parallel to his painting practice. In 1992 he published a collection of articles entitled *Charukalar Bhumika*, defining fundamental concepts of Fine Arts and their visible processes, helping Bangladeshi art students to enrich their theoretical knowledge. His publication *Shilpakalar Adiparba O Aupanibeshik Prothab*, is another one of his research contributions. Foyejul Azim completed his MFA at the Fine Arts Department of Chittagong University. He earned his PhD from Rabindra Bharati University, Calcutta in 1994.
Golam Faruque Bebul
*Fragmented Image-31*, 2011. Acrylic on canvas. Courtesy of the artist and Cosmos Foundation
Golam Faruque is an abstract painter and printmaker and his works are notable for their fragmented imagery with varying forms and compositions that depict the anguish and joy of life. His abstract imagery includes a vocabulary of abundant and varied textures and colours and his layering techniques create enhanced expressiveness. He earned his BFA in Printmaking from the Bangladesh College of Arts and Crafts, Dacca in 1978. He later earned an MFA in 1985 in the same subject from the Institute of Fine Art, University of Dhaka. He is a Professor of the Faculty of Fine Arts, University of Rajshahi.
b. 1958, Jamalpur; lives and works in Rajshahi
Hamiduzzaman Khan
Hamiduzzaman Khan is known for his large-scale public sculptures that are found in Dhaka and across Bangladesh. His work is associated with the Liberation War and freedom fighters, and he uses a wide variety of materials in his sculptures from metal to marble to wood. While his own individual works on these themes began while he was a student in Baroda, the work became more ambitious while he assisted his teacher Kishore Dasgupta in sculpting *Jatayu Chhaya Dhangi* in Gazipur in 1972. Khan earned his BFA in painting from the East Pakistan College of Arts and Crafts, Dacca in 1967. His travels in Europe sparked his fascination for sculpture in urban and public space, and he later enrolled in an MFA programme in sculpture at the M.S. University, Baroda from 1974–76. He interned at the Sculpture Centre in New York from 1982 to 1983. He is an Honorary Professor of the Department of Sculpture, University of Dhaka.
*Remembrance 71*, 1975. Bronze. Courtesy of the artist
b. 1946, Kishoreganj; lives and works in Dhaka
Hashem Khan
Hashem Khan’s school textbook covers and illustrations have been inspiring many generations of students to pursue art; his simple drawings effortlessly connect to the people of their daily life. His painterly work is romantic, abstract, and colourful. He actively participated in the Liberation War of 1971 and produced many works addressing the subject to rally the cause. Hashem Khan was one of the designers and illustrators of the handwritten Constitution of Bangladesh of 1972, under the supervision of Shilpacharya Zainul Abedin. He completed his Fine Art degree at the Government Institute of Arts, Dacca in 1961. He was a faculty member of the Faculty of Fine Art, University of Dhaka from 1968 to 2017.
b. 1941, Chandpur; lives and works in Dhaka
Hashi Chakraborty
Hashi Chakraborty was one of the pioneers in synchronising regional and global forms in his paintings, most of which demonstrate a strong presence of nature, the sea in particular. His work explores ideas of progression and epic consciousness. During his undergraduate years Chakraborty founded the Painters’ Group along with his friends in 1973. He joined The Chittagong Art College as a teacher after completing his education at the Bangladesh College of Arts & Crafts, Dacca in 1972 and earned an MFA from the Fine Arts Department of Chittagong University in 1974.
Mayabi Dwip, 1977, Oil on Canvas. Courtesy of Bangladesh Shilpakala Academy
b. 1948, Barisal; d. 2014, Chittagong
Hritendra Kumar Sharma
Hritendra Kumar Sharma is an artist and an art educator. A contrasting use of light and shade on the surface and drawing-based abstraction dominates his work. His powerful lines create visual illusions and generate dynamic space on the surface of the work. He completed his BFA in Drawing and Painting at the Bangladesh College of Arts and Crafts, Dacca in 1981. He later earned an MFA in 1984 in the same subject at the Institute of Fine Art, University of Dhaka. He became a lecturer in Rajshahi Arts & Crafts College in 1989.
b. 1961, Netrokona; lives and works in Rajshahi
Jamal Ahmed
Jamal Ahmed’s artworks portray two-dimensional painted figures against pastoral and urban scenes. He is known for his use of colour and textured surfaces and his ability to invoke drama and tension. He earned a BFA from the Bangladesh College of Arts and Crafts, Dacca in 1978 and an MFA degree at Tsukuba University, Japan in 1982. He studied oil painting in Japan from 1982 to 1984 and completed another year-long research course in Warsaw, Poland in 1980. Ahmed is currently a Professor at the Faculty of Fine Art, University of Dhaka, Bangladesh.
Bather, 2009, Mixed Medium on Paper. Courtesy of the artist and Mrs Niloy Rowshan Murshed
b. 1955, Dacca; lives and works in Dhaka
Kazi Abdul Baset
Kazi Abdul Baset’s work varies from realism to abstraction with a distinct richness of colour. He completed his BFA at the Government Institute of Arts, Dacca in 1956, and his MFA at the School of the Art Institute of Chicago under a Fulbright Scholarship from 1963 to 1964. While studying in the USA, Baset was influenced by abstract expressionism. Baset was at the forefront of those who tried to introduce abstract expressionism in Bangladesh and played an important role in modernising painting. In 1967 he joined what is now the Faculty of Fine Art University of Dhaka as a teacher, the Director of the Institute of Fine Art (1991-94) and the head of the Drawing & Painting Department. He retired in 1995.
Composition, 1982, Oil On Canvas. Courtesy of Bangladesh Shilpakala Academy
b. 1935 Dacca; d. 2002 Dhaka
Kazi Rakib
Kazi Rakib is recognised for his glass paintings although he also works in a variety of other media. Rakib was a founding member of the Dacca Painters 1974–1977, an artists’ group inspired by Surrealism and Dada. In 1981, he created a series of prints denoting the country’s suffering, political instability, economic crisis and social discrimination of the time, part of his longstanding work as an artist-witness. Rakib completed his BFA in 1977 at the Department of Fine Arts, University of Chittagong. He was one of the founding teachers of Rajshahi Art College from 1979–1984. He regularly wrote on art and aesthetics for a newspaper named *Dainik Barta*.
b. 1958, Shariatpur; lives and works in New York
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KMA Quayyum
Stories originating from the sensibility and expectations of life find their place on the canvases of K M A Quayyum. His journey in the field of art finds its distinct identity through the use of a melancholic colour palette. While influenced by western naturalism, Quayyum’s subject matter remains grounded in Bangladesh. After completing his studies at the Bangladesh College of Arts and Crafts, Dacca in 1963, he completed his MFA degree at the Fine Arts Department, University of Chittagong in 1975. He started his teaching career at the Chittagong Art College in 1978 and taught there for four decades.
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Lala Rukh Selim
Lala Rukh Selim is a sculptor, academic and researcher who was a member of Shomoy, an influential artists’ group active during the 1980’s and 1990’s. She was the editor of ART, a quarterly Journal active from 1994 to 2004 that played an important role in disseminating English texts about art in Bangladesh. She edited the ‘Arts and Crafts’ section of the Cultural Survey of Bangladesh (2004) published by the Asiatic Society of Bangladesh in 2007. She completed a BFA at the Institute of Fine Art, University of Dhaka in 1984 and earned an MFA at the Kala Bhavana, Visva Bharati, Santiniketan, India in 1989. She was the lead partner for the Faculty of Fine Art in the INSPIRE project which was an educational exchange program with the Slade School of Art, UCL, London, UK from 2010–2017. She is a Professor of the Sculpture Department, Faculty of Fine Art, University of Dhaka.
b. 1963, Dacca; lives and works in Dhaka
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Mahbubul Amin
Mahbubul Amin played an important role in the country’s fine art movement through his service as a teacher for three decades, helping students to choose their artistic paths. Amin’s works reflected various motifs of village life, both human and non-human. Although his taste was enriched and polished by urban life, his mind was filled with the essence of the soil. Amin completed his BFA at the East Pakistan College of Arts and Crafts, Dacca in 1970 and joined the college as a teacher in 1972.
b. 1948, Mymensingh; d. 2001, Dhaka
Mahmudul Haque
As an artist and teacher, Mahmudul Haque introduced different printmaking and painting processes to his curriculum. Haque’s stylised artworks are non-representational; line, color, shape, textures are dominant on the surfaces of his prints and paintings. He cooperated with the Bengal Foundation to establish the Safiuddin Bengal Printmaking Studio, an alternative space for artists. He completed his BFA at the East Pakistan College of Arts and Crafts, Dacca in 1968 and an MFA at Tsukuba University, Japan in 1984. Haque was a visiting Professor at Tsukuba University and the Indus Valley School of Art and Design, Pakistan. He is an Honorary Professor of the Department of Printmaking, University of Dhaka and held the position of Director of the Institute of Fine Art from 1999 to 2002.
Bikerler Janala, 1973. Oil On Canvas. Courtesy of Bangladesh Shilpakala Academy
b. 1945, Bagerhat; lives and works in Dhaka
Maran Chand Pal
The cultural history and heritage of Bangladesh inspired the work of Maran Chand Pal. He made a great contribution to the practising and conservation of traditional pottery folk dolls (i.e. Tepa Putul, peacocks, elephants, horses). He transformed forms and ideas from traditional dolls into impressive sculptures with his unique style. He was one of the first students of the Department of Ceramics at the East Pakistan College of Arts and Crafts, Dacca where he completed his certificate course in 1964. He later joined the department as a teacher in 1965. Taking his teaching role outside of the classroom, he also taught ceramics to local youth as a tool for improving their livelihood.
b. 1945, Dacca; d. 2013 in Dhaka
Matlub Ali
Matlub Ali is an artist, art educator, art critic, writer, lyricist, composer and playwright. He has been contributing to Bangladeshi literature through numerous books on the socio-political scenario as well as the country’s art and culture. He is highly influential in the development of art historical writing. He completed a BFA in 1969 at the East Pakistan College of Arts and Crafts, Dacca and an MIFA in 1980 at the Faculty of Fine Art, University of Dhaka. He joined as a lecturer of Bangladesh College of Arts and Crafts in 1973 and retired as a Professor of Drawing and Painting, Faculty of Fine Art, University of Dhaka in 2012. He held the position of Dean, Faculty of Fine Art, University of Dhaka from 2010 to 2012.
SHILPI O SHILPAKALAA (Essays on Art & Artist), June 1994. Matlub Ali, Bangla Academy, Dhaka, 1st Edition
b. 1948, Rangpur; lives and works in New York
Mir Mustafa Ali
Mir Mustafa Ali was an artist and art educator who played a pioneering role in the development of ceramics as institutional practice in Bangladesh. He was the founding head of the Ceramics Department at the East Pakistan College of Arts and Crafts, Dacca. He completed a Fine Art Degree at the Government Institute of Arts, Dhaka in 1955 and later went to England to study modeling and ceramics at the Central School of Arts and Crafts in London from 1956-1960. Zainul Abedin took the initiative of opening the Ceramics Department in 1961 and invited Ali to join as a lecturer in 1963. Ali collected traditional ceramics and donated those to the department’s permanent collection to ensure the students’ knowledge of the medium. He was the Director of the Institute of Fine Art, University of Dhaka from 1986 to 1988.
b. 1932, Burdwan, British India; d. 2017 in Dhaka
Pottery, (date unknown). Ceramic, Faculty of Fine Art, Dhaka University
Mohammad Eunus
Mohammad Kibria was an abstract painter and graphic artist who is remembered as one of the first successful non-representational artists in Bangladesh. Guided by Hideo Hagiwara while studying in Japan, Kibria learned to apply precision and balance to his painted surfaces, values that he passed onto his students. Kibria was inspired by abstract expressionism and his early works articulated architectural concepts and geometric influences that receded into space. He completed his art education at the Govt. School of Art, Calcutta, India in 1950, and studied at the Tokyo University of Arts from 1959-1962. Prompted by Zainul Abedin, in 1958, Kibria joined the Government Institute of Fine Arts and taught painting and eventually moved to the printmaking department. As a teacher and artist, he inspired students and others to be open minded and to create art in a global context.
X-ray of Bengal, 2007. Mixed Media. Courtesy of the artist
Mohammad Eunus is a painter and graphic designer whose versatile style enriches the scenography of major events like Amar Ekushey, Zainul Utsab, and many convocations at Dhaka University. He is also known for his painting, which is inspired by abstract expressionism but carries familiar textures of urban society. His canvases depict the effects of time, the rotation of the planet, and the cycle of the seasons through the use of texture across various shapes and forms. He earned his BFA from the Bangladesh College of Arts and Crafts, Dacca in 1978 and an MFA from Tama Art University, Tokyo, Japan in 1987. He is currently a professor in the Graphic Design Department, Faculty of Fine Art, University of Dhaka.
b. 1954, Thakurgaon; lives and works in Dhaka
Landscape ( ), 1980. Oil On Canvas. Courtesy of Ms Nilu Rowshan Murshed
b. 1929, Birbhum, British India; d. 2011 in Dhaka
Monirul Islam
Monirul Islam is one of the most influential living artists in Bangladesh known for his constant search for new methods of painting and print-making which also involves making his own paint and paper. He studied at the East Pakistan College of Arts and Crafts in Dacca from 1961-1966. He was a teacher at the same college in Dacca from 1966-1969 and left teaching for his career in 1969, showing his major paintings at the Madrid Academy of Fine Arts. Even while abroad, he remained in touch with Bangladeshi artists and conducted workshops when visiting Dhaka in order to pass down his methodology.
b. 1943, Chandpur; lives and works in Dhaka and Madrid
Green Haven, 2012. Acrylic on corrugated board. Courtesy of Ms Nilu Rowshan Murshed
Monsur Ul Karim
Monsur Ul Karim expresses himself through paintings that speak to the co-existence of nature and humanity. Coming from Rajbari, a district near the bank of Padma River, he has depicted the life and struggle of people displaced by erosion, using bright and vibrant colours. His works on the hilly region of Bandarban are calm with cool compositions of blue and green. He founded Monor Academy (2005-2015) and established an artists’ group called ‘Artists of Chittagong 55 in order to keep the art scene in Chittagong alive. In his retirement, he founded ‘Bunon Art Space (2016-) in his hometown of Rajbari. Monsur Ul Karim earned his BFA from the Bangladesh College of Arts & Crafts, Dacca in 1972. He received his MFA degree from the Department of Fine Arts, University of Chittagong in 1974 where he taught from 1976-2015.
Point Of Departure, 2015. Acrylic. Courtesy of the artist and Bangladesh Shilpakala Academy
b. 1950 Rajbari; lives and works in Rajbari
Mostafizul Haque
Although Mostafizul Haque has been teaching painting at graduate and postgraduate level and made a considerable contribution in developing a culture for educating children in Fine Art. Very conscious about the relationship between children, art, and psychology, he implemented this knowledge to introduce new techniques to help children learn more effectively. He completed his BFA in 1978 and MFA in 1981 from Bangladesh College of Arts and Crafts, Dhaka. He later earned another Master’s degree in Japanese Painting from the University of Tsukuba, Japan in 1995. He is currently teaching as a professor in the Drawing and Painting Department, Faculty of Fine Art, University of Dhaka.
Human Form-2, Acrylic On Canvas. Courtesy of the artist and Faculty of Fine Art, Dhaka University
b. 1957, Bagerhat; lives and works in Dhaka
Murtaja Baseer
Murtaja Baseer is known for his ‘abstract-realist’ paintings reflecting his daily experience of Bengal. In 1967, he started the Wall series, his first step towards abstraction, which depicted the tropic and layers of cultures and colours on the walls of old Dhaka, a reflection on the society under the dictatorship of Ayub Khan (1958-1969). He actively participated in the Language Movement of 1952 and pre-Liberation War demonstrations. He was sent to jail throughout the East Pakistani period for his leftist political views and later left for Paris. Baseer enrolled in the Government Institute of Arts, Dhaca in 1949. After earning the degree in 1954, he studied at the Academia di Belli Art of Florence from 1956-1958. He later studied mosaic making at Ecole Nationale Superieure des Beaux-Arts in 1971 and Etching and Aquatint in Academie Goetz in Paris, France from 1972-1973. Baseer is also a writer, poet, numismatist, and acted as an academic at the University of Chittagong until 1998.
b. 1932, Dhaca; lives and works in Dhaka
Mustafa Monwar
Mustafa Monwar is a painter, art educator, designer, media personality and cultural activist. He participated in the language movement of 1952 and during the 1971 Liberation War he organised puppet shows at refugee camps in West Bengal to inspire and encourage people in the midst of war. Monwar’s television puppet show Moner Kotha ran on Bangladesh Television for twelve years and had a great impact on the children of that generation. Through his television shows, many children learned about the different techniques of art. He runs the Dhaka-based organisation Educational Puppet Development Centre (EPDC). He studied at the Govt. College of Art and Craft, Calcutta in 1959. Monwar started his career as a teacher at the East Pakistan College of Arts and Crafts, Dhaca from 1960-1963. He later joined Bangladesh Television (BTV) as Director General and went on to become Director General of the Bangladesh Shilpakala Academy and the National Media Institute. He also served as a managing director of the Bangladesh Film Development Corporation.
b. 1932, Dhaca; lives and works in Dhaka
Naima Haque
Women and the mother-child bond dominate both the paintings and illustrations of Naima Haque. While earning her MFA, Haque took on the challenge of engaging with the male-oriented discipline of graphic design and later made this her tool to reach out to marginalised women and children with her illustrations, story books and writings. Being a prominent member of Shako (an association of female Bangladeshi artists established in 2003 that works for the welfare of women), she frequently works closely with organisations across Bangladesh who support groups that are marginalised by society. She completed a BFA in Drawing and Painting at the Bangladesh College of Arts and Crafts, Dhaca in 1974 and an MFA in Graphic Design at the MS University of Baroda, India in 1983. She joined the department of Graphic Design at the Institute of Fine Art, University of Dhaka in 1987 as a lecturer.
b. 1935, Magura; lives and works in Dhaka
Drawing (experience from the liberation war), approx. 1971. Mixed media on paper. Courtesy of the artist and Bishwajit Goswami
How The Earth Became Green, 1996. Book Illustration. Published: Kagyusha, Japan
Nasreen Begum
Nasreen Begum broadly practices oriental-style wash painting. Her fluid use of color reflects the restlessness found in capturing the beauty of a passing moment and employs age-old techniques in a contemporary manner. Colour plays a great role in her works and one of her best-known bodies of work is the Cactus Series where women and nature are depicted symbolically. She completed a BFA in Oriental Art at the Bangladesh College of Arts and Crafts, Dacca in 1978 and an MFA in Printmaking at MS University, Baroda, India in 1985. Nasreen Begum is currently a professor of the Department of Oriental Art, Faculty of Fine Art, University of Dhaka.
b. 1956, Chaudanga; lives and works in Dhaka
Nazlee Laila Monsur
Nazlee Laila Monsur depicts social relationships and issues of urban life in her own distinct style. She looked for inspiration from Indian miniature painting and rickshaw paintings of Bangladesh, transforming these traditional techniques with characteristics of her own. Her paintings display a narrative tendency and use bright and vivid colours. Set in an urban surrounding, symbolised by the presence of rickshaws and shikhas, her figures seem to be in a mystical mood to express their belonging and non-belonging. Nazlee completed an MFA at the Fine Arts Department of University of Chittagong in 1976. She started her career as a teacher at Chittagong Art College in 1976 and retired in 2009.
Nisar Hossain
Nisar Hossain is a versatile artist, academician, researcher, organiser and cultural activist. He was a founding member of the Shomoy group. Hossain rejected the complacent optimism and single viewpoint perspective pursued by many artists of his time. His work today includes elements of performance art, sound art, installation, photography and pantomime to create moving images of our time. His research articles on folk art are published in national and international journals. He earned his BFA from Bangladesh College of Arts and Crafts, Dacca in 1981 and his MFA from Kala Bhavana, Visva Bharati, Santiniketan, India in 1985. He is a professor of Drawing and Painting Department, Faculty of Fine Art, University of Dhaka and holds the position of Dean.
b. 1952, Rajshahi; lives and works in Chattogram
Qayyum Chowdhury
Qayyum Chowdhury was known for his illustrative paintings and book illustrations. He designed many book covers and posters which are still used until this day. He used motifs of folk art more for stylistic reasons than for their content. He focused squarely on the rich style of folk art – its decisive use of lines, its decorative designs and ornamentation, and its detailed workings of various motifs. He was the convenor of the Gora Kora Shilpakram Parishad during the Liberation War in 1971. He completed his Fine Art degree at the Government Institute of Arts, Dacca in 1954. Chowdhury joined the same institute as a teacher in 1957 and then took a job at the newly established Design Centre and within a year joined the Pakistan Observer where he served as its chief artist. He later returned to the East Pakistan College of Arts and Crafts in 1965 as a teacher. Although he retired in 1994, he continued teaching there until 2002 as Honorary and Supernumerary Professor.
b. 1932, Feni; d. 2014 in Dhaka
Quamrul Hassan
Quamrul Hassan was a painter, designer and art educator who was always politically active and is perhaps most famous for the poster *Annihilate These Demons* of the Liberation War of 1971. He was involved in the Non-Cooperation movement (1969–70) and also took part in the Liberation War, serving as the Director of the Art Division of the Information and Radio Department of the Bangladesh Government in Exile. He completed his Arts degree in 1947 at the Govt. School of Art, Calcutta, India. After Partition, Quamrul Hassan came to Dacca and, in collaboration with Shilpacharya Zainul Abedin, established the Government Institute of Arts in 1948. He taught at the same institute until 1960. The East Pakistan Small and Cottage Industries Corporation was established under his leadership in 1960, and he worked there as Director of the Design Centre until his retirement in 1978. Politically active until his death, one of his last sketches became an inspiration for a mass movement that brought about the downfall of the Ershad regime in 1990.
Rafiqun Nabi
Rafiqun Nabi (also known as Ranabi) is a painter, print-maker, art educator and cartoonist, best known for his creation of the icon Tokai. Tokai is a character that represents poor street children who live by begging and scavenging from the garbage and have a knack for telling simple yet painful truths about the current political and socio-economic situation of the country. His Tokai character has become a nationally adored icon and has inspired many students to become cartoonists. He completed his art education at the East Pakistan College of Arts and Crafts, Dacca in 1964. During 1973–1976, he studied printmaking at the Athens School of Fine Arts with a scholarship from the Greek Government. Nabi joined as a teacher at East Pakistan College of Arts and Crafts in 1964 and served as a member of the Faculty of Fine Art, University of Dhaka until 2010 and held the position of Dean. He is currently the Supernumerary Professor in the Department of Drawing and Painting, University of Dhaka.
b. 1921, Calcutta; d. 1988 in Dhaka
Ranjit Das
Ranjit Das’s romantic works seek to capture the essence of nature with an abstract and poetic disposition. His canvases reflect his experience with colour, space and time through his expressive brush strokes. Das was influenced by Picasso, Rembrandt, Matisse and other European painters as well as Indian contemporary art that he encountered while pursuing a Master’s degree at the M. S. University, Baroda in 1981. He completed his BFA at the Bangladesh College of Arts and Crafts, Dacca in 1975 and worked as a teacher in the Fine Arts Department, University of Chittagong.
Rashid Choudhury
Rashid Choudhury’s work is unique among his contemporaries as the source of his inspiration was not folk art but rather folk-lore. His works explore the myth, magic and the legend of both Muslim and Hindu cultures living across rural Bengal. While he painted with oil and gouache, Choudhury is best known for his tapestries. He was a significant pioneer in the modern art movement from as early as the 1950s, creating many historical tapestries for government as well as private buildings. He studied at the Government Institute of Arts, Dacca from 1950 to 1954. He went to Madrid on a scholarship at the Central Escuela des Bellas Artes de San Fernando from 1956 to 1957. Returning from Spain, he joined the Institute of Arts as a teacher in 1958. He obtained a French Government scholarship to study at the Ecole Nationale des Beaux Arts from 1960 to 1964. In 1970, the Fine Arts Department was established at Chittagong University and Choudhury joined as one of its first teachers and played a major role in developing the department. He was also a lecturer at standing at Chittagong Art College in 1973. His works can be found in the permanent collections of Tate and the Metropolitan Museum of Art through the initiatives of Samdani Art Foundation.
b. 1956, Tangail; lives and works in Dhaka
Composition 13, 1987. Tapestry. Courtesy of Ms. Nilu Rowshan Murshed
b. 1932, Faridpur; d. 1986 in Dhaka
Rokeya Sultana
Rokeya Sultana’s painting and printmaking practice is largely focused on her inner life and an exploration of the feminine experience. Sultana’s works recall the relationship between mother and child, the apathy of girl’s care, and the struggle of liberated Bangladeshi women compared with the contemporary global status of women. Her Madonna series is a well-known body of work that carries a strong determined feminist statement. She earned her BFA from the Bangladesh College of Arts & Crafts in 1980 and her MFA from Kala Bhavan, Visva Bharati, Santiniketan in 1983. She is a Professor of Printmaking Department at the Faculty of Fine Art, University of Dhaka.
b. 1958, Chittagong; lives and works in Dhaka
Safiuddin Ahmed
Safiuddin Ahmed is remembered for the lasting legacy he left on printmaking in Bangladesh. He, along with Zainul Abedin and others, played an important role in the foundation of art institutions in Dacca. Ahmed helped raise the profile of a printmaking, a discipline often considered of secondary importance, by adopting it as his main medium. He inspired many other artists from the subcontinent to begin printmaking. He often travelled to Jharkhand, a place populated by Santhal people, and like many modern artists before and after him, he was inspired by their way of life. But after coming to East Pakistan the look, posture and the environment of his works changed and he gradually started to move towards abstraction. He completed a Fine Art Degree (1942) and Tearchership Course (1946) from Government School of Art, Calcutta, India and subsequently travelled to London for advanced training in printmaking, enrolling at the Central School of Arts (now Central St. Martins) in 1956.
b. 1922, Calcutta; d. 2012 in Dhaka
Samarjit Roy Chowdhury
Samarjit Roy Chowdhury is a painter, art educator and graphic designer in Bangladesh. His book illustrations, book covers, poster designs, typography and other elements of graphic design are recognisable for their unique style. He was one of the designers of the Constitution of the People’s Republic of Bangladesh prepared in 1972. He completed a Fine Arts Degree at the Government Institute of Arts, Dacca in 1960 and joined as a teacher in the same year and spent 43 years teaching Graphic Design. He later served as Dean of the Department of Fine and Performing Arts of Shanto-Mariam University of Creative Technology, Dhaka until 2010.
b. 1937, Comilla; lives and works in Dhaka
Shahid Kabir
Shahid Kabir’s art speaks to the struggles of everyday life; his art narrates the life experience of ordinary as well as subjugated and underprivileged people. His use of colour and texture in his paintings and prints connect to the earth of his motherland. Kabir was inspired by spirituality and Baul philosophy and he attained local fame for works on Lalon Shah Fakir and Baul masters in the 1980s. He left for Spain in 1987 to seek western contemporary art knowledge and came back to Bangladesh after 17 years. Kabir earned a BFA from the East Pakistan College of Arts and Crafts in 1969. He taught painting at the Bangladesh College of Arts and Crafts, Dacca from 1972 to 1980.
b. 1949, Barisal; lives and works in Dhaka
Shafiqul Ameen
Shafiqul Ameen was an art educator, administrator and painter. He completed a Fine Art Degree in 1938 at the Govt. School of Art, Calcutta, India. He assisted in the primary administrative work of establishing the Art Institute in Dhaka. Ameen joined the Government Institute of Arts in 1955 as a founding teacher in the Oriental Art Department. Zainul Abedin retired from the post of Principal in 1967 and Shafiqul Ameen took up this leadership role. He was an excellent administrator and held the position of Executive Director at the Folk Art Museum, Shangrao from 1976–1982 which was also founded by Abedin.
Untitled, [date unknown]. Oil on Board. Courtesy of Shoshibhuson Paul Art Gallery, Fine Arts School, University of Khulna. Photo: Jannatul Royhana
Shoshibhuson Paul
Shoshibhuson Paul was a well-known artist in colonial East Bengal. It is assumed that he was the first initiator of a sustainable art community in East Bengal, working to enrich art skills in the region (especially when it came to oil painting techniques). His works brought him respect and fame with the British Raj. His artworks were appreciated by many patrons and were commissioned by colonial officers and the local wealthy community. Shoshibhuson’s greatest achievement was setting up the first art educational institute for the East Bengal region, named Maheshwarapasha School of Art, in 1904. It was later developed and became known as Khulna Art College, and is now merged with Khulna University.
b. 1877, Khulna; d. 1946, Khulna
Sheikh Afzal Hossain
Sheikh Afzal is well known for his representational art-making from the 1980s. He created many portraits of legendary personalities such as Bangabandhu Sheikh Mujibur Rahman, Rabindranath Tagore, Zainul Abedin and many others. He earned his BFA from the Bangladesh College of Arts and Crafts, Dacca in 1981. He completed an MFA at the Institute of Fine Art, University of Dhaka in 1984 and the University of Tsukuba, Japan in 1986. He is a faculty member in the Department of Drawing and Painting, Faculty of Fine Art, University of Dhaka.
b. 1960, Jhinaldah; lives and works in Dhaka
Shishir Bhattacharjee
Shishir Bhattacharjee is a painter whose work stands out for its strong social commitment, sarcasm and wit. He was a founding member of Shomoy, an artists’ group which was significant both in terms of the artists’ understanding of fine arts their role in the course of Bangladesh’s history. His work is set in Bangladesh where power-hungry people rule. He is considered to be one of the leading satirical cartoonists in the country and continues to publish his political satires on the front cover of the highest nationally circulated newspaper. His socio-political commitment inspires him to create murals on the Shaheed Minar (Martyr Monument) premises every year to commemorate International Mother Language Day and he plays a vital role for organising Monga Shovajatra on Pohela Boishakh (New Year). He completed his BFA at the Bangladesh College of Arts and Crafts, Dhaka in 1982 and MFA at the M.F. University Baroda, India in 1987. He is a professor and chairs the Drawing & Painting Department, Faculty of Fine Art, University of Dhaka.
b. 1960, Thakurgaon; lives and works in Dhaka
Showkatuzzaman
Showkatuzzaman was known for his watercolour wash techniques and use of tempera, a practice employed by artists practicing ‘oriental art’ in Bangladesh. He was one of the artists who played an important role in developing and inspiring students to pursue oriental art, a genre that was inspired by pan-Asian movements of the 20th Century. Showkatuzzaman earned his BFA from the Bangladesh College of Arts and Crafts, Dacca in 1974 and completed his postgraduate studies from Kala Bhavana, Visva Bharati, Santiniketan, India in 1976 and 1990. Showkat taught at the Chittagong Art College for a few years and joined the Oriental Art Department at the Institute of Fine Art, University of Dhaka in 1992 and taught there until his death.
b. 1953, Faridpur; d. 2005 in Dhaka
Siddhartha Talukder
Siddhartha Talukder’s area of interest is abstraction. He completed his BFA in Drawing and Painting at the Bangladesh College of Arts and Crafts, Dacca in 1981. He continued his studies and earned an MFA in 1985 in the same subject from the Institute of Fine Art, University of Dhaka. In 1999, he earned his PhD in the History of Art from Kala Bhavana, Visva-Bharati, Santiniketan, India. Talukder is currently a professor in the Department of Painting, Oriental Art and Printmaking and also holds the position of the Dean of the Faculty of Fine Arts, University of Rajshahi.
b. 1957, Jamalpur; lives and works in Rajshahi
S. M. Sultan
S. M. Sultan was known for his energetic paintings of muscular farmers and their engagement with the landscape of Bangladesh. He began to study at the Government School of Art, Calcutta but left without completing his degree in 1944 to travel to Kashmir, which inspired many of his landscapes. After travelling extensively as a celebrated artist both internationally and within South Asia, Sultan retreated from urban life, moving to his home village of Narail, where he founded the Shishu Shwarga art school. His devotion to rural art education has made a lasting legacy, leaving an inclination to promote personal growth outside of urban centres through art.
b. 1923, Narail; d. 1994 in Jessore
Syed Abdullah Khalid
Syed Abdullah Khalid belonged to the first generation of sculptors who practiced sculpture-making as an institutional discipline despite discouragement under the West Pakistani regime. He flourished as a sculptor practicing realism. The Aparajeyo Bangla monument of the liberation war of 1971 at the Dhaka University campus is one of his most well-known creations. Today this sculpture stands as a prominent example of modern sculpture in post-independence Bangladesh. He completed his BFA at the Bangladesh College of Arts and Crafts, Dacca in 1969 and MFA at the Fine Arts Department, University of Chittagong in 1974. He served as a professor at the same institute until his retirement in 2012.
b. 1942, Sylhet; d. 2017, Dhaka
Tarun Ghosh
Tarun Ghosh is a painter and designer. Ghosh formed the Dacca Painters Group in 1974 with a group of friends, drawing inspiration from European painters and intending to break new ground. Researching his work, he visited many rural areas and came into contact with artists there. The free and spontaneous way they worked, and their empathic use of material, form and design influenced him profoundly. He redirected his lifelong passion for folk art towards artisanal practices and local visual cultures. This inspired him to create posters for the Mangal Shobhajatra (‘procession on the first day of bangla new year’) from the Institute of Fine Arts, Dhaka in 1989. He earned his BFA from the Bangladesh College of Arts and Crafts, Dacca in 1977. After working at the Rajshahi Art College as a teacher for a few years, he went to the M.S. University in Baroda, India in 1962 and obtained his MFA degree in 1966.
b. 1953 Rajbari; lives and works in Dhaka
Zainul Abedin
Zainul Abedin was an artist of exceptional talent and international repute. He played a pioneering role in the modern art movement in Bangladesh that began with the setting up of the Government Institute of Arts (now Faculty of Fine Art) in 1948 in Dacca where he was the founding principal. He was well known for his leadership qualities, organising artists and art activities in a place that had practically no recent history of modern or professional art. In 1943, he did a series of sketches of the man-made famine that had spread throughout Bengal. He became actively involved in a movement to preserve the Folk Art of Bengal, and reorient art to the roots of Bengali culture. In recognition of his artistic and visionary qualities, he was lovingly given the title of Shilpacharya (Great Teacher). He completed a Fine Art Degree from Govt. School of Art, Calcutta, India (1938) and received training from Slade School of Art, London, UK (1951).
b. 1914, Kishoreganj; d. 1976 in Dacca
Zunabul Islam
Zunabul Islam was a founding teacher of the Department of Crafts at the East Pakistan College of Arts and Crafts (at present Faculty of Fine Art, University of Dhaka). He was one of the designers of the Constitution of the People’s Republic of Bangladesh prepared in 1972. Islam worked with the medium of batik. He sought to achieve a transformation of craft into art, rejecting the problematic hierarchies between art and craftsmanship. He took his ideas, forms and designs from his native land, but dealt with life around him, but also traveled to the romantic past of mythology and poetry. He completed his Fine Art Degree at the Commercial Art Department, Government Institute of Arts, Dhaka in 1954 and a teachership course at the Brighton College of Arts and Crafts, U.K. from 1965 to 1966.
b. 1929, Mymensingh; d. 1997, Dhaka
Bangla-e Bidroho
Bangla-e Bidroho is a print folio of offset lithography by six artists: Rashid Choudhury, Devdas Chakraborty, Syed Abdullah Khalid, Sabih-ul-Alam, Ansar Ali and Mizanur Rahim. The print folio was published to fund raise in Chittagong by Shilpi-Shahitk Shongskritishebi Protirodh Songha on 15th March 1971 headed by artist Rashid Choudhury on the occasion of public meeting at Laldighi Maidin. A forward note on the cover was written by Professor Mahmud Shah Qureshi. In the exhibition, the print folio is shown from the collection of Ashfaqur Rahman.
Elephant & Banana Tree, 1994. Batik Print. Courtesy of Shahnoor Ahmed
Famine, 1940s. Linocut print on paper. Courtesy of Jahanara Abedin
Srijan-Abartan
A Workshop for Exhibition Making and Unmaking
led by common-interest with support from
Pro Helvetia – Swiss Arts Council
How is the practice of exhibiting – be that of art, design, history, or science – fundamentally implicated in the imminent threats of climate change? And, conversely, how can exhibition-making help us attain political momentum and agency around ecology? How can it support communities fighting on the frontline of climate change who are leading the way in safeguarding our collective future? These are the fundamental questions that prompted the start of a workshop for exhibition making and unmaking at the heart of DAS.
Srijan-Abartan is a cross-cultural and cross-disciplinary research project aimed at developing new tools and methodologies for creating culturally rooted, ecologically sustainable, and socially responsible exhibition displays. Its international team consists of artists, designers, researchers, architects, engineers, exhibition-makers, curators, and producers from Bangladesh, Switzerland, and beyond. They work alongside to discuss, problematise, envision, conceive, conceptualise exhibition displays, and support structures that take sustainability as their core concern. The generated design strategies and solutions developed collaboratively make up the exhibition design for the DAS 2020. Nodding to the summit’s impetus of igniting a movement beyond the confines of an art exhibition, Srijan-Abartan’s process, methodology, and learning outcomes will be compiled and shared in the form of open access resources. The goal is to inspire thinking tools to help others also start reimagining exhibition making as a practice of resistance that strives for more just and sustainable forms of living.
Background
Often referred to as the ‘ground zero’ for climate change, Bangladesh has long been trailblazing innovative strategies to adapt to threats such as rising sea level, water-logged lands, and increased salinity. Ecology and sustainability are core concerns for DAS which happens bi-annually at the Shilpakala Academy. Dr. Huraira Jabeen, a core member of Srijan-Abartan, assessed the environmental impact of DAS 2018 utilising the Equity Share Approach. The aim is to create a baseline to determine the upcoming DAS 2020. The operational process will follow PDCA (Plan-Do-Check-Act).
Based on the information received on materials, venue design, communication materials produced, estimated waste generated, and energy usage, the estimated total emission for DAS 2018 comes to 16043 tons of CO2 emission. Which is equivalent to:
- An average car could be driven for 80.02 years non-stop
- A 747 could fly for 23.73 days non-stop
- Taking 3,538 cars off the road for a year
- Producing 1,357 tons of Beef
A 42-inch LCD TV could be used for 12,334 years continuously
The assessment points to multiple strategies that can be used to reduce the negative ecological effects of DAS 2020, for example:
Venue design accounts for about 77% of the emission. Use of particleboards with timber frames forms 58% of the 77%. Although they are assumed to be reused by vendors, management of them as waste accounts for almost 14% of the emission. Additional new surfaces also require additional paint. Therefore, CO2 emission can be significantly reduced intelligently through venue design. One possible way could be to use the existing spaces and infrastructure of the building, rather than creating new temporary structures that cannot be reused or recycled multiple times.
Plastic films used for printing communication accounts for 15% of the total emission and they have no options of recycling or reusing and ends up fully as waste. Paper-based publications for communication forms 0.03% emission production and 0.09% for managing as waste. Consideration can be given how to reduce waste, especially for communication.
Waste management accounts for around 20% of the emission. Food and water waste accounts for 6% of emission. Vendors running food stalls can be given recommendations to reduce waste as much as possible.
About 0.02% of emission results from electricity usage for lights and air conditioning. Considerations can be given to make spaces less environmentally controlled if not needed.
Process
Srijan-Abartan officially started in February 2019, when the Bangladeshi and international participants met in Dhaka for the first time. They visited museums, galleries, cultural sites, monuments, artist studios, factories, workshops, and more. Over two weeks, they spent time together and slowly started to get acquainted with each other. At the end of the eight-day visit, the team agreed on a working structure; the project’s core members would assemble again in Switzerland to conduct an intense schematic design workshop. At that point, the team started collectively brainstorming the project’s name, and unanimously agreed it should be formulated in Bangla. ‘Srijan-Abartan’ in English means creation and revolution/rotation, standing to the idea of creating something new from existing materials, and weighing changes. In other words, why not see the Bangladesh Shilpakala Building for its potential rather than its shortcomings, and enhance the existing building with local materials and knowhow, reducing waste and bettering the building for future exhibitions? The resulting plan would be subsequently developed by the Bangladeshi team, with the international participants regularly following up on the process to provide alternative perspectives, thoughts, and ideas on the design.
Methodology
The schematic codesign workshop took place in Basel in April 2019. The local participants hosted the Bangladeshi participants, which helped strengthen bonds between the group. Each workshop day started with a meeting in the kitchen, also meaning an informal space of togetherness. Through different group dynamics, participants shared references, thoughts, and perspectives around display practices and discussed strategies to challenge the so-called ‘white cube’.
Inteza Sharif shared samples of local recyclable, biodegradable, and alternative materials that could be used to build up temporary exhibition displays, for example bamboo, mud, coconut straws, canes, hogla leaves, recycled board and corrugated boards,
Guidelines
Approach environmental impact holistically
Take into account other types of sustainability alongside environmental (i.e. social, cultural, economic, etc.)
Design for the experiences of the local audiences instead of those of international audiences (i.e. privilege the use of local language, local script and local artists/practices/works)
In case the minimised displays generate any savings, these should be re-allocated into wages (first local wages and secondly into international wages)
Work with the building, instead of against it
Minimise material resources by building as little as possible (new walls or structures should be absolutely necessary and sized to support a given set of artworks and not more than that)
Place artworks site-specifically where the building already provides the best support (i.e. artworks that require darkness should be allocated to windowless rooms, artworks that require climate control should be placed in rooms with pre-existing air-conditioning, artworks that require security should be allocated to enclosed galleries, etc.)
Harness natural light whenever possible (new lights should be added only when absolutely necessary, opt for LED tubes as night lights, and few intentional dramatic/spotlights)
Make use of natural ventilation and avoid the use of air-conditioning whenever possible (i.e. AC rooms should be used only for artworks that require climate control or museum conditions)
Minimise, recycle, reuse
Opt for reusable or recyclable materials whenever possible
Opt for sea freight over air freight whenever possible
Opt for local labor, local materials, and local modes of production/fabrication whenever possible
Minimise size, page count, and print runs for publications, whenever possible
Opt for sustainable curatorial strategies
When selecting and sorting works and planning their transportation, fabrication, and building logistics
For example, by opting to produce new commissioned works on site using local materials and local labor
For example, by planning ahead so that there are less energy consumption and human stress
Address actual impact rather than aesthetics of ecology
Avoid ‘greenwashing’ or ‘symbolic environmental’ moves such as mock/fake usage of natural materials, or using natural materials in an unsustainable way
Improve the building as a lasting collective resource
Clean, fix, restore, renovate and upgrade existing structures whenever possible; their reuse is also a contribution for future sustainability
Strip back unnecessary and redundant past constructions whenever that improves the building usability for the future (i.e. in terms of circulation, spatial experience or aesthetics)
Srijan Abartan is funded by Pro Helvetia – Swiss Arts Council, and led by the Swiss design research practice common interest in collaboration with the Art Foundation for DAS 2020. The project’s core team is comprised of Elena Campbell Begum (curator, Dhaka Art Summit), David B. G. McIlwraith (Treasurer, Budget), Inamur Rahman (architect, Brac University), Inteza Sharif (artist/architect, Bangladesh), Khan Md. Mobinul (engineer, Dhaka Art Summit), Mohammad Asifur Rahman (architect, Dhaka Art Summit), M. A. Rashed (curator, Dhaka Art Summit), Naima Sultana (curator, Dhaka Art Summit), Noreen Palier (designer, common interest), and Prem Krishnamurthy (editorial designer, Workshop). The project was further supported by the expertise of Ashfika Rahman (freelance artist, Bangladesh) and Shawon Akand (freelance artist and researcher, Bangladesh).
The team worked with a 1:50 scale model of the Shilpakala Academy, which could be stacked and unstacked to reveal the different floors and levels of the building. This model helped the participants to analyse the spatial opportunities of the Shilpakala Academy and provided a common ground for discussions. Participants were able to intuitively place the artworks that had been confirmed up to that point, which were also rendered as scale models. The set-up ultimately allowed for team members to play different roles, for example, for the curator to act as an architect or exhibition designer and vice-versa. The process eventually led to the sketching of different schematic solutions, which were discussed and consolidated into one plan. The schematic design is currently being developed, refined, tested. It is supplemented by the set of guidelines overleaf, which were also generated by the group.
Moving Image
Rituals for Temporal Deprogramming: Videos, Films and Talks Programme
Curated by the Otolith Group (Anjalika Sagar and Kodwo Eshun)
To use images, sounds, voices, gestures, expressions, noises, colours, spaces and silences to deprogram the inherited orders of temporality, chronology and history that seek to manage and encourage the form of the present and the fate of the future. To formulate audiovisual projects that operate as diagrams for reprogramming the parameters of the present. To intervene in the timelines of the present in order to hack the lines of time. To be guided by an imagination of the future that works on and in and through the present.
These impulses, intimations and imperatives subtend the works of the artists selected by Kodwo Eshun and Anjalika Sagar of The Otolith Group for Rituals for Temporal Deprogramming. Works by Ayo Akingbade, Hadel Assali, Taysir Batniji, Tony Cokes, Esi Eshun, Black Quantum Futurism, Mohammed Harb, Louis Henderson, Onyeka Igwe, Salman Nawati, Ana Pi, Morgan Quaintance, Alfred Santana, Rania Stephan, Sharif Waked and Rehana Zaman can be understood as rituals for the deprogramming of time, reprogramming in time and programming with time. Rites that aim to bring viewers face to face with the violence of images and the threat of sounds so as to intervene in the foreclosure of colonial time and racial space. Rituals for Temporal Deprogramming includes conversations with invited artists and theorists.
The videos directed by Hadel Assali, Taysir Batniji, Mohammed Harb, Salman Nawati and Sharif Waked were programmed by Jasbir Puar and Francesco Sebregondi for the installation Future Lives of Return, 2019, and commissioned by Sharjah Architecture Triennial.
Alfred Santana
Alfred Santana is an independent filmmaker and photographer with numerous award-winning documentaries, public affairs films and videos that have aired on both network and public television. Mr. Santana’s production company, Al Santana Productions, produces documentary, narrative and experimental work for television, the web and theatrical presentation. The company also produces industrial and corporate videos.
Voices of the Gods examines the Akan and Yoruba religions, two West African traditions practiced within the United States today. It looks at their cosmologies, their use of music, dance and medicine in various ceremonies and rituals. The film includes contemporary and historical examples of the influences of these religions in secular African-American culture, which in turn influenced mainstream American society, more through culture than religion, and in some ways, even politics.
Ana Pi
Ana Pi is an artist working with image and choreography, a contemporary dancer and pedagogue, a researcher-lecturer performer on peripheral dances and she also collaborates on projects of various kinds.
NOIRBLUE, 2017, 27 min. Courtesy of the filmmaker
NOIRBLUE opens space to fiction and an atlantic navigation of some peripheral bodies. This exercise interrogates presence, absence, speeches and time to produce an extemporary dance aligned to two specific colors: the blackness of the skin and the ultramarine blue pigment.
Ayo Akinbade
Ayo Akingbade is a British Nigerian artist and filmmaker who has produced a number of acclaimed artist films exploring the contemporary Black experience in London particularly in relation to housing. She is an alumnus of Sundance Ignite and New Contemporaries.
The future of social housing is threatened by the AC30 Housing Bill. Dear Babylon is set in London’s East End, a trio of art students are eager to raise awareness about their neighbourhood, especially the lives of tenants and people who work on the estate.
Dear Babylon, 2019, 21 min. Courtesy of the filmmaker
Set in 1985 and the present day, So They Say (2019, 11 min) explores and reflects on the often forgotten histories of black and brown community struggle in the East London borough of Newham.
Street 66 (2018, 13 min) chronicles the life of Ghanaian housing activist Dora Boatemah and her influence on the regeneration of Angel Town Estate in Brixton, South London. Dr. Theodora Boatemah MBE was born in Kumasi, Ghana in 1937, where her mother worked in President Kwame Nkrumah’s cabinet. In 1987, she founded the Angel Town Community Project and campaigned for the community-controlled regeneration of the Angel Town Estate in Brixton. Dora was awarded an MBE in 1994 for services to the community in Brixton and received an honorary doctorate from Oxford Brookes University in 1998. Dora died in 2001 at the age of 43.
Black Quantum Futurism
Black Quantum Futurism Collective is a multidisciplinary collaboration between Camae Ayewa and Rasheedah Phillips exploring the intersections of futurism, creative media, DIY-aesthetics, and activism in marginalised communities through an alternative temporal lens. BQF Collective has created a number of community-based events, experimental music projects, performances, exhibitions, zines, and anthologies of experimental essays on space-time consciousness.
Like politics and the weather, all time is local. Considering time’s intimate relationship to space and locality, this text, video, and object series continues the work of BQF in recovering and amplifying historical memory of autonomous Black communal space-times in North Philadelphia, meditating on the complex, contested temporal and spatial legacies of historical, liberatory Black futurist projects based primarily in North Philadelphia, such as Progress Aerospace Enterprises, Zion Gardens, and Berean Institute.
All Time Is Local, 2019, 5 min. Courtesy of the filmmaker
Time Travel Experiments (Experimental Time Order) (2017, 9:30 min) documents experiments from an embedded time travel manual in the speculative fiction book Recurring Plot (and Other Time Travel Tales), written and published by Rasheedah Phillips. The depicted time travel experiments employ the concept of Black Grandmother Paradoxes, which emphasise matrilineal or matri-curvature timelines that are feminine and communally-generated, where the future emerges into the past by way of omens, prophecies, and symbols, while the past is a space of open possibility, speculation, and active revision by multiple generations of people situated in the relative future.
Black Quantum Futurism Visual Astrolabe (2015, 7:07 min) focuses on the mysterious Antikythera Mechanism, an astrolabe known as the first computer, that was recovered in 82 fragments from a sunken shipwreck off the island of Antikythera around 1900. Although it is widely believed to have been constructed by a Greek mathematician around 100 BC, this origin story has not been confirmed. No other such technologically complex artifact appeared anywhere in Europe until the late 14th century. In 2015 AD, BQF Theorists unearthed rare, previously unseen records and unheard sound clips claiming to detail the true origins of the mechanism as designed and constructed by a secret society in ancient Ifriqiyah as a device for time displacement.
On the occasion of the 50 year anniversary of the enactment of the United States Fair Housing Act, Black Space Agency Training Video (2018, 4:09 min) explores the chronopolitical imaginaries of the Civil Rights and Black Liberation movements during the space race, particularly as it unfolded in North Philadelphia in 1968. The series follows the pattern of entanglements in the fight for affordable and fair housing, displacement/space/land grabs, and gentrification for a better understanding of its present day implications on Black spatial-temporal autonomy.
Futurist Garvey // Gravity WAVES Sound Image Study (2016, 2:42 min) represents one example of futurity in the Black diaspora, which predates the coining of the term afrofuturism. Marcus Garvey’s Universal Negro Improvement Association and the Black Star Line envisioned the future of Black Americans as a return, by ship, to Africa, and took practical steps to create an alternative economy to achieve these goals. Imagine how different the course of history would be, had the Black Star Line succeeded with its stated mission. On the other hand, one can see the spirit of the Garvey Movement of gravity, his impact on the future of Black America-to-come, as a catalyst and inspiration for other Black resistance movements, with an influence in name and philosophy capable of binding space-time.
Esi Eshun
Esi Eshun’s work encompasses poetry, performance and music making and has been presented across a number of platforms including Norway’s 2018 Radio Space Borealis Festival, Resonance FM and Wave Farm FM, and at live venues including İklectik, New River Studios and The Intimate Space.
Unfolding through a series of enigmatic tableaux, told through the artist’s poetry, voice, field recordings and improvised score, The Beast (2018, 8 min) takes the listener on a dreamlike journey through myth, collective memory and fable, to a place where dark undercurrents linking the city of London, the West African coast, muck, gold and Frantz Fanon’s anti-colonial classic, The Wretched of the Earth, coincide.
Francesco Sebregondi
Francesco Sebregondi is an architect and a researcher, whose work explores the intersections of violence, technology, and the urban condition. He is a researcher and project coordinator at the independent research agency Forensic Architecture, as well as the co-editor of Forensis: The Architecture of Public Truth (Sternberg Press, 2014). His current research examines the architecture of the Gaza blockade.
Hadeel Assali
Hadeel Assali is a Palestinian-American filmmaker, writer, and currently a PhD candidate in Anthropology at Columbia University. She created several experimental short films centered around the Gaza Strip, which have been screened in several small film festivals, academic conferences, and art exhibitions. Assali is currently working on her first feature-length documentary.
Jasbir Puar
Jasbir Puar is a queer theorist and Professor and Graduate Director of Women’s and Gender Studies at Rutgers University, New Jersey. Puar is the author of award-winning books Terrorist Assemblages: Homonationalism in Queer Times (2007) and The Right to Maim: Debility, Capacity, Disability (2017). She has written widely on South Asian diasporic cultural production in the United States, United Kingdom, and Trinidad, LGBTQ activism, terrorism studies, surveillance studies, biopower, and necropolitics, disability and debilitation, theories of intersectionality, affect, and assemblage; animal studies and posthumanism, homonationalism, pinkwashing, and the Palestinian territories.
Daggit Gaza, 2008, 7:15 min. Courtesy of the filmmaker
Daggit Gaza is a play on translation, as the spicy tomato salad made in Gaza (called daggah) also means ‘the pounding of Gaza’. Preparation happens whilst a phone conversation between Houston and Gaza serves as voiceover commentary.
Mohammed Harb was born in Gaza and graduated from Al Najah University, Nablus, with a BA in Fine Arts in 2001. He is a member of the Palestinian Association of Fine Artists and since 2003 has been working as a director at the Palestine satellite TV channel in Gaza. Harb has also participated in many local, regional and international exhibitions, festivals and workshops, in Europe and the Arab world. He lives and works in Gaza.
*Light From Gaza* is a meditation on the waxing and waning of access to light and other daily necessities due to the titration of electricity in Gaza.
Louis Henderson is a filmmaker who experiments with different ways of working with people to address and question our current global condition defined by racial capitalism and ever-present histories of the European colonial project. Developing an archaeological method in cinema, his films explore the sonic space of images, geologic time, haunted landscapes and voices within archives.
Wandering from a study of the handwritten memoirs of Toussaint Louverture in the French National Archives to his prison cell in the Jura mountains in which they were written, *Bring Breath to the Death of Rocks* proposes an archaeology of the colonial history of France buried within its landscapes and institutions. If stratigraphy is the writing of strata, here we have a reading of this strata in which the fossilised history of Louverture can be brought to life through a geologic haunting. The film dramatises the escape of Louverture’s ghost from his castle prison (through the body of a young Haitian researcher) into a form of mineralised and errantry within the fields of the Jura in a dark baroque-like cave. The film offers what Glissant described in the introduction to his play *Monsieur Toussaint* as ‘a prophetic vision of the past’. We hear an echo, a spiral retelling.
Bataaxalu Ndakaaaru (*Letter from Dakar*) surveys aspects of the vibrant grassroots arts and culture scene in the Senegalese capital of Dakar. Highlighting the difference between the openness and innovation of community run spaces versus the staid professionalism of established galleries and museums, the film offers the first critical look at the much touted Museum of Black Civilisations.
*Another Decade* (2018, 26:50 min) combines archive and found footage from the 1990s, with recently shot 16mm film and standard definition video. Focusing on testimonies and statements made by artists, theorists and cultural producers that are still pertinent over two decades later, the film is propelled by the sense reality in very little socio-cultural or institutional change has taken place in the United Kingdom. While recent attention paid to the ‘90s casts a largely apolitical and monocultural view over the decade, the work seeks to exhume evidence buried in the shallow grave of cultural amnesia of another, more political, iconoclastic, and confrontational decade that promised a future still yet to arrive.
Morgan Quaintance is a London-based writer, musician, broadcaster and curator. His moving-image work has been shown recently at LIIMA, Amsterdam, Cubitt Gallery, London; Jerwood Space, London; the 14th Berwick Film & Media Arts Festival, London Film Festival 2018, and November Film Festival.
Onyeka Igwe works between cinema and installation. Her research-based practice uses dance, voice, archive and text to expose a multiplicity of narratives exploring the physical body and geographical place as contested sites of cultural and political meaning.
This is a story of the artist’s grandfather, the story of the ‘land’ and the story of an encounter with Nigeria –retold at a single point in time, in a single place. The artist is trying to tell a truth in as many ways as possible. *The Names Have Changed* retells the same story in four different ways: a fable of two brothers rendered in the broad, unmodulated strokes of colonial British moving images; a Nollywood TV series, on VHS, based on the first published Igbo novel; a story of the family patriarch, passed down through generations; and the diary entries from the artist’s first solo visit to her family’s hometown.
Rania Stephan
Rania Stephan has directed videos and creative documentaries notable for their play with genres, and the long-running investigation of memory, identity, archeology of image and the figure of the detective. Anchored in the turbulent reality of her country, her documentaries give a personal perspective to political events. She gives raw images a poetic edge, filming chance encounters with compassion and humour.
Double Cross (2018, 3:40 min) reduces the intricate labyrinth of Threshold into an infernal drama of entrance and exit that condenses space and time into an infernal loop of crossing, recrossing and re-recrossing. Double Cross is Rania Stephan’s profound meditation on the power of montage: an ode to the plot twist and the fatal destiny of film noir enacted in the eternal passage from illumination to occlusion.
Memories of a Private Eye (2015, 30:35 min) is the first chapter in a trilogy which investigates the filmmaker’s personal archive. Evoking the language of film noir, it foregrounds a fictional detective to help unfold deep and traumatic memories. The film spirals around a lost image, the only moving image of the filmmaker’s dead mother. How do absence speak? What remains of loss, will it be destroyed by the passing of time? These are the questions that are delicately displayed for contemplation. Weaving together images from different sources (private archive, history of the cinema, television, you-tube) while investigating the past, the film unfolds into a labyrinthic maze to create a blueprint of remembrance itself.
The Three Disappearances of Soad Hosni is a rapturous elegy to a rich era of film production in Egypt, lapsed today, through one of its most revered actress: Soad Hosni, who from the 1960 into the 1990s, embodied the modern Arab woman in her complexity and paradoxes. Pieced exclusively from VHS footage of films starring Soad Hosni, the film is constructed as a tragedy in three acts where the actress tells her dreamed life story. Irreverent, playful, marvellous, serious, the film proposes a singular rewriting of a golden period of Egyptian cinema, enacted by an exceptional artist, tragic star, symbol of modern Arab womanhood.
Entirely taken from an old Egyptian science fiction film The Master of Time (1987) about an illuminated scientist wanting to extend human life, Threshold (2018, 11:30 min) is built on the intuition that if this science fiction film were emptied of all its fictional elements, retaining only the transition shots featuring doors, gates and boundary crossings, The Master of Time would reveal its quintessence: its obsession with eternity and the extension of time. Here, the science fiction experience is doubled. This new condensed version of The Master of Time lies on the threshold of fiction and abstraction, narration and experimentation, cinema and art.
Rehana Zaman
Rehana Zaman is based in London, working with moving image and performance. Her work considers the interplay of multiple social dynamics that constitute subjects along particular socio-political formations. These narrative based pieces, often deadpan and neurotic, are frequently generated through conversation and collaboration with others.
How Does an Invisible Boy Disappear? emerges from a nine-month collaboration with Liverpool Black Women Filmmakers, a new women’s film collective made up of young women from Somali and Pakistani backgrounds. The film documents the group as they work together to create a thriller focusing on a teenage girl’s attempt to find a missing local boy. Comprised of candid footage captured during the workshop process, behind-the-scenes filming and archive footage of anti-racist organising in the aftermath of the Toxteth race riots, the film questions how modes of representation and societal structures are gendered and racialised.
Salman Nawati
Salman Nawati was born in Gaza in 1987. He works as a Coordinator of Plastic Art in Qattan Centre for the Child. In 2011 he worked as a lecturer in the Department of Painting within the Faculty of Fine Art at Al-Aqsa University, Gaza. His works were shown in group exhibitions internationally.
Port Hour, 2009, 3:12 min. Courtesy of the filmmaker
Port Hour shows the artist’s vexed relationship with the Gaza port, where he struggles with the sea which acts as both freedom and barrier.
Scenario (2013, 2:43 min) is a meditation on movement, and an oblique reference to mailing.
Your Ecstatic Self (2019, 31:50 min) is a conversation unfolding in a car with Sajid, the artist’s brother. As the journey progresses Sajid discusses his engagement with the philosophy and practice of Tantra, having spent the majority of his 44 years as a strict Sunni Pakistani Muslim. Placing the idiosyncrasies of western fetishism towards eastern philosophical traditions alongside cultural orthodoxies and ancestral knowledge, Your Ecstatic Self takes up multifaceted expressions of desire, intimacy and sexual agency.
Sharif Waked
Sharif Waked was born in Nazareth in 1964. He studied Fine Art and Philosophy at Haifa University, Israel between 1983 and 1986. His work critically engages the prejudices, propaganda, and institutional violence that inform Middle Eastern politics. By creating striking juxtapositions between the representations of Arabs and Islam in the media and injustices experienced in reality, Waked reveals the ways that power, politics, and aesthetics are powerfully inscribed on the surface of everyday life.
In 2009, two donkeys were transformed into zebras in Gaza by an entrepreneur whose zoo was badly damaged in the Israeli incursion earlier that year. The aftermath of this cross-dressing of species is the subject of *Bath Time*, where a donkey takes a good shower after a long day saturated with the spectator’s gaze and laughter at the Gaza Zoo.
Taysir Batniji
Taysir Batniji was born in Gaza and lives and works in Paris. Since the 1990s Batniji has worked mainly with video and photography, two ‘light’ mediums that fit with a career which has involved much travelling to and from between Palestine and Europe. He documents Palestinian reality in a physically vivid, anti-spectacular way by focusing on displacement, intermediate states, and the inhibition of movement. These objective issues which are part and parcel of the social, political and cultural context in Palestine also reflect the position of the artist as a witness and contributor to the life of his country, but also the Western art scene.
*Transit* presents a silent slideshow, made up of photographic images, taken at border passages between Egypt and Gaza, reflecting the passing of time and the difficult and often impossible conditions of mobility for today’s Palestinians.
Tony Cokes
Tony Cokes investigates identity and opposition through reframing and repositioning. He questions how race and gender influence the construction of subjectivities, and how they are perceived through ‘representational regimes of image and sound’ as perpetuated by Hollywood, the media and popular culture. His assemblages consist of archival footage, media images, text commentary, and pop music.
*Mikrohaus, or the Black Atlantic?* (2006–2008, 31:07 min) presents transcribed text interviews set to music. The project was inspired by the writing of music critic Philip Sherburne, who coined the term ‘Mikro House’ to describe the confluence of minimal techno and house music tropes in the early 21st century. Cokes’ central argument is foregrounding how black pop cultural forms are consumed and then redeployed to produce hybrid interventions in today’s global contexts. The work also features fragmented interviews with German techno/house producers framed by the comments of Detroit techno artists discussing the relation between their practices, which reference Afro-American musical traditions, and questions of racial politics, perception, and identity.
*Face Value* can be said to have started with a short text that Cokes was asked to write prior to the American release of Lars von Trier’s *Manderlay* in 2006. At the time he decided to focus his commentary on one section of the film the end credits featuring the David Bowie song *Young Americans*. The text was not published, but while writing it a friend informed him of some quotations from David Bowie that seemed to be relevant to it. When Cokes had the opportunity to publish a portion of the text in a new context, a another friend and colleague suggested some then recent quotations from von Trier himself that might relate to the project. What started as a long epigraph to a text became a sequence of images.
The text in *Evil 12 (edit B)* *Fear, Spectra and Fake Emotions*, (2009, 11:43 min) is excerpted from Brian Massumi’s essay *Fear (The Spectrum Said)*, which discusses the Bush Administration’s terror alert color-coding system as a method to modulate public affect via media representation. The insertion of a soundtrack by Moderat/elect with samples steals from Paul St. Hilaire (remixed by Dabrey) seeks to double (ghost) and thereby underline the point of Massumi’s complex media textual analysis.
Modern Movements
DAS hosts the second convening of Connecting Modern Art Histories in and across Africa, South and Southeast Asia (MAHASSA) with support from the Getty Foundation’s Connecting Art Histories initiative. MAHASSA is a collaborative research project whose partners include the Dhaka Art Summit, Asia Art Archive (Hong Kong), and Institute for Comparative Modernities at Cornell University (USA). The project brings together a team of leading international faculty and emerging scholars to investigate parallel and intersecting developments in the cultural histories of modern South Asia, Southeast Asia, and Africa. Comparative study of the development of practices, pedagogy, institutions, and circulation can be very insightful in critically situating local and national developments, as well as in recognising transnational dimensions to the rise of modern art and its institutions in this vast region. The first set of meetings was held in Hong Kong during August 2019; the program at DAS includes focused seminars, panel discussions, public talks, and presentations by participants.
Modern Art Histories in and Across Africa South and Southeast Asia
Introduction by Project Leader Dr. Iftikhar Dadi
By the early to mid-twentieth century, in South Asia, Southeast Asia, and Africa the ‘modern’ increasingly dominated the making and the study of art. As recent studies continue to show, modern art was enacted on a transnational scale during the twentieth century, but canonical studies of modern and contemporary art and visual practices have continued to assume the centrality of Western art in specific geographic and cultural sites. Subtaneously, Western modern practices have also been understood as constituting the ‘universal’ modern. Consequently, modern non-Western art is seen inevitably to lack both a fully realised modernist subjectivity and cultural authenticity. Non-Western artists are viewed as failing to measure up to the aesthetic standards of the purported tradition of the artist that is invariably always situated in the premodern era, and their works are also seen simply as a belated and impoverished derivative response to Western modernism.
Moreover, canon formation is linked to global power imbalances, capitalist accumulation, and institutional developments in complex ways that require analysis rather than tacit acceptance of its apriori status. This is a well-established debate within postcolonial scholarship. Nevertheless, modern art of the region, by fostering new imaginations, also offers critical and affirmative potential. The Indian art critic Geeta Kapur recognises this dilemma: ‘Imposed on the colonised world via selective modernisation, modernism translates a specifically bourgeois ideology. With its surefire artistic hegemony, it opens up a universalism while obviously imposing a Eurocentric (imperialist) set of cultural criteria on the rest of the world.’ Despite these reservations, however, Kapur recognises the critical and affirmative potential of these developments: ‘Yet, as modernism evolves in conjunction with a national or, on the other hand, revolutionary culture it becomes reflexive.’
To outline a few basic assumptions: ‘Art’, (modern art in particular), cannot exist by itself as an autonomous formalist practice, but requires an elaborate set of requisite institutions to be legible – academies, galleries and museums, catalogues, criticism, art journals and newspapers, collection and patronage structures, publics and audience etc. These institutions gathered force and acquired new valences in the Western world with the advent of industrial capitalism and colonialism. But in the increasingly colonising world of the nineteenth century, whose peoples were subjects rather than citizens, the colonised territories lacked the ensemble of institutions that render a similar legibility to art. In the case of India for example, its ‘classical’ art was rendered monstrous by the Hegel and Ruskin, and as recently as the early twentieth century, colonial cultural administrators were asserting that India did not possess any worthwhile tradition of high art. Ongoing ‘traditional’ material and visual practices were made visible only as timeless, anonymous, and disappearing craft and the artisan was subalternised. Popular prints and objects that circulated in bazaars since the late nineteenth century were not considered art either. The non-Western world thus enters the discourse of ‘modern art’ in the twentieth century in the framework of colonialism, orientalism, primitivism, and institutional and historical lack.
Nevertheless, the founding of art schools and academies, salons and art societies, and writings on art in journals and newspapers marks developments in South Asia, Southeast Asia, and Africa, from the late nineteenth to the mid-twentieth centuries. These processes were uneven, fitful and interruptive, but they mark the emergence of precisely the kinds of institutional and material art required for the frame. For example, as is evident from recent studies, the advent of cubism was immensely liberating for art practice in much of the non-Western world, as modern art was no longer encumbered by Eurocentric post-Renaissance visual codes of perspectivalism and realism.
While modern artists were imbricated in complex ways with the rise of nationalism and decolonisation, we need much better accounts of these artistic valences than have been provided by many nation-state based art surveys such as Benezit. But, the concept of the ‘nation’ in much of the region does not possess an adequate referent; the persistent and multiple crises of the postcolonial nation-state in these regions only serves to underscore the epistemic violence by which the nation-state was enacted as a dominant political and social framework during the twentieth century. Many artists refused narrow nationalist framings in their practice: the importance of negritude and calligraphic abstraction since the mid twentieth century might be understood in the vein. Andreas Huyssen has noted that ‘transnational history of globalisation studies are enabling new ways of writing histories of modernism that are transnational, rather than national or even international, and which he terms ‘modernism at large’, by which he refers to ‘crossnational cultural forms that emerge from the negotiation of the modern with the indigenous, the colonial, and the postcolonial in the ‘non-Western’ world.’ The role displacement and travel play in the construction of even a ‘national’ or local modern art clearly requires a better understanding than has been available as yet. And one also needs to underscore the powerfully affirmative potential of modernism itself in fostering new imaginations during the decolonising era.
Viewing art history in terms of statist and national art histories obscures their analysis in a comparative framework. By contrast, Connecting Modern Art Histories in and across Africa, South and Southeast Asia (MAHASSA) emphasises a connected and contextualised approach to better understand how modern art histories unfolded along different trajectories. MAHASSA has unfolded across two in-person sessions in Hong Kong in August 2019 and at the Dhaka Art Summit in Bangladesh in February 2020. Each gathering has been structured around ten days of intensive activities including seminars by the affiliated core faculty, workshops, field trips, participant presentations, and public lectures. Drawing from the local academic communities in each location, the core faculty has been augmented through the involvement of professors, curators and artists based in Hong Kong and in Bangladesh.
MAHASSA Scholars
Akshaya Tankha
The colonial construction of indigeneity as an exception to the time of modernity has resulted in the marginalisation of Indigenous aesthetic practices in modern histories of art in South Asia. Akshaya Tankha’s research addresses this gap through a study of art in contemporary Nagaland, an Indigenous and Christian community in India’s northeast that was home to an armed movement for a sovereign ‘Naga nation’ from the mid to late 20th century. In the post-conflict political field, representations of ‘Naga culture’ are mobilised as temporally static markers of cultural and political difference by the Indian state and regional groups. In contrast, his research foregrounds the complex relationship to time enacted by sculptures produced by art-school trained artists, ‘house museums’ founded by Christian priests and photographic calendars and public monuments made by Naga nationalist sympathisers as examples of the temporal instability of the work of art itself. In doing so, it challenges their art historical marginalisation and critiques the modernist narratives of art, nationalism and modernity that underlie it.
The artist Veswuzu Phesao stands, with his child, in front of his Chakhesang Naga ‘rich man’s house’ in Unified Village, Dimapur, Nagaland. Photo: Akshaya Tankha
Tankha is a Doctoral Candidate at the Department of Art History, University of Toronto. Tankha’s research is on the relationship between Indigenous art, visual culture and politics in modern and contemporary South Asia. His current project explores the plural temporalities of modern artistic and exhibitionary forms in Nagaland, northeast India.
Amena Khanom Sharmin investigates Bangladeshi political allegory and satire in modern art and activism. She focuses on the ongoing conversation between 21st century activist-artists and Satyajit Ray’s Indian Bengali language trilogy *Goopy-Bagha*, released in India between 1969 and 1992, a time of political turmoil in the adjacent new nation, Bangladesh. Due to both countries’ politically informed censorship regulations, visual and verbal symbols became necessary in the art of various media. In her research she explores encoded and metaphoric political messages Ray used visually, cinematically and textually to avoid censorship and communicate with the audience. Using a socio-political lens, she examines how artists and activists appropriate the trilogy. Her MA thesis analyses Bangladeshi street art, slogans, and particularly the social media activist campaigns that appear in reaction to the parallel social-political phenomena of this region. This research is significant because these artworks offer insight into how a new generation engages with contemporary Bangladeshi politics.
Sharmin is pursuing a master’s degree at the University of Victoria, BC, Canada, in the Department of Art History and Visual Studies. She received her Bachelor and Masters in Art History at the University of Dhaka, Bangladesh. Her scholarly interests focus predominantly on activist art, specifically, the role and the embodiment of activist artists in society.
Amie Soudien currently engages in research regarding personal histories of enslavement in Cape Town, through the entry point of a project begun as a fellow at the Institute of Creative Arts (ICA), University of Cape Town, in 2015. In this project she tracked the life of Ansla van Bengalen, one of the first enslaved people brought to Cape Town by the Dutch East India Company in the 1660s. As part of the ICA fellowship, she led a walking tour of the Cape Town city centre, marking areas of importance in 17th century Cape Town as they coincided with sites which Ansla van Bengalen may have frequented. The tour’s content was both historically grounded and speculative in nature. This research now functions as the groundwork for a discussion regarding revisited narratives, and the ways in which previously marginalised historical figures can be recentered through embodied practices such as walking, protest, performance or ‘Live Art.’
Soudien is a curator, researcher, and art writer. Soudien completed her MA in New Arts Journalism at the School of the Art Institute of Chicago. Her interests include archival studies, popular media, gender and sexuality, and emerging artists from Africa and the diaspora. Soudien’s current research concerns the use of art, performance and the performing arts in the commemoration of historical events in Cape Town.
Andrew Mulenga’s research considers Zambia’s considerably overlooked and underrepresented status in art historical scholarship; in terms of national art histories it has been obscured from analysis in a broader comparative framework. However, Zambia provides a remarkable case study for divergent trajectories in the field. From the outside, it is as if art history scholarship in it does not exist. This is owing partially to its relative lack of structure, for example, at the Zambian Open University (ZAOU), the first in the country to provide art education at university level, has a programme that is less than a decade old. Therefore, a huge epistemic gap persists with respect to knowledge on modern and contemporary Zambian art, its chronicling, theorisation and outright documentation all which lend themselves to vibrant postcolonial, decolonial, transnational and global discourses.
Anissa Rahadiningtyas’ project builds on efforts to look closely at how different conceptions of modernity and modernism have emerged and developed in areas outside the West. She focuses on the role and relationship between visual art and Islam in producing and shaping notions of modernity in Indonesia. She investigates works of art and discourses on Islam and modern art from 1967 to early 2000s. She is interested in works of art produced by artists associated with a modern art training institution in Bandung where the influence of international modernism was directly transmitted to students by Dutch teachers. Works from this period demonstrate the heightened tension between Islam and competing religious values in modern and contemporary art in Indonesia. Through the works of these artists, the dominant discourse of modern art and Islamic art in Indonesia are constantly challenged and reworked through local adaptations of both modernism and Islam as well as through feminist critiques.
Rahadiningtyas’s primary research area is the history of modern and contemporary art in Indonesia. Her interests include postcolonial theory, ocean studies, comparative modernisms, and religious studies. She received an MA in Aesthetics and Art Sciences from the Faculty of Art and Design, Bandung Institute of Technology (ITB), in Indonesia. Currently, she is a PhD candidate in the History of Art and Visual Studies Department at Cornell University.
Carlos Quijon Jr.
Installation photo of the exhibition *Asian Modernism: Diverse Development in Indonesia, the Philippines, and Thailand* at The Japan Foundation Forum in Tokyo in 1995. The exhibition travelled to Manila, Bangkok, and Jakarta in 1996. Photo: The Japan Foundation
Carlos Quijon Jr.’s research considers exhibitions that dwell on modernity in Southeast Asia in the 1990s, a timeframe that might seem belated. He is interested in troubling the understanding of modernity as punctuality to a Euroamerican aesthetic timeline, thinking about modernism in a postcolonial milieu, which for historian Deepak Ananth elaborates a ‘predicament of latecoming.’ These exhibitions are *Asian Modernism: Diverse Developments* (Japan Foundation Asia Center, 1995); *Modernity and Beyond* (Singapore Art Museum, 1998); and, *The Birth of Modern Art in Southeast Asia* (Fukuoka Art Museum, 1997). He is interested in these exhibitions as nodes in reposing a discourse of modern art in Southeast Asia in the 1990s through its regional interlocutors. The proposal appreciates the afterlife of the modern, and the tropes that these exhibitions nominate in relation to modernism and modernity (its ‘birth’, ‘diverse developments’, and what is ‘beyond’ it), which simultaneously problematise and articulate this afterlife most compellingly.
Quijon, Jr. is an art historian, curator, and critic. His writings have appeared in *Art Monthly* (UK), *Asia Art Archive’s Ideas* and *Trans Asia Photography Review*, among others. In 2017, he was a research resident in MMICA Seoul and a fellow of the Transcuratorial Academy both in Berlin and Mumbai. He curated *Courses of Action* at the Hong Kong Arts Centre in 2019. He is completing an MA in Art Theory and Criticism at the University of the Philippines.
Chanon Kenji Praepipatmongkol
How to develop decolonial sociologies of art worlds alongside decolonial histories of modern art? That is, if scholars of modern art in the North Atlantic generally rely on a tripartite sociological model of the art world consisting of public museums, private galleries, and independent criticism/journalism, how do we construct frameworks that subdue ethno-nationalism in the social field that underpins artistic production and reception? Alternative descriptions have recently emerged in the work of Marian Pastor Roces (on the guises of ‘royalty’ in the Philippines, Iran, Chile, and Thailand), David Teh (on the combustible ‘ecology’ of art festivals), and Anneka Lenssen (on zones of ‘fragile institutionality’). Chanon Kenji Praepipatmongkol takes stock of these emergent methods for comparative and relational art historical inquiry across multiple medial scales and, in doing so, aims to arrive at more robust methodological bases for the twinned analysis of social and aesthetic form.
Buddhadasa Bhikkhu in front of the Spiritual Theater, Suan Mokkh, Thailand, c. 1970s. Photo: Buddhadasa Indapanno Archives
Praepipatmongkol is a historian of modern and contemporary Asian art and 2018–19 Marjorie Susman Curatorial Fellow at the Museum of Contemporary Art Chicago. He has worked on programmes and initiatives for the Tate, Museum of Fine Arts Houston, National Gallery Singapore, and Jim Thompson Art Center. Kenji is currently completing a PhD in History of Art at the University of Michigan, with a dissertation on postwar abstraction in Southeast Asia.
Dana Liljegren
Atelier of Melissa Fall, Saint-Louis, Senegal. Photo: Dana Liljegren
The use of repurposed materials can be found among many artists and emerging artists worldwide; however, it has a unique political history in Senegal going back to the 1970s. An interdisciplinary approach to this practice, referred to as récupération, Dana Liljegren’s research presents it as a strategy whose implications have shifted at key moments since its emergence. Previous approaches to récupération often regard it as a largely unchanging phenomenon, anchoring it in the prerequisite of poverty or reducing its complexity to tensions between African and European influences. In providing an account of this practice, her analysis draws on art historical methods as well as the fields of ‘garology’ and discard studies (interdisciplinary fields that focus on waste, recycling, and pollution in relation to social, political, and material histories). This dissertation on récupération in Senegal aspires to offer a model for interpreting similar contemporary artistic practices in Africa and around the world.
Liljegren is a PhD Candidate in Art History at the Graduate Center, CUNY. Her specialisations include West African art, global contemporary art, postcolonial theory, environmentalism, and film studies. She holds degrees in art history from New York University, Columbia University, and Université Paris I. Her dissertation examines the repurposing of trash in contemporary Senegalese art and the circulation of objects under conditions of postcolonialism.
Deborah Philip
Deborah Philip’s research focuses on Burgher identifications and imaginaries in colonial and post-colonial Sri Lanka, exploring two aspects of the ‘43 Group (Sri Lanka’s first modernist art collective) which was partially made up of a vanguard of Burgher artists when the island was on the cusp of independence in 1948. Namely, how did Burgher artists position themselves as ‘modern’, ‘local’ and ‘cosmopolitan’ within a colonial nationalist project that locates creole identifications as ‘out of place’ in the colonial/postcolonial nation-state of Sri Lanka? Secondly, what then is the afterlife of modernity in Sri Lanka, and how does it reinforce or disrupt national narratives of history and heritage?
Scanned page from *The Ceylon Daily News*, 1930.
Philip is a PhD student in Cultural Anthropology, The Graduate Center, City University of New York and a Trustee of the Sapumal Foundation, Sri Lanka. Selected public talks include: Sri Lanka Archive of Contemporary Art, Architecture and Design, Jaffna (2016), and *Open Edit: Mobile Library*, Asia Art Archive and Raking Leaves, Colombo (2013).
Dipti Sherchan
The twentieth century modern nation-state of Nepal emerged at the crossroads of global modernity and postcoloniality, however, it has always occupied a contested space of non-coloniality. Dipti Sherchan examines this particular milieu in which artistic production and consumption take place. Her research investigates the emergence of institutions like art schools, museums, and gallery spaces as well as local, regional, national and transnational encounters with tradition, modernity, nationalism, cosmopolitanism and other forms of artistic and political subjectivities. An integral part of her research inquiry is to question the ‘rupture’ between what is ‘tradition’ and ‘modern’ by examining the continuities and contestations in the shifting regimes of aesthetic practices and arts patronage in Nepal. Additionally, she explores the inclusion/exclusion of ‘the body of an artist’ in these institutional spaces and practices. She is interested in understanding how Nepali artists navigate, negotiate, and narrate their own experiences and aspirations within such intricate histories.
Sherchan is a PhD student in the Department of Anthropology at the University of Illinois at Chicago. She explores the intersections of ethnography and art history to critically examine cultural politics, histories, and encounters in South Asia and in particular, Nepal.
Greer Valley
Greer Valley’s research questions whether curatorial interventions can address and unsettle the legacies of colonial power and subjective authority embedded in museum practice. She considers the Rijksmuseum exhibition, *Goede Hoop, South Africa and the Netherlands from 1600* (2017) to examine how Dutch exhibitions have represented a shared colonial history between these two countries. The study looks critically at the notion of a shared history, especially since it is important to consider from whose point of view this history is told. To frame the argument of the dissertation, she makes use of the notion of the exhibition as social intervention. One of the objectives of the project is to survey emergent curatorial methods and methodologies of exhibition-making that can potentially unsettle the colonial/colonised gaze in institutions that were specifically designed for this purpose to engage with broader questions of how one would start curating exhibitions differently to develop new forms of exhibiting and curating.
Valley is a PhD candidate in Art Historical Studies at Michaelis School of Fine Art and a fellow at the Archive and Public Culture Initiative at the University of Cape Town (UCT). In 2018 she was a curatorial fellow at the Institute for Creative Arts (ICA) also at the University of Cape Town. She is currently a director on the board of the Africa South Arts Initiative (ASAI).
Kathleen Ditzig
Kathleen Ditzig’s research traces the emergence and desire for ‘Southeast Asia’ as a regionalism that was articulated through exhibition-making. It covers a historical period of the 1940s-1970s and is not limited to the geographic region of Southeast Asia. I’m interested in how Southeast Asia as regionalism was articulated in relation to other forms of solidarity and to endeavours that defined modern art as a break from the past. Looking at early exhibitions toward a collectivising of Southeast Asia that grew out of the perceived shortcomings of other solidarities; she will examine how and why political projects and artistic projects were ascribed to Southeast Asia and how this evolved as part of a larger project of imagining a new post-imperial and de-colonialised modern world.
Ditzig is a Singaporean researcher and curator. She has an MA from Center for Curatorial Studies, Bard College and is pursuing her PhD at Nanyang Technological University in Singapore. Her work has been published by *Artforum*, *Art Agenda*, *Southeast of Now* among others. She co-founded offshoreart.co and most recently curated *State of Motion: A Fear of Monsters* for the Asian Film Archive in Singapore.
Marian Nur Goni
Marian Nur Goni’s research focuses on Joseph Murumbi (1911-1990), Kenya’s first Foreign Minister and second Vice-President, whose intense and dedicated work within transnational, liberation networks was instrumental in the years leading up to the independence of Kenya. From the 1950s on, Murumbi also became a collector of African art and a patron of artists, particularly, but not exclusively, from East Africa. His eclectic artefacts from all over Africa, advocating for the preservation of African heritage/art on site – a very diverse and rich collection that he conceived himself as a Pan-African one. His path and gestures will thus be critically explored in their cultural dimension, in close conjunction with his engagement in Pan-African networks and anti-imperialist movements in the UK and beyond (his connections with India will also be highlighted), particularly in the 1950s. These networks involved streams of solidarities whose memories need today to be rekindled.
Nur Goni is a historian whose work focuses on the trajectories of historical objects and photographs in and from East Africa, raising questions about how memories, histories and heritages are constructed, transmitted and written about. She is currently a post-doctoral researcher at musée du quai Branly – Jacques Chirac, Paris. She received a PhD in Art History from Ecole des Hautes Etudes en Sciences Sociales (EHESS), Paris.
Image from Ha Bik Chuen archive at Asia Art Archive, Hong Kong
Building of National Archives of Kenya, Nairobi. Photo: Marian Nur Goni
Muhammad Nafisur Rahman
Dhaka’s urban fabric is structured through a complex visual amalgamation of building facades, images, symbols, and letterforms. In Dhaka, research on urban issues is overruling delicate variables such as urban typography with its importance in wider design pedagogy, cultural identity, and urban discourse. There has been an ‘externalisation’ of geographical study or landscape on these Bengali legible artefacts in the urban streetscape. Unique to Bangladesh is its language and its complexly saturated urban experience. Here, architecture becomes the façade of urban communication while establishing a ‘right to the city.’ Muhammad Nafisur Rahman carries out qualitative research on Bengali urban typography by studying the origin of Bengali language along with the socio-political evolution of traditional Bengali letterforms. Onsite commercial signage, wall graphics, posters, and urban experience allows for his research to be founded in practice, since, contrary to western architectural education’s account of such urban strategies.
Rahman is currently a PhD student in Architecture at the College of Design, Architecture, Art, and Planning (DAAP), University of Cincinnati, OH and Adjunct Faculty in the School of Design. Rahman holds an MDes in Graphic Design from University of Illinois at Chicago and BArch from BRAC University, Bangladesh. Prior to pursuing PhD, he taught architecture in Bangladesh. Rahman worked as a Branded Environments Designer at Perkins and Will in Chicago.
Nurur Rahman Khan
Muzharul Islam’s works, his philosophy and his politics, had a deep connection with artists, writers and musicians of his time. Islam’s ‘artistic’ yet ‘socio-political’ approach to design had a distinctive perspective that allows us also to evaluate the arts of that period (1940–1980). When art is compartmentalised only with architecture, other fields such as music and craft remain side-lined. This myopia leads to a simplistic understanding of Muzharul Islam’s association with artists and writers of that time was not only unique, but also led to the beginning of a Bengali Modern Movement specific to that era, a broader artistic modernity in association with socio-political modernity. It will thus be important to see his work also beyond architecture, and understand nation-building politics as a key idea of that time, and which was shared among other fields of the arts. This perspective will allow Nurur Rahman Khan to better map the history of arts in South Asia.
Khan is a practicing architect, architecture historian, and an academic. He is pursuing his PhD from Università Iuav di Venezia in Architecture History and Criticism. He has presented lectures at many significant universities such as Yale, Columbia, MIT, RISD, IUAV (Venice) and also the UIA and ARCASIA Conference.
Samina Iqbal
Like many other non-western countries, modern art in Pakistan cannot be considered simply as a single movement that operated parallel to or in conformity with western modernist trends. Samina Iqbal’s research focuses on an empirical study of the specific conditions that gave rise to modern art in Pakistan in its formative years and analyses how a small group of artists called Lahore Art Circle engaged in a countermovement outside the nationalist agendas of Pakistan after its Independence in 1947. She is interested in expanding a contemporary art historical narrative compiled for other neighbouring countries of Pakistan and the MENASA region. To examine the respective, purposefully open-ended, dialectical tensions between international, national, and local stylistic concerns of these regions – a parallel dialogue to the western canon, it is her effort to develop a parallel and critical dialogue of modern art in the context of regions outside of Europe and Americas.
Iqbal is a practicing artist, art historian, and an academic. She received her BFA from the National College of Arts Lahore in 1997, and MFA from the University of Minnesota in 2003. She received her PhD in art historical studies from the Virginia Commonwealth University Richmond in 2016. Her research interest is modern and contemporary art of South Asia.
Sanjoy Chakraborty
Folk art has left a sizeable and long-lasting impact on modern and contemporary art in Bangladesh. Zainul Abedin founded the first art college of Dhaka in 1948, of which one of the key focuses was an engagement with folk art, and later established Bangladesh’s Folk Art Museum. Qamrul Hassan was deeply involved with folk dance, and S.M. Sultan eventually settled in the rural area of Narail and founded the folk dance group that would shield himself in folk-music and folk dance. This lineage of modernist engagement with performing arts has led students of the art college to initiate art in large processional forms in a wide range of mediums, including an event called *Mangal Shobhajatra* that began in the 1980s and is now an iconic part of Bangladeshi visual culture. This has in turn led a generation of art students towards exploring performance art in the 1990s. Rather than seeing performance art in Bangladesh as a development only from the late 1990s onwards, a more complex history needs to take into account this deep and multifaceted legacy that extends back to the mid-twentieth century.
Chakraborty is an assistant professor of Art History at the University of Dhaka and also works as a visual artist. He earned his master’s and bachelor degrees in Art History from Rabindra Bharati University, India and is currently working towards his PhD on Bangladeshi Folk art from Dept. of Drawing and Painting, University of Dhaka. His writings on Bangladeshi modern art, art education, and folk art have been published in various journals and magazines. His curatorial work in Bangladesh includes *Vicinity* (2009) in Chittagong and *Kolpozikolpo* (2017) in Dhaka, and he also co-edited the catalogue of the 2015 Kornaphuli Folk Triennial.
Taushif Kara
Taushif Kara’s research explores the intellectual history of the Khoja diaspora across the Indian ocean world in the 20th century. A trading community from western India, the Khoja are a community whose borders were drawn up in colonial courtrooms and whose migration paths traversed the routes of empire. With an eye to moving beyond the text as the sole space for intellectual production, his research looks to architecture as a context for reading the modern history of the community. He is particularly interested in exploring the many connections between Muslim nationalism in the subcontinent and the racialised anti-colonial nationalisms of eastern Africa; the Khoja, as an Indian Muslim community in Africa, were notably excluded from both. He looks at these connected histories through their respective aesthetic elaborations, namely architecture. Kara uses the term elaboration because he prefers to treat aesthetics not as mere historical objects—that is, as primarily derivative sources derivative of dominant intellectual paradigms—but as constitutive sources, capable of containing, generating, and resisting ideas.
Kara is a PhD student in history at the University of Cambridge and an affiliate scholar of the Institute of Ismaili Studies in London. He has lectured on Muslim political thought at SOAS, University of London, and is currently a producer of *Interventions*, the intellectual history podcast.
Uthumalebbe Iffath Neetha
Uthumalebbe Iffath Neetha’s work thus far explores the art history, heritage, and aesthetics of the Muslim communities of Eastern Sri Lanka, communities vastly understudied. One of her ongoing projects investigates a flag-making tradition, which appendsages the Kalmunai Beach Mosque. This tradition, and the mosque and tomb-shrine that envelop it continue to bring devotional communities together across the region. She experiments with various methods including ethnography, oral history, and art history to explore how practices of craft and devotion are integrated. Another project she is currently undertaking seeks to bring mosque architecture into the wider story of Sri Lankan artistic heritage. The architecture of several mosques in this region bring out histories of connection between trade routes, craft routes, devotional spaces, and colonial influences, which is especially important because it brings to light the rich diversity of visual expressions prevalent in the past.
Yujia Bian
Yujia Bian’s recent work draws upon historical materials while incorporating theoretical texts on cultural techniques, modernity, and visuality. It looks at late nineteenth-century and early twentieth-century British plant-collecting expeditions in the eastern Himalayas. Illustrations and photographs constituted a scientific medium for these expeditions. The project considers the intersection of imperialism and scientific objectivity by drawing on Chinese and British manuscripts and botanical archives. Her current work continues the research on human understandings of nature and focuses on culture of weather phenomena. One such project, supported by Design Trust HK, looks at Hong Kong’s relation to typhoons. Personal accounts as well as the scientific means for weather observation suggest that the city’s urban fabric has been continuously concretised.
Bian is a researcher in landscape, architecture, and art. Trained both in landscape architecture and architectural history and theory, her works interrogate the regulation and interpretation of nature that often involves design and exhibition-making. Her most recent work focuses on environment and nature expeditions in the Mekong Delta and the Himalayas during the late 19th century and early 20th century. She holds a Master of Critical, Conceptual, and Curatorial Practices in Architecture from Columbia University’s Graduate School of Architecture, Planning and Preservation (GSAPP).
MAHASSA Faculty
Leader
Dr. Iftikhar Dadi is associate professor in Cornell University’s Department of History of Art, Co-director of the Institute for Comparative Modernities, and Director of the South Asia Program. He teaches and researches modern and contemporary art from a global and transnational perspective with an emphasis on questions of methodology and intellectual history. His writings have focused on modernism and contemporary practice of Asia, the Middle East and their diasporas. Another research interest examines the film, media, and popular cultures of South Asia, seeking to understand how emergent publics forge new avenues for civic participation. Publications include *Modernism and the Art of Muslim South Asia* (2010). Other publications include the edited monograph *Anwar Jalal Shemza* (2015), the co-edited catalogue *Atlas of Control* (2012), and the co-edited reader *Unpacking Europe* (2007). His essays have appeared in numerous journals, edited volumes, and online platforms. Dadi currently serves on the editorial and advisory boards of *Archives of Asian Art* and *Bio-Scope: South Asian Screen Studies* and was a member of the editorial board of *Art Journal* (2007–11). He is an advisor to the Hong Kong-based research organisation Asia Art Archive.
Core Faculty
Dr. Elizabeth W Giorgis is Associate Professor of Theory and Criticism at the College of Performing and Visual Art at Addis Ababa University. She previously served as Director of the Institute of Ethiopian Studies and Dean of the College of Performing and Visual Art at Addis Ababa University. She is the editor and author of several publications, including serving as guest editor for *Perspectives on Ethiopian Modernity and Modernism*, a special issue in *North East African Studies* (Michigan State University), co-editor of *Charting Ethiopian Modernity and Modernism*, a special issue on Ethiopian art and literature in *Callaloo*, *Journal of the African Diaspora* (Johns Hopkins University Press) and *Gebre Kristos Desta and The Painter Poet*. She has curated several exhibitions including *Time, Activity, Activity*, an exhibition of Olafur Eliasson’s work (2015). Giorgis received her PhD in History of Art and Visual Studies at Cornell University and previously studied Museum Studies at New York University. Her book project on Ethiopian modern art history, *Modernist Art in Ethiopia* is forthcoming in 2019 from Ohio University Press. As an expert in African modern art, Giorgis addresses our project’s intellectual scope across those regions.
Dr. Ming Tiampo is Professor of Art History and Director of the Institute for Comparative Studies in Literature Art and Culture at Carleton University in Ottawa, Canada. She is a scholar of transnational vanguardism. Books include *Gutai: Decentering Modernism* (2011) and in 2019, she was a collaborator on the AICA-USA sponsored exhibition *Splendid Playground* at the Guggenheim Museum in New York. In addition, Tiampo has published on globalisation and art, multiculturalism in Canada, and the connections between Inuit and Japanese prints. She is currently working on two books; *Decentering Globalism* is an interdisciplinary and methodological analysis of World Art Studies, *Paris from the Outside In: Art and Decolonization* considers Paris as a site of intersection to investigate the historical conditions of global modernism. Her interests and expertise in global modernism and decolonisation are deeply relevant to this project.
Dr. Salah M. Hassan is the Goldwin Smith Professor of African and African Diaspora Art History and Visual Culture in Africana Studies and Research Center, and Department of History of Art, and Director of the Institute for Comparative Modernities (ICM), Cornell University. Hassan is an editor and co-founder of *Nka: Journal of Contemporary African Art* (Duke University Press). He currently serves as a member of the editorial advisory board of *Atlantica* and *Journal of Curatorial Studies*. He authored, edited and co-edited several books including *Darfur and the Crisis of Governance: A Critical Reader* (2009), and *Diaspora, Memory, Place* (2008); *Unpacking Europe* (2001); and *Authentic/Ex-Centric* (2001). His book *Ibrahim El Salahi: A Visionary Modernist*, published in 2012 in conjunction with the retrospective of the Sudanese artist, Ibrahim El Salahi, which was exhibited at Tate Modern in London (2013).
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Cover of catalogue *Unpacking Europe: Towards a Critical Reading*, 2001, Edited by Salah Hassan and Iftikhar Dadi. Published by Museum Boijmans Van Beuningen: NAI Publishers in Rotterdam, The Netherlands.
Book cover of *Gutai: Decentering Modernism*, 2011. Ming Tiampo. Published by University of Chicago Press
Book cover of *Modernist Art in Ethiopia (New African Histories)*, 2019. Elizabeth W. Giorgis. Published by Ohio University Press
Book cover of *Ibrahim El-Salahi: A Visionary Modernist*, 2013. Salah M. Hassan. Published by Tate Publishing
Dr. Sanjukta Sunderason is tenured Assistant Professor at University of Leiden. Her research expands on her interest in the aesthetics of decolonisation, by looking at post-partition visual art across India, West and East Pakistan during the 1950s-1960s, alongside subaltern and transnational formations of anti-imperialist cultural solidarities. At present, she is working on several book projects. The first is a completed manuscript that studies left-leaning aesthetics in India under the shadow of the long decolonisation, spanning the 1920s through the 1960s. Another project ongoing since 2013 is under a broader project *Aesthetics of Decolonization* funded by the European Commission Marie Curie Grant (2013–2017) and the Research Grant of the Asian Modernities and Traditions profiel of Leiden University (2015–2018). The research, spanning sources, archives and private collections across South Asia, Europe, the United States and the Middle East, hopes to contribute to new intellectual histories of the Global South through the materiality and scopes of the aesthetic. A native speaker of Bengali and an expert on the modern art in Bengal and South Asia, she will relevantly address our project’s context in Dhaka and Bengal.
Dr. Simon Soon is a senior lecturer at the University of Malaya in Kuala Lumpur. His research focus includes 19th and 20th-century art and visual culture in Southeast Asia. Other research interests include global flows in art, architecture, and visual cultures of Asia (early modern, colonial, modern/contemporary), Latin America, and Southeast Asian cultural networks and comparative frameworks, and abstraction and modernism in Asia and Africa. His doctoral dissertation investigated the spatio-visual practices of postwar left-leaning art movements in Singapore/Malaya, Indonesia, Thailand, the Philippines from the 1950s–’70s. Prior to undertaking academic research, he worked as a curator in the field of Southeast Asian modern and contemporary art. Soon is co-founder and a member of the editorial collective of *SOUTHEAST ASIAN DIRECTIONS: Contemporary and Modern Art in Asia*, a monthly review journal published by NUS Press. He is also a team member of Malaysia Design Archive, an archival, research and education platform on visual cultures of the 20th century. Soon’s expertise in Southeast Asia, archives, and in comparative methodologies addresses our project’s Southeast Asian frameworks.
Guest Faculty
Dr. Anna Arabindan-Kesson is an art historian and writer who has lived and studied in Sri Lanka, Australia, New Zealand and England. Prior to completing her PhD in African American Studies and Art History in the United States, Anna was a Registered Nurse. Her personal and professional background inflect her academic and curatorial work which focuses on the relationship of vision and visuality to histories of race, empire, and migration.
Dr. Lotte Hoek is a media anthropologist whose ethnographic research explores the moving image in South Asia, particularly in Bangladesh. Her current research focuses on art film and non-theatrical exhibition as grounds for political contestation in Bangladesh since 1948. She is the author of *Cut-Pieces: Global Cinema and Post-Cinema in Bangladesh* (Columbia University Press, 2014; winner of the Bernard S Cohn book prize) and co-editor of the journal *BioScope: South Asian Screen Studies*. Her research has been published widely, including in *Third Text*, *Himal Southasian*, *British Art Studies* and *Screen*. Her research blog De Media Automatiek narrates her ongoing research work. She is Head of Social Anthropology at the University of Edinburgh.
Apostino Brinolas, *Linen Market Dominica*, cca. 1930. Oil on canvas. Courtesy of Yale Center for British Art and Paul Mellon Collection.
Page from *New Straits Times* showing the team of Malaysia Design Archive. Courtesy of *New Straits Times*
Dr. Farhan S Karim is an architect, educator and architectural historian. He is first author of *Of Greater Dignity than Riches: Austerity and Housing Design in India*. His forthcoming book is *Architecture and Cold War Modernization in Postcolonial Pakistan*. He is now designing a community mosque and Qur’anic school in Maryland, USA.
Dr. Sean Anderson See page 191
Dr. Zahia Rahmani See page 41
Book cover of *Of Greater Dignity than Riches: Austerity and Housing Design in India* by Farhan Karim. Courtesy of Farhan Karim.
Courtesy of Lotte Hoek
Organisers
**Amara Antilla** is Senior Curator at the Contemporary Arts Center (CAC) in Cincinnati. She previously worked at the Guggenheim Museum in New York where she contributed to various exhibitions including V.S. Gaitonde: Painting as Process, Painting as Life (2014), Monir Farmanfarmaian: Infinite Possibility, Mirror Works and Drawings, 1974–2014 (2015), and Simone Leigh: Loophole of Retreat (2019), as well as the curatorial program of the Guggenheim UBS MAP Global Art Initiative (2014–18). She has coordinated performances and special projects by artists such as Luis Camnitzer, Amalia Pica, Naufus Ramírez-Figueroa, and Slavs and Tatars, among others.
Antilla was awarded an Asian Cultural Council grant for art history (2015–16) and served as curatorial advisor for the Dhaka Art Summit (2016).
Antilla studied art history at Tufts University, the Museum School, and Hunter College at the City University of New York (CUNY).
Diana Campbell Betancourt
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Rajii Kuroda and Yasunaga Koichi identifying visitors to the first Asian Art Show Part II In, Fukuoka, February 2016. Courtesy of Diana Campbell Betancourt
Installation image from Rewind, Dhaka Art Summit, 2016. Courtesy of Samdani Art Foundation. Photo: Jenni Carter
Jyoti Bhatt, Students Preparing for the Fine Arts Fair, Baroda, 1967. Courtesy of Jyoti Bhatt
Jose Maceda, Caricature 500, performance at Culture Centre of the Philippines, 1971. Photo from *The Asia Magazine*, 30 May, 1971, found in the Ha Bik Chuen Archive in Hong Kong. Courtesy of the *Asia Magazine*, the Ha Bik Chuen Family, and Asia Art Archive
Research Team
**John Tain** is Head of Research at Asia Art Archive, where he leads a team of researchers based in Hong Kong, New Delhi, and Shanghai, with projects spanning all of Asia. In addition to exhibitions at the Serendipity Arts Festival in Goa (2018) and Art Basel Hong Kong (2018, 2019), he co-organised a symposium on art periodicals in Asia at the Asia Art Archive and the Asia Foundation’s Focal Point art book fair (2018). His writings on Rirkrit Tiravanija, Wu Tsang, Charles Gaines and Kara Walker, among others, have appeared in *Artforum*, *The Brooklyn Rail*, *Flash Art*, *Art Review Asia*, and in various exhibition catalogues, and he is an editor of the *Afterall Exhibition Histories* series. He was previously a curator for modern and contemporary collections at the Getty Research Institute in Los Angeles.
**Michelle Wong** is an Asia Art Archive researcher based in Hong Kong. She leads the Ha Bik Chuen archive project, which is cataloguing and researching the papers of a Hong Kong-based artist who also donated over 1,500 exhibition catalogues from Hong Kong and the region more broadly. Wong developed some of her research for the *Ambitious Alignments project* (2015), which was supported by a grant from the Getty Foundation. She is a 2019 Pernod Ricard Fellow at Villa Vassilieff & Bétonsalon, Centre for Art and Research, Paris.
Dr. Sneha Ragavan has been an Asia Art Archive (AAA) researcher based in New Delhi since 2012, and as such is responsible for AAA research activities in South Asia. Ragavan collected parts of the Baroda Archive for AAA, led the *Bibliography of Modern and Contemporary Art Writing of South Asia* project, which compiled over 10,000 texts in 35 languages from South Asia over the course of the twentieth century, and is currently developing the Nilima Sheikh archive project.
Installation view of the exhibition *Serial Killer* (*Zhu*) at Green Papaya Art Projects, NIM Yu, 2009. Courtesy of Green Papaya Art Projects
Dr. Chuong-Dai Vo is a Researcher at Asia Art Archive, specialising in modern and contemporary art related to Southeast Asia. Her research and curatorial interests include collective platforms, ephemeral practices, social movements, and marginalised genealogies. Her writing can be found in publications such as *Afterall*, *Sismographie des luttes*, the exhibition catalogue *Southern Constellations: The Poetics of the Non-Aligned*, Taipei Fine Arts Museum’s *Modern Quarterly*, the anthology *Film in Contemporary Southeast Asia*, and *Journal of Vietnamese Studies*. Her research has been supported by Institut national d’histoire de l’art, Mellon Foundation, Asia Cultural Council, Fulbright Program, University of California Pacific Film Research Program, and National Endowment for the Humanities. She is researching the construction of multiple modernisms through arts pedagogy, arts writing, and exhibition-making in Vietnam, 1925–1975. Additionally, she is curating an exhibition about Green Papaya Art Projects at Vargas Museum, as part of the artist-run platform’s closing after two decades.
Ruxmini Reckvana Q Choudhury
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Cover page of catalogue from Asian Art Biennale, 1981. Courtesy of Bangladesh Shilpakala Academy
Samdani Art Award 2020
Curated by Philippe Pirotte assisted by Ruxmini Reckvana Q Choudhury
All too often, our so-called priorities dictate what we imagine important for understanding life in places and histories different than ours. Often coming from ‘the West’, the groups and economics that have become dominant and which recast societies have become the paradigms that we are lead to view as original and definitive of human cultures. Generally these models were built by a colonial system, and then inherited by nationalist revolutions that continued to define and maintain those sometimes problematic interpretative structures. Through templates borrowed from subsequent dominant elites, be they secular or religious, forces of ‘modernity’ appeared to define independent, national cultures. Their now metropolitan centers progressively become the scene of tension between trajectories of growing global integration, spread through bureaucracy, schools, media, and technology. India, on the one hand, and resource claims to validate indigenous ways of life or to maintain cultural traditions that pre-date colonisation on the other.
The young Bangladeshi art scene seems acutely aware of local cultural memories, the struggle to preserve knowledge and traditions of indigenous identities, but also of everyday forms of resistance against forces attempting to make things uniform. In their works for the 2020 Samdani Art Award exhibition, the artists have particularly attention to complicate and to add nuances of ethnicity, tradition, feminism, race, environmental adjustment, and the struggles of indigenous groups. These are all issues characterised by fraught relationships with homogenising strategies, manifesting themselves in forms and claims of universal theories, such as nationalism, religion, and the idea of modernity as progress. Most of the artists in the exhibition feel a sense of solidarity with smaller communities, such as the often-difficult situations of women, workers and peasants. These groups are publicised – but voices are cut out – and seen as expendable in larger geopolitical scenarios and/or transformations of religious, political, and economic nature. Those large transformations are characterised by complex interplay, which altered traditions, and sometimes these revisionist forms were the only way certain traditions could survive. One could call it ‘syncretic receptivity’ as new symbols can be received as supplements, which enrich the so-called substratum, rather than replace what went before. An obvious example is the conversion of Santal to Hinduism and Christianity, while also maintaining their own forms of spirituality. Chinese local cultures, assembled each process and stage of adaptation, they gave distinctive meaning to ascendant ideas and practices coming from elsewhere.
The artists in the exhibition appreciate the local perspectives which have conditioned peoples’ reception of new currents of thought and organisation, and they also look deep into the recesses of social life where the resilience of indigenous cultures still resonate. For example, abrupt shifts in religious allegiance precariously put communities in a world of contradiction and fluctuation with respect to their original spiritual practices. But as new idioms framed local understandings, undercurrents of earlier sensibility have been consistently nurtured.
Ashfika Rahman, Najmun Nahar Keya, Soma Surovi Janett attempt to characterise local cultural life, identifying key structures, patterns of social interaction, as reshaped through time. Ashfika Rahman engages with the Oraw, a little known indigenous group akin to the Santal, which was lured with financial compensation and employment to migrate to cities after the Bangladesh liberation war in 1971, a time when massive conversions to Christianity of the low caste Hindu community and indigenous communities happened. Rahman recreates a ‘Sithapati’, a mat manufactured by the Orawa community, using natural materials and adorned with decorative designs called ‘nakshi pathi’ – including 101 names of converted Oraw. Najmun Nahar Keya works with women from village communities in Tangail district, more specifically from Pach Charan, to trace folk tales, ballads, poetry and proverbs from the oral tradition, embodying traditions, emotions, thoughts and values of everyday life, devotion, love ritual and labor. The collected texts will be transferred into word-shapes made up from mixing Bangla and English language forms with metallic foil. Soma Surovi Janett’s ambitious spiral-shaped table features drawings on handmade paper from banana, sugarcane, bamboo leaf, palm tree, and rice straw, next to mud-pottery, jute accessories, and medicinal herbs. She worked with the Kumar Para, the well-known potters community in Lalmoinirhat, and wants to bring forth their eco-friendly style of living.
Other artists featured in the exhibition, like Promit Hossain and Falkam Ebra Shariff engage with vulnerable groups, sometimes subjected to brutal and exploitative occurrences, in an isolated village in Subarnarchar, Noakhali. Promit Hossain engaged in conversations, and subsequently made drawings, together with a woman, who was gang raped by 16 cadres of a political party. Broadening her exchange in Noakhali, Hossain met also like child brides, and other women with whom she would engage in collective drawing. Photographer and filmmaker Falkam Ebra Shariff’s ongoing documentary project ‘Cha Chakra: Tea Tales of Bangladesh’, connects to colonial history of plantation economies, using photography and moving image. Today this ‘encircle economy’ within the tea estates of Bangladesh, a remnant of British colonial rule, employs approximately half a million workers stemming from the mass migration of 80 different ethnicities and communities, toiling within old feudal working conditions. These workers are the cheapest form of labour for the second most consumed drink after water in the global economy. Tahia Farhin Haque traces back the specific migration of her family as a result of communal sectarianism, through compelling black and white photographs and a video work. Revisiting the place her father was born before the 1947 partition of British India into India and East and West Pakistan, the tension she felt still palpable in the air today, making photographs as a Muslim woman predetermined every encounter and became an integral part of her project. Since 2014 Habiba Nowrose develops a body of work tackling concepts of beauty, femininity, and domesticity. In the longing for perfection, negotiating global normative concepts with an iconic character, encompassing enticement, seduction, and persuasive female charm, in the Bangladeshi context. In Nowrose’s imaginary world, happy kitschy fabrics with flashy patterns and colours adorn the characters depicted on glossy paper and veil the revered woman, the modern working woman of urban Dhaka, the woman confined to domestic roles and/or aspects of intimate relationships.
Performance is a catalyst in the works of Sumana Akter, Ariful Kabir and Palash Battacharjee. Akter engages with old children games like ‘danguli’, thief, police, ‘gollachut’, bomb busting, seven plants, ‘daria banda’, ‘kutakuta’, ‘icimicicim’, ‘balama’, ‘hadudu’, ‘kabaddi’, ‘ludu’, rope, ‘kanamachi’, dolls marriage, marble, kite, ‘uransaha’, etc., All of them have a connection with soil/earth, as they are played on the ground. In a durational performance, Akter recreates the toys used in those games out of clay, as a metaphorical protest against urban gentrification, consumerism. Ariful Kabir’s durational performance on his turn, with the artist whispering from a self-made coffin for several hours, has no morbid overtones. Old Egyptian traditions of dealing with the death, and a keen interest in specific shapes carrying old memories and symbolisms, fuel his performance. The transformation from an act of everyday life into the performative, and possibly the ritualistic motivates Palash Battacharjee’s video installation in which one monitor features a scene of an opening and closing drawer, the other shows the restless movement of a hand holding and shaking some small sized papers. Through these absurd actions, Battacharjee brings about the domestic as an ambiguous space in which movement hovers from the banal to the compulsive.
Sumon Das and Zihan Karim are keen observers of the urban environment, looking at either a recurrent feature, or a specific history with nostalgic overtones. Sumon Das’ installation sculpturally evokes the dark metallic nests of chaotically arranged poles and electrical conduits hanging from poles to poles across the roads, typically representative of urban Dhaka. An audio track of collected sonic material objects produces a fitting vibrating sound. In earlier work, Das documented these wire poles photographically, as there is a will from the state that they would disappear by the year 2022. Zihan Karim’s video-installation ‘Last Five Minutes of Xiluo Theatre’ focuses on the history of an old movie theatre in Taiwan. Karim’s installation consisting of a wall of monitors and a projection, negotiates the nostalgia involved while visiting this now dilapidated theatre which is no longer in use, since the advent of television, and even newer media kept the people away. The story will resonate in the Bangladeshi context, as since 2000 around thousand movie theatres closed permanently.
This exhibition was realised in collaboration with the Goethe-Institut Bangladesh.
Ariful Kabir
Ariful Kabir is an interdisciplinary artist whose work spans painting, sculpture, installation and performance. Instead of focusing on particular subjects, his inspiration stems from his immediate context, alternating between Bangladesh and France, where he is currently based. In his performances, found objects such as a wooden chair, tape and a blindfold have been used as metaphors for the political situation in Bangladesh and his personal experience there. Kabir's performances also explore the ephemerality of the medium itself in relation to the construction and deconstruction of time, drawing from various histories such as that of Buddhism.
b. 1990 in Chattogram, lives and works in Besançon
Ashfika Rahman
Ashfika Rahman’s practice explores and experiments with photography, using media ranging from historical techniques like 19th century printmaking, to documentary approaches and contemporary media. Photography is the predominant medium that she uses to express her views on complex systemic social issues such as police violence, rape, and religious extremism – often overlooked by the administrative machinery of the state. In her practice, she creates a conceptual timeline of the stereotypes of victims, repeated across history, notably in regard to minors.
b. 1988, Dhaka, lives and works in Dhaka
Faiham Ebna Sharif
Faiham Ebna Sharif is an artist and researcher interested in long-term explorations of subjects such as tea plantations, the film industry of Bangladesh, the Rohingya refugee crisis, HIV patients, climate change, and migration from the micro-scale of the local bus to the meta-scale of humanity. Although Sharif studied international relations, he chose photography as his medium of expression. Sharif collects manuscripts, published print sources (such as newspapers and other local media), as well as visual records (paintings, photography and video) and oral histories parallel to and contributing to his artistic practice.
b. 1985 in Dhaka, lives and works in Dhaka
Habiba Nowrose
Habiba Nowrose explores human relationships and gender identities through photography. She makes photographic portraits as this allows for the introduction of different perspectives and interpretations regarding topics such as the life of HIV positive patients or mourning after the death of a loved one. Nowrose takes careful mental note of objects, colours, patterns and locations that attract her on a repeated basis, which she then re-introduces in her carefully constructed compositions. These elements play a fundamental role in her interactive and psychologically moving image making process.
b. 1989 in Sirajganj, lives and works in Dhaka
Najmun Nahar Keya
Najmun Nahar Keya is primarily a painter, but also employs old photographs, gold gilding, drawing and printmaking, which she juxtaposes to create nostalgic settings. Having grown up in the old part of Dhaka, Keya draws her inspiration from the rapid social, economic and environmental changes happening in the area as a result of urbanisation. Often using identifiable architectural structures and characters she encountered in the past, she depicts memories and narratives tied to them. She is interested in the duality of society focusing on lifestyle, culture, cityscapes, urban motifs, customs and architecture.
Between The Sky And The Earth-9, 2016. Graphite, oil and acrylic on canvas. Courtesy of the artist
b. 1980 in Dhaka, lives and works in Dhaka
Palash Bhattacharjee
Palash Bhattacharjee works with performance, installation, and video within his practice. His works are the result of aesthetic experimentation derived from personal experience, set in relation to human sensitivities and emotions. These are conscious and unconscious expressions of his everyday behaviour, thought and perception within the context of a society where narratives of a human’s existential reality seem to be losing meaning in the face of larger political, social concerns.
b. 1983 in Chattogram, lives and works in Chattogram
Promiti Hossain
Promiti Hossain’s artistic practice is comprised of drawing, painting and collage. Her work addresses her private experience as well as the subjectivity of gender. The constant news stories of gender-based violence against women and children, which she comes across daily, inspire her to draw attention to the struggles women face in the world. Her anatomic-style ink drawings of insects, flowers, and the female body allow marks and mistakes to represent the challenges women face in society.
b. 1991 in Dhaka, lives and works between Dhaka and Santiniketan
Soma Surovi Jannat
Soma Surovi Jannat works with illustration, drawing and painting. Her work bridges different stimuli from her surroundings, aiming to depict what often are grim circumstances through an optimistic lens. Jannat transforms her two-dimensional works into installations, developing a visual language that allows the viewer to perceive the presence and correlation of different elements across varied circumstances. Numerous facets with individual storylines are joined to present a common narrative, which allows for the experience of a complex visual illusion. Interaction, collaboration and social engagement are characteristic of her working process.
b. 1990 in Dhaka, lives and works in Dhaka, Bangladesh
Pass, 2019. Video still of a part of two-channel video installation. Courtesy of the artist
Continual Conversation, 2019. Drawings. Courtesy of the artist
Overarching Chain of Connections, 2018. Detail of a drawing installation, pen on canvas, wood and wall. Courtesy of the artist
Sounak Das
Sounak Das works with photography, moving image and sound. His interest in photography was sparked by his exploration of photo albums of his father’s theatre performances created in the 1990s. The loss of his father in 2012, which is accompanied by a rich tradition of rituals in the Hindu religion, drove him to explore spirituality and ritualistic practices in more depth. He makes portraits of religious leaders as an act of documenting his own experience of spiritual practice. Das has previously worked and collaborated with various artists on numerous projects, using VR, installations, performance art, and various film formats: documentaries, art films, commercials and after-movies (a term used to describe short documentary style films to show behind-the-scenes stories, informal interviews, film production processes, advertising, etc).
b. 1983 in Narayanganj; lives and works in Narayanganj, Bangladesh
Sumana Akter
Sumana Akter is interested in performance art in addition to painting. Her work takes a critical stance towards social, political and cultural issues, such as the environmental concerns of the Sundarbans caused by industrialisation. In her performances Akter references the century-old Bengali Kantha (quilt) stitch practice and traditional childhood games that are increasingly forgotten across generations due to urbanisation and technological dependency. Her own voice becomes an important tool in her performance practice.
b. 1993 in Dhaka; lives and works in Dhaka
Tahia Farhin Haque
Tahia Farhin Haque’s work shatters traditional stereotypes about women, specifically in Islamic countries, by bringing women’s unique perspectives to the forefront of her photography practice. She hopes to lend a voice to issues that are unheard of and unseen in the rest of the world, while making her viewers question their paradigms on a personal level. She believes her gaze is affected by her conservative Muslim background, and wants to express this through her work.
b. 1996 in Dhaka; lives and works in Dhaka
Zihan Karim
Zihan Karim’s works address the subtleties of time, space, and social issues through various media, objects and architecture through installation, sound, and projection. He blends analog reality with the virtual to initiate new layers of observation, leading viewers into an advanced perceptual world. Karim’s transposing of sequential events of one specific time to another might ultimately inspire new situations, and the artist likes to observe the reaction of his audience to these scenarios.
b. 1984 in Chattogram; lives and works in Chattogram
DAS Guest Artistic Team
DAS is pleased to have curatorially collaborated with the following institutions and individuals on its fifth edition:
**Artspace (Collective Movements)** Established in 1983, Artspace is one of Australia’s leading institutions for the production and presentation of contemporary art. Through new commissions, exhibitions, performances, artist residencies, public programmes, publishing and advocacy, Artspace is where artists of all generations test new ideas and shape public conversation. Committed to risk, experimentation and collaboration, Artspace’s mission is to enhance our culture through a deeper engagement with contemporary art.
**Alexie Glass-Kantor** is Executive Director of Artspace, Sydney, supporting the commissioning of contemporary art, publishing initiatives, and research residencies for artists and curators. She is the Curator for the Encounters sector at Art Basel, Hong Kong, which is the curated section of the presentation of large-scale installations. She has curated or co-curated over 100 exhibitions across independent spaces, collecting institutions, biennials and festivals and will curate Australia's pavilion at the 2021 Venice Biennale.
**Lola Pinder** is the Development and Public Engagement Manager at Artspace, Sydney and works across curatorial and community outreach to support the development of new ideas and programming. She has previously worked at the National Centre for Photography, Education and Public Programs as well as the Flying Arts Alliance in education programming. Recent programs include community engagement events with Isabel and Alfredo Aquilizan & Volume | Another Art Book Fair, Sydney. She has contributed to publications including Art Monthly Australasia, Ocula, Heavy Volume II and Angelica Mesiti: A Communion of Stranger Gestures. She holds a BA in Art History from the University of Melbourne and the University of Granada with honours in Art Theory from the UNSW Art & Design.
**Michelle Newton** is the Deputy Director at Artspace and works as a curator and producer to support the commissioning of contemporary art projects and related discursive programmes. Before joining Artspace in 2012, she was the Associate Director at Grantpirie Gallery and has previously worked with First Nations’ artists at Jilamara Arts on the Tiwi Islands (NT) and Jirrawun Arts in the East Kimberley (WA).
**Gudskul**
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**RAW Material Company (Collective Movements: CR4)** is a centre for art, knowledge and society based in Dakar, Senegal. It is an initiative involved with curatorial practice, artistic education, residencies, knowledge production, and archiving of theory and criticism on art. It works to foster appreciation and growth of artistic and intellectual creativity in Africa. The programme is trans-disciplinary and is equally informed by literature, film, architecture, politics, fashion, cuisine and diaspora.
**Dulce Abrahams Altass** is a Dakar-based British art historian and curator. She is Curator of Programmes at RAW Material Company and her work in Senegal has included research on diverse topics ranging from the country’s performance art history to the nexus of hip hop and contemporary art in Dakar. She has also been a member of Dakarois artist’s collective ‘Les Petites Pierres’.
**Koyo Kouoh** is the Executive Director and Chief Curator of Zeitz Museum of Contemporary Art Africa in Cape Town, South Africa. Prior to this she was the Founding Artistic Director of RAW Material Company in Dakar, Senegal.
**Marie Hélène Pereira** is the Director of Programmes at Raw Material Company. Pereira has organised a dozen exhibitions and related discursive programmes. She has a strong interest in the discourse and reflection around identity and migration.
**SAVVY Contemporary (Geographies of Imagination)**, a Berlin based laboratory of form-ideas is an art space, discursive platform, place for good talks, foods and drinks – a space for conviviality. SAVVY Contemporary situates itself at the threshold of notions of the West and non-West, to understand and deconstruct them. SAVVY Contemporary has realized a kaleidoscope of art exhibitions, performances, film screenings, lectures, concerts, readings, talks, dances. SAVVY Contemporary has established a participatory archive on German colonial history, a performance arts documentation centre, a library, a residency programme, as well as educational projects with schools.
**Antonia Alampi** is a curator, researcher and writer currently based in Berlin, where she is Artistic Co-Director of SAVVY Contemporary. She is also on the curatorial team of the quadrennial Sonnebk 2020. She recently founded a research platform – “Toxic Commons” – that brings together cultural practitioners and academic researchers in the sciences to address environmental injustice by unravelling the complex nature of toxicity.
**Olani Ewunnet** is an urban designer, researcher and sound artist living in Berlin. She is interested in the inter and intra border signifiers of African sonics, urbanism and design typologies. She currently works at Kéré Architecture / Kéré Foundation, and is the founder of the ‘Selamawi Project’, a traditional instrument construction programme in Addis Ababa. At SAVVY Contemporary, she works on the project ‘DisOthering: Beyond Afrofopolitan and Other Labels’.
**Shawn Akand (Geographies of Imagination), collaborating with SAVVY** is an artist, researcher, and curator based in Dhaka. Akand is the Director and co-founder of ‘Juddhishila’, a centre for traditional and contemporary arts. Juddhishila’ has started its journey as an artist-led organisation in 2006 with the establishment of an art practice hub in Bangladesh with a sustainable approach towards community engagement and development. Akand is also co-founder of ‘Crack International Art Camp’, launched in 2007 and held in Kushita (rural Bangladesh).
**Bishwajit Goswami (Roots)** is a faculty member at the Faculty of Fine Art, University of Dhaka. As an artist, he maintains a visual language in constant flux, and strives to create new approaches and ideas through other mediums. Among his recent curation projects are ‘BHAATIKA BISORGA’, a film making workshop studio based around a student art project and ‘BINDU BISORGA’ at the 18th Asian Art Biennale, Bangladesh in 2018. He also participated in the Bangladesh Pavilion at the 58th Venice Art Biennale in 2019.
**Sumon Wahed (Roots)** is a visual artist, researcher, art educator and very much interested to explore the local and global context of modernity, post-modernity in terms of his own identity, history and practice. He is a research based practicing artist of mixed experiments, including painting, assemblage, sculptural installation, interactive projects, talks etc. His interest in art education has derived him to join as a Lecturer in Drawing and Painting Department, Faculty of Fine Art, University of Dhaka. Now he is an Assistant Professor and PhD researcher in the same department.
**Brighatta (Roots)** is a research-based non-profit art platform with a strong focus on community development and collaboration. The project possesses a collective spirit that benefits the youth, and is proposed to its participants to examine alternative understanding of their artistic practice & encourages numerous interdisciplinary practices to build networks. Artistic freedom is nurtured in this space, as one gains clarity of self, by engaging in creative dialogue and mentorship. Brighatta art platform increases the value and vitality of communities by improving cultural access to, and visibility of, art. Focused on the creation, and curation of art within the public realm, Brighatta is a dynamic liaison between artists, craftsmen, local and expat community members, and global practitioners to place artwork that achieves shared goals.
**Kathryn Weir (The Collective Body)** founded ‘Cosmopolis’ at the Centre Pompidou in 2015 as a platform for research-based and collaborative multidisciplinary art practices. The platform constructs bridges between new forms of creative experimentation and critical vocabularies from contemporary theory, and between reconceived geographies and histories. From 2006 until 2014, she led the international art and cinémathèque curatorial areas at the Queensland Art Gallery | Gallery of Modern Art (QAGOMA), Brisbane and was one of the curators of the 5th, 6th and 7th Asia Pacific Triennials of Contemporary Art. From 2020 she has been appointed Director of the MADRE museum in Naples.
**Kekhchha Sabah (The Collective Body)** is an independent curator, visual artist and researcher based in Dhaka, Bangladesh. She is Assistant Curator, Collectives Platform at DAS 2020. She is engaged in contemporary art, new media and curation focusing on socio-political issues such as cultural taboos, identity, body and space. She received the Talent Recognition Award of the Society for Promotion of Bangladesh Art in 2019. She is one of the founding members of Art Lab Dhaka.
**Mustafa Zaman (No One Told Me There’d Be Days Like This)** was trained as a printmaker, however he soon veered into multidisciplinary practice turning his attention to contemporary human conditions often observed in relation to the instruments of power. Zaman held solo shows at the Zainul Gallery, Institute of Fine Arts (2000); at the Bengal Gallery of Fine Arts (2010); and at Alliance Francaise (2010) Zaman is now chief curator at Dwip, a gallery based in Dhaka.
**Philippe Pirroto (Sandans / Art Award)** is an art historian and curator. He is the Dean of the Staatliche Hochschule für Bildende Künste Städelschule and Director of Portikus in Frankfurt am Main. He also serves as Adjunct Senior Curator at the UC Berkeley Art Museum and Pacific Film Archive, and as visiting professor at the Nanyang Technological University in Singapore.
**Sean Anderson (On Muzharul Islam: Surfacing Intention)** is Associate Curator in the Department of Architecture and Design at The Museum of Modern Art. He has practiced as an architect and taught in Afghanistan, Australia, India, Italy, Morocco, Sri Lanka and the U.I.A. His book, ‘Modern Architecture and its Representation in Colonial Eritrea’ (2015) was nominated for the AIFC Bridge Book Award for Non-Fiction.
**Nurur Rahman Khan (On Muzharul Islam: Surfacing Intention)** is a practicing architect, architecture historian, and an academic. He is pursuing his PhD at the Università luav di Venezia in Architecture History and Criticism. He has presented lectures in many significant institutions such as Yale University, Columbia University, MIT, Rhode Island School of Design, IUAV (Venice) and also at the UIA and ARCASIA conferences.
**The Otolith Group - Kodwo Eshun and Anjalika Sagar (Moving Image)** is a London-based collective initiated in 2002, who work with film, video, lecture performance, and publications. Their research-based projects combine narrative, archival material, and documentary footage, with an interest in futurity, speculative science fiction, and geology. The Otolith Group were nominated for the Turner Prize in 2010.
Huraera Jabeen (Srijan-Abartan) is a development professional engaged in research, practice and teaching on critical issues of urban resilience, more specifically researching the intersection of gender and climate change in cities of the global south. Dr. Jabeen is assistant professor at BRAC University, and previously worked as a post-doctoral research fellow at the Population Council in New York.
Intezo Shariar (Srijan-Abartan) is a Bangladeshi architect, designer and artist. Since graduating from BRAC university he has been developing and experimenting with alternative material in his design practice. He worked with the architect Sallaudin Ahmed Fotash, focusing on architecture, artworks, exhibitions and publications. Later he worked with the architect Saiful Haq on his Aga Khan Award winning exhibition ‘The House of the Future’. Member of Akaliko Artist Initiatives and Leads Akaliko’s Visual, lighting & spatial designs. He also co-founder Ora Design Studio in 2013, and designs energy efficient low-carbon sustainable products.
Nina Palm (Srijan-Abartan) is a Brazilian designer, researcher, and curator who holds a BA in Graphic Design from Gerrit Rietveld Academie and an MA in Design Research from HKB Bern. In 2014, she curated the exhibition Taking a Line for a Walk at the 26th Biennial of Graphic Design Brno, Czech Republic, for which she received a Swiss Design Award in 2015. In 2018, she co-founded the non-profit ‘common-interest’, dedicated to making research public through creative means of knowledge mediation and storytelling. As part of common-interest, she curated the 2018 exhibition ‘Department of Non-Binaries’ at the inaugural Fikra Graphic Design Biennial in Sharjah.
Prem Krishnamurthy (Grijan-Abartan) is a partner and director of the multidisciplinary design practice Wiksp. Previously, he was a founder of the design studio Project Projects, winner of the Cooper Hewitt’s National Design Award. He is co-Artistic Director of FRONT International 2021, the contemporary art triennial in Cleveland and Northern Ohio. As an independent exhibition maker, he was an Artistic Director of the inaugural Fikra Graphic Design Biennial, ‘Ministry of Graphic Design’, and has curated exhibitions internationally including at Pi, the acclaimed ‘Mom-and-Pop Kunsthalle’ that he founded in New York’s Chinatown in 2012.
Truwart + Rodet is a Basel based architecture office founded in 2013 by Charlotte Truwart and Dries Rodet. Their cultural background has been shaped by various experiences abroad such as studying in Switzerland and Belgium, working in Rotterdam, Denmark, Belgium, a residency in Japan. As a consequence, their objective is to stay as curious and receptive as possible and to open the field of investigation to architecture, landscape urbanism, exhibition, installation, furniture design, research and education. Truwart + Rodet develop projects without cynicism nor nostalgia, engaging with all available technologies and specialists while relying on territorial and landscape’s logics. The projects can be read as abstract ideas that crystallize and resonate with their environment. In 2017, they were awarded the Swiss Art Award for their project A Pavilion. And since 2018 they are developing the project Fountain of Youth together with Fabian Marti for the Campus Sainte in Lausanne.
Zahia Rahmani (Seismography of Struggles)
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Cosmin Costinas (Curatorial Workshops for Artists/ Curators) is the Executive Director and Curator of Para Site, Hong Kong since 2011. At Para Site, Costinas oversaw the institution’s major expansion and relocation to a new home in 2015, and curated numerous exhibitions, including A beast, a god, and a line from DAS 2019 and the recent: An Opera for Animals (with Claire Lea). He is the Artistic Director of the 2020 Kathmandu Triennale.
Alejandra Ballón Gutiérrez (SōI Mural Methodology Workshop) is a Lima based researcher and artist who employs both theory and practice to contribute to the social construction and reconstruction of her country. Her praxis develops peer-to-peer, artistic research, and other methodologies for the intercultural transmission of empirical knowledge. Through the conceptual use of colonial aesthetics history, she builds feminist activism strategies for political transformation.
Sebastian Cichocki (Workshop for Collectives) is Chief Curator of the Museum of Modern Art in Warsaw and one of the founding members of The Consortium for Postartistic Practices. Select exhibitions include the Polish pavilions at the 52nd and 54th Venice Biennales and recently: The Penumbral Age. Art in the Time of Planetary Change (2020), Never Again. Art against War and Fascism in the 20th and 21st Centuries (2019) and The Bródno Biennale (2018). Cichocki has curated exhibitions in the form of a novella, radio drama, opera libretto, garden, anti-production residency programme, and performance lectures.
Diana Campbell Betancourt is a Princeton educated American curator who has been working in and building art institutions in South and Southeast Asia since 2010, primarily in India, Bangladesh, and the Philippines. She has served as the Founding Artistic Director of Samdani Art Foundation and Chief Curator of DAS since 2015. Throughout exhibitions, artist commissions, education outreach, and school cross-pollination in conjunction with academic research centres, Campbell Betancourt is laying the groundwork for valuable cross-cultural dialogue, nurturing solidarity across the Global South. Concurrent to her work in Dhaka, she was the Founding Artistic Director of Bellas Artes Projects in the Philippines from 2016–2018 and the curator of Frieze Projects in London from 2017–2019.
Mohammad Sazzad Hossain is the Head of Administration of the Samdani Art Foundation. Hossain has worked for the Samdani Art Foundation since 2012 and has been a key member of the management team since the first edition of DAS. He is responsible for the artistic production of DAS and Srinattaa, along with the management of all teams on site.
Ruxmini Reckvana Q Choudhury is the Assistant Curator of the Samdani Art Foundation where she has worked since 2014. She works directly under Diana Campbell Betancourt to arrange seminars and international collaborations, curate a collection of research on local artists, archiving and monitoring the Samdani Art Foundation Collection among others. She is also responsible for the Samdani Artist Led-Initiatives Forum. Choudhury also works as a freelance art writer, researcher and bilingual translator.
Teresa Albor, Director of Cultural Affairs of the Samdani Art Foundation, is a cultural producer who has been working internationally in the US, UK, and Eastern Europe, and was based in South and Southeast Asia for over a decade. Her roles have included running a London-based art college, co-founding an international arts organisation, Artangel, and others. She has a practice as an artist, making live art, video and sound work which explores questions of human nature, identity and marginalisation.
Md. Nasimul Alam has been involved with DAS since 2016 when he acted as Chief of Security. After completing 26 years of service in the Bangladesh Army, he joined the Golden Harvest Group as Head of Operations at Brain Train Studio Ltd., and now holds the position of Director.
Md. Mobinul Haque is a civil engineer working with Samdani Art Foundation since 2011 working with artists to produce ambitious artistic projects. After graduating from the America Bangladesh University, he began to work for leading developer companies in Bangladesh as a project engineer. As a current employee of the Golden Harvest Group he is responsible for supervising all construction work, coordination, and cost estimations.
Mohammad Asifur Rahman studied architecture at the University of Asia Pacific and has been the DAS architectural coordinator since the 2016 edition. After graduation, he was assigned to produce the architectural drawings of historical mosques for an academic publication of prof. Dr. Abu Sayeed M. Ahmed published by UNESCO. Recently, two of his pavilion designs won awards from The Dhaka International Trade Fair.
Tanzeela Reza is working as Communications Manager of the Samdani Art Foundation. She is an experienced marketing communication officer who previously worked in the utilities industry.
Adam Ondak works as Curatorial Assistant of the Samdani Art Foundation and DAS and is the assistant to Diana Campbell Betancourt. He currently studies Business Management at King’s College London. Ondak participated in an interdisciplinary academic programme “Experiencing China 2018” at Tsinghua University, Beijing. He is part of the organisational team of the annual “Central European Conference” held at London School of Economics.
Lucia Zubalova works as curatorial assistant of the Samdani Art Foundation and DAS. She is an alumnus of the Courtauld Institute of Art. Zubalova has previously interned at the Slovak National Gallery, worked for the Bratislava-based Linea Collection and was taught by Diana Campbell Betancourt at the Salzburg International Summer Academy of Fine Arts.
Enayet Kabir is the Collective Platform Fellow at DAS. He is a Bangladeshi multimedia artist whose work explores speculative Bengali futures.
and the unreality of Dhaka city. Kabir is a driving force in Brooklyn's underground electronic music community, as both a live performer and event organizer. He is currently the Creative Director for the musician Yaeji, directing her music videos and conceiving of international stage shows.
Fraser Muggeridge and Joe Nava of Fraser Muggeridge studio, London, are the graphic designers responsible for the visual identity and design production of DAS 2020. Throughout a wide range of formats, from artists' books and exhibition catalogues to posters, marketing material, exhibitions and websites, the studio prioritises artists' and writers' content over the imposition of a signature style. Clients include: Artangel, Art on the Underground, Focal Point Gallery, Hauser & Wirth, Sadie Coles, Somerset House, Tate, V&A, The Vanity Press.
Alyesha Choudhury (intern) works as the Architectural Intern for the Samdani Art Foundation and DAS. Living between London, Dhaka and Glasgow, she is a student of architecture and one of the founders of the /other collective. She received her RIBA Part 1 certification from the Mackintosh School of Architecture at the Glasgow School of Art. The /other collective deconstructs colonial discourse in the architectural environment by commissioning installations and hosting a panel for the 2019 ArchiFridays at the Whitehouse Gallery and Transmission Gallery. Her previous experience includes internships with the Delfina Foundation and Rana Begum Studio.
Pinto Rahman
Manik Bawri
Aaron Cezar
Zahed Ali
Habib Nagar Tea Estate
Silvana Mendes
Jean-Claude Do Van
Feda Wardak
Ana Lira
Wen Yau
Clarissa Tossin
Victoria Dreesmann
Farid Rakun
Sonam Wangchuk
Mrittika Kamal
Abul Barq Alvi
Subash Thebe
Ed Cross
Elizabeth (Buffy) Eastman
Mrs Sayrun
Rina Soemarno
Sayantan Maitra Boka
Sean Anderson
Hira Nabi
Ritesh Kumar Jaiswal
Willem van Schendel
Mehruz Munir
Daniella Praptono
Dibarah
William Forsythe
Philippe Bischoff
Héctor Zamora
Wong Ka Ying
Muhammad Nafsur Rahman
Jeremy Smith
Gabriela Moraes
Tristan Cassir
INTRPRRT
Bisu Tripura
Sidra Sohail
JNIVA
Jawwadul Fattah
Alyxandria Charfauros
Chimurenga Times Museum
Hira Chakma
Maxime Algis
Devra Freelander
Khin Kyi Htet
Art Pro
Mustafa Monwar
Saskia Fernando
Nurur Rahman Khan
Rajoyana Chowdhury Xenia
Eva Munyiri
Manish Paudel
Nabil Ahmed
Sigma Mehdi
Philippe Firotte
Sarwar Hossen
Rameez Shahi
Alia Kamal
Anissa Rahadningtyas
Manir Mrittik
Maya Awal Rizvi
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Sawangwongse Yawnghwe
Kasper Bosmans 7s Barbershop
Shantanu Chowdhury
Susanna Chung
Mansoor Elahi
Maya Sarndan
Najmul Nahid
Hamiduzzaman Khan
Arif Al Karim Bhuiyan
Manuel Miseur
Begum Rokeya
Akhtar Hosen
Babu Shopnowala
Huraera Jabeen
Jay Levenson
Simon Minett
Rakib Anwar
Joliputul Puppet Studio
Md. Foysal Ahmed
Susan Ibreck
Tanji Kun
Filip Wesolewski Blarritz
eugenia evel
Jafar Panahi
Ahsana Angona
Ginggi Syarief Hasyim
Fourty Diallo
Clair Goodrick
Nasim ul Alam
Sugata Bose
Enrico Nunziata
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Eva Munyiri
Sigma Mehdi
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Rameez Shahi
N'diaye Diaby
Dado Diakhité
Khan Mohammad Faisal
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Maya Espritu
Sawangwongse Yawnghwe
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Saydia Gulrukh Felipe O'mab
Awa Bathily
Mehwish John
White Cube
Jeonhwan Cho
Shantwana Shahrin Ninl
Chandrashekhkar Koteshwar
Satez Chakma
Antenna Space
Kesang Tseten
Paljo
Michela Zoppi
Robert Chatterton Dickson
Mathura Mata Aho Collective
Jan Scholten
Sharmin Akhter Shammi
Rizvi Mahmud
Anais Lopez
Foyejuil Azim
Sumita Choraria
House of Gaga
Nasrin Jahan Onika
Bebul Hossain
Shwe Wutt Hmon
Lily Bayoumy
Batou Coulibaly
Tyler Friedman
Dario Escobar
Robiul Karim Minar
U. V. A.
Florecia Portocarrero
Sana Zahid
Rafiqun Nabi
Md. Rifat Billah
Berto Tukan
Rizo Leong
Hadrien Diez
Jane DeBevoise
Shyamal Chandra Sarker
Shawn Akand
Akshay Pathak
Gudskul
Gabriela Magaña
Sanjhi Arts Mathura
Shayan Nasir
Sandra Terdjman
Eshan Kumr Maitra
Golam Imran
Siddhartha Shah
Atahar Hossain Surjo
Tuan Andrew Nguyen
Bill Nguyen
Laurie Nilsen
Rahnuma Ahmed
Jasmin Pelham
Jatiwangi Art Factory
Ellen Chapinduka Schaffhauser
Sanjay Soni
Antora Mehrukh Azad
Kanak Chanpa Chakma
Loïc Chambon
Carolyn Christov Bakargiev
Gillara Nasreen
Wakilur Rahman
Who's Next Barber Shop
Sukumar Paul
Kelechi Amadi-Obi
Ginggi Syarief Hasyim
Claire Goodrick
Susan Meiselas
Kingshuk Chakma
Enrico Nunziata
Rajoyana Chowdhury Xenia
Eva Munyiri
Sigma Mehdi
Philippe Firotte
Rameez Shahi
N'diaye Diaby
Dado Diakhité
Khan Mohammad Faisal
Amy Zahrawan
Maya Espritu
Sawangwongse Yawnghwe
Shantanu Chowdhury
Saydia Gulrukh Felipe O'mab
Awa Bathily
Mehwish John
White Cube
Jeonhwan Cho
Shantwana Shahrin Ninl
Chandrashekhkar Koteshwar
Satez Chakma
Antenna Space
Kesang Tseten
Paljo
Simon Rogers
Abtahi Rahman Utshab
Luta Ca Caba Inda
Lucia Zubalova
Mostak Ahmed Ousmane Keita
Truong Cong Tung
Md. Ruhul Amin
Sreemati Pratima Rani
Shashi Bhushan Paul
Siddhartha Shankar Talukder
Md. Iqbal
Ahmad Thian Vultan
Norberto Roldan
Lucas Villegas
Imam Mahdi
Adi Sundoro
Bristy Salma Zakia
Md. Habib Ullah
Tsering Angchuk Ralam
Pradip Barman
Rahat Alam
Maliha Mohsin
Kamruzzaman Shadhin
Sunshine Santos
Nasir Ahammed
Pierre Lannoy
Devaraj Thimmiah
Moussa Diaby
Adil Hasnat
Carlos Quijon, Jr
Aminul Islam
Dipti Sherchan
Bisa Butler
Kirsten Hackenbroch
Shayan Rajani
Zaynab Odunsi
India Foundation for the Arts
Kanak Aditya
Mamunur Rashid
Kazi Abdul Baset
Dutch Foundation Shapla Community
Imtiq Islam
Kiran
Amal Akash Thuma
Amanda Khanom Shamin
Nathalie Johnson
Mohd Fizal
Cesar Garcia
Shelter Promotion Council
Manmuli Islam
Juliana Adhikary Autostop
Sommath Hore
Telosh Halder Josh
Samarjit Roy Choudhury
Rabab Rahman
Lavkant Chaudhary
Alexie Glass-Kantor
Duduetsang Lamola
Francesca Gilbert
GB Agency
Parents
Children
Otazu Foundation
Maisam Hussain
Mondriaan Foundation
Depth of Field Photography Collective
Enamuzzaman Chowdhury
Ellen Gallagher
Maisha Tahsin Orthy
Monica Manzutto
Ruangrupa
British Council
Julia Niblett
Monika Sosnowska
Radyna Karim
Ruxmini Reckvana Q Choudhury
Mrs Sayrun Dutch Foundation
Yasmin Jahan Nupur
Ummej Syema Joya
Musharraf Islam Milky
Farazana Islam Milky
Samarjit Roy Choudhury
Rabab Rahman
Lavkant Chaudhary
Alexie Glass-Kantor
Duduetsang Lamola
Francesca Gilbert
GB Agency
Parents
Children
Otazu Foundation
Maisam Hussain
Mondriaan Foundation
Depth of Field Photography Collective
Enamuzzaman Chowdhury
Ellen Gallagher
Maisha Tahsin Orthy
Monica Manzutto
Ruangrupa
British Council
Julia Niblett
Monika Sosnowska
Radyna Karim
Ruxmini Reckvana Q Choudhury
Alexandra Bailon-Gutierrez
Ione Wigna
Shinuul Datta
Shuvro Chaudhury
Mohammad Jawad Ul Karim
Uche James-Iroha
Ananata Kumar Das
Guillermina Borgognone
Laura McFarlane
Yuji de Torres
Parthib Mahmud
Thays Chaves
Samina Iqbal
Bimal Sharma
Terri Te Tau
Mong Mong Sho
Julian Bawm
Joy Liana
Shekhar Mondal
Cheryl Riley
Julian Richter
Nisha Alam Rahman
Michel Jaquet
Noelia Ferretti
Sheikh Hassan
The Otolith Group
The Reed Foundation
Rusulia Bazlarnit
Amie Soulden
Sheila White
Tarun Ghosh
Alfred Santana
Indra Ameng
Devika Singh
Inteza Sharifar
Alex Gulje
Gajaljum Chowdhury
Omid Barman
Drik Picture Library
Stuart Comer
Alma Davila-Toro
Komol Tudu
Chris Berkery
Protha Hossain
M Sight Budi S
Puneet Shah
Goundo Kamissokho Niakhaté
Afansa Hasan Sejuti
Shubho O Saha
Australia Council for the Arts
Bongani Kona
Innocent Ekejuba
Salman Nawati
Abinash Samundha
Monsur Ul Karim
Nuzhat Farhana Prekkha
Assa Coulibaly
Kishore Sharma
Inteza Sharifar
TJ Raskovic Cork
Tabhagata Dutt
Hicham Massamba Wa
Taheratul Rahman
Nawreesh Ahmed
Juliana dos Santos
Pratchaya Phinthong
Hazel Kwok
Olga Lucko
Lynn Hoffman-Brouse
Marissa Noana
Fraser Muggeridge
Shishir Haque
Okun
Noyon Das
Miranda Sharp
Prihatmoko Moki
Samba Sy
Iveta Gabalina
Nasrul Hamid Bipu
Nina Dias
Safdar Ahmed
Kyla Eastling
Farooq Sobhan
Abdus Shakoor Shah
Shishir Maharjan
Lesley-Anne Cao
Marie Thiva Tran
Julia Moreia
Germán Rodríguez Labarre
Safiuddin Ahmed
Ashim Halder Sagar
Lais Amaral
Mingku Chakma
Prateek Raja
Sree Rajkumar Chandra Barman
Labo Gallery
Salam Iqbal Hassan
Shomoy Group
Eshen Maitra
Sivie
Mohammad Silkander
Zing Mun Lian Bawm
Minam Apang
Marine Delovrier
Nina Palm
Calpulil Tecalco
ArtTree Nepal
Charupith
Mady Nakhathé
Jog Art Space
Hasnat Quaiyum
Mohammad Asadurjaman Aslam Molla
Zhou Tao
Tayeba Begum Lipi
Deepanjana Klien
Nabil Rahman
Saleh Husein
Toyin Sokefun-Bello (now Ty Bello)
Bangaly Camara
Mohammad Ashraful
Promiti Hossain
Elsa Paricio
Priyanka Raja
Jonathas de Andrade
Zihan Karim
Jahan Ghast
Donna Kukama
Jothashilpa
Dries Rodet
Bangladesh
Nicholas Bassque
Bala Bhousa Diallo
Grace Engelbrecht
Yasmina Alphier
John Butler
Carey Dick
Mizanur Rahman Chowdhury
Mizanur Rahman
Nicoletta Fiorucci
Olima Khatun
Joan Weinstein
Apu Placid
Abdur Razzaque
ZiphozeNkosi Dayile
Mark Dequito
Fuad Hasan
Apnavi Makanji
Nazla Tariq
Mahmud Khalil Choudhury
Kumgang Sunim
Greer Valley
Heong Chee Loh
Nazrul Islam Aughrani
Marie Lou Do Van
Andrew Biraj
Dayanita Singh
Saidur Rahman Tusu
Bas Vroeghe
Mohammad Ellumis
Amjadul Haq
Farzana Islam
Andrea Pleason
Shrikhi Bhattacharjee
Shohayel Rahman Uzan
Paola Antonelli
Joel Kouperrmann
Saira Sheikh
JJ Adibrata
Ashfika Rahman
Yu Yu Myint Than
Charlotte Elias
Salyad Saif Ali
Bipul Mallick
Chayna Begum
Tea Garden Workers across
Ashish Acharjee
Baki Billah
Afsana Hasan Shejutry
Tafsir Awal
Prodidp Saha
Marie-Hélène Pereira
Angela Jiménez Durán
Helen Nisbet
Fabourama Sissoko
Alan Chan
Jahangir Alam
Bruce Altschuler
ProppaNOW
Tahmina Hafiz Lisa OCA
Ted Li En
Nazlee Lalla Monsur
Neon Dance
InterCountry Adoptee Voices
Babu Chowdhury
Greg Dvorak
Palash Bhattacharjee
Vimal Khatri
Ian Rubinstein
Shahana Rajani
SECMOL
Narpati Awangga
Simon Soon
Lovely Chakma
Bithi Rani Gisela McDaniel
Fernando Palma Rodríguez
Kabir Ahmed Masum Chisty
Jo Stella Sawicka
Narpati Awangga (Oomleo)
Gagosian Gallery
Sebastian Cichocki
Claire Hsu
Erena Baker
Lotte Hoek
Allison Nordström
Kader Parvez
Saad Bin Hasan Bappy
Ahsana Nasreen Hoque Angona
Khalil ur Rahman Choudhury
Vru Patel
Florence Portocarrero
Khadim Ali
Farida Zaman
Habiba Nowrose
Jolputul Puppet Studio
Kaall
Elia Nurvista
Azizee Fawmi Khan
Dewan Sali
Vitamin Creative Space
Chitra Das Dewan
Sree Banerjee Goswami
Sharif Waked
Claire Oliver
Kerolayne Kemblin
Titthi Rani
Louis Henderson
Hari Kiran Vadlamani
A Gentil Carioca
Amir Khosru
Gazi Nasiruddin Ahmed
Chandra Shekhar Dey
Sree Goswami
Ajeng Nurul Ain
Ben Verghese
Tin Htet Paing
Abu Sayeed Talukder
Nash Pinto
Thierry Crombret
Keyna Eleison
Subas Tamang
Tiziana Mangiaratti
Stacy Hardy
Dado Nlangané
Alyesha Choudhury
Sergio Vego Borrego
Amrita Jhaveri
Saadia Hossain Muna
Eungie Joo
Matheus Frey
Memeto Jeck
Liaquat Ali Lucky
Ranla Stephan
Arif Siddiqui Nitol
Sree Charan
Sree Banerjee Goswami
Kacey Wong
Ed Van de Kooy
Claire Oliver
Kerolayne Kemblin
Titthi Rani
Brenda Ravenell
Abul Monsur
Chuong-Dai Vo
Melanie Keen
Carolyn Drake
Siré Soumaré
Adrienne Hart
Sharmin Afroz
Daniella Fitria Praptono
Idil Abdullahi
Pascal Nampémanla Traoré
Blushan Shilpakar
Sheha Ragavan
Shabnur Begum
Anisur Rahman
Amrita Jhaveri
Seher Shah
Shaela Sharmin Swaty
Vivian Caccuri
Pradip Barman
Mormee Mahtab
Vanna Huynh
Lucas Arruda
Artpro
Van Ram Bawm
Ittikhar Dadi
Haby Diara
Shazia Ahmed Farah
Jun Roh
S M Reyad
Zahia Rahmani
Fazal Rizvi
Côme Debray
Sumita Halder Shweta
Akin Adesokan
Nosheen Ali
Sara Sejin Chang
Mosés Marz
Karina Corrigan
Abu Al Naem
Damian Ortega
Iftekhar Hassan
Juton Chandra Roy
Enok Ls Bawm
Aminul Islam Ashik
Devdas Chakraborty
Sanjoy Chakraborty
Golam Faruque
Mostafa Eraad Ahmed
Fouzia Mahin Choudhury
Ashkal Alwan
Ikroop Sandhu
Arief Yudi Rahman
Bishwajit Goswami
Adhikari Sacré
Idrissa Diara
S.M. Sumon
Abdelmonem Alserkal
Bikash Shrestha
Thomas Keenan
Mr. Ayize
Kumgang Sunim
Nusrat Jerin
Sreemati Pratima Rani
Beau Dick
Farhan Azim
Guju Barman
Merv Espina
Jung Sun Beijisen
Assa Soukho
Ozge Ersoy
Sara Seljin Chang
Aniga Sohail
Ecem Sarıçayır
Reneé Drake
Sara Thorsen Fredborg
Haroon Mirza
Eve Lemesle
K M Khalid
Amin Jaffer
Noufel Shariff Sojol
Attila Shahab
Jyoti Dhar
Carolina Lauriano
Sumon Wahed
K M A Quayyum
Noor Mohammad
Georgina Bürgl
Sanjukta Sunderason
Guju Barman
Pedro Urano
Fahmidul Haq
Amrita Jhaveri
Murtaja Zubayer Shuvo
Kaiser Halder
Sarah Hoover
Kamol Atiq
Vijay Choraria
Ana Pi
Reetu Sattar
Danyal Begg
Karamba Touré
Sheikh Afzal Hossain
Noopur Desai
Augusta Joyce
Rajesh Parmar
Kassir Kossoko
Clement Rozario
Katya Garcia Anton
K M Khalid
Adrián Villar Rojas
Sondip Roy
Ahmed Muniruddin Tapu
Kathleen Ditzig
Karim Waheed
The Vermont Studio Center
Sumon Yusuf
Chia-Han Chou
Ali Delwar
Sanjid Mahmud
Sheikh Hasan
Kathryn Weir
We are grateful for the patronage of Benedetta Bauda Nordenskjöld supporting South American artists to travel to South Asia, Prem P Gurung for supporting Nepali artists to travel to Bangladesh, and Nicoletta Florucci for extending the spirit of friendship and togetherness of the Florucci Art Trust for the third time at DAS, supporting the Collective’s hub. Thank you to Frances Reynolds and Instituto InclusArtis for supporting DAS research in Brazil, and to Hannell Rupert for supporting increasing exchange between Africa and Bangladesh. Logos correct at time of printing.
Otobong Nkanga
Pointe Noire Fragments – State of Black Point, 2009
Acrylic on paper. Courtesy of the artist |
Message from Jemma Lambert
Happy fall to all! It always seems to come as a bit of a shock when summer officially comes to an end. We’re so very fortunate to live in a part of the country with the most beautiful fall season anywhere, yes?
Around the Office
Please join me in welcoming Stephanie McSurdy to Andover Elder Services. As our new Senior Connections Coordinator, Stephanie will take over the helm of this important program which helps to ensure those aging in our community receive the supportive day services they need. Stephanie, an Andover native, brings with her many years’ experience providing similar services to the young adult population. Do stop by and wish Stephanie well.
The search for Andover’s next Director of Elder Services is underway. We look forward to selecting the very best candidate for this important position and are confident we’ll be successful in our efforts.
I’d like to take a moment to thank the wonderful team at Elder Services who’ve gone above and beyond under very challenging circumstances these past few months. They are a strong, talented, dedicated group of professionals who love what they do and it shows. If you agree, please don’t be shy! They’d welcome your words of support.
Senior Center Renovation
We’re delighted to report that the facility design is complete! Our architects will now complete construction documents which will accompany the bid package. It is our intent to put the project out to bid later this month.
It is our hope to see the renovation begin before the end of 2019. We estimate the renovation will take 18-24 months to complete. As with any major project there’s sure to be some surprises along the way but together we’ll get through each of those with grace.
The Transition
We’re hard at work piecing together our transition plan. It is our intent to locate as many activities as possible in one location so that we can hold onto the senior center experience. As those details unfold we’ll communicate them. We do know that the Center at Punchard will close and relocate by the end of November, 2019.
Thank you for your continued support going forward. There will be adjustments to be made, but it will all be worth it in the end!
Wishing you and yours a wonderful September.
Kindest regards,
Jemma
ANDOVER ELDER SERVICES
The Senior Center at Punchard
How to Register
In Person: Mon-Wed 8 am-4 pm, Thur 8 am-8 pm, Fri 8 am-4 pm
30 Whittier Court, Andover, MA 01810
By Phone: 978.623.8320
Online: www.MyActiveCenter.com
Payments:
- Online with PayPal
- In person: cash, check, or credit card
- By mail: check
- By phone: credit card
Council on Aging Vision, Mission and Values
VISION
Today's active older adults are redefining quality of life and healthy aging. The Center at Punchard strives to be the focal point for Andover area older adults who depend on us to support their vitality and independence, provide them with a sense of purpose and the opportunity for seniors to help seniors.
MISSION
To empower, improve and enrich the lives of our citizens, focusing on adults age 50 and over and those with disabilities, and enhance their quality of life and feeling of self-worth by promoting healthy aging, independence, life-long learning and physical, social and emotional well-being, through caring service with opportunities for social interaction among their peers and the community, recreation, basic support and needs services, culture, entertainment, education, volunteerism and community activism.
VALUES
COMPASSION Caring about our community.
INTEGRITY Adhering to high moral principles and professional standards.
SAFETY Promoting a safe, inviting and accessible environment.
DIGNITY Respecting all those who interact with the Center.
DIVERSITY Embracing differences in skills, knowledge, cultural heritage, ethnicity, gender orientation, economic circumstance and religion.
LEADERSHIP Guiding all toward life-long well-being.
WISDOM Drawing from the accumulated wisdom of everyone to benefit the larger community.
INNOVATION Reaching beyond the commonplace to address diverse interests and needs.
SERVICE Assisting anyone in need of information, housing, food, caregivers, transportation and various other support.
REMEMBRANCE Honoring the presence and accomplishments of our patrons in the community.
JOY Bringing pleasure through education, social events and recreation.
Staff
Acting Director & Director of Community Services
Jemma Lambert
firstname.lastname@example.org
Social Work/Outreach
Kristine Arakelian, LCSW
email@example.com
Program Coordinator
Kathy Byrne, LSW
firstname.lastname@example.org
Transportation/Outreach
Shawna McCloskey, LSW
email@example.com
Volunteer Coordinator
Ashley English
firstname.lastname@example.org
Office Assistant
Chris Marshall, Editor
email@example.com
Senior Connections Day Program
Stephanie McSurdy
Sharon Thomson, RN
Mary McGettrick
Nutrition Staff
Frank Melendez, Chef
firstname.lastname@example.org
Sue Starbird
Tina Solari
Drivers
George Perakis
George Thomson
Caren Connor
Student Interns
Alison Graziano
Lindsay Katkowski
Spotlight
Wednesday September 25th at 1:00 pm
To register call: 978-623-8320
Brought to us by The Andover Senior Community Friends
Meet some of the women, both patriot and loyalist, who changed the course of the American Revolution.
Meet some of the women of 1776: Baroness von Riedesal, wife of a Hessian General and chronicler of life in the military camps; Prudence Wright, minute woman and spy catcher; Nancy Hart, southern frontiers woman who faced the enemy and won. Learn about these women and others, patriot and loyalist, American and foreign, who witnessed the American Revolution first hand and in some cases, changed the course of it. Rita Parisi will be performing.
THERE IS SOMETHING ABOUT ANDOVER
September 2019 Show Content
"The ACT housing project at Lupine Rd" and "Housing choices for Seniors".
Scam Alert
SHINE (Serving the Health insurance Needs of Everyone) Medicare Counseling Programs are being bombarded with calls and ads for “free” genetic cancer screening kits. Agents claim Medicare will pay for them...and they are making cold calls to convince you to buy one. THE OFFER IS FALSE!! Medicare DOES NOT pay for mail order kits for cancer screening.
Medicare covers many genetic tests to diagnose cancer once symptoms are present, but there is only ONE test to screen (for colorectal cancer). Only screening by a physician will be covered by Medicare!
Report sales complaints to SHINE (1-800-243-4636, press 3) or the Senior Medicare Patrol Project (978-946-1200). Do not be scammed!!
Andover Chroniclers Thursdays, September 3rd & 17th at 9 am
The Andover Chroniclers produce videos for the Center at Punchard. In addition, they produce a monthly program "There Is Something About Andover" that highlights local institutions and people to inform and entertain the community. It airs on Andover cable; Channel 47 (Verizon), Channel 8 (Comcast). Mon, Tues: 9 AM; Wed: 7 PM; Friday: 6 PM; Sat: 7 PM. This group meets on the first and third Thursday of the month.
Device Advice Tuesdays, 9/3 & 9/17, 7-8pm
Bring your technology questions to the Reference Desk at Memorial Hall Library. Get help with the basics for iPads, cellphones, laptops, Kindles and other e-readers. Bring your chargers, usernames and passwords. If you're unable to attend at this time, please stop by the Reference Desk anytime for device assistance.
Bereavement Support Group Thursday, September 3rd 1:30pm-3:00pm
This group is designed to provide individuals help coping with the loss of a loved one. It is held on the first Thursday of every month. Must register to attend by calling Lois Marra of Home Health VNA Hospice at 978.552.4537; leave a message with your name and phone number and she will return your call. Cost: Free
Neighbors in Need Food Pantry Thursday, September 3,10,17,24,31- 4-5 pm
Andover Elder Services collaborates with Neighbors in Need to operate a weekly food pantry on Thursdays. Anyone of any age who is in need of food qualifies for this program. On your first visit to the pantry, you will be asked to fill out a basic form with your contact information (no other verification is required). Cost: Free
RETIRE FROM WORK not from life
Find out why residents at Edgewood live life with such unbridled enthusiasm. Loosen the reins and discover all the empowering choices you’ll have to create a one-of-a-kind senior living experience!
Call 978-396-2153 or Visit EdgewoodRC.com/Andover
Newly renovated, Independent Living homes available now.
Connecting to What Matters
That’s the Benchmark Difference.
Stay connected to the people, passions and things you love. It’s a living experience shaped by over 20 years of proven experience.
Call today to learn about Assisted Living and our Mind & Memory approach – 978.683.1300
Ashland Farm
700 Chickering Road,
North Andover MA
978.683.1300
AshlandFarmAtNorthAndover.com
Historic Mill District Coffee and Conversation Wednesday, September 4th 10am-11:30
The Historic Mill District (HMD) Task Force wants your guidance on how to maximize the HMD’s value to Andover. We are now authoring a Request for Proposals (RFP) to guide future redevelopment of the Old Town Yard. During this caffeinated conversation, we will share information about the RFP and ask for your insight and input. Please stop by after a class or before lunch to join the conversation! Please visit http://Andoverma.gov/hmd for more information
Coffee with Mark, Veterans Service Officer Monday, September 9th from 8:30-9:30 am
Please stop by to meet Mark Comeiro and learn more about veteran services provided on a local, state and federal level. Meets second Monday of the month.
Computer Users Group Monday, September 9th 1:30-3:00 pm
This group meets at Memorial Hall Library. Participants who attend are able to learn a variety of computer related skills. This month Streaming Video with Roku, Apple TV, Chromecast, etc Must register to attend. Cost: Free
Pain Management Support Group Monday, September 9 at 1:30 pm
This intimate and confidential group meets on the second Monday of each month and is open to anyone who is dealing with chronic pain management issues. Newcomers are always welcome. Facilitator: Gerry Rainville, RN, MSN. Must register to attend. Cost: Free
Dementia Dialogues Tuesday, September 10th 9:30 –10:30 am
Meets at Memorial Hall Library
A monthly discussion group for anyone and everyone wanting to discuss dementia, including caregivers/care partners and people living with dementia. Facilitated by Emily Kearns, PhD, MBA, RMT. Emily is committed to change-making, including innovative programming and community education, so that individuals living with dementia may continue to live well, experiencing joy and meaningful engagement in communities that support and celebrate them and the life they choose. Meets in Alcove 2 on Level G. No charge, call 978-623-8430 to register.
COA Board Meeting Thursday, September 12th at 8:30 am
The Council on Aging Board meets on the second Thursday of each month. This is a public meeting and all are welcome to attend.
TRIAD Meeting Thursday, September 12 at 10 am
TRIAD is a joint collaboration between the Andover Elder Services, Andover Police Department, Essex County District Attorney’s Office and the Essex County Sheriff’s Department. It is designed to enhance the delivery of law enforcement services to older persons through crime prevention and education programs. TRIAD holds a public meeting on the second Thursday of each month.
Parkinson’s Support Group Thursday, September 12; 1:30-3 pm
Samantha Cheung, Parkinson’s Foundation, Community Development Manager
“An Overview of Community-Based Resources Available to Assist and Educate Those With Parkinson’s”
Flower Therapy Workshop
Friday, September 13th 11:00–12:00 pm
The Power of Flower Project is an organization dedicated to bringing joy to others one flower at a time. Volunteers conduct Flower Therapy Workshops throughout the community, which promote fine motor skills, engage the senses and create a positive social setting. Flowers and supplies are provided and all participants will feel accomplished when they take their arrangements home to enjoy. Space is limited. Must register to attend. Cost covered by Andover Senior Community FRIENDS.
Caregiver Support Group
Monday, September 16 at 1:30 pm
This group offers an opportunity for caregivers to sit with other caregivers to discuss the challenges associated with their roles while providing resources and support for each other. This group usually meets the third Monday of each month. Please register to attend. Cost: Free.
Fix It Shop
Monday, September 16 & 30 9:00am—11:30am
This is an excellent resource offered by a dedicated group of individuals who enjoy fixing things. Bring your lamps (new cords & sockets), small appliances, chairs, small tables and any other small project. They will try to fix it. First come first served basis. If you would like to join the group, stop by and say “Hi”. Cost: $4 plus parts for seniors (ID required); $10 plus parts for non-seniors and non-residents; $2 diagnostic fee.
Techie Live
Monday, September 16th at 1:00 pm
Chris Lefebvre from eXp Realty in Andover has grown up with computers and technology and has 30+ years of experience working with an array of technological devices. Questions about cell phones, tablets, laptop computers, etc. will be answered. Please call the Center to make a 30 minute appointment. Cost: Free.
Happy Birthday to You!
Friday, September 20th at 11:45 am
Held on the third Friday of every month. You should come to this fun congregate lunch with entertainment (provided courtesy of the FRIENDS). It does not have to be your birthday month to attend - the more the merrier! Must register to attend. Cost: Suggested donation of $3.
Ask the Lawyer
Monday, September 23 at 9:30 am—11:30 am
Legal clinic is offered by Justin St. James, Esquire. He is licensed in MA & NH. Must call to schedule appointment. Appointments are 20 minutes and scheduled in chronological order to help save time. Please do not miss your appointment. Call to cancel if you cannot attend. Limit of one question/issue. Cost: Free.
Brown Bag
Tuesday, September 24th at 9:00 – 11:00 am
Individuals must be 60+ with an income less than $21,978 for a single person or less than $29,637 for a couple, or on Mass Health, food stamps or another public benefit. Eligible participants receive a grocery bag of perishable and non-perishable food items. Typically, brown bags are distributed on the fourth Tuesday of the month. Individuals who meet the requirements and want to participate must complete an application with a staff member. Cost: Free.
Women of ‘76
Wednesday, September 25th 1:00 pm
Meet some of the women of 1776: Baroness von Riedesal, wife of a Hessian General and chronicler of life in the military camps; Prudence Wright, minute woman and spy catcher; Nancy Hart, southern frontiers woman who faced the enemy and won. Learn about these women and others, patriot and loyalist, American and foreign, who witnessed the American Revolution first hand and in some cases, changed the course of it. Rita Parisi will be performing. Brought to us by the Andover Senior Community Friends. Please register to attend.
Monthly Events
Book Club
Thursday, September 26th at 1:30 pm
This is a program operated in conjunction with the Memorial Hall Library. The books that the group reads are all different genres and they read a new book each month. At the end of the meeting participants receive the new book that they will be reading in the next month. The group meets on the 4th Thursday of every month to discuss the book that everyone read. Must register in advance. Cost: Free
American History with Don Robb: 1890-1915
Thursdays Sept. 26, Oct. 3,10,24,&31 Nov. 7
Meets at Memorial Hall Library
Join historian Don Robb in exploring "turn-of-the-century" America - not this century, the last one! The period from 1890 to 1915 was a time of reformers, progressives, imperialists, and colorful characters like William Jennings Bryan and Teddy Roosevelt. We'll discuss, among other topics, the Progressive Movement, the acquisition of Hawaii, the Spanish American War, the Bull Moose Party, and the election of Woodrow Wilson.
Ice Cream Social with MA Lawmakers
Friday, September 27 12:30pm –1:30pm
Meet the local Massachusetts lawmakers and enjoy a bowl of ice cream. All are welcome to attend! Free
Transportation
Medical Transportation
Transportation is available to medical appointments. A minimum of one week advance notice is required. Contact Ashley for more details. Donations accepted
Daily Ride to The Center
Daily trip to The Center; no charge; donations welcome.
Grocery Shopping - Market Basket
Every Wednesday
Door-to-door service – We pick you up at your house and bring you home. Call to register Cost: Free
Fun Shopping Trips
Monday, September 23 from 10 am - 3 pm
Walmart North Reading, Marshalls, Dollar Store, Subway for lunch. A fun time for all - Celebrate the first day of fall. Call to reserve a seat on the bus. Cost: Free
Townie Trips
The Center now offers Thursday Andover Townie trips – travel in town between 9:30 am and 2:30 pm. Want to get your hair done, go out to lunch, go to a friend's house or go to the library? The cost is $4 one way or $7 round trip, with a minimum of a one-hour stay at your destination. We ask that you book by Tuesday at noon.
Merrimack Valley Regional Transit Authority (MVRTA)
The MVRTA offers transportation to many towns and cities. You are eligible for EZ Trans non-ADA if you are 60+, for the ADA EZ Trans, you can speak with Kristine or Shawna. We encourage you to check out MVRTA’s services. Please stop by for information or call 978-469-6878
Attention all MVRTA riders! If you are scheduled for an MVRTA EZ Trans ride, and your plans change, it is very helpful to please take the time to call 978-469-6878 option 3 to cancel your ride at least 1 hour before the start of your pick up time. This will allow other riders to benefit by helping the van drivers stay on schedule.
| MONDAY | TUESDAY | WEDNESDAY | THURSDAY | FRIDAY |
|--------|---------|-----------|----------|--------|
| 2 | 8:00 Men & Women in Motion
9:00 Cable Group
9:10 Strengthen & Stride
9:30 Hearing Aid Checks
10:00 Women’s Bridge
10:15 Sit & Get Fit
10:30 Yoga for Beginners
12:00 Cheeseburger
12:30 Mahjong
1:00 Canasta
1:00 Fun & Games
1:00 Social Bridge Drop In
1:10 Tai Chi Beginner
2:00 Breath, Balance, Body
2:15 Line Dancing
3:00 Zumba | 3 | 8:00 Strength Training
8:45 Strength Training
9:00 Podiatry
9:00 Wood Carving/Model
9:30 Comfort Critters
9:45 Tap Dancing Perf.
10:00 Grocery Shop
10:00 Fiber Arts
10:00 Mill District Coffee
12:00 Rosemary Garlic Pork
1:00 Fun & Games
1:00 Knit Wit
1:00 Yoga Advanced Beginner
2:00 Wellness Clinic | 4 | 8:00 Men/Women Motion
9:00 Open Studio Arts
9:00 Andover Chronicles
9:10 Strengthen & Stride
9:30 Craft Corner
9:45 Tap Dancing Perf.
10:00 Women’s Bridge
10:00 Mindfulness Meditation
12:00 Lemon Chicken
1:00 Fun & Games/Bridge
1:10 Tai Chi Intermediate
1:30 Bereavement Support
2:15 Tai Chi Advanced Begin.
3:30 Energize w/ Exercise
4:00 Neighbors in Need
6:00 Belly Dance/Reflexology
6:30 Table Tennis
7:00 Serenity Yoga | 5 | 8:00 Strength Training
8:30 Nature Walk
8:30 French Conversation
8:45 Strength Training
9:00 Cable Group
10:00 Delta the Dog
10:15 Sit & Get Fit
12:00 Baked Fish
1:00 ESL
1:00 Canasta
1:00 Forty-Fives
1:00 Social Bridge Drop in
2:00 Ping Pong & Dancing
6:30 Chinese American | 6 | 8:00 Strength Training
8:30 Nature Walk
8:30 French Conversation
8:45 Strength Training
9:00 Cable Group
10:00 Delta the Dog
10:15 Sit & Get Fit
12:00 Baked Fish
1:00 ESL
1:00 Canasta
1:00 Forty-Fives
1:00 Social Bridge Drop in
2:00 Ping Pong & Dancing
6:30 Chinese American |
| MONDAY | TUESDAY | WEDNESDAY | THURSDAY | FRIDAY |
|--------|---------|-----------|----------|--------|
| 9 | 9:00 Quilting
9:00 Sunrise Singers
9:00 Cable Group
10:00 Massage
10:15 Rhythm-Aires
12:00 Salisbury Steak
1:00 ESL (off site)
1:00 Yoga for All
1:30 Computer Users Group
1:30 Pain Management
3:00 Energize w/ Exercise | 10 | 8:00 Men/Women Motion
9:00 Podiatry
9:00 Cable Group
9:10 Strengthen & Stride
10:00 Women’s Bridge
10:15 Sit & Get Fit
10:30 Yoga for Beginners
12:00 Chicken Parm
12:30 Mahjong
1:00 Canasta
1:00 Fun & Games
1:00 Social Bridge Drop In
1:10 Tai Chi Beginner
2:00 Breath, Balance & Body
2:10 Line Dancing
3:00 Zumba | 11 | 8:00 Strength Training
8:45 Strength Training
9:00 Wood Carving/Model
9:00 MOAG
9:00 Tap Dancing Basic
9:30 Comfort Critters
9:45 Tap Performance
10:00 Fiber Arts
10:00 Grocery Shopping
12:00 Stuffed Cabbage
1:00 Knit Wit
1:00 Fun & Games
1:00 Yoga Advanced Beginner
2:00 Wellness Clinic | 12 | 8:00 Men /Women Motion
8:30 COA Board Meeting
9:00 Open Studio Arts
9:00 SHINE
9:00 Cable Group
9:10 Strengthen & Stride
9:30 Craft Corner
9:45 Tap Dancing Perf.
10:00 Women’s Bridge
10:00 Mindful Meditation
12:00 Chicken Marsala
1:00 Fun & Games / Bridge
1:10 Tai Chi - Intermediate
1:30 Parkinson’s Support
2:15 Tai Chi - Adv-Beg
3:30 Energize w/ Exercise
4:00 Neighbors in Need
6:00 Belly Dance/Reflexology
6:30 Table Tennis
7:00 Serenity Yoga | 13 | 8:00 Strength Training
8:30 Nature Walk
8:30 French Conversation
8:45 Strength Training
9:00 Cable Group
9:30 Chinese Rehearsal
10:00 Delta the Dog
10:15 Sit & Get Fit
12:00 Fish
1:00 Canasta/ Forty-Fives
1:00 Social Bridge Drop in
1:00 ESL
2:00 Ping Pong & Dancing
6:30 Chinese American |
| MONDAY | TUESDAY | WEDNESDAY | THURSDAY | FRIDAY |
|--------|---------|-----------|----------|--------|
| 16 | 9:00 Quilting
9:00 Cable Group
9:00 Sunrise Singers
9:10 Strengthen & Stride
10:00 Women’s Bridge
10:15 Sit & Get Fit
10:30 Yoga for Beginners
12:00 Chicken Parm
12:30 Mahjong
1:00 Canasta
1:00 Fun & Games
1:00 Social Bridge Drop In
1:10 Tai Chi Beginner
2:00 Breath, Balance & Body
2:10 Line Dancing
3:00 Zumba | 17 | 8:00 Men & Women in Motion
9:00 Cable Group
9:10 Strengthen & Stride
9:30 Hearing Aid Checks
10:00 Women’s Bridge
10:15 Sit & Get Fit
10:30 Yoga for Beginners
12:00 Cheeseburger
12:30 Mahjong
1:00 Canasta
1:00 Fun & Games
1:00 Social Bridge Drop In
1:10 Tai Chi Beginner
2:00 Breath, Balance & Body
2:15 Line Dancing
3:00 Zumba | 18 | 8:00 Strength Training
8:45 Strength Training
9:00 Podiatry
9:00 Wood Carving/Model
9:30 Comfort Critters
9:45 Tap Dancing Perf.
10:00 Women’s Bridge
10:00 Mindfulness Meditation
12:00 Lemon Chicken
1:00 Fun & Games/Bridge
1:10 Tai Chi Intermediate
1:30 Bereavement Support
2:15 Tai Chi Advanced Begin.
3:30 Energize w/ Exercise
4:00 Neighbors in Need
6:00 Belly Dance/Reflexology
6:30 Table Tennis
7:00 Serenity Yoga | 19 | 8:00 Men/Women Motion
8:00 Art Studio
9:00 Women’s Outdoor Adv.
9:00 Andover Chronicles
9:10 Strengthen & Stride
9:30 Craft Corner
9:45 Tap Dancing Perf.
10:00 Women’s Bridge
10:00 Mindful Meditation
12:00 Rosemary Garlic Pork
1:00 Fun & Games
1:10 Tai Chi Intermediate
1:30 Parkinson’s Support
2:15 Tai Chi - Adv-Beg
3:30 Energize w/ Exercise
4:00 Neighbors in Need
6:00 Belly Dance/Reflexology
6:30 Table Tennis
7:00 Serenity Yoga | 20 | 8:00 Strength Training
8:30 Nature Walk
8:30 French Conversation
8:45 Strength Training
9:00 Cable Group
10:00 Delta the Dog
10:15 Sit & Get Fit
12:00 Baked Fish
1:00 ESL
1:00 Canasta
1:00 Forty-Fives
1:00 Social Bridge Drop in
2:00 Ping Pong & Dancing
6:30 Chinese American |
Senior Connections
An engaging program creating meaningful days. **Free Trial Day For New Senior Connections Participants**
We invite new interested individuals and families to take advantage of our FREE trial Day for Senior Connections. This is open to all NEW people who are considering services from our engaging program. A full intake packet must be done prior to the start of the **FREE trial day**. Senior Connections accepts private pay and is part of the Elder Services of the Merrimack Valley contract. You may also schedule a tour in advance by calling and asking for Stephanie or Kristine.
Hearing Aid Checks & Cleanings
**Tuesday, September 3**
Wendy Ring, Audiologist, with her practice downtown has always been a supporter of the Senior Center. She is offering hearing aid cleanings and checks, as well as hearing screenings. If you are in need of this type of service or have any questions about hearing, please sign up. Individuals are seen on a first come first served basis. Must register to attend. Cost: Free
Delta the Therapy Dog
**Fridays, September 6, 13, 20, 27**
Certified therapy dog Delta and her owner Beth come on Fridays to socialize and walk with anyone at the Senior Center who is interested. This dynamic duo would love to meet more people, so if you like dogs and are available on a Friday, please stop by around 10:00 and introduce yourself. Cost: Free
Medical Equipment
The local Masons have a medical equipment loan program that is open to people in need of accessing hospital equipment. This loan program is free and open to all. Equipment can be picked up on Saturdays at 500 West Cummings Park, Suite 1150, Woburn, MA.
Massage
**Mondays, September 9, 16, 23, 30**
A seated chair massage will provide relaxation and self care. Must call to make an appointment. Mondays from 10 am-12 pm. Cost: $15 for 20 minutes for seniors over 60
Podiatry/Foot Care
**Wednesdays, September 4, 18, 25**
A nurse from Foot Care Focus provides foot care services to Andover seniors. Homebound seniors who are interested should contact Kristine Arakelian. A grant from the Andover Home for the Aged subsidizes this program. Must call to make an appointment. Appointments from 9 am-12 pm Cost: $10
Reflexology
**Most Thursdays from 6 pm - 8 pm**
An alternative medicine involving application of pressure to the feet with specific thumb, finger and hand techniques. 30 minute minimum—90 minute maximum. Cost: $1 per minute Call to register
SHINE
**Thursdays, September 12 & 26**
(Serving Health Information Needs of Everyone)
8:30 am - 11:30 am
This confidential counseling service helps individuals understand their Medicare insurance benefits and other health insurance options. Must call to make an appointment. Cost: Free
Wellness Clinics
**Wednesdays from 2 pm - 3 pm**
Stop in for a blood pressure and weight check with our trained nurses. They are here to help you manage your day-to-day health needs. No appointment necessary. Cost: Free
Mini Clinic - Monday, September 9 from 2-3 pm at Andover Commons
Mini Clinic - Monday, September 23 from 1-2 pm at Frye Circle
Nichols Village
Be Independent for Life
An Active Adult Community
One Nichols Way
Groveland, MA 01834
Nichols-Village.com
CALL 978-372-3930
Congdon Law Offices
Jerry S. Congdon, ESQ
Wills • Trusts • Probate • Real Estate • Elder Law
978.500.5978 WILL VISIT YOU IN YOUR HOME
1310 Main St., Tewksbury, MA 01876
Bridges BY EPOCH
MEMORY CARE ASSISTED LIVING AT ANDOVER
INSPIRING MEMORY CARE NOW OPEN & ACCEPTING RESERVATIONS!
978.775.3161
Your Resource for Dementia Care, Support & Education
View upcoming events: www.BridgesbyEPOCH.com
254 Lowell Street
Andover, MA
Griswold Home Care
We help seniors remain happy, safe, and comfortable at home.
Delivered with heart.
978.912.7666 | GriswoldHomeCare.com
© 2019 Griswold International, LLC
LAURA’S CLEANING SERVICE
Residential Cleaning
978.270.4311
HANDYMAN FOR HIRE
Carpentry • Painting
Licensed • Insured
Robert Duffer
978-502-1093
Senior Discount
SUPPORT THE ADVERTISERS THAT SUPPORT OUR COMMUNITY
THIS SPACE IS AVAILABLE
Call today to connect with a SENIOR LIVING ADVISOR
INDEPENDENT LIVING • ASSISTED LIVING • MEMORY CARE
A Place for Mom has helped over a million families find senior living solutions that meet their unique needs.
Joan Lunden, journalist, best-selling author, former host of Good Morning America and senior living advocate.
There’s no cost to you!
(888) 672-0689
We’re paid by our partner communities
Conte Funeral Home
28 Florence St • Andover, MA
978-470-8000
A TRADITION IN EXCELLENCE
Funeral Services, Cremation Services, Celebration of Life Services
contefuneralhomes.com | email@example.com
17 Third St • North Andover, MA
978-681-5000
ALL HOURS Home Healthcare
One call for all your stay at HOME needs
The Golden Years should be on your terms
Home Healthcare • Nurses • PT
Pharmacists • Transportation
Companionship • Handyman Services
877-406-4245
allhourshomehealth.com
FROMME ANTIQUES
Restoration, Repair and Refinishing of Antique and Contemporary Wood Furniture – Buying & Selling –
Lance Fromme, 23 Burton Farm Drive, Andover, MA 01810
firstname.lastname@example.org
www.LanceFrommeAntiques.com
By Appointment
(978) 475-7370 • (508) 397-7949
Ad info. 1-800-477-4574 • Publication Support 1-800-888-4574 • www.4ipi.com Andover Senior Center, Andover, MA 06-5052
Fitness Classes
FALL SESSION 2019: August 19, 2019– November 8, 2019
All classes this session are $25!
There are no make up classes, no price adjustments
Senior Center is closed on Labor Day Monday Sept. 2, Columbus Day Monday Oct. 14, Veterans Day Monday Nov. 11
Belly Dancing
Thursdays | 6 p.m. | Instructor: Maggie Class
Breath, Balance & Body
Tuesdays | 2 p.m. | Instructor: Pat Dumont
Energize with Exercise (NEW TIME ON MONDAYS)
Mondays | 3:00 p.m. | Instructor: Denise Boucher
Thursdays | 3:30 p.m. | Instructor: Andrea Deyermond
Line Dancing
Tuesdays | 2:15 p.m. | Instructor: Valerie Cagnina
Men & Women in Motion
Tuesdays | 8 a.m. | Instructor: Denise Boucher
Thursdays | 8 a.m. | Instructor: Tracy Callahan
Sit & Get Fit
Tuesdays | 10:15 a.m. | Instructor: Denise Boucher
Fridays | 10:15 a.m. | Instructor: Denise Boucher
Strengthen & Stride
Tuesdays 9:10 a.m. | Instructor: Denise Boucher
Thursdays | 9:10 a.m. | Instructor: Tracy Callahan
Strength Training
Wednesdays | 8 & 8:45 a.m. | Instructor: Pat Dumont
Fridays | 8 & 8:45 a.m. | Instructor: Barbara Maguire
Tai Chi Beginner (starts Sept. 3)
Tuesdays | 1:10 p.m. | Instructor: Meg Holmes
Tai Chi Intermediate (starts Sept. 5)
Thursdays | 1:10 p.m. | Instructor: Meg Holmes
Tai Chi Advanced Beginner (starts Sept. 5)
Thursdays | 2:15 p.m. | Instructor: Meg Holmes
As of 9/11 Tap moves to Dance Infusion
Tap Dancing Basic Begins Sept. 11
Wednesdays, | 9:00 a.m. | Instructor: Audrey Nason
Tap Dancing Performance
Wednesdays | 9:45 p.m. | Instructor: Audrey Nason
Yoga Advanced Beginners
Wednesdays | 1 p.m. | Instructor: Pat Dumont
Yoga For All
Mondays | 1:00 p.m. | Instructor: Pat Dumont
Yoga for Beginners
Tuesdays | 10:30 a.m. | Instructor: Pat Dumont
Serenity Yoga (starts Sept. 5)
Thursdays | 7:00 p.m. | Instructor: Sheila Wescott
Zumba
Tuesdays | 3:00 p.m. | Instructor: Valerie Cagnina
Please call the Senior Center for a description of each class, if needed.
Activities
Duplicate Bridge (intermediate level) Cost: $5
Thursdays from 1-4:30 pm
Must communicate to leaders in order to insure a multiple of 4 players per table. Call Center to register.
Rhythm-Aires
Mondays at 10:15 am; Cost: $10
Sunrise Singers
Mondays at 9:00 am; Cost: $10
Scale Modeling & Wood Carving - Wednesdays at 9 -11:30 am; FREE
Mindful Meditation - Thursdays at 10 am;
September 5, 12, 19, 26
French Conversation - Le Petit Déjeuner Français
Venez parler français dans un cadre convivial en petit groupe. À tour de rôle, choisissez un thème à présenter et à discuter. La littérature française, la géographie, l'histoire, la culture, les chansons, la grammaire, les jeux de mots ... à vous de choisir. Il n'y a pas de chef, alors les membres assumez leurs responsabilités. Nous lisons à haute voix et tenons une conversation ouverte. Si cela semble intéressant, venez ! Le groupe est gratuit et il se réunit le vendredi à 8:30.
Golf at Tewksbury Country Club
Starting May 7th at 7:15 am every Tuesday morning (until it snows!) a group of senior golfers will hit the links at the Tewksbury Country Club for nine holes of golf. Men/women of all levels are welcome! To get started, please call Tom C. at 978-902-9744 or email him at email@example.com
Nordic Walking
Begins September 25 -Wednesdays 9- 10:15 am
Outdoor total body workout with Nordic walking poles- Learn to hike using specially designed poles that improve your posture, and increase upper body strength while putting less stress on your lower body joints. Class location will vary to include local trails around town (wear sun and insect protection). First class will meet at Senior Center. We will cover from 2-3 miles over varied terrain. Instructor-Denise Boucher. 978-470-0243 for more information. Registration required Fee: $25.00
Outdoor Adventure Groups
Men’s Outdoor Adventure Group
(Meet at the Center at 9 a.m. & leave from there)
♦ Wednesday, September 11 | Bonier Reservation | Leader: Fred Snell
♦ Wednesday, September 25 | Rafton Reservation | Leader: Don Schroeder
Women’s Outdoor Adventure Group (WOAG)
All hikes leave from the Center at 9 a.m. & return by noon unless otherwise noted. If you would like to be added to the WOAG email list, email Jane Gifun at firstname.lastname@example.org
♦ Thursday, September 19 Crane Estate Special Trip Limited to 15 Cost $15.00
♦ Monday, September 30 Harold Parker Pond Hike
September Nature Walks
Fridays September 6, 13, 20, 27 8:30-10:30 am
Enjoy walking the various AVIS trails with an experienced hike leader. Meet at the Senior Center. Registration and signed waiver required. Free
The Andover Senior Community FRIENDS, Inc.
upcoming meetings:
Friday, September 20th at 10:30 AM
Please join us as we support so many of the free programs!
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Donations / Clean Out
As we prepare to transition to our temporary home, we will not be taking donated items.
We will also be cleaning out our closets and getting ready for the move. If you lead one of our craft groups, please contact Kathy for further discussion. We will work together to manage our craft supplies. Call Kathy at 978-623-8320 or email at email@example.com
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The Council on Aging Board meets on the second Thursday of each month. This is a public meeting and all are welcome to attend.
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Crowdsourced Smartphone Sensing for Localization in Metro Trains
Haibo Ye
State Key Laboratory for Novel Software Technology
Nanjing University, Nanjing, China
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Tao Gu
School of Computer Science and IT
RMIT University
Melbourne, Australia
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Xianping Tao, Jian Lu
State Key Laboratory for Novel Software Technology
Nanjing University, Nanjing, China
\{txp, lj\}@nju.edu.cn
Abstract—Traditional fingerprint based localization techniques mainly rely on infrastructure support such as RFID, Wi-Fi or GPS. They operate by war-driving the entire space which is both time-consuming and labor-intensive. In this paper, we present M-Loc, a novel infrastructure-free localization system to locate mobile users in a metro line. It does not rely on any Wi-Fi infrastructure, and does not need to war-drive the metro line. Leveraging crowdsourcing, we collect accelerometer, magnetometer and barometer readings on smartphones, and analyze these sensor data to extract patterns. Through advanced data manipulating techniques, we build the pattern map for the entire metro line, which can then be used for localization. We conduct field studies to demonstrate the accuracy, scalability and robustness of M-Loc. The results of our field studies in 3 metro lines with 55 stations show that M-Loc achieves an accuracy of 93% when travelling 3 stations, 98% when travelling 5 stations.
Keywords—Metro train; smartphone; localization; barometer; magnetometer;
I. INTRODUCTION
With a growing number of mobile phones, Location Based Services (LBS) have become more and more popular. Finding mobile user’s location (i.e., localization) is one of the key enabling technologies. An outdoor navigation service typically use GPS-enabled mobile phones to find nearby places. There has been an increasing demand for LBSs used in indoor environments. The Google Maps [1] for mobile phones will support indoor navigation [2] which shows where you are and guide you to where you want to go in an indoor environment. For example, in a shopping mall scenario, the service provides mobile users with step-by-step navigation to where they want to go. In such an indoor environment where GPS is not available, many Wi-Fi based localization techniques [4-6] [8] have been proposed and widely used. For example, RADAR [6] uses Wi-Fi signal strength. The idea is to war-drive a building, and then create a radio map linking physical locations and Wi-Fi fingerprints.
While the main focus of indoor localization research has been centered around in-building scenarios, no attention is given in locating mobile users when they are taking metro\(^1\) trains. Metro trains have been the most important means for urban transport, and every large city in the world has metro systems in operation. Localizing mobile users in metro lines not only extends existing LBSs to this blind spot, but also promotes and encourages the use of public transport in achieving urban sustainability.
How to locate mobile users in a metro train is not a trivial task. GPS does not work underground. A Wi-Fi fingerprint based approach may be applied in this scenario provided Wi-Fi access points can be deployed along each metro line. However, Wi-Fi based solutions obviously not only incur high installation and maintenance costs, but also increase the chance of interfering with the metro control system. Today, only a few metro lines provide Wi-Fi coverage, mostly in metro stations only. Until 25 Apr 2013, in New York, there are only 36 metro stations have Wi-Fi access (i.e., 13% of all metro stations [3]). Hong Kong has just start providing Wi-Fi access from 8 July 2013 for a limited number of metro stations. Some metro control systems (e.g., Siemens EMCS system [18]) use Wi-Fi to keep metro trains in connection with the control center, but they are not publicly accessible. In addition, when applying Wi-Fi fingerprinting in metro lines, war driving is not an easy task since it is difficult to obtain Wi-Fi fingerprints when trains are running underground.
What if we don’t use Wi-Fi? An intuitive way is to use RFID techniques like [19] to locate mobile users in a metro line. This requires that every mobile user carry a tag, and RFID readers are deployed in each metro cabin. When a user enters into a train, the reader gets the tag ID, and the location of the train can be obtained from the metro control system. This approach needs infrastructure support which is costly, and it leverages the train location system.
Motivated by the recent advance of smartphone sensing, in this paper, we propose to use magnetometer and barometer sensors on smartphones and build sensor fingerprints through crowdsourcing which requires neither infrastructure nor war driving. Our approach is based on the following observations. When a train is running in the tunnel from station A to station B, the magnetometer and barometer readings scanned from a user’s smartphone show unique patterns due to a variety of physical environments in different tunnels. Such patterns can be exploited as fingerprints to locate the train by pattern matching. To get the fingerprints of magnetic field and barometric pressure in each tunnel, different from the traditional approach which war drives the entire metro line, we leverage on crowdsourcing. Each mobile user taking the metro will contribute partial data which will be then combined for
\(^1\) Metro, also named subway or underground, in this paper, refers to the trains run underground.
extracting patterns by an algorithm. To achieve this, we first design a scalable, noise-free event detection algorithm to detect the event of train stopping or leaving a station based on accelerometer and barometer readings. By knowing these events, we can then obtain the barometer and magnetometer readings when a metro train is running in a tunnel. Second, the readings are collected and uploaded to a cloud server which runs our DTW [16] based pattern matching algorithm to extract and compare the patterns for different tunnels. We then merge different user traces by a merging algorithm to generate a pattern graph for the tunnels. By comparing the graph with the metro line map, we are able to link each pattern in the graph to a specific tunnel. A mobile user can then download the pattern map from the cloud sever for localization by looking up the map. In summary, we make the following contributions:
1) We propose a novel metro train localization approach, named M-Loc, to identify the locations of mobile users in metro trains. Compared to traditional Wi-Fi fingerprinting-based approaches, M-Loc requires neither infrastructure nor war driving.
2) Using smartphone sensing and crowdsourcing, we propose several algorithms to handle noisy sensor readings and perform pattern matching, which make our solution more practical and scalable.
3) We conduct a field study in a real metro system with 3 metro lines and 55 stations, and analyze the performance of M-Loc. The results show that M-Loc achieves an accuracy of above 90% when a passenger travels 3 stations and over 98% when travels 5 stations.
The rest of this paper is organized as follows. Section 2 gives the overview. The detailed design is shown in Section 3. Section 4 describes our evaluation. Section 5 discusses the related work, and finally, Section 6 concludes the paper.
II. SYSTEM OVERVIEW
We give an overview of M-Loc in this section, as shown in Fig. 1. The system operates in two phases. In the first phase, we crowdsource both magnetometer and barometer readings from passengers’ smartphones. We then analyze the patterns from these readings to extract the unique pattern for each tunnel (i.e., a tunnel between two adjacent stations), and generate the pattern map. In the second phase, users download the map for localization.
A. In the first phase
M-Loc builds the pattern map of a metro line by crowdsourcing. In order to get patterns of all the tunnels in a metro line, our idea is to first extract patterns from user traces, and then discover the patterns which are linked to specific tunnels. With crowdsourcing, each user contributes a complete or partial trace of his entire trip when travelling in a metro line. We detect the event of train stopping or leaving a station, and collect both magnetometer and barometer readings when the train is running in the tunnels. Each user trace contains only partial patterns of a metro line. By merging the traces from different users, we are able to obtain a complete graph which contains all the patterns of the metro line. The structure of the graph can then be mapped to the real metro line map, and links each pattern to a specific tunnel.
In more details, when a user travels in a metro train, the mobile client software collects acceleration, barometric pressure and magnetic field data. To recognize the event of train stopping at a station, we use acceleration and barometric pressure data. The acceleration data shows clear signatures when the train decelerates to stop and accelerates to leave. In addition, the barometric pressure in the train will show clear jumps when the doors of the train open or close. Combining these two signatures, we are able to accurately detect train stopping at a station, and we name it a train stop event. Meanwhile, we name the process when the train is running in the tunnel between two adjacent stations a train running event. By these train stop events, we divide a stream of barometer and magnetometer readings arrived in time order into fractions, and each fraction associated with either a train stop event or a train running event. We call the sequence of stop and running events as a user trace. When a user leaves the metro train, the trace will be uploaded to the cloud server. In the cloud server, we know each running event occurs in a tunnel, but which tunnel is unknown. Since the train running events in each tunnel have a common unique pattern, we design a DTW based pattern matching algorithm to find all the running events of the same tunnel. We then apply a merge algorithm to merge the traces from different users. Finally, we generate a pattern graph which covers the entire metro line. We can map the running event patterns to the tunnels by comparing the pattern graph with the metro line map, and get the patterns of all the tunnels.
B. In the second phase
For localization, users download the pattern map from the cloud server to their smartphones. When a user travels in a metro train, both barometric pressure and magnetic field data are logged, and the train stop and running events are detected in real time. The pattern matching algorithm will be used to match the train running event to the tunnel based on the pattern map. Finally, the location of the train is known, so is the location of the user.
III. SYSTEM DESIGN
We first give the details of the train stop event detection and the pattern map generation, we then describe how to use the map for localization.
A. Train Stop Event Detection
In order to detect a train stop event, we first analyze the available sensors on smartphones, and justify our choice of accelerometer and barometer. Later, we show the detailed approach for detection.
1) Accelerometer signature
A metro train stops at a station follows a similar process – decelerating to stop at a station, open the doors, close the doors and accelerating to leave. It is clear that accelerometer can capture these motion events. The readings of the accelerometer will show a clear signature. As shown in Fig. 2(a), it appears as a crest when decelerating and a trough when accelerating. Actually in the real case, the acceleration signature may show slightly different depending on the direction of the smartphone. Fig. 2(a) shows the signature when the x-axis of the smartphone is in the same direction of the train, while in Fig. 2(b) the x-axis is in the opposite direction of the train, where it appears as a trough when decelerating and a crest when accelerating. What appears most often is the situation where a phone’s direction is random, as shown in Fig. 2(c), the acceleration of the train when accelerating and decelerating appears in the three axes of the accelerometer, each with a smaller crest or trough.
2) Barometer signature
In addition to accelerometer, we observe that barometer of smartphone also shows a clear signature in the process of a train stop event. With air conditioning or ventilation equipment used in every train, barometric pressure appears different between the inside and outside of a train cabin. For this reason, when the train stops and opens the doors, there exists a sharp drop in barometric pressure. On the contrary, there exists a sharp increase in barometric pressure when the doors close. This change appears clearly in the readings from the barometer sensor. We show this signature in Fig. 3(a) and it is an important feature for detecting a train stop event.
3) Issues with acceleration
Each acceleration sample is a triple, including a reading of x, y and z, respectively, each represents a direction of the smartphone, as shown in Fig. 3(b)(1). It should be noted that the acceleration caused by gravity is included in the triple. When the train is accelerating or decelerating, the readings are the combination of the acceleration of the train and the gravity; this is shown in Fig. 3(b). We observe a sharp crest and trough from Fig. 2(a) for only one axis, but a weak crest and trough from Fig. 2(c) since it distributes among all the three axes. These observations are due to various smartphone’s orientation. To detect the train stop event, we need to find the pair of crest and trough. Assume that we use only one axis data. For the case in Fig. 2(a), the crest and though are clear and easy to detect. For the case in Fig. 2(c), every crest or though is not clear and is not easy to detect. We combine the readings from all the three axes. Fig. 2(c) shows the result of combining three axes. As we can see, both the crest and trough almost disappeared. This may be due to gravity, and the direction of accelerating/decelerating and the direction of gravity are mutually perpendicular. A slight acceleration change in the vertical direction of gravity will cause very small change to the combination of the acceleration. For example, the gravity is 9.8m/s$^2$, when the train accelerating is about 2 m/s$^2$, the combination is changed from 9.8 m/s$^2$ to 10 m/s$^2$, only 0.2 m/s$^2$ change of accelerometer reading is not obvious enough for detecting a train stop event.
4) Using variation of acceleration
To solve this issue, we use the variation of acceleration. Since the gravity keeps unchanged, the variation of acceleration is only affected by train acceleration. The combined variation of the three axes is the variation of train acceleration. The way to get the variation of each axis and the combination are shown in Equations 1-7. The direction of the combination is set as the direction of the axis with the max mean variation. Fig. 3(c) shows the combination of the variation of the three axes. In this figure, the deceleration process is transformed to a curve ending with a sharp crest. Similarly, the acceleration process starts with a sharp crest. By this transformation, the variation will not be affected by the phone orientation and the gravity.
\[
\text{VarX}_a(t) = X_a(t + \Delta t) - X_a(t), \quad \text{VarX}_{\text{all}} = \sum |\text{VarX}_a(t)| \\
\text{VarY}_a(t) = Y_a(t + \Delta t) - Y_a(t), \quad \text{VarY}_{\text{all}} = \sum |\text{VarY}_a(t)| \\
\text{VarZ}_a(t) = Z_a(t + \Delta t) - Z_a(t), \quad \text{VarZ}_{\text{all}} = \sum |\text{VarZ}_a(t)| \\
\text{Var}_{\text{max}} = \text{Max}(\text{VarX}_{\text{all}}, \text{VarY}_{\text{all}}, \text{VarZ}_{\text{all}})
\]
\[
\text{VarK}_a(t) = \begin{cases}
\text{VarX}_a(t) & \text{if Var}_{\text{max}} = \text{VarX}_{\text{all}}; \\
\text{VarY}_a(t) & \text{if Var}_{\text{max}} = \text{VarY}_{\text{all}}; \\
\text{VarZ}_a(t) & \text{if Var}_{\text{max}} = \text{VarZ}_{\text{all}};
\end{cases}
\]
\[ \text{Dir}(t) = \frac{\text{VarK}_a(t)}{|\text{VarK}_a(t)|} \]
(6)
\[ \text{Var\_All}_a(t) = \text{Dir}(t) \times \sqrt{\text{VarX}_a(t)^2 + \text{VarY}_a(t)^2 + \text{VarZ}_a(t)^2} \]
(7)
Where, \( X_a(t) \) is the acceleration in x axis at time t. \( \text{Var\_All}_a(t) \) is the combination variation of three axes at time t.
To detect a train stop event, we use a state machine shown in Fig. 4. A stop event includes the start and end time, it is defined as
StopEvent: SE = {bt, et, ID},
where bt is the start time of the event, et is the end time of the event, and ID is the metro station where the event occurs. For the example in Fig. 3(c), the stop event is represented as (40,65, r). At this stage, when a train stop event is detected, we get bt and et, but ID is unknown.
Crest and Trough: variance > 0.4, stable: variance < 0.1, stable time > 10 seconds.
Fig. 4. The state machine of detecting a stop event by acceleration.
5) Enhancement with barometer
The acceleration based approach may experience wrong detections and miss detections. We achieve an accuracy of about 85% based on our experiments. For example, when a train is running in a tunnel, the train driver may decelerate to control the speed for a short period and accelerate again. The acceleration readings show the same signature as a stop event in a station. This may happen especially during rush hours.
In order to filter out these false detections, we make use of barometer to detect an event of door opening or closing. For all the train stop events detected using acceleration readings, we check whether a door open or close event has occurred using barometer readings. In Fig. 3(a), the readings experience a sudden drop for about 0.4 hPa when the door opens, keep stable for some seconds and experience a sudden increase for about 0.4 hPa when the door is closed. We also use a state machine to detect this signature, which is shown in Fig. 5. We don’t use the barometer to detect train stop only because it is not reliable in the following situations. For example, when the door opens and closes more than once in a station and when the barometric pressure drop and raise but not caused by door open and close.
Drop and Raise: pressure_change > 0.3, stable: variance < 0.15, time > 10 seconds.
Fig. 5. The state machine to check a stop event by barometer readings.
6) Accuracy of train stop event detection
To test the accuracy of our approach, we hired 4 students who commute by metro train every day for experiments. Fig. 6(a) shows their routes. A data collection application runs in background on their Android smartphone to log sensor readings such as barometer, accelerometer, magnetometer and microphone. The experiment runs for a week. The audio recorded by microphone on smartphone will be used as the ground truth for which metro stations a user travels. We can easily obtain the ground truth such as the time of a train stops at a station by playing back the audio recorded. Comparing to result from our event detection algorithm, we obtain the accuracy as follows. Out of a total number of 427 train stops, 410 of them are successfully detected. The accuracy is about 96% with 3 wrong detections and 17 miss detections. If we only use acceleration readings, we get only 363 right detections. The comparison is shown in Fig. 7.
After detecting all the train stop events, we get data of the train running events. A running event is defined as:
RunningEvent: RE = {bt, et, BTrace, MTrace, ID_1, ID_2}
where bt is the start time of the running event (i.e., the time when the train leaves a station), et is the end time of the running event (i.e., the time when the train arrives at the next station), and BTrace is the barometer trace scanned between time bt and et. A barometer sample is represented as \( B = (t, \text{baro}) \) and \( BTrace = (B_1, B_2, \cdots) \), MTrace is the magnetic field trace scanned between time bt and et. A magnetic field sample is \( M = (t, x, y, z, m) \), which is the magnetic field readings in the three axes of the smartphone at time t, and \( m = \sqrt{x^2 + y^2 + z^2} \). MTrace = \( (M_1, M_2, \cdots) \), and M is in time order. ID_1 and ID_2 are the metro stations between which the train running event occurs, ID_1 and ID_2 also identify a tunnel.
We have now obtained both barometric pressure and magnetic field patterns from a train running event, but we don’t know in which tunnel the running event occurred. In the following section, we describe how to map a train running event to a tunnel.
B. Pattern map generation
The pattern map contains all the patterns of the tunnels in a metro line, and each pattern is mapped to a specific tunnel. In each user’s trace, there exist one or more train stop and running events. We now present our approach to build the pattern map.
We define a sequence of train stop and running events as a user trace, denoted as UserTrace = \{SE_1, RE_1, SE_2, RE_2, \cdots\}, where SE is a stop event and RE is a running event. Fig. 8 shows a typical trace of a user. We know that the running event occurs in a metro tunnel. With enough traces, the tunnels where the running events occur will cover all the tunnels in the metro line, on the condition that every metro station has been visited at least once. Furthermore, the traces from different users may have overlapped tunnels. An example is shown in Fig. 6(b), 5 users contribute 5 traces which eventually cover the entire metro line. Overlapped tunnels exist in their traces. We will get five discrete traces, but the tunnels of the traces are unknown.
As shown in Fig. 6(c), we use pattern matching to merge the traces with overlapped running events and build a graph of running and stop events. Using the real map of the metro line which is public accessible, we can map the running and stop events to the tunnels and stations, which are shown in Fig. 9.
1) Pattern matching based on DTW
Fig. 10(a) and Fig. 10(b) show the barometer and magnetometer traces collected when the trains run in the same tunnel. We can see that the fluctuation of the waveforms show similar patterns. The data length is different and the waveforms are observed a shift. This is because the time cost for the trains to pass a tunnel may have little change based on the traffic. In the cloud server, we obtain the data of train running in a tunnel from the running events in user traces. Based on pattern matching, we can find the running events of the same tunnel from different users. This approach is shown as follows.
a) Feature extraction
First, the raw barometer and magnetometer readings may contain noise. If a data point value has an apparent spark noise, it will be removed. After removing the noise, we smooth the readings with a window of 10. In order to compare the two traces, a simple approach is to use the absolute value as the feature and calculate the mean squared error (MSE) of the two waveforms. Since the users’ phones have not been calibrated (i.e., the readings of the two phones are different at the same place), there exists an unknown constant drift. This will cause
error when calculating the MSE value. More importantly, the two time series has different lengths, which cannot be handled by MSE. In our approach, we use the variance as a feature to capture the fluctuation change. For both barometer and magnetometer traces, we obtain the variances as follows.
\[
\text{VarB}(t) = B(t + \Delta t) - B(t)
\]
(9)
\[
\text{VarM}(t) = M(t + \Delta t), m - M(t), m
\]
(10)
For example, Fig. 10(c) shows the variance of the two magnetic field traces of Fig. 10(a).
b) Mathing with DTW
Since each tunnel may have a different length, and the traces we collect will have different lengths of data. We apply the Dynamic Time Warping Distance Measure (DTW) [16] which is less sensitive to the time shift. To calculate the DTW, we first align the two waveforms as shown in Fig. 11. For example, for two time series of magnetic field variance VarM_2 and VarM_1, where
\[
\text{VarM}_2 = s_1s_2s_3s_4 \cdots s_n
\]
\[
\text{VarM}_1 = l_1l_2l_3l_4 \cdots l_m
\]
the sequences VarM_2 and VarM_1 can be arranged to form a n-by-m plane or grid, where each grid point (i,j) corresponds to an alignment between elements \(s_i\) and \(l_j\). A warping path, W, maps or aligns the elements of VarM_1 and VarM_1.
\[
W = w_1w_2w_3w_4 \cdots w_k
\]
The Dynamic Time Warping distance between two time series VarM_2 and VarM_1 is then:
\[
\text{DTW}(VarM_2, VarM_1) = \\
\partial(\text{First}(VarM_2), \text{First}(VarM_1)) + \min \left\{ \begin{array}{c}
\text{DTW}(\text{VarM}_2, \text{Rest}(\text{VarM}_1)) \\
\text{DTW}(\text{VarM}_1, \text{Rest}(\text{VarM}_2)) \\
\text{DTW}(\text{Rest}(\text{VarM}_2), \text{Rest}(\text{VarM}_1))
\end{array} \right\}
\]
(11)
where First(x) is the first element of x, and Rest(x) is the remainder of the time series after the First(x) has been removed, and \(\partial(i,j) = (s_i - l_j)^2\).
From the DTW value, we get numeric measure of the similarity between train running events. For every two running events we can obtain the DTW distance of the magnetometer reading traces and barometer reading traces.
2) Merge the traces
Traces from users often have overlaps. Given two user traces, we want to find their overlaps and merge them. Fig. 12 shows some situations where the two traces match each other. Given two traces with lengths of m and n, respectively, there are \(2(m+n)\) possible overlaps. In our approach, in order to find the overlap of the two traces, we compute the average DTW value for each overlapping situation, and find the case with minimum distance. Given two user traces UT_1, UT_2 with lengths of m and n (m<n), respectively, we get the min distance by Equation 12, where, UT_i, RE_j is a running event of user trace UT_i,
\[
\text{Min}_{DTW} = \min \left\{ \begin{array}{c}
\frac{\text{DTW}(UT_1, RE_m, UT_2, RE_1)}{\text{DTW}(UT_1, RE_{m-1}, UT_2, RE_1) + \text{DTW}(UT_1, RE_m, UT_2, RE_2)} \\
\vdots \\
\frac{\text{DTW}(UT_1, RE_1, UT_2, RE_n)}{\text{DTW}(UT_1, RE_1, UT_2, RE_{n-1}) + \text{DTW}(UT_1, RE_n, UT_2, RE_n)}
\end{array} \right\}
\]
(12)
If the minimum is the threshold, that means the two traces have no overlapping. If not, we conclude an overlapping case for the two traces. Then, the two traces will be merged. For example, as shown in Fig. 6(c), user C and D are matched by two overlap running events.
3) Map train running events to tunnels
We merge the traces from users incrementally to construct a graph, as shown in Fig. 6(c). When the graph covers all his tunnels in a metro line, it should have a one-to-one matching to the real metro map as shown in Fig. 9. Finally, in the cloud server, we obtain the patterns of all the tunnels in a metro line, and they are stored as the pattern map.
C. Locating users
When the pattern map is generated, it can be downloaded to smartphones. M-Loc client application keeps collecting sensor data and detecting the train running events. Once detected, it finds a minimum distance tunnel by calculating the DTW distance with every tunnel in the pattern map using Equation 13. The train’s position is at the end of the tunnel.
\[
\text{Min}_{DTW} = \min \begin{cases}
\text{DTW (RE, Map.RE}_1) \\
\text{DTW (RE, Map.RE}_2) \\
... \\
\text{DTW (RE, Map.RE}_k)
\end{cases} \quad \text{threshold}
\]
and Map.RE_k is a running event of a tunnel in the pattern map, RE is the running event of a tunnel detected. If Min_{DTW} is the DTW distance between RE and Map.RE_k, the position of the train now is at the end of the tunnel of Map.RE_k.
Locating uses based on one running event only may not be accurate enough. As the train keeps running, the application will detect running events in time series. Using pattern matching based on DTW distance, we can easily map the trace in the pattern map. The matching algorithm is the same to the way we use when matching the traces in Equation 12. The accuracy grows rapidly with more and more traces collected. We get an accuracy of 97% when passenger travels 4 stations. We will show the detailed result in the next section.
IV. EVALUATION
To evaluate M-Loc under real-world situations, we conduct a field study which involves ten users for three days in the metro lines in the city of Nanjing. The ten users are university students, among them 2 are females and 8 are males, aged between 20 and 30. Several smartphone models such as Samsung, Google Nexus, and Xiaoda are used during the experiment. Each smartphone is equipped with 3-axis accelerometer and magnetometer. Seven of them have the barometer sensor. Each smartphone is installed with M-Loc data collection software. Once started, this client software continuously collects acceleration readings and magnetic field readings at a rate of 5 samples per second (if a barometer is available, the rate is 3 samples per second). All the samples will be logged in a data file. This client software runs in the background so that the users are able to use their smartphones as usual. We conduct the field study as follows. The experiments are carried out in a Monday morning, a Thursday afternoon and a Saturday night, each lasts for three hours. We carefully choose these periods to represent different crowds (i.e., rush/non-rush hours) and weather condition (i.e., day and night). During the experiment, each user is instructed to continually take metro trains in the metro lines. The starting and ending stations are randomly chosen. To record the ground truth, recording on six smartphones was turned on to record the audio. After the experiment, we played back the audio clip to find out at which stations the users traveled. Fig. 6(a) shows part of the map of the metro line where our field study was carried out. There are 3 metro lines with 55 metro stations, 3 of them are cross-line stations.
After the experiment, we collect the logged data from each user, including the ground truth and the sensor traces. From the ground truth, we find out there are a total number of 162 one-way trips. The distribution of each trip length is shown in Fig. 13(a). It shows that there are more short trips than long trips. Using these sensor data, we run the train stop event detection algorithm. We compare the output of the detection algorithm with the ground truth. The number of stops of each trip is detected and the accuracy is shown in Table 1. The result shows that the miss detection of the train stop events rarely occurs. For the 47 trips with stations less than 4, there are only 2 trips having one missed stop event.
After the train stop event detection, we get the user trace of each user trip, including a sequence of stop and running events. Based on the ground truth, we know the running events belong to which tunnels. We randomly choose five tunnels, and use only magnetometer readings for the experiment. Fig. 13(b) shows the min, max and average DTW distance of the running events of the five tunnels. It shows that the DTW distances of running events from the same tunnel do not vary much. Fig. 14 shows the average DTW distance between the same and different tunnels. The average DTW distance of running events occurred in the same tunnel is much lower than the distance of that in different tunnels. The threshold is set to 8 in our experiment. This feature helps us to find out whether two running events occur in the same tunnel. The comparison between the DTW and MSE distance is shown in Fig. 13(c). For the reason of time drift and different lengths of the data traces, the MSE distance is much larger than the DTW distance.
| Missed stops | Missed/Total | stations of trips with different length |
|--------------|--------------|----------------------------------------|
| | <4 | >4 and <12 | >12 |
| 1 | 2/47 | 3/90 | 4/21 |
| 2 | 0/47 | 2/90 | 3/21 |
| 3 | 0/47 | 0/90 | 1/21 |
| > 3 | 0/47 | 0/90 | 0/21 |
For trace matching, the result of our algorithm is shown in Fig. 13(d). There are a total of 162 traces. The left vertical axis shows the distribution of the first 300 times of trace merging. The right vertical axis shows that the matching accuracy increases when the number of overlapped stations increases. The accuracy is more than 95% when the number of overlapped stations is larger than 3. Hence, our matching algorithm only merges traces when there are more than 4 overlapped stations.
The merged traces form a graph. The graph grows larger when more traces are merged until it has a one-to-one mapping to the metro line map. The dotted curve in Fig. 13(e) shows the map of the metro line is successfully built with different sample size (i.e., number of user traces). The result shows that 90% of the map can be built quickly using only a few traces. The curve grows slower because some stations are not visited by passengers often, the starting and ending stations of a metro line for example. For the 3 metro lines with 55 stations, M-Loc requires only 80 user traces to build the map. The red solid line shows the ground truth of the traces to build the map. In fact, about 30 traces are required to construct the map. Our approach needs more traces because we merge two traces when there are at least 4 overlapped stations. Fig. 13(f) shows the location accuracy when the pattern map is built. When a passenger travelled only one metro station, the location accuracy is about 75%. With more stations travelled, the accuracy increases rapidly. We get an accuracy of 98% when travelling 5 stations.
In the end, we evaluate the energy consumption of M-Loc using a Samsung Galaxy Nexus smartphone running Android 4.1 OS, and the result is shown in Fig. 15. The power consumption is computed based on PowerTutor [17], a diagnostic tool for analyzing system and application power usage from the Android Market. The experiment ran for 12 hours continuously. The average power consumption of M-Loc is 109 mW. For comparison, we also show the power consumption of other localization techniques and some basic mobile functions. It shows that M-Loc consumes much less energy than the traditional localization techniques.
Many fingerprint based techniques for indoor localization have been proposed such as [6-10], which can be used to locate the user in a metro line. Existing techniques for localization rely on deployed radios (e.g., Wi-Fi access points, GSM base stations, etc) and make different assumptions about infrastructure and calibration. They mainly rely on Wi-Fi signal strength, and they are capable of achieving good accuracy in an
indoor environment. Radar [6] operates on Wi-Fi fingerprints, and is capable of achieving high accuracy in indoor deployments. However, Radar needs to war-drive the entire building in order to obtain the radio map. War-driving is very time-consuming and labor-intensive. Hence, this solution is not scalable over larger areas. Some recent approaches such as LiFi’s [20] use crowdsourcing to reduce the training cost to some extent, but it involves a complicated training process. In reality, many mobile users may not turn on Wi-Fi all the time for energy saving, limiting the effectiveness of crowdsourcing. More importantly, deploy the Wi-Fi access points in the metro line may have security problems, which need theoretical and practice proof. The Wi-Fi infrastructure is still not widely used in today’s metro lines. Different from these systems, our approach does not require any pre-installed infrastructure. It leverages on mobile phone sensing and crowdsourcing to efficiently localizing users in metro trains.
Sensor-assisted localization methods [11-14, 21] have been proposed with the popularity of smartphones, which make use of embedded sensors available on smartphones. These systems typically use accelerometer and electronic compass. However, careful calibration is needed due to the limitations of the sensing technology. Expert [11] leverages on fixed beacons for calibration and CompAcc [12] makes use of possible walking paths extracted from Google Maps [1]. We do not need war driving or calibration, and we have no assumption about users’ walking patterns and the way they carry/use their smartphones. With the map of a metro line, we crowdsource sensor data from users and build the magnetic field and barometric pressure pattern map for the metro line to achieve high accuracy.
VI. CONCLUSION
This paper presents a novel, scalable metro line user localization scheme M-Loc. The software architecture of M-Loc is shown in Fig. 16. Leveraging on smartphone sensing and crowdsourcing, M-Loc requires neither any infrastructure nor war driving, making it more realistic for real-world deployment. Our field study demonstrates the performance, scalability, and robustness of M-Loc. For our future work, we will further improve M-Loc by enhancing the pattern matching algorithm. We also plan to offer a full version of M-Loc as a free service to Google’s play store and the Apple store for public use, and test M-Loc under real-life situations.
VII. ACKNOWLEDGMENT
This work was supported by the NSFC of China under Grants 61373011, 91318301 and 61321491.
REFERENCES
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[2] Google maps indoor. http://maps.google.com/help/maps/indoormaps/
[3] Transit Wireless. http://www.transitwireless.com/what-we-do-for-transit-agencies/
[4] Nobuo Kawaguchi et al., “Underground Positioning: Subway Information System Using Wi-Fi Location Technology,” mdm, pp.371-372, 2009 Tenth International Conference on Mobile Data Management: Systems, Services and Middleware, 2009
[5] Lee, I., Yeon, G., & Han, J. (2011, August). Norimi: WiFi-based sub-meter-level gait-based localization. In Intelligent Radio for Future Personal Terminals (IMWS-IRFPT), 2011 IEEE MTT-S International Microwave Workshop Series on (pp. 1-2). IEEE.
[6] P. Bahl and V. Padmanabhan. Radar: an in-building rf-based user location and tracking system. In INFOCOM 2000. Israel.
[7] A. Varshavsky, A. LaMarca, J. Hightower, and E. de Lara. The skyloc floor localization system. In PerCom 2007.
[8] G. Zaruba, M. Huber, F. Kamangar, and I. Chliantac. Indoor location tracking using smartphones from a single wi-fi access point. Wireless networks, 13(2):221-235, 2007.
[9] A. LaMarca, Y. Chawathe, S. Consolvo, J. Hightower, I. Smith, J. Scott, T. Sohn, J. Howard, J. Hughes, F. Potter, et al. Place lab: device positioning using radio beacons in the wild. Pervasive Computing, pages 301-306, 2005.
[10] V. Otsson, A. Varshavsky, A. LaMarca, and E. De Lara. Accurate gsm indoor localization. UbiComp 2005, pages 141-158, 2005.
[11] I. Constandache, X. Bao, M. Azizyan, and R. Choudhury. Did you see bob?: Human localization using smartphones. In Proceedings of the 10th annual international conference on mobile computing and networking. ACM, 2010.
[12] I. Constandache, R. Choudhury, and I. Rhie. Towards smartphone localization without war-driving. In INFOCOM2010. IEEE.
[13] G. X. Z. C. Haibo, Tao. Fitrack: Infrastructure-free floor localization via smartphone sensing. In PerCom, 2011.
[14] A. Ofstad, E. Nicholas, R. Szozdrowski, and R. Choudhury. Aanpl: Accelerometer augmented smartphone localization. In Proceedings of the first ACM international workshop on mobile entity localization and tracking in GPS-less environments, pages 13–18. ACM, 2008.
[15] Y. Zhu, D. Shasha, and X. Zhang. Query by humming: in action with its technology revealed. Proceedings of the 1st ACM SIGMOD international conference on Management of data, June 2005.
[16] D. Bernat and J. Chi-ord. Using dynamic time warping to find patterns in time series. In Advances in Knowledge Discovery and Data Mining, pages 229-248. AAAI/MIT, 1994.
[17] PowerTutor, Available: http://ziyang.eecs.umich.edu/projects/powertutor/
[18] EMCS – Engineering, Monitoring and Control System. Available: http://www.industry.siemens.com
[19] Ni L M, Liu Y, Lau Y C, et al. LANDMARC: indoor location sensing using active RFID[J]. Wireless networks, 2004, 10(6): 701-71
[20] Yang Z, Wu C, Liu Y. Locating in fingerprint space: wireless indoor localization with little human intervention. Mobisys’12. ACM, 2012: 269-280.
[21] Zhou, Pengfei, Yuanqing Zheng, and Mo Li. "How long to wait?: predicting bus arrival time with mobile phone based participatory sensing." Mobisys'12. ACM, 2012. |
INSTRUCTION MANUAL
CVI MODEL 502 DATA CAMERA
COLORADO VIDEO, INCORPORATED
BOULDER, COLORADO
22 October 1973
# TABLE OF CONTENTS
| Section | Title | Page |
|---------|--------------------------------------------|------|
| Section 1 | GENERAL DESCRIPTION | |
| | 1.1 Introduction | 1 |
| | 1.2 Purpose of Equipment | 1 |
| | 1.3 Description of Equipment | 1 |
| | 1.4 Specifications | 2 |
| | 1.5 Performance Characteristics | 3 |
| Section 2 | OPERATING INSTRUCTIONS | |
| | 2.1 Introduction | 4 |
| | 2.2 Initial Installation | 4 |
| | 2.3 Operation | 5 |
| | 2.3.1 Description of Controls | 5 |
| | 2.3.2 Other Operations | 7 |
| Section 3 | UNCONVENTIONAL OPERATION OF VIDICON TUBES | |
| | 3.1 Introduction | 10 |
| | 3.2 Special Operations | 10 |
| | 3.2.1 Pulsed Light Source | 10 |
| | 3.2.2 Target Integration | 11 |
| | 3.2.3 Sweep Reversal | 11 |
| | 3.2.4 Intermittent Scanning | 11 |
| | 3.2.5 Reduced Velocity Scanning | 11 |
| | 3.2.6 Variable Rate Scanning | 12 |
| | 3.2.7 Types of Vidicon Target Scanning | 13 |
| Section 4 | MAINTENANCE | |
| | 4.1 Introduction | 14 |
| | 4.2 Camera Tube Replacement | 14 |
| | 4.2.1 Removal | 14 |
| | 4.2.2 Adjustment | 14 |
| | 4.2.3 Assembly | 15 |
| | 4.2.4 Electrode Adjustment Ranges | 16 |
SECTION 1
GENERAL DESCRIPTION
1.1 INTRODUCTION
This instruction book is to be used as a guide to the installation, adjustment, operation, and maintenance of the CVI Model 502 Data Camera.
1.2 PURPOSE OF EQUIPMENT
The Model 502 is intended primarily as a laboratory research instrument for the conversion of visual data into standard or non-standard TV format.
1.3 DESCRIPTION OF EQUIPMENT
The CVI Model 502 Data Camera is a three-piece instrument capable of using a variety of standard 1" pickup tubes. The 502 accommodates standard vidicons of either separate or integral mesh, silicon diode target tubes, lead oxide target tubes, or other devices with appropriate mechanical and electrical characteristics.
The Model 502 is primarily intended for laboratory or industrial inspection usage, and incorporates a number of features not normally found in conventional CCTV equipment. These include:
- Externally controllable sweep circuits which allow for non-conventional scanning patterns or rapid changes in position, angle, or size, when required for pattern matching or similar applications. H and V deflection may be interchanged.
- Externally controllable beam blanking for target integration or pulsed light applications.
- Wide range sweep circuits (DC coupled) and video circuits capable of operating from one frame per second to 1000 frames per second.
- Remote, dynamic, gain control over a 4 to 1 range.
- Plug-in video low pass filters for best signal-to-noise ratio (Note: normal video bandwidth is 10 MHz).
- Remote, continuous, beam current control.
- A series of available options:
1. Video data sampler for A/D conversion for control purposes.
2. Eight video low pass filter frequencies selectable by means of a 3-bit digital code.
3. Preamplifier gain/bandwidth selection by means of an 8-bit digital code.
1.4 SPECIFICATIONS
Size:
Camera Head $4\frac{1}{2}" \times 5" \times 11"$ (w/o lens)
Camera Control $3\frac{1}{2}" \times 19" \times 8"$
Power Supply $3\frac{1}{2}" \times 19" \times 9\frac{1}{2}"$
Construction: Solid state, silicon
Power: 117 VAC, 25 watts
Inputs:
Horizontal drive TTL, positive going
Vertical drive TTL, positive going
Ext. Blanking TTL, positive going
H. Deflection 0 to +5 V, 10K ohms
V. Deflection 0 to +5 V, 10K ohms
Remote beam 0 to +5 V, 10K ohms
Remote gain 0 to +5 V, 10K ohms
Outputs:
Video 0 to +1 V, 75 ohms, DC coupled
Video (option 1) 0 to +4 V, 500 ohms, DC coupled
Controls:
Front Panel
Gain
Blanking
Video Polarity +,-
Target
Beam
Focus
Horizontal Size
Horizontal Centering
Vertical Size
Vertical Centering
Scan Centering (option #1)
Rear Panel
#1 Alignment
#2 Alignment
Blanking: Int/Ext
Sweeps: Int/Ext
Beam: Int/Ext
Power Supply
AC On/Off
Connectors: BNC
1.5 PERFORMANCE CHARACTERISTICS
Deflection: Slew Rate (both axes) Full raster in 10 us min.
Built-in Sawtooth Generators Rate internally changeable (1 capacitor per axis)
Linearity 1%
Video: Bandwidth 10 MHz @ -3 dB
S/N 35 dB pp/rms
Remote Gain: 4:1 range in less than 7 us
Remote Beam: Cutoff to max. in less than 7 us
Power Supply: Adjustable to suit many types of 1" tubes
SECTION 2
OPERATING INSTRUCTIONS
2.1 INTRODUCTION
This section contains the general operating procedures and instructions for the CVI Model 502 Camera.
2.2 INITIAL INSTALLATION
Unpack the equipment carefully and inspect for possible mechanical damage to the camera head, control unit, power supply, or connecting cable.
With the AC power plug disconnected, connect the camera head to the control unit by means of the multi-conductor connecting cable. Connect vertical and horizontal drive pulse inputs (see Section 1.4 for pulse requirements) and connect an appropriate TV monitor to the "real time" video output. (Note that the TV monitor must be externally synchronized, as a composite video output is not produced by the 502.)
Be sure that the sync pulse source and monitor are operating properly, then turn the "BEAM" control full counterclockwise and apply AC power to the 502. Rotate the "GAIN" control full clockwise and slowly turn the "BLANK" control clockwise. Noise should now appear on the monitor screen indicating proper functioning of the video amplifier and blanking circuits.
Place the camera head so that it is looking at a moderately illuminated (50 to 100 foot candles) test pattern or other subject and uncap the lens. CAUTION. Do not point the lens directly at sources of strong light or damage to the vidicon target may result. Slowly bring up the "BEAM" control until an image of some sort appears on the monitor screen with the "POLARITY" switch in the + position. Some readjustment of the GAIN and BLANK controls may now be desirable for best monitor picture contrast.
Optically focus the camera lens for the clearest image as seen on the monitor screen, then adjust the electrical FOCUS control for the same purpose. Note that "whiter" portions of the scene will not be reproduced if the BEAM control is not sufficiently far advanced. Slight adjustments of the scan size and centering controls may now be made if required. CAUTION. Some vidicon tubes have relatively sensitive target structures and will "burn in" or produce a negative after-image if left focused on a stationary subject for a period of time. Similarly, do not operate the camera without proper scanning of the vidicon or target damage may result.
Connect a wide band oscilloscope across the "real time" video output for the monitoring of video signal. Levels should be set for approximately .5 to 1 volt PP with a discernible space between the video baseline and the blackest portion of the video signal (as set by the BLANK control). Switching to - polarity will invert the video signal, causing a negative image to appear on the monitor screen. An increase in the setting of the BLANK level control is usually necessary at this time to prevent negative going signal components from being lost.
The various operating and setup controls should be adjusted for optimum image quality with the particular vidicon and subject material used. Scan rates may be varied over a wide range; however, the 502 is usually shipped with the internal saw generators set for 15,750 and 60 PPS.
2.3 OPERATION
2.3.1 DESCRIPTION OF CONTROLS
Power Supply
POWER On/Off
Control Unit
Front Panel:
VERT SIZE Controls the size of the vertical region which is scanned on the vidicon target. Clockwise movement decreases the scanned region. This control is operational when either internal or external deflection is used.
NOTE: TUBE DAMAGE MAY RESULT IF UNDERSCANNING TAKES PLACE BECAUSE OF EITHER SIZE CONTROL BEING SET TOO NEAR THE CLOCKWISE END.
VERT CENT Controls the position of the scanned area. This control is operational when either internal or external deflection is used.
HORIZ SIZE Performs the same function as the VERT SIZE control, except on the horizontal axis.
HORIZ CENT Performs the same function as the VERT CENT control, except on the horizontal axis.
BEAM
Controls the amount of vidicon beam current by means of varying the G1 voltage. When BEAM switch (rear panel) is set to INT, range of the BEAM control is from tube cutoff to maximum beam current ($V_{G1} = 0$). When external beam control is used, the BEAM control acts as a sensitivity control, i.e., the external signal may remain fixed in amplitude and the maximum beam current set with the BEAM control.
FOCUS
Controls the electrical focus of the vidicon by means of varying the G3 voltage.
TARGET
Controls the vidicon target voltage over the range of 0 to +50 V. This should not be an operational control when a fixed target voltage tube is used; a hole cover is provided for preventing inadvertent adjustment under this circumstance.
SCAN CENT (Option #1)
Controls the (horizontal) position of the line upon which data is sampled for bandwidth reduction. If this feature is not being used, the SCAN CENT control should be left fully counterclockwise.
POLARITY +/-
When switched to the "+" position, video output will be of normal polarity (white more positive than black). When the POLARITY switch is in the "-" position, the video is inverted. A readjustment of the BLANK control is necessary when the polarity is changed, since blanking remains negative going (to approximately 0 V).
GAIN
Adjusts video output level. This control is functional whether or not the remote gain feature is being used.
BLANK
Controls the amount of offset of the video output signal.
Rear Panel:
BLANK INT/EXT
When switched to INT, and drive signals are applied, blanking is internally generated. When switched to EXT, the internal blanking is disconnected and blanking must be externally provided.
BEAM INT/EXT Selects internal or external control of the vidicon beam current.
SWEEP INT/EXT When switched to INT, and drive signals are applied, internally generated deflection signals are routed to the yoke. These are designed to be operated at a 525-line, 30 frame/sec standard rate, and produce a standard scan pattern. If SWEEP INT/EXT is switched to EXT, external deflection signals must be provided.
NOTE: TUBE DAMAGE MAY OCCUR IF SWEEP INT/EXT IS PUT IN EXT POSITION AND NO DEFLECTION SIGNAL IS APPLIED.
TUBE DAMAGE MAY OCCUR IF SWEEP INT/EXT IS PUT IN INT POSITION AND VERT AND/OR HORIZ DRIVES ARE ABSENT.
ALIGN 1 & 2 Two adjustments which affect the accuracy with which the vidicon beam strikes the target. Nominally adjusted for best image quality with a specific tube. Rule of thumb is to set both pots so that image on monitor screen appears to rotate around a central axis when the FOCUS control is varied back and forth, but shading and overall resolution in picture should also be considered.
2.3.2 OTHER OPERATIONS
Remote Gain
A positive voltage applied to the REMOTE GAIN IN connector at any time will reduce the video output level from that set by the front panel GAIN control. The reduction is linear, and a +5 volt signal will reduce the output level by a factor of at least 4. Rate of change is approximately 7 microseconds for full attenuation.
Remote Beam
The beam current is variable from at or below tube cutoff to maximum by switching BEAM INT/EXT (main unit, rear panel) to EXT and connecting a 0 to +5 volt signal to the REMOTE BEAM IN connector. A +5 volt signal will increase the beam current to a level determined by the front panel BEAM control. A 0 volt signal will decrease the beam current to a level determined by an internal adjustment. This was factory set for tube cutoff and should normally not require
readjustment unless the tube is replaced. For instructions regarding this adjustment, refer to CAMERA TUBE REPLACEMENT, assembly, item 6. The change in G1 voltage with respect to the input signal is linear regardless of the settings of the BEAM control and internal adjustment; full range of control is obtainable in approximately 7 microseconds. There is little or no interaction between the controls.
**External Blanking**
A HIGH TTL level applied to the BLANK IN connector, when BLANK INT/EXT switch is in the EXT position, will produce the following results:
1. Camera beam will be blanked.
2. The internal keyed clamp will clamp the video to the level determined by the BLANK control.
3. The video output will be held at 0 V (blanked).
The external blanking signal may be of as long a duration as desired, but a minimum width of 7 usec is required to allow the keyed clamp to function properly. Tilt may become objectionable at horizontal repetition rates much less than 120 Hz.
**External Deflection**
External deflection may be applied to the H DEFL IN and V DEFL IN connectors. These signals of 0 to +5 V will be applied to the deflection yoke when the SWEEP INT/EXT switch is in the EXT position. The direction of scan caused by the external deflection signals is such that if positive-going sawtooth signals are applied to both inputs, a normal raster scan (left to right, top to bottom) will be produced.
Either or both axes may be reversed in scan direction most conveniently by reversing the appropriate deflection yoke leads.
The front panel SIZE and CENT controls remain functional when external deflection is being used.
**Slow Scan (Option #1)**
The 502 converts a real time video signal to the equivalent of a slow scan TV signal by means of high speed sampling. An indication of the sampling process is a thin white vertical marking line appearing on the TV monitor which may be moved back and forth by means of the SCAN CENT control. The narrow band video output signal appearing at the connector on the rear panel represents the video information falling directly under this line, with the slow scan signal format being rotated 90 degrees from that of the original real time signal, and with the line rate of the slow scan video being the same as the vertical sweep rate of the real time video.
For some forms of video data analysis the marker line may be manually positioned to a location of interest, and the resultant continuously repeated line of slow scan video observed on a scope or processed by external equipment.
The slow scan video output may be checked by connecting a scope across the output connector. Scope sensitivity should be set to approximately 1 volt/cm, and sweep rate at approximately 2 milliseconds/cm. With the POLARITY switch in the + position and .5 volt of real time video output, the slow scan video level should be between 3 and 4 volts with black referenced at ground, white positive. Rotation of the SCAN CENT control should cause a faint vertical line on the TV monitor to move across the raster, and at the same time the slow scan video output signal should reflect the information falling directly under the marker line. To scan out a frame of slow scan video, the marker should be positioned at the left-hand edge of the raster and then a low frequency ramp going from ground positive applied to the SCAN position input of the multi-pin connector on the rear of the chassis. Polarity inversion of the real time signal will also invert the slow scan signal; however, blanking polarity remains constant in all cases.
The raw slow scan output consists of sampled data, and this must be taken into consideration if further sampling is to be employed, such as in A/D conversion. Either synchronous sampling may be employed by locking the line rate of the 502 to the digital clock, or a simple interpolation filter may be used between the slow scan output of the 502 and the input to the external sampling device. The last expedient works well when the 502 is used with a relatively low frequency vertical scan rate, giving an increased number of data points to interpolate. It is also important to note that a certain amount of high frequency "trash" is usually present in the raw slow scan output, and an 8 kilohertz low pass filter will cause a much cleaner waveform to be presented.
The slow scan video signal can also be scanned horizontally by application of an appropriate "deflection" signal at the connector on the rear of the control unit chassis. A low frequency sawtooth signal starting at ground potential and rising to a value of +4 volts will cause the sampling line to scan from left to right. Alternately, a signal starting at ground and going negative will cause scanning from right to left. The SCAN CENT control is used in either instance to determine the starting location of the scan.
The external scanning signal need be neither linear nor continuous if special scanning patterns are desired. Slow scan output levels will be essentially constant regardless of the scan pattern used, although reproduction of the slow scan images via a CRT may be made more complex. In implementing unique scan patterns, the key factor to remember is that the instantaneous voltage/time relationship of the external scanning signal will determine at what point along an individual TV line a sample is taken.
SECTION 3
UNCONVENTIONAL OPERATION OF VIDICON TUBES
3.1 INTRODUCTION
Standard television cameras, both CCTV and broadcast, operate with the following parameters:
- A constant light input to the target.
- Rectilinear scanning.
- Constant velocity scanning.
- Three-by-four image aspect ratio.
- A horizontal scanning rate of 15,750 lines per second. A vertical scan rate of 60 fields per second. A frame rate of 30 per second. Lines are interlaced on a field-to-field basis as illustrated below.*
Other modes of operation are sometimes desirable in scientific and industrial applications, and a number of special techniques and the considerations involved are described in the following material.
3.2 SPECIAL OPERATIONS
3.2.1 PULSED LIGHT SOURCE
The target of the vidicon tube integrates light much as a piece of photographic film and thus averages the optical input data. The scanning electron beam erases the charge pattern on the target, giving the effect of a 1/30 second shutter speed. Consequently, if rapidly moving objects are to be clearly reproduced, a pulsed light source may be used, a form of "shutter" employed, or some form of rotating prism or mirror used to stabilize the image on the tube target. The simplest technique is the pulsed light source. This may have a duration of 40 microseconds or less depending upon possible reciprocity effects produced by the vidicon target structure.
It is important to note, however, that the best video output data will be obtained only during the field immediately following the application of the light source, even though interlaced scanning might be used. This is because of the fact that the finite size of the scanning beam will tend to partially erase the charge image that is to be scanned during the second field. The simplest procedure is to trigger the pulsed light source during the TV camera vertical blanking interval which then produces a field of good data.
*U.S. standards; may vary in other countries.
immediately following. This may not always be practical, as the pulsed light may need to be triggered asynchronously. Two experiments may be used in this case. First, line counting will identify information in a quasi-field which will usually be interrupted by the vertical blanking period, causing the requirement for some form of image reassembly. Second, if some kind of prediction is possible, the camera scanning beam may be blanked off prior to the light pulse and then turned on at the field succeeding the pulse.
Depending upon the type of vidicon target, the charge image may be held for a short length of time before read-out. Thus the target may be used as a short term buffer, varying from several fields to perhaps several seconds.
3.2.2 TARGET INTEGRATION
The sensitivity of a particular tube may usually be greatly increased by allowing a stationary image to fall upon the target for an appreciable amount of time before scanning. In some instances, several orders of magnitude increase in sensitivity may be achieved by this process, but it is important to remember again that once the scanning beam is turned on, the best data will be obtained from the first field of information.
3.2.3 SWEEP REVERSAL
With rectilinear scanning, it is a simple matter to reverse the direction of scanning either horizontally or vertically. Note, however, that slight changes in image quality may result in terms of shading characteristics and linearity.
3.2.4 INTERMITTENT SCANNING
The beam blanking and turn-on techniques previously mentioned may also be applied during the course of scanning a single field. This can be a very useful expedient in some operations, as the image may be scanned only to the point where certain identifying features are located, then the beam turned off and changes made in the scanning pattern to affect registration or other operations, and the target subsequently rescanned.
3.2.5 REDUCED VELOCITY SCANNING
In some instances it is necessary to reduce the camera scanning rate so that the resulting data may be directly digitized or otherwise processed. If a pulsed light source is used, it is important to note that the signal output from the vidicon target will drop linearly as the beam velocity is reduced. Compensation for this effect can be made by increasing the video preamplifier gain, and by lowering the amplifier bandwidth, the last to eliminate noise which would fall above the useful video response.
Frame rates between 5 and 30 per second can give quite good tube performance while lower rates may introduce some additional problems in terms of dark current build-up, microphonics, and leakage of the target charge image.
3.2.6 VARIABLE RATE SCANNING
Rectilinear Scanning
Vidicon target scanning rates may be rapidly switched for special applications, for example between 30 and 5 frames per second, if corresponding compensation is made relating to the factors influencing vidicon signal output. It should be noted that when changing scan rates, the new raster may not exactly match the old, making it necessary to provide for a one-frame erase cycle to eliminate remnants of an earlier charge pattern.
Certain forms of rectilinear scanning may involve variable velocity, e.g. scanning the left-hand side of the picture more rapidly than the right. Because the signal output of the vidicon is proportional to scanning velocity, such a pattern would cause the right-hand side of the image to be reproduced darker. This factor must be considered or compensated for when variable velocity scanning is used.
Trapezoidal Scanning
In some instances it is desirable to change the scanning geometry to correct for optical distortions or for other reasons. Primary considerations in this case are: (1) video amplitude compensation for changes in beam velocity and (2) taking care that the scanning beam does not overlap its previous pattern, as this will also result in changes in output level.
Circular Scanning
The vidicon target may be scanned in a circular manner within the limitations of beam velocity ratio. In practice this means the central part of the image should be ignored, as beam velocity will normally become too low to produce a usable output.
Radial Scanning
The vidicon target may be scanned from center outward in a series of lines similar to that used in radar. However, the output from the center of the tube may be reduced in amplitude because of scanning beam overlap.
Pseudo-random Scanning
Depending upon the slewing rate of the vidicon deflection system, the scanning beam may be blanked and then positioned over a portion of the target and unblanked for read-out.
3.2.7 TYPES OF VIDICON TARGET SCANNING
Rectilinear Trapezoidal Axis Reversal
Keystoning Sub-raster Linear Circular
Radial Sub-raster Circular Pseudo-random
SECTION 4
MAINTENANCE
4.1 INTRODUCTION
This section contains instructions for vidicon tube replacement and the electrical schematics and assembly drawings for the CVI Model 502 Data Camera.
4.2 CAMERA TUBE REPLACEMENT
4.2.1 REMOVAL
1. Remove power from the camera. Allow several minutes for capacitors to discharge before proceeding.
2. Remove the side cover plates of the camera head assembly. Remove the four screws holding the small plate into which the lens is screwed. Remove this plate and the lens.
3. Unplug the socket (and associated board) from the tube.
4. Loosen the two screws on the tube support which clamp the tube.
5. Carefully push the tube out the front of the head assembly.
4.2.2 ADJUSTMENT
If the replacement tube is of a different type than that which was removed, readjustment of electrode voltages must be done prior to insertion of the replacement tube.
CAUTION: POTENTIALLY LETHAL VOLTAGES EXIST IN THE POWER SUPPLY AND ON THE TUBE SOCKET PINS.
1. Remove the power supply top cover plate.
2. Turn the BEAM control (main control unit, front panel) fully CCW.
3. Using a VTVM, adjust the electrode voltages according to the tube manufacturer's "typical operation" specifications as follows:
| Tube Element | Tube Pin # | Adjust | Location |
|--------------|------------|----------|---------------------------------|
| G2 | 5 | G2 | Power supply |
| G3 | 6 | FOCUS | Main control unit, front panel |
| G4* | 3 | G4 | Power supply |
*Prior to adjusting G4, switch G4 ON/OFF (on the socket-mounted board) to ON if the tube is equipped with a fourth grid, anode, or mesh connected to pin 3. If the tube is not so equipped, turn the G4 ON/OFF switch to OFF and disregard the G4 adjustment.
4. Adjust target voltage as follows:
If the tube is not a silicon-target type, or any other that requires a fixed target voltage, turn the TARGET control (main control unit, front panel) fully CCW and adjust after the tube is reinserted and the camera energized. If the tube is one which requires a fixed target voltage, locate the test point:
From the left side (as viewed from the rear) of the camera head assembly may be seen a label marked "TARGET V" which points toward a feed-through capacitor to which a brown wire is attached. This is the test point.
Connect the VTVM to this point and adjust the TARGET control for the correct target voltage.
5. Although most tubes are designed for operation in a 40 gauss field, occasionally a manufacturer specifies a different field intensity. The field has been adjusted to 40 gauss (satisfactory for types 8434 and 4532A) at the factory. If, however, a tube is used which requires a different field, the intensity may be adjusted between approximately 35-50 gauss as follows:
NOTE: THIS ADJUSTMENT SHOULD ONLY BE MADE WITH THE TUBE REMOVED, OR WITH THE BEAM CONTROL FULLY CCW.
Remove the top cover plate of the main control unit. Locate, near the right front of the board, a terminal identified by the letter "E" adjacent to it. Remove the wire connected to it and insert a milliammeter between the wire and terminal (positive current flow is out of the terminal). With power applied, adjust the trimpot which is identified by the letter "F" for the correct value of current, based on 1 mA/gauss. Reconnect the wire and replace the cover.
4.2.3 ASSEMBLY
1. Remove power from the camera.
2. Insert the replacement tube from the front of the camera, with the short index pin on the left (as viewed from the rear). Tighten the clamp screws and connect socket. Replace the lens plate and lens.
3. Point camera at a distant object, and set lens focus to infinity. Energize camera.
4. Adjust TARGET (if applicable) and BEAM controls until a picture is visible on the monitor. Adjust FOCUS for approximately the best electrical focus.
5. Slightly loosen the clamp screws and, USING AN INSULATED TOOL, move the tube slightly forward until the best optical focus is obtained. Tighten the clamp screws.
6. If desired, the sensitivity of the BEAM control and remote beam control may be reduced to make more precise adjustment possible. This is accomplished as follows:
a. Remove the top cover plate of the camera head assembly. Locate the green trimpot on the copper board.
b. Switch BEAM INT/EXT (main unit, rear panel) to INT and turn BEAM control fully CCW or switch BEAM INT/EXT to EXT and apply 0 V at the REMOTE BEAM IN connector.
c. Energize camera and adjust the trimpot labeled "Cutoff" until the beam is just cut off.
7. Replace all covers.
4.2.4 ELECTRODE ADJUSTMENT RANGES
HEATER FIXED, 6.3 VAC, 600 mA max.
TARGET 0 to +50 V (front panel adjustable, TARGET)
G1 0 to -150 V (front panel adjustable, BEAM)
Maximum negative excursion with EXT or INT beam control may be limited with an internal adjustment.
G2 +250 to +350 V
G3 +200 to +550 V (front panel adjustable, FOCUS)
G4 +200 to +650 V. May be disconnected from tube by means of G4 ON/OFF switch.
CATHODE FIXED, normally at ground; +20 V during blanking.
A wide variety of vidicon tubes may be used in the 502 Camera, but manufacturer's literature should be consulted to insure that the proper potentials are applied to the tube elements. Typical tubes are the types 7038, 7735, and 8484 for visible spectral response with a gamma of approximately .65. The type 7290 may be used when a gamma approaching unity is required, and special tubes may be obtained with targets sensitive to the infrared or ultraviolet portions of the spectrum. Silicon target tubes are recommended for ruggedness.
NOTE
Because of parts availability and other considerations, 74XX series logic devices shown on drawings as LS may actually be non-LS devices. When this is done, other components such as timing components may change value.
Therefore, when replacing any on-board devices, they must be replaced with like kind. |
Government of Himachal Pradesh
Department of Information Technology
No. IT-A(3)-3/2004-IT
Dated Shimla-2, the 18th November, 2008.
NOTIFICATION
In exercise of the powers conferred by proviso to Article 309 of the Constitution of India, the Governor, Himachal Pradesh in consultation with the Himachal Pradesh Public Service Commission is pleased to make the Recruitment & Promotion Rules for the post of Deputy Director, Class – I (Gazetted) in the Department of Information Technology, Himachal Pradesh as per Annexure – A attached to this notification, namely:-
1. Short title and Commencement:
1. These rules may be called the Himachal Pradesh Information Technology Department, Deputy Director, Class –I (Gazetted) Recruitment & Promotion Rules, 2008.
2. These rules shall come into force from the date of publication in the Rajapatra, Himachal Pradesh.
By Order
Secretary (Information Technology) to the Government of Himachal Pradesh.
Endst. No. IT-A(3)-3/2004-IT
Dated Shimla-2, the 18th November, 2008.
Copy forwarded for information and necessary action to:-
1. All the Administrative Secretaries to the Govt. of Himachal Pradesh, Shimla-2.
2. The Secretary, H.P. Public Service Commission, Shimla-2.
3. The Director, Deptt. Of Information Technology, Shimla – 9.
4. The Controller, Printing & Stationer Department, H.P., Shimla-5 for publication in H.P. Rajpatra (Extraordinary). He is requested that 3 copies of Rajpatra may be supplied to this Department.
5. The ALR-cum-Under Secretary(Law) to the Govt. of Himachal Pradesh, Shimla.
6. The Sr. Law Officer, Law Department, H.P. Secretariat, Shimla – 2.
7. Guard File.
Under Secretary(IT) to the Government of Himachal Pradesh.
ANNEXURE – ‘A’
RECRUITMENT AND PROMOTION RULES FOR THE POST OF DEPUTY DIRECTOR, INFORMATION TECHNOLOGY IN THE DEPARTMENT OF INFORMATION TECHNOLOGY, GOVT. OF HIMACHAL RADESH, SHIMLA.
1. Name of the Post ‘Deputy Director, Information Technology’.
2. Number of Post(s) ‘01 (One)’.
3. Classification ‘Class-I (Gazetted)’.
4. Scale of Pay Rs.12000-375-13500-400-15500.
5. Whether selection post or non-selection post
6. Age for direct recruits Between 18 to 45 years.
Provided that the upper age limit for direct recruits will not be applicable to the candidates already in service of the Government of Himachal Pradesh including those who have been appointed on adhoc or on contract basis in these offices/institutions;
Provided further that if a candidate appointed on ad hoc basis or on contract basis had become overage on the date when he/she was appointed as such he/she shall not be eligible for any relaxation in the prescribed age limit by virtue of his/her such ad hoc
or contract appointment;
Provided further that upper age limit is relaxable for Scheduled Caste/Scheduled Tribes/Other categories of persons to the extent permissible under the general or special order(s) of the Himachal Pradesh Government;
Provided further that the employees of all the Public Sector Corporations and Autonomous Bodies who happened to be Government servants before absorption in Public Sector Corporations/Autonomous Bodies at the time of initial constitutions of such Corporations/Autonomous Bodies shall be allowed age concession in direct recruitment as admissible to the Government servants. This concession will not, however, be admissible to such staff of the public sector corporations/autonomous bodies who are/were subsequently appointed by such Corporations/Autonomous bodies and who are/were finally absorbed in the service of such Corporations/Autonomous Bodies after initial constitution of the Public Sector Corporations/Autonomous Bodies.
Note: 1. Age limit for direct recruitment will be reckoned on the first day of the year in which the post(s) is/are advertised for inviting applications or notified to the employment exchanges or as the case may be.
Note: 2. Age and experience in the case of direct recruitment are relaxable at the discretion of the Government in case the candidate is otherwise well qualified.
7. Minimum educational and other qualifications required for direct recruitment.
i) Professional degree in Information Technology or engineering (B.Tech/B.E./MCA) or ‘B’ level course from DOEACC Society or M.Sc. with PGDCA (with additional one year experience) from a recognized University/Institute.
ii) Experience of at least eight years in Govt./Corporate/Pvt. Sector in the Information Technology field.
Age } N.A.
Edu. Qualification } N.A.
8. Whether age and educational qualifications prescribed for direct recruits will apply in the case of the promotees.
9. Period of probation, if any
Two years subject to such further extension for a period not exceeding one year as may be ordered by the competent authority in special circumstances and reasons to be recorded in writing.
10. Method of recruitment – whether by direct recruitment or by promotion, deputation, transfer and the percentage of posts to be filled in by various methods.
100% by promotion failing which on secondment/by transfer basis failing both by direct recruitment on regular basis or on contract basis.
11. In case of recruitment by promotion, deputation, transfer, grades from which promotion/
i) By promotion from amongst the Managers who possess 03 years regular service or regular combined with continuous adhoc service rendered if any in the grade;
ii) By secondment/transfer basis from amongst the employees of Govt. of H.P./Govt. of
deputation, transfer is to be made.
India/other State Govt. holding analogous post in the identical pay scales on regular basis for one year in the first instance.
Notwithstanding anything contained in Col.No. 10 supra, the incumbents already taken on secondment shall be given an option for their absorption in the Department of Information Technology provided that they fulfil the educational qualification prescribed for direct recruits under Col. No. 7 subject to the satisfaction of the appointing authority and, the incumbents who opts for absorption shall form the initial cadre of the post and thereafter the methods of recruitment shall be resorted to as provided in Col. No. 10.
1) In all cases of promotion, the continuous adhoc service rendered in the feeder post, if any, prior to regular appointment to the posts shall be taken into account towards the length of service as prescribed in these rules for promotion subject to the condition that the adhoc appointment/promotion in feeder category had been made after following proper acceptable process of selection in accordance with the provisions of R&P Rules, provided that:-
(i) in all cases where a junior person becomes eligible for consideration by virtue of his total length of service (including the service rendered on adhoc basis followed by regular service/appointment) in the feeder post in view of the provision referred to above, all persons senior to him in the respective category/post/cadre shall be deemed to be eligible for consideration and placed above the junior person in the field of consideration.:
Provided that all incumbents to be considered for promotion shall possess the minimum qualifying service of at least 3 years or that prescribed in the R&P Rules for the post, whichever is less;
Provided further that where a person becomes ineligible to be considered for promotion on account of the requirements of the preceding proviso, the person(s) junior to him shall also be deemed to be ineligible for consideration for such promotion.
**EXPLANATION :-** The last proviso shall not render the junior incumbents ineligible for consideration for promotion if the senior ineligible persons happened to be ex-servicemen recruited under the provisions of Rule-3 of Demobilised Armed Forces Personnel (Reservation of Vacancies in Himachal Pradesh Non-Technical Services) Rules, 1972 and having been given the benefit of seniority thereunder or recruited under the provisions of Rule – 3 of Ex-servicemen (Reservation of Vacancies in the Himachal Pradesh Technical Services) Rules, 1985 and having been given the benefit of seniority thereunder.
(2) Similarly in all cases of confirmation continuous adhoc service rendered on the feeder post, if any, prior to the regular appointment against such post shall be taken into account towards the length of service, if the adhoc appointment/promotion had been made after proper selection in accordance with the provision of the R&P Rules.
Provided that inter-se-seniority as a result of confirmation after taking into account, adhoc service rendered as referred to above shall remain unchanged.
12. If a Departmental Promotion Committee exists, what is its composition?
As may be constituted by the Government from time to time.
13. Circumstances under which the H.P.P.S.C. is to be consulted in making recruitment.
As required under the law.
14. Essential requirement for a direct recruitment/ contract appointment.
A candidate for appointment to any service or post must be a citizen of India.
15. Selection for appointment to the post by direct recruitment.
Selection for appointment to the post in the case of direct recruitment shall be made on the basis of viva-voce test, if the H.P.P.S.C. or other recruiting authority, as the case may be, so consider necessary or expedient by a written test or practical test, the standard/syllabus etc. of which will be determined by the Commission/other Recruiting Authority, as the case may be.
(I) **CONCEPT**:
(a) Under this policy, the Deputy Director, IT in the Department of Information Technology, H.P. will be engaged on contract basis initially for one year, which may be extendable for two more years on year to year basis.
(b) The Secretary(IT) to the Government of Himachal Pradesh after obtaining the approval of the Government to fill up the vacant posts on contract basis will place the requisition with the concerned recruiting agency i.e. H.P. Public
(c) The selection will be made in accordance with the eligibility conditions prescribed in these Rules.
(d) Contract appointee so selected under these Rules will not have any right to claim for regularization or permanent absorption in the Government job.
(II) **CONTRACTUAL EMOLUMENTS**:
The Deputy Director(IT) appointed on contract basis will be paid consolidated fixed amount @ Rs.18,000/- P.M. (which shall be equal to initial of the pay scale + Dearness Pay). An amount of Rs.375/- (equal to annual increase in the pay scale of the post) as per annual increase in contractual emoluments for the second and third years respectively will be allowed if contract is extended beyond one year.
(III) **APPOINTING/DISCIPLINARY AUTHORITY**:
The Secretary (IT) to the Government of Himachal Pradesh will be appointing and disciplinary authority.
(IV) **SELECTION PROCESS**:
Selection for appointment to the post in the case of Contract Appointment will be made on the basis of viva-voce test or if consider necessary or expedient by a written test or practical test the
standard/syllabus etc. of which will be determined by the concerned recruiting agency i.e. HPPSC.
(V) COMMITTEE FOR SELECTION OF CONTRACTUAL APPOINTMENTS:
As may be constituted by the concerned recruiting agency i.e. the HPPSC from time to time.
(VI) AGREEMENT:
After selection of candidate, he/she shall sign an agreement as per Annexure-B appended to these Rules.
(VII) TERMS AND CONDITIONS:
(a) The contract appointee will be paid fixed contractual amount @ Rs.18,000/- per month. (which shall be equal to initial of the pay scale + dearness pay. The Contract Appointee will be entitled for increase in contractual amount @ Rs.375/- (equal to annual increase in the pay scale) per annum for second and third years respectively and no other allied benefits such as senior/selection scales etc. shall be given.
(b) The service of the Contract Appointee will be purely on temporary basis. The appointment is liable to be terminated in case the performance/conduct of the contract appointee is not found satisfactory.
(c) Contractual appointment shall not confer any right to incumbent for the regularisation in
service at any stage.
(d) Contract Appointee will be entitled for one day casual leave after putting one month service. This leave can be accumulated upto one year. No leave of any other kind is admissible to the contract appointee. He/she shall not be entitled for Medical Re-imbursment and LTC etc. Only maternity leave will be given as per rules.
(e) Unauthorised absence from the duty without the approval of the controlling officer shall automatically lead to the termination of the contract. Contract Appointee shall not be entitled for contractual amount for the period of absence from duty.
(f) Transfer of a contract appointee will not be permitted from one place to another in any case.
(g) Selected candidate will have to submit a certificate of his/her fitness from a Government/Registered Medical Practitioner. Woman candidate pregnant beyond 12 weeks will stand temporarily unfit till the confinement is over. The woman candidate will be re-examined for the fitness from an authorised Medical Officer/Practitioner.
(h) Contract appointee will be entitled to TA/DA if required to go on tour in connection with his/her official duties at the same rate as applicable to regular counterpart official at the minimum of the pay scale.
(VII) RIGHT TO CLAIM REGULAR APPOINTMENT:
The candidate engaged on contract basis under these Rules shall have no right to claim regularisation/permanent absorption as Deputy Director, I.T. in the Department at any stage.
16. Reservation
The appointment to the service shall be subject to orders regarding reservation in the service for Scheduled Castes/Scheduled Tribes/Other Backward
Classes/ Other Categories of persons issued by the Himachal Pradesh Government from time to time.
17. Departmental Examination
Every member of the service shall pass the Departmental Examination as prescribed in the H.P. Departmental Examination Rules 1997.
18. Powers to relax.
Where the State Government is of the opinion that it is necessary or expedient to do so, it may, by order for reasons to be recorded in writing and in consultation with the H.P.P.S.C., relax any of the provisions of these Rules with respect to any class or category of persons or posts.
Form of contract/agreement to be executed between the Deputy Director, IT and the Government of Himachal Pradesh through the Director, Department of Information Technology, H.P., Shimla.
This agreement is made on this ____________ day of ______________ in the year _______________ Between Sh./Smt. ______________________ S/o/D/o Shri __________________________________________________________ R/o __________________________ Contract appointee (hereinafter called the FIRST PARTY), AND The Governor of Himachal Pradesh through the Director, Department of Information Technology, Himachal Pradesh (here-in-after the SECOND PARTY).
Whereas, the SECOND PARTY has engaged the aforesaid FIRST PARTY and the FIRST PARTY has agreed to serve as a Deputy Director, I.T. on contract basis on the following terms & conditions:-
1. That the FIRST PARTY shall remain in the service of the SECOND PARTY as a Deputy Director, I.T. for a period of 1 year commencing on day of _____________ and ending on the day of _______________. It is specifically mentioned and agreed upon by both the parties that the contract of the FIRST PARTY with SECOND PARTY shall ipso-facto stand terminated on the last working day i.e. on ______________ and information notice shall not be necessary.
2. The contractual amount of the FIRST PARTY will be Rs.18,000/- per month (which shall be equal to initial of the pay scale + Dearness Pay).
3. The service of FIRST PARTY will be purely on temporary basis. The appointment is liable to be terminated in case the performance/conduct of the contract appointee is not found good or if a regular incumbent is appointed/posted against the vacancy for which the first party was engaged on contract.
4. The contractual appointment shall not confer any right to incumbent for the regularization of service at any stage.
5. Contractual Deputy Director, I.T. will be entitled for one day casual leave after putting in one month service. This leave can be accumulated upto one year. No leave of any kind is admissible to the contractual Joint Director, I.T. He will not be entitled for Medical Reimbursement and LTC etc. Only maternity leave will be given as per Rules.
6. Unauthorized absence from the duty without the approval of the controlling Officer shall automatically lead to the termination of the contract. A contractual Deputy Director, I.T. will not be entitled for contractual amount for the period of absence from duty.
7. Transfer of an official appointed on contract basis will not be permitted from one place to another in any case.
8. Selected candidate will have to submit a certificate of his/her fitness from a Government/Registered Medical Practitioner. In case of women candidates pregnant beyond twelve weeks will render her temporarily unfit till the
confinement is over. The women candidate should be re-examined for fitness from an authorized Medical Officer/Practitioner.
9. Contract appointee shall be entitled to TA/DA if required to go on tour in connection with his official duties at the same rate as applicable to regular counter-part official.
10. The Employees Group Insurance Scheme as well as EPF/GPF will not be applicable to contractual appointee(s).
IN WITNESS the FIRST PARTY AND SECOND PARTY have herein to set their hands the day, month and year first, above written.
IN THE PRESENCE OF WITNESS:
1. ________________________________
________________________________
________________________________
(Name and Full Address)
________________________________
________________________________
________________________________
(Signature of the FIRST PARTY)
2. ________________________________
________________________________
________________________________
(Name and Full Address)
IN THE PRESENCE OF WITNESS:
1. ________________________________
________________________________
________________________________
(Name and Full Address)
________________________________
________________________________
________________________________
(Signature of the SECOND PARTY)
2. ________________________________
________________________________
________________________________
(Name and Full Address) |
Responsibilities of Blessed Families for the Firm Settlement of Cheon Il Guk
Dr. Chung Sik Yong, August 4, 2022
Key Points
1. Your age does not matter. As long as you still have life, you should always keep trying to tell one more person about True Parents.
2. Saving peoples’ lives is more important than making a lot of money.
3. Witnessing is our life. Witnessing not only saves others but also saves our soul.
4. It is the path for our soul to grow the fastest.
5. While living and wearing our physical body, we must cross the line of death on the frontline.
6. The way to heaven is through the gates of hell.
7. The reasons families break up is that they do not know true love, the reality of the spiritual world and the existence of God and their own eternal life.
8. True Mother encourages us to invite the second generation and third generation to attend the CheonBe workshop to know that the spiritual world does exist.
9. Human beings born from the substance of God’s love were all originally born with an abundant innate nature of love.
10. In order to go on the course of love of our original nature, we have to clearly distinguish fallen nature and original nature by listening carefully to our original mind and knowing how to distinguish good and evil through God’s Word.
11. When people try to live centered on their original mind, since we always think of others first, think of parents first, and think of God first, we can always live a full life with joy.
12. If your life of faith is full of gratitude and joy, there is no trial you cannot overcome.
13. Are you seriously writing a gratitude diary?
14. Teach your children when they receive something (to say), “Thank you” with a grateful heart.
15. To say that Jacob succeeded in establishing the Foundation of Substance means that he succeeded in human relationships. He did not have conflicts, and people trusted him.
Today I am going to spend important time with my family, so I am recording Morning Devotion, and I have an important meeting before going to Korea. So I need to record 2 or 3 Morning Devotions. I appreciate your understanding.
Today I’d like to talk about “Responsibilities of Blessed Families for the Firm Settlement of Cheon Il Guk” from True Mother’s Anthology, Book 1.
As blessed couples you must reflect on how responsible a life you are living. You must know how much hardship Heaven and True Parents went through until now to create even one blessed family. To go further, until spirit world was unified and hundreds of millions of blessed families had appeared, you should know the course of blood and tears that True Parents walked and you should reflect on it. While reciting the Family Pledge every day, what are you thinking as you live your lives? Each day for even one minute, one second, you must have a time when you look back at yourself, repent that you should not be that way, and take time for self-reflection.
Like God or True Parents, have you tried living a struggling life with a desperate heart moment by moment when thinking with of the people who are dying in heartbreaking situations? If you are living in this blessed age, and there are people who are dying without knowing the Word, when you go to the spirit world how will you relate to those tribes? Because True Parents paid the indemnity and established the entire foundation, you must invest all your power to convey the Word. (2002.08.19, Fukuoka, Japan)
You have to awaken from your slumber. You have to move. You should set a direction, make a plan, and reach your goals. As long as you still have life, you should always keep trying to tell one more person about True Parents. The reason we are alive is to tell people about the True Parents of Heaven, Earth and Humankind. You should not forget this. Without this reason, you have no life. When I think about that, a day seems like 1,000 years for me. Now, we must not waste a single moment. You don’t know how important time is. The fact that you are alive, the time and life that you have, who is this for? Depending on how and for whom you use it, you can end up becoming a hero who is remembered in history or a filial child or a divine son or daughter.
Heaven has given you so much unconditionally. You have to become empty vessels to receive what Heaven is giving you. Instead of just sitting here and listening to me speak, you should now take action. You usually eat three times a day but you should know that depending on how much effort you make to find new lives, without regard to eating, determines the historic, eternal life that is given to you. You have to create an environment so that your descendants will say how great you were living in this age, so that you do not bring shame to your own ancestors. If you can do that, your second generation will naturally grow up within God’s Will. In that sense, you have to change and be a different person from today. You should remember that meeting a lot of people and saving peoples’ lives is more important that making a lot of money. (2013.04.15, Cheon Jeong Gung)
True Mother said that True Parents have lived a struggling life with a desperate heart moment by moment
when thinking of the people who are dying in heartbreaking situations. If we are living in this blessed age, and there are people who are dying without knowing the Word, what would they think?
True Mother continues, “You have to awaken from your slumber. You have to move. You should set a direction, make a plan, and reach your goals. As long as you still have life, you should always keep trying to tell one more person about True Parents. The reason we are alive is to tell people about the True Parents of Heaven, Earth and Humankind. You should not forget this. Without this reason, you have no life. When I think about that, a day seems like 1,000 years for me. Now, we must not waste a single moment. You should remember that meeting a lot of people and saving peoples’ lives is more important than making a lot of money.”
True Mother said that as Blessed families, if you do not have the attachment and interest in saving peoples’ lives, that is a dead life. That is why we should know that when Blessed families have an attachment to witnessing and make a lot of effort. God, the Spirit World, and True Parents have the greatest interest and will cooperate with us. God and True Parents’ greatest interest is in what? Saving lives, which is witnessing.
Mother keeps on talking about saving people. Witnessing is our life. Witnessing not only saves others but also saves my soul. A person who is not interested in witnessing, the spiritual world and ancestors lose interest in and love for that person. The living soul always has a constant interest in the dead(?) soul. Again, witnessing is the thing that pleases God, True Parents, the spiritual world and ancestors the most, and it is the path for my soul to grow the fastest.
You and I, what is our most important issue? What is our most important mission and responsibility? To save people’s souls. That is everything. Why did Heavenly Father and True Parents choose me to become a Unificationist and a blessed family? They ask us to multiply another Blessing. They ask us to save more people. That is why God chose you and me as chosen guys earlier than anyone else.
That’s why we need to carry out our most important responsibility. Our most important responsibility is to convey the Blessing and to witness to people, to let them know God. God is our parent. The Bible talks about faith, hope and love. When those who do not believe in God find out that God is alive and that he is our parent and believe in that, then they can feel hope. God and True Parents are the solution.
That is why faith comes first. Believing in God and believing that he is my parent – “God does exist, spiritual world does exist” – you can feel hope. Our life of faith begins from faith: believing that God exists, that he is my father, that I am his child. “Wow! I can see hope. I can solve any problems because God is my daddy. I am his child. I did not know that. How much God loves me! Then I have to love God. Wow!”
Faith creates hope. Where there is hope, everybody wants to invest everything and there is love. Faith and hope and love: when you believe in God and treat yourself as God’s belonging, you can see hope, solve problems and overcome any issues, any difficult circumstances.
That is why we need to introduce who God is and introduce who True Parents are who have come as the savior, the messiah, the returning lord. That is our mission. Therefore, witnessing is life. Witnessing not only saves others but also saves my soul. When we focus on witnessing, the spiritual world really loves that and totally invest in that and helps you. Finally we can get incredible heavenly blessing.
What is our most important mission? That is witnessing. Try to witness to even one person as the representative of the nation, of the entire world. If you pay attention to saving people, God will always guide you and you will get incredible heavenly blessing.
No matter what, let’s break through first with three spiritual children. Your age does not matter. Even 80 or 90 years old. As long as you are breathing, “I want to witness to even one guy and introduce them to who Heavenly Father is, who True Parents are.” That is the most important mission for me and for you.
LIVING DIVINE PRINCIPLE: The Principle of Creation 60 - The Development, Perfection, and Features of the Spirit Self
- It is not God who decides whether a person's spirit enters heaven or hell upon his death; it is decided by the spirit himself.
- Humans are created so that once they reach perfection they will fully breathe the love of God. Those who committed sinful deeds while on earth become crippled spirits who are incapable of fully breathing in the love of God. They find it agonizing to stand before
God, the center of true love, and choose to dwell in hell of their own will.
• Since the human spirit can grow only in the soil of the physical self, the multiplication of human spirits takes place at the same time that the multiplication of physical selves occurs: during earthly life.
Let’s study Father’s word.
**Heaven is the Place Beyond Death**
<205-258> The Bible states “he who seeks to die will live, and he who seeks to live will die.” What does this mean? You must go beyond death; if you do not go beyond death you cannot live. If you simply exist without moving, you are the same as dead. Therefore, if you cannot cross that line, and when you go to the spirit world, you will end up in Hell. There are three levels in Hell. I said that there are three levels. Heaven is the same. It can’t be helped. You end up there. Am I right, or am I wrong? If you do not believe me, you can die now. But do not tell me to die. (Laugh) It is absolutely like that.
Father is talking to us about spiritual reality. Maybe when some people hear this kind of word, it is a little scary (to hear) about what (one should) do. Father is really a great teacher. He tells the reality of the spiritual world.
The Bible states, “He who seeks to die will live, and he who seeks to live will die.” This means that the environment we are in is an environment where (one) has no choice but to die. As the environment in which we have to overcome the Satanic world, the reality we are faced with is a serious live-or-die situation.
It is not easy to survive spiritually in this terrible secular world. That is why Jesus says we need to prepare to die; otherwise we cannot live.
If you try to live without God, you surely will die. The outside environment is like that. Even our blessed couples first generation, second generation, third generation – how many of them have really gained life? How many are really alive? The (situation of the) outside world is really serious. It is a live-or-die situation.
The way to overcome such a position is to really have the determination to die for the sake of the Will. True Father said that if you cannot do that, you will end up in hell. Therefore, he said that if you do not prepare for death and cross the line of death while you are alive, you cannot go in front of God.
Therefore, while living and wearing our physical body, we must cross the line of death, and in order to cross that line of the dead, we must go to the frontline. True Father is telling us that the way to heaven is that everyone must pass through the gates of hell while in the course of going through it.
In order to enter the Kingdom of Heaven there is definitely a process to break through the gate. What kind of gate? The gate of hell. When you break through the gate of hell, there is the Kingdom of Heaven. Without going through the gates of hell, you cannot enter the Kingdom of Heaven. That is why while you are on earth, you need to break through. The front line is like life and death.
In other words, the world that is experienced only by those who passed through hell while living is the Kingdom of Heaven. Therefore, the way to Heaven is the path that goes through Hell, the path of suffering of all sufferings, the path of sacrifice of all sacrifices. These are not just words, it is the reality of the spirit world that Father is talking about. What can we do about it?
We always like to receive good news, but Father often tells us about the reality of the spiritual world. When you enter the spiritual world, you will know that “Wow! This is the reality of the spiritual world. While I was on the earth, if I had known this reality, I could not have led this lifestyle.” That is why Father is talking about the reality of the spiritual world.
**The Reason Families Break up**
<205-261> Why are families breaking up all over the world? The father, mother, and children all become enemies. Why is this? It is because they lack true love. The most important thing is eternal life. But they do not even know whether or not there is a spirit world. Without a doubt, if they only knew there was such a thing as eternal life, even if someone else told them to commit a crime, they would not do it. Even if someone told them to live selfishly, they would not do it. If you don’t know about eternal life, no matter which established church or religion you believe in, you absolutely cannot go to Heaven. You cannot go to God’s ideal world. You must not live without true love and true life.
True Father said that the first reason families are breaking up all over the world and the parents and children are becoming enemies today is because they lack true love. They don’t know what true love is. The parents do not know how to love their children, and their children cannot feel true love from their parents.
Next, it is because they do not know the spirit world. Once again, it is because they really do not understand the existence and reality of the spirit world.
Wow! How can we teach our young generation? second generation and third generation? ACLC ministers need to teach their own congregations, their own young
people, the reality of the spiritual world, the reality of God’s existence. These two things are really important.
True Father said without a doubt, if everyone knew there was such a thing as a spirit world and that they would have eternal life there, even if someone else told them to commit a crime, they would not do it. Even if someone told them to live selfishly, they would not do it.
Because they know the reality of the spiritual world, they definitely understand that God really does exist.
The reason people still fall and commit sins even while claiming to know the spirit world is because they have not had any clear spiritual experience yet. That is the issue.
How can we let our young people, even our own children, know the reality of the spiritual world? That is why True Mother (tells us), “Please invite the second generation and third generation to attend the CheonBo workshop to know that the spiritual world does exist.”
Through the Divine Principle and their own experience, we really need to teach two things. If now the Christian world, ACLC ministers and even our church do not show God is alive and secondly do not show very clearly that heaven and hell do exist, that the spiritual world does exist, then how can we save this corrupted world? This is very important.
TODAY’S YOUTH MINISTRY: Our Faith Course Which Must be Victorious Through Love
Human Beings who are Born With the Innate Nature of Love
1. We were created by the virtue of God’s love. As the original substance, God cannot help but create His object partner. Therefore, the original nature of human beings born from the substance of love is love, and all human beings are the substance of love born with abundant innate nature of love. A life lived with love is always filled with joy. That is why we must respect our subject partner of love and live overflowing with joy. Whether we are participating in Sunday service or some ceremony, we should live a joyful and inspiring life. Otherwise, we would simply be pulled and controlled by the external atmosphere, and our spirits will suffer. If we practice our life of faith reluctantly, our spirits will always become dry and lose the innate nature of love. As for the substance of love, I should have abundant love, but I lose the original standard of value.
We were created by the virtue of God’s love, right? Human beings born from the substance of God’s love were all originally born with an abundant innate nature of love. Originally, human beings were born as beings that could not help but love and be loved.
However, due to the human fall, the fallen nature of thinking about oneself first emerged. Therefore, in order to go on the course of love of our original nature, we have to clearly distinguish fallen nature and original nature. First, we have to listen carefully to our original mind. We should always hear the voice of our original mind. And we must know how to distinguish good and evil through God’s Word.
After distinguishing good and evil, we need constant efforts and determination to live by virtue of our original mind. This is something no one can intervene in.
This is our own portion of responsibility to distinguish good and evil. Nobody can help us (with this.) If you chose evil, Satan can claim it. If we chose the right way centered on the original mind, then God chooses it. Fallen man is in the midway position. Which way are we going to chose? Therefore, we need to listen carefully to Gods’ word, and we need to listen all the time to our original mind about where to go, what our direction is, which way we should choose.
You must do it on your own. This is our portion of responsibility. When people try to live centered on their original mind, since we always think of others first, think of parents first, and think of God first, we can always live a full life with joy.
To deny fallen nature and live with your original nature, whatever you do, you have to make an effort for it to come from the heart. That is why when you see your subject partner, you have to make an effort to respect him, and when you see people, see them as precious and try to serve them.
When we have that kind of heart, always trying to respect others, to see from God’s point of view, seeing them as precious and try to serve them all the time, if we have that mindset and attitude, God will surely guide us.
Whether we are participating in Sunday service or some ceremony, we should make an effort to evoke the heart and be joyful. How (can we inspire) our heart to well up very well. This is the point. This is our portion of responsibility.
If we leave our fallen nature as it is and do not try to improve it, we will simply be pulled and controlled by the external atmosphere, and our spirits will suffer.
If we practice our life of faith reluctantly, our spirits will always become dry and lose the innate nature of love. As for the substance of love, I should have abundant love, but I lose the original standard of value.
Original Human Nature is a Life Full of Joy
2. It is our original nature to be active and full of joy. Activities must also be activities to increase joy and
become activities and work for restoring love. Based on joy, strength and hope overflow. A life that loses joy has neither hope nor a future. It is because a person who has lost joy is always controlled and struck by reality. A person who is full of joy is not affected by persecution or neglect. Even when you see other people’s mistakes or shortcomings, your perspective changes because you do not look at those themselves, but rather relate them to God. For a person who lives full of joy, no matter how rainy or snowy, the environment does not become a problem. Rather, by virtue of that environment, they deal with the Word even more and have an enthusiastic heart.
If we live a life of our original mind, we will live a life that is always full of gratitude and joy. If your life of faith is full of gratitude and joy, there is no trial you cannot overcome. Even in persecution and opposition, joy and hope are overflowing. This is what human beings’ original nature looks like.
Therefore, the content of everything we are active in should become content that increases joy. Based on joy, our life of faith should overflow with strength and hope. A life that loses joy has neither hope nor a future. It is because a person who has lost joy is always controlled and struck by reality.
I am really grateful to True Parents. They always ask us to have a life of gratitude. I just wake up. “I am so grateful. I open my eyes. Wow! I am alive. I can breathe. Thank you, Heavenly Father. I have ears; I can hear. I have a mouth; I can talk. My wife is beside me; my wife is there. Then when I go to the hoondokhae room, my grandchildren are there. I am so grateful for everything. I am full of gratitude.”
When you are full of gratitude and always feel joy and incredible happiness, everything becomes very positive. I believe and trust. Wow! The life of gratitude is really amazing. You can overcome anything – any bad mood or circumstances. That is why a life of gratitude is really important.
Are you seriously writing a gratitude diary? We call it a hyojeong diary. You need to write 5 to 10 (items) of gratitude.
Some Christians talk about the 1-5-3 strategy.
1: Read one Bible content.
5: Appreciate 5 points and write (them) down in your diary, and
3: Express gratitude to your neighbor 3 times. “Thank you, my wife. Thank you, my grandchildren. Thank you, my Abel.” You need to substantially express (your gratitude). I really love that.
In our case:
1: At least one time you need to do hoondokhae.
5: You need to write down 5 to 10 gratitude (points) every day.
Then your life will become very positive. You overcome everything with joy and happiness. It becomes a habit. For this to become a habit, you need to do (this for) 21 days or a minimum of six months. At least you need to practice for six months. Then it (will) become a good habit.
3: Then express (it). Even though you have only received a little bit from someone, “Thank you so much.” Not only words, but from your heart: “Thank you!”
You need to teach your children when they receive something (to say), “Thank you” with a grateful heart. This is important.
A person who is full of joy is not affected by persecution or neglect. Even when you see other people’s mistakes or shortcomings, your perspective changes because you do not look at those themselves, but rather relate them to God.
The Reason Jacob was able to Gain Victory
3. No matter what kind of situation he was in, Jacob was a surprisingly active person for the Will. The path he had to go on was difficult, but he walked only toward the Will and purpose. He did not even have conflicts in relationships with people. He was trusted by his maternal uncle Laban and respected by his servants. It was through the power of love and the power of original nature through many difficult twists and turns. God pushed Jacob into the predicament of death that even God could not help but doubt. However, Jacob built a stone pillar at Bethel and lived up to the standard he swore with God, and he overcame it well. So God gave him the name “Israel” as a sign of his victory over God. The name Israel means victory through love in all relationships, including human relationships, relationships with God, and all other relationships in the course of faith.
In God’s Providence of Restoration, after Adam and Eve fell, the first person to successfully establish the Foundation of Substance was Jacob. To say that he succeeded in establishing the Foundation of Substance means that he succeeded in human relationships. He brought his uncle Laban to submission, and brought his brother Esau to voluntary surrender.
No matter what kind of situation he was in, Jacob was a surprisingly active person for the Will. He especially did not even have conflicts in relationships with people. He was trusted by his maternal uncle Laban
and respected by his servants. That is why Jacob’s course became our model course for bringing Satan to surrender.
Just as Jacob received the victor’s title “Israel,” we must also be like Jacob and be victorious in our relationship with God and be victorious in relationships with others. The name Israel means victory through love in all relationships, including human relationships, relationships with God, and all other relationships in the course of faith.
In conclusion, our course of faith must be victorious through love. Wow! This is beautiful guidance from heaven. Again, appreciation is really important.
I really miss all of you. I will watch morning devotion later on. God bless you!
LIVING TESTIMONY: I’m a Living Testimony for Whom Anything is Possible (Testimony of Anne Marie Morgan, Pastor in Texas)♦
NOTE: This lightly edited transcription may contain errors and omissions. Indecipherable or uncertain words and guesses are tagged with a “(?)” and indecipherable phrases, with an ellipsis “…..”. First, second and third person pronouns have been left as spoken if the meaning is clear, and other apparently Korean English expressions have been preserved. Some repeated phrases have been eliminated. This text and the PowerPoint slides from this speech are available as PDF files at the top of this text. Audio only is available at anchor.morndev.com, spotify.morndev.com & audio.morndev.com. Notes or transcripts of Dr. Yong’s Morning Devotion speeches from November 11, 2020 through March 29, 2022 are available as six paperback books at cost at Lulu.com/Shop -- search for Dr. Chung Sik Yong -- and as PDF downloads free of charge at MDBooks.Hoonduk.com.♦
Episode 283
Morning Heart Devotion
The 17th 40 day Jeongseong Condition (8th day)
283 day (648)
Responsibilities of Blessed Families for The Firm Settlement of Cheon Il Guk
천일국 안착을 위한 축복가정의 책임
August 4, 2022
North America HQ
As blessed couples you must reflect on how responsible a life you are living. You must know how much hardship Heaven and True Parents went through until now to create even one blessed family. To go further, until spirit world was unified and hundreds of millions of blessed families had appeared, you should know the course of blood and tears that True Parents walked and you should reflect on it. While reciting the Family Pledge every day, what are you thinking as you live your lives? Each day for even one minute, one second, you must have a time when you look back at yourself, repent that you should not be that way, and take time for self-reflection.
Like God or True Parents, have you tried living a struggling life with a desperate heart moment by moment when thinking with of the people who are dying in heartbreaking situations? If you are living in this blessed age, and there are people who are dying without knowing the Word, when you go to the spirit world how will you relate to those tribes? Because True Parents paid the indemnity and established the entire foundation, you must invest all your power to convey the Word. (2002.08.19, Fukuoka, Japan)
You have to awaken from your slumber. You have to move. You should set a direction, make a plan, and reach your goals. As long as you still have life, you should always keep trying to tell one more person about True Parents. The reason we are alive is to tell people about the True Parents of Heaven, Earth and Humankind. You should not forget this. Without this reason, you have no life. When I think about that, a day seems like 1,000 years for me. Now, we must not waste a single moment. You don’t know how important time is. The fact that you are alive, the time and life that you have, who is this for? Depending on how and for whom you use it, you can end up becoming a hero who is remembered in history or a filial child or a divine son or daughter.
Heaven has given you so much unconditionally. You have to become empty vessels to receive what Heaven is giving you. Instead of just sitting here and listening to me speak, you should now take action. You usually eat three times a day but you should know that depending on how much effort you make to find new lives, without regard to eating, determines the historic, eternal life that is given to you. You have to create an environment so that your descendants will say how great you were living in this age, so that you do not bring shame to your own ancestors. If you can do that, your second generation will naturally grow up within God’s Will. In that sense, you have to change and be a different person from today. You should remember that meeting a lot of people and saving peoples’ lives is more important than making a lot of money. (2013.04.15, Cheon Jeong Gung)
Living Divine Principle
Principle of Creation 62
Heaven and Hell (1)
It is not God who decides whether a person’s spirit enters heaven or hell upon his death; it is decided by the spirit himself.
Humans are created so that once they reach perfection they will fully breathe the love of God. Those who committed sinful deeds while on earth become crippled spirits who are incapable of fully breathing in the love of God. They find it agonizing to stand before God, the center of true love, and choose to dwell in hell of their own will.
Heaven and hell
- Entering heaven or hell: decided by spirit himself
- Hell: incapable of breathing in the love of God
- Multiplication: with the multiplication of physical self
Since the human spirit can grow only in the soil of the physical self, the multiplication of human spirits takes place at the same time that the multiplication of physical selves occurs: during earthly life.
The Bible states “he who seeks to die will live, and he who seeks to live will die.” What does this mean? You must go beyond death; if you do not go beyond death you cannot live. If you simply exist without moving, you are the same as dead. Therefore, if you cannot cross that line, and when you go to the spirit world, you will end up in Hell. There are three levels in Hell. I said that there are three levels. Heaven is the same. It can’t be helped. You end up there. Am I right, or am I wrong? If you do not believe me, you can die now. But do not tell me to die. (Laugh) It is absolutely like that.
Why are families breaking up all over the world? The father, mother, and children all become enemies. Why is this? It is because they lack true love. The most important thing is eternal life. But they do not even know whether or not there is a spirit world. Without a doubt, if they only knew there was such a thing as eternal life, even if someone else told them to commit a crime, they would not do it. Even if someone told them to live selfishly, they would not do it. If you don’t know about eternal life, no matter which established church or religion you believe in, you absolutely cannot go to Heaven. You cannot go to God’s ideal world. You must not live without true love and true life.
Today’s Youth Ministry
Our Faith Course Which Must be Victorious Through Love
사랑으로 승리해야 할 우리의 신앙노정
1. We were created by the virtue of God’s love. As the original substance, God cannot help but create His object partner. Therefore, the original nature of human beings born from the substance of love is love, and all human beings are the substance of love born with abundant innate nature of love. A life lived with love is always filled with joy. That is why we must respect our subject partner of love and live overflowing with joy. Whether we are participating in Sunday service or some ceremony, we should live a joyful and inspiring life. Otherwise, we would simply be pulled and controlled by the external atmosphere, and our spirits will suffer. If we practice our life of faith reluctantly, our spirits will always become dry and lose the innate nature of love. As for the substance of love, I should have abundant love, but I lose the original standard of value.
2. It is our original nature to be active and full of joy. Activities must also be activities to increase joy and become activities and work for restoring love. Based on joy, strength and hope overflow. A life that loses joy has neither hope nor a future. It is because a person who has lost joy is always controlled and struck by reality. A person who is full of joy is not affected by persecution or neglect. Even when you see other people's mistakes or shortcomings, your perspective changes because you do not look at those themselves, but rather relate them to God. For a person who lives full of joy, no matter how rainy or snowy, the environment does not become a problem. Rather, by virtue of that environment, they deal with the Word even more and have an enthusiastic heart.
3. No matter what kind of situation he was in, Jacob was a surprisingly active person for the Will. The path he had to go on was difficult, but he walked only toward the Will and purpose. He did not even have conflicts in relationships with people. He was trusted by his maternal uncle Laban and respected by his servants. It was through the power of love and the power of original nature through many difficult, twists and turns. God pushed Jacob into the predicament of death that even God could not help but doubt. However, Jacob built a stone pillar at Bethel and lived up to the standard he swore with God, and he overcame it well. So God gave him the name “Israel” as a sign of his victory over God. The name Israel means victory through love in all relationships, including human relationships, relationships with God, and all other relationships in the course of faith.
I'm a living testimony that anything is possible.
Ken/AnneMarie Morgan
Northwest Vista College
San Antonio, Texas
Northwest Vista College
San Antonio, Texas
Easter Celebration
Ken/AnnMarie Morgan
Day of All Things
• Desire to breakthrough
• Believing it is the time to harvest the fruits of so much sacrifice, especially True Parents’, helping True Mother
• Being inspired and encouraged by testimonies of others
• Support and encouragement from Rev. Jackson and Rev. Sakai
• Learning the proper mindset through Morning Devotion: it is my Heavenly Parent who is searching for His children and has been working in their lives, really wanting to meet them, having the conviction that we will
Ken/AnneMarie Morgan
Ken/Annette Marie Morgan
Ken/Annemarie Morgan
Lovely to meet you! One more!
Our experience:
• The students are friendly and willing to answer the questions
• The great majority believe in God
• They have no negative concept about True Father
• We are enjoying it and getting better at it by doing it
Kami/Az
Dr. Michael & Maria Kadyrova
Mitsayo Bien
Macon Biers
Paul Czerniak
Tai Gentry
Kenji Yamada
Chloe
Dr. Michael & Maria Kadyrova
A group of children and adults are gathered around a table, engaged in an activity that appears to involve making bracelets or similar crafts. The setting is a cozy room with a stone fireplace and a comfortable couch in the background. The atmosphere seems warm and collaborative, suggesting a community or family gathering focused on creativity and interaction.
Thank you for joining us today! We hope you enjoy our presentation and find it informative.
If you have any questions or need further information, please feel free to reach out to us at [contact information].
Thank you again for your participation!
[End of Presentation]
Keny/Africa: Nai Daramoko Drame
Official Welcome
Joe teddy
Pierre and Cynthia Linda
Joe Boubacar
Song Mao Mounkoro
Thank you so much |
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How many scientists fabricate and falsify research?
"The frequency with which scientists fabricate and falsify data, or commit other forms of scientific misconduct is a matter of controversy. Many surveys have asked scientists directly whether they have committed or know of a colleague who [has] committed research misconduct, but their results appeared difficult to compare and synthesize."
"To standardize outcomes, the number of respondents who recalled at least one incident of misconduct was calculated for each question, and the analysis was limited to behaviours that distort scientific knowledge: fabrication, falsification, 'cooking' of data, etc. Survey questions on plagiarism and other forms of professional misconduct were excluded." Twenty-one surveys were included in the systematic review and 18 in the meta-analysis.
While I am familiar with reports of scientific misconduct, I was shocked about the high occurrence in medicine and pharmacy reported in Fanelli’s meta-analysis of these surveys—the first of its kind: "A pooled weighted average of 1.97 % (N = 7, 95% CI: 0.86–4.45) of scientists admitted to have [having] fabricated, falsified or modified data or results at least once—a serious form of misconduct by any standard—and up to 33.7 % admitted [to] other questionable research practices. In surveys asking about the behaviour of colleagues, admission rates were 14.12 % (N = 12, 95% CI: 9.91–19.72) for falsification, and up to 72% for other questionable research practices. Meta-regression showed that self reports surveys, surveys using the words ‘falsification’ or ‘fabrication’, and mailed surveys yielded lower percentages of misconduct. When these factors were controlled for, misconduct was reported more frequently by medical/pharmacological researchers than others."
The study cited above should make us consider all we read carefully. Especially with the development of new materials (for bone replacement, for example), we should always critically examine the current research and determine whether one can actually trust the evidence. For each of us, we need to ensure that our decisions are for the benefit of our patients and that they do not make them test subjects.
In this regard, the DGZI (German Association of Dental Implantology) offers you up-to-date training opportunities, such as the recently completely redesigned implantology curriculum and the presentations at our annual meetings (our next annual meeting is on 26 and 27 September in Düsseldorf), as well as critical, unbiased, objective information on companies and products.
We hope you will enjoy reading our current implants international magazine of oral implantology.
Yours faithfully,
Dr Rolf Vollmer
| editorial |
|------------------|
| 03 How many scientists fabricate and falsify research? |
| Dr Rolf Vollmer |
| research |
|------------------|
| 06 Maximal aesthetics in the periodontally compromised anterior maxilla |
| Dr Nikolaos Papagiannoulis et al. |
| 10 Ridge augmentation for an atrophied posterior mandible using NanoBone block |
| Dr Omar Soliman et al. |
| case report |
|------------------|
| 16 Comprehensive prosthetic restoration |
| Michael Peetz et al. |
| industry report |
|------------------|
| 20 Jawbone cavitation and its implication in implant dentistry |
| Prof. Dr Mauro Marincola |
| 24 Immediate implantation and full-ceramic restoration in the maxillary anterior region |
| Dr Arndt Happe et al. |
| 32 Influence of implant design on osseointegration |
| Dr R. Fromental et al. |
| interview |
|------------------|
| 40 The time has come |
| Interview by Jürgen Isbaner |
| 42 Short implants |
| An interview with Prof. Dr Christoph Hämmerle, Switzerland |
| meetings |
|------------------|
| 44 International implantology in Berlin |
| 46 More than 500 attend ISOI annual meeting in Tokyo |
| Dr Rolf Vollmer |
| news |
|------------------|
| 36 Manufacturer News |
| 49 News |
| about the publisher |
|------------------|
| 50 | imprint |
Cover image courtesy of BEGO Implant Systems GmbH & Co. KG www.bego-implantology.com Original Background: ©Click Bestsellers Artwork by Sarah Fuhrmann, OEMUS MEDIA AG.
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Maximal aesthetics in the periodontally compromised anterior maxilla
Immediate implantation
Authors_Dr Nikolaos Papagiannoulis, Dr Eduard Sandberg & Dr Marius Steigmann, Germany
Introduction
In addition to habits, systemic diseases and bruxism, periodontal diseases are challenging problems in oral implantology. Here, surgeons have to deal with tooth loss, prolonged epithelia, bone resorption and loss of periodontal ligament. In the following case, we could clearly see at the preclinical analysis that major bone resorption had occurred horizontally as well as vertically. The bony defects referred to more than one wall, the bone resorption around the root was like a crater, infiltrated with soft tissue. Primary stability was difficult to achieve for the implant.
The periodontal treatment was the primary focus, accompanied by fillings and extraction therapy to cure acute inflammations and achieve oral health. Nevertheless, periodontal treatments result in regular to functionally and aesthetically compromised situations and unsatisfied patients. Further, periodontal treatment does not secure the adequate prosthetic treatment of the patient. Depending on the art of the restoration, teeth often have to be extracted, in spite of successful periodontal treatment. So the question to be asked is whether and when a periodontal treatment makes sense as a definite treatment or if it should be a tool that enhances later surgical and restorative procedures.
Clinical and radiological findings
The clinical examination showed a severe periodontal defect, screening index of Grade IV, pockets of up to 6 mm, tooth mobility grade II–III and a bleeding index of 3–4. The functionality was very limited and the aesthetic situation unsatisfactory. The existing prosthetics on the central incisors were too long to cover the recessions, resulting in further attachment loss. The aesthetics also were compromised, following periodontal fibre loss and bone support. Especially the lateral incisors suffered severely from loss of interproximal bone, followed by mesiorotations and ante-inclination (Figs. 1 and 2). Radiological findings confirmed that all four upper incisors needed to be extracted.
_Treatment plan_
Taking into consideration that the goal of surgical periodontal treatments is a screening index of 2–3 mm and that they almost always result in recessions, the outcome of these procedures is aesthetically poor. Especially in highly scalloped biotypes, patients are rarely satisfied. Longer prosthetics to cover the free root surface do not improve this outcome. On the other hand, these procedures are not always successful, resulting additionally in thermal sensitivities and persisting tooth mobility. Because of the high costs of surgical periodontology and the previous arguments, patients increasingly ask for alternative procedures. In the case discussed in this article, periodontal treatment would further neither aesthetic nor functional improvement, but only maintain the teeth for some months or years. The risk would be additional loss of bone and soft tissue, compromising future plans and prosthetic possibilities. The treatment plan for this case included conservative periodontal treatment and recall to treat inflammations, tooth extraction and immediate implantation with guided bone and tissue regeneration.
_Surgery_
Before extracting the incisors, the crowns 13 and 23 were removed and the teeth were prepared to receive temporary bridgework. With a wax-up on the situation model and pontics, an optimal form was created to support and manipulate soft tissue during the healing phase. At the same time the temporary bridge functions as wound coverage if primary closure is not possible (Figs. 3–6).
In the next step, the teeth 12 to 22 were extracted. The flap outline spared the middle papilla and mesial ones on 12 and 22. Due to interproximal bone defects, raising of the papilla in this region would have led to severe recessions. The vertical bone defects, especially between 11 and 12, were obvious after raising a full-thickness flap. Releasing incisions were placed distally at the canines and only in the attached gingiva to prohibit scar formation through vertical cuts in the mucosa. The low vestibule made a split thickness or periosteal pocket flap less logical. Mobilizing soft tissue from the lips by other flap designs would provoke functional limitations, suture tension and a secondary gum plastic to reposition the coronal transpositioned soft tissue. The wound margins were freshened to remove prolonged epithelia and the bone defects freed from soft tissue ingrowth (Figs. 7–10). The horizontal bone loss was moderate. Implants were placed slightly subcrestally. Although the gap between implants and the buccal plate was approximately 1–1.5 mm and the buccal plate thickness 1–1.5 mm due to the resorption, we decided for 3.8 mm implants, leaving a 1.5 mm gap to the buccal plate.
The interimplant space and the buccal plate were augmented with a combination of allograft and xenograft. Xenograft was also placed on the buccal plate so as to manipulate buccal plate resorption. A pericardium membrane was used as barrier (Fig. 11).
The anatomy of the upper jaw and the low vestibule did not allow primary closure. To protect the membrane from proteolytical resorption and the augment, we placed two layers of soft tissue fleece above the membrane. Through the collagen fleece and the protection of the provisional bridge, free granulation of the extraction socket cover was expected after two weeks (Fig. 12).
The patient received a weekly recall with prophylaxis and hygiene instructions. Three weeks postoperatively, sutures were removed. The clinical situation showed no irritation and the wound healing and closure ideal (Fig. 13).
**Re-entry and prosthetics**
The re-entry was performed after three months with minimally invasive crestal cuts. A papilloplasty adjusted the wound margins between 11–12 and 21–22 (Fig. 14). After three additional weeks, impression was performed. The healed situation showed optimal soft tissue quality and adequate attached gingiva quantity. We measured 2–2.5 mm soft tissue height above the implant necks, enough for the necessary emergence profile. With the help of convex or concave formed prosthetics, soft tissue can be manipulated to the direction needed for esthetics (Figs. 15 & 16).
The final crowns show great results. The papillas and pseudopapillas fill up the approximal space. The approximal contact had to be longer and wider than normally in order to compensate the former vertical bone loss, especially in the region 11–12. Nevertheless, there were no black triangles, the patient was satisfied and with the proper hygiene, the aesthetic outcome will be optimized in the next months. Therefore, there was no need to work with rose ceramics (Figs. 17–19).
**Discussion**
In the periodontally compromised situation, it is important to decide on whether a curative periodontal treatment offers satisfactory long term results. As in this occasion, the extraction in a crucial moment helps us preserve what we have, use it to the maximum for the implant surgery and risk no further bone loss or recessions. Any other procedure would have led to a two-stages surgical approach and probably to removable prosthetics. Very favourable was the thick biotype of the patient, such as the low lip line. The soft tissue quantity was evident. Tension on the flap closure was prohibited by the surgical protocol and the free granulation of the wound. The bone quantity insured a primary stable implant insertion. Immediate implantation provided stability for the augmentation and less material. The positioning of the implant allowed us to create an optimal emergence profile, making complicated soft tissue procedures unnecessary.
The clinical situation and the bony defects made clear during surgery that we would have to make an aesthetic compromise in region 11–12. The bony support of the interproximal soft tissue is difficult to regenerate and the pseudopapilla formation not predictable. Immediate implantation in these regions preserve hard and soft tissue. Through the positioning of the implants and the free granulation of the extraction wound, we enhance the soft tissue, a major advantage for the re-entry and prosthetics.
The implants placed feature micro grooves at the implant neck in a height of 1 mm. This laser manufactured design imitates biology and promises an improved cell adhesion on this surface. These modern designs, combined with the advantages of platform switching, result in high tech products. Modern crestal bone maintenance functions because of the protection of the crestal bone. When implants are placed subcrestally or crestally, a soft tissue ring builds on the platform and protects the bone beneath. When implants are placed supracrestally, implant neck options secure the crestal bone beneath, through soft tissue fibre attachment of their necks.\textsuperscript{23,24}
In cases in which primary closure is not possible or mobilization of neighbouring soft tissue through other flap designs is not wanted, temporary prosthetics are essential. The soft tissue manipulation begins from the very first moment and decides about the aesthetic outcome.\textsuperscript{25-27}
The clinical situation after three weeks with healing abutments needed to be altered buccally at 11 and 21 and manipulated 0.5 mm apically. This was achieved via individualized abutments with convex base and breadth of 1 mm. In contrast, the gingiva margins at the lateral incisors needed to be corrected coronally. Therefore, we used narrow abutments to give soft tissue more space to head coronally.\textsuperscript{13-15}
The combination of the biomaterials belongs to our standard augmentation protocol and is well documented. The results of guided bone regeneration are predictable and can be planned, even in major defects. In addition to the combined biomaterials, their structure is very important. Rocky and edgy particles help internal stabilization at the augmentation area. Often is an external stabilization with pins or screws unnecessary. The porosity of the particles is defined through their biology. This is the reason why we prefer no alloplastic biomaterials and take advantage of the pros of combined allografts and xenografts. At the same time, these are the requirements of modern biomaterials, accompanied of course by inductivity and conductivity.\textsuperscript{28-30} Periodontal diseases are a regular limitation factor in oral implantology. Thus, there are situations in which periodontal disease pose no contraindication to implantology. Preconditions for similar procedures are understanding and knowledge of biology, surgery and prosthetics. These procedures underlie no algorithms but proper diagnosis, analysis and planning of every individual patient and the choice of the appropriate implant system and biomaterials. Modern implantology provides all tools for successful implant treatment. Complications are, however, severe and can hardly be solved without compromises.
\textit{Editorial note: A list of references is available from the publisher.}
\textbf{contact}
\textbf{Dr. Nikolaos Papagiannoulis}
Steigmann Institute
Bahnhofstraße 64
69151 Neckargemünd
Germany
email@example.com
www.implantologie-heidelberg.de
Ridge augmentation for an atrophied posterior mandible using NanoBone block
Part I: Treatment outcome of complications
Authors_Dr Omar Soliman & Prof. Dr Dr. Mohamed Nassar, Egypt
Introduction
Reconstruction of the posterior mandible is challenging because the deformity involves deficiencies in both bone and mucosa,¹ and unlike the maxillary sinuses, the alveolar ridge does not provide a natural cavity to contain particulate grafting material.² Therefore, the graft must have sufficient strength and rigidity to be fixated at the recipient site. It must also be three-dimensionally stable to withstand muscular forces.³ Constraints in autogenous bone block graft availability from intra-oral sites often limit treatment possibilities.⁴ Among the possible alternatives to autogenous bone block grafting is the use of synthetic NanoBone block (ARTOSS GmbH). This article will discuss the potential complications during atrophied posterior mandible augmentation using NanoBone block, practically focusing on outcome of complications treatment (Figs. 1&2).
Complication from ridge augmentation may be related to problems in bone management such as bone block fracture or improper block fixation or problems in soft tissue management. The volume added by insertion of bone block graft often requires release cuts and dissection of the periosteum. Dissection of the periosteum is a common technique for elongation of the flap. However, excessive periosteum releasing incisions can also result in overthinned or overstretched soft tissue which when placed over the bone block graft may lead to perforation or flap necrosis. Tension-free wound closure is a key factor for success in bone block grafting procedures. So, full-thickness flaps should be prepared in the area of the grafted site and split-thickness flaps beyond the site to provide tension-free wound closure. Sharp edges of the bone block should be carefully avoided to prevent flap injuries.⁵
Complications during block grafting
Complications related to problems in bone block management
Shaping of the bone block for a perfect fit into the surgical site using rotating instruments may pose a risk of injury to the surgeon and fracture of the bone block.
Complications related to problems in soft tissue management
Soft-tissue related problems are even more difficult to handle and are often underestimated. Delicate mucosa, scar tissue and lesions may complicate coverage with sufficient soft tissue. The volume added by the insertion of bone block often requires release cuts and dissection of the periosteum. Opening of the wound due to flap retraction or flap necrosis with subsequent graft infection is one of the major complications in bone grafting procedures. However, this problem is predominantly one of soft tissue. Tension-free
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Figs. 3a & b Trauma to overlying mucosa from upper molar.
Fig. 4 Upper denture made to maintain centric occlusion.
Fig. 5 Complete healing of the traumatic ulcer.
Figs. 6a & b Infection to NanoBone graft (right side) and Fisiograft (left side).
Figs. 7a & b Suture removal.
Figs. 8a & b Complete healing.
Figs. 9a & b Cover screw exposure.
Figs. 10a & b Cover screw removal.
Fig. 11 Healing of the overlying tissue.
Fig. 12. Inflammation of NanoBone block graft.
Fig. 13. Vestibular incision.
Fig. 14. Removal of miniplate and miniscrew.
Fig. 15. Suturing.
Fig. 16. NanoBone graft healing.
Fig. 17. NanoBone block graft exposure.
Figs. 18a & b. Vestibular incision and pedicle flap to cover NanoBone block graft.
Figs. 19a & b. Suturing.
Figs. 20a & b. Partial distal graft exposure.
Figs. 21a & b. Distal pedicle flap.
wound closure is a key factor for success in bone grafting procedures. Dissection of the periosteum is a common technique for elongation of the flap. However, excessive periosteum releasing incision can also result in overthinned or overstretched soft tissue, which when placed over the bone graft may lead to perforation or flap necrosis. Full-thickness flaps should be prepared in the area of the grafted site and split-thickness flaps beyond the site to provide tension-free wound closure. Sharp edges of the graft should be carefully avoided to prevent them from injuring the flap or affecting the microcirculation of the tissue. Double layer wound closure, pouch or tunnel approaches, and pedicle connective tissue flaps are suitable techniques for prevention of these problems.
Postoperative complications
Early Complications
1) Haematoma, swelling and ecchymosis: Swelling is a normal surgical effect, but it is also a cause of great concern to the patient. For this reason, patients must be informed that the surgical site or the face may swell. The patient must be assured that the degree of swelling is not an indicator of the success or failure of the surgery or the degree of difficulty of the case. Haematoma can complicate and prolong the postoperative phase. Ecchymosis is primarily an aesthetic problem. Discoloration of the facial and oral soft tissue is caused by extravasation and subsequent breakdown of blood in subcutaneous tissues. Ecchymosis is more common in fair-skinned patients and in elderly patients with fragile capillaries. It is basically the deposition of the blood from the surgery in the interstitial tissue spaces and will be resorbed. Heparin gel may accelerate the process of resorption.
2) Dehiscence and flap necrosis: These soft-tissue complications are frequently the result of vascular compromise caused by inadequate planning, insufficient flap range or excessive surgical trauma, especially in smoking patients. Also, mechanical overloading of the grafted area with a removable prosthesis or through biting of the antagonist teeth could also be the cause of complication, with exposure of the graft to the complex microbiological spectrum in the mouth and graft infection which leads to graft degradation and total failure of the procedures. Dehiscence may occur because of premature separation of sutures as a result of inadequate suture technique or tension of the soft tissues. Retraction of a soft tissue flap is most likely where the vestibule is shallow or the muscle pull is great.
Late complications
1) Exposure of the screws: During the healing process, a decrease in graft volume is a normal sign of the remodeling process. Vorhoeven et al. 2000 reported a loss of up to 25% of the overall height of bone graft. While the bone volume decreases, the fixation screws stay in their original position and may emerge through the overlaying soft tissue. In the early stages of the healing, the screws have to stay in place for proper stabilisation of the graft. In the later stage, exposed screw can be removed. The soft tissue perforation will heal properly after a couple of days.
2) Exposure of part of the graft: Knife-edge graft can provoke perforation of the overlying soft tissue with subsequent dehiscence. In addition, pressure from a removable temporary prosthesis can create local irritation and dehiscence, which will jeopardise the success of the operation. Hollowing out of existing provisional prosthesis to avoid direct contact with the wound bed is another key factor for success in bone graft procedures.
If a small dehiscence occurs after block grafting, treating the site with chlorhexidine gel and mouth rinse can be attempted until wound closure. Exposed bone chips have to be removed. Exposed parts of the graft are considered to be contaminated and debridement with a bur has to be performed. Surgical intervention is used to achieve soft tissue closure only when the early stage of soft tissue healing is over. After the initial healing process, debridement of the graft has to be performed and a conventional flap design may be used to try to close the soft tissue. If the site is not covered with soft tissue during the first two weeks after intervention, the complete graft has to be removed.
Editorial note: To be continued in the next issue of implants: international magazine of oral implantology, with an extensive description of complications and conclusion. A complete list of references is available from the publisher.
Contact
Dr Omar Soliman
PhD Candidate Perioimplant Dentistry
Tel.: +20 1009634358, +20 1201005457
firstname.lastname@example.org
Prof. Dr Dr Mohamed Nassar
Professor of Perioimplant Dentistry
Faculty of Dentistry, Tanta University, Egypt
Tel.: +20 1121522221
email@example.com
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Comprehensive prosthetic restoration
Authors_Michael Peetz & Dominik Büchi, Switzerland
Introduction
In clinical practice, cases are often much more complex than described in textbooks and selection of the best treatment option is not always straightforward.
Would you like to expand your clinical knowledge, be able to discuss your cases and the various treatment solutions with your colleagues while collecting CME credits? These features are brought to you by the new e-learning platform Dental Campus.
Dental Campus contains numerous clinical cases that are structured in a standardised format. You can follow every treatment phase, from the initial findings to the maintenance therapy, and you can discuss with colleagues from all over the world.
Discover the second case of the Dental Campus series presented below in which other practitioners may have chosen different “optimal” therapies and create your own treatment plan online. The full case can be found at: www.dental-campus.com/cases/comprehensive-case-in-a-woman.
Clinical findings
The patient complains about a purulent inflammation in the left upper quadrant and gingival bleeding (Fig. 1). Metal crown margins in the aesthetic zone on tooth 21 are visible and cause a significant dissatisfaction for the patient. The patient expresses a strong interest in keeping this tooth. Generally, she suffers from macular degeneration with vision loss of 20 and 80 per cent.
The periodontal examination shows increased probing depths of up to 12 mm in the mandible and up to 13 mm in the maxilla, with a BOP of 36 per cent. Vertical bone loss and apical radiolucency are evident from the OPTG and the intraoral dental X-ray images (Fig. 2).
The teeth 17, 25, 27 and 38 are not worth retaining and prognoses of the teeth 16, 15, 21, 24 and 46 are questionable.
How would you proceed?
A chronic aggressive periodontitis is diagnosed. The detailed diagnosis of the case can be found online at Dental Campus. At the e-learning platform, you can also create your own diagnosis for this patient with a few mouse clicks, define the prognosis for each tooth and plan the treatment using the digital dental chart. Then, you may compare your planning with the planning of other users and with the actual therapy option chosen by the treating practitioner. Optionally, you can discuss the treatment options in the forum.
Therapy
a) Periodontal pretreatment with tooth extraction
Which teeth should be extracted before the periodontal treatment? Teeth 17, 16, 25, 27 and 38 are to be extracted. During periodontal therapy, the patient is given a partial denture anchored on teeth 15 and 24.
For teeth 15 and 46, an open procedure is chosen. Here we observe that tooth 15 is also not worth preserving, although the tooth during the cold test responded as vital (Fig. 3). At tooth 46, the probing depth has decreased but still amounts to 6 mm distolingually and 7 mm distobuccally.
b) Surgical phase
After periodontal therapy, the sinus floor is bilaterally augmented (Fig. 4a). In order to improve the bone volume, a horizontal ridge augmentation in quadrant 2 is also performed (Figs. 4b–c). Implants are placed in regions 17, 16, 25 and 27.
c) Prosthetic restoration
Selected stages of the prosthetic restoration are shown in Figures 5–8. The entire detailed procedure is illustrated online with numerous images.
Tooth 21 is re-crowned on the original post and abutment. Teeth 46 and 47 each receive single crowns. Teeth 24, 36, 37 and 45 get new composite fillings.
Would you have chosen the same approach, or would you recommend a different therapy option for the patient? Instead of large-scale fillings on teeth 24,
The implant in region 25 has a mesiobuccal probing depth of 6 mm. The patient received detailed oral hygiene instructions and was integrated into a regular recall program.
The case described here is an example of a typical case and documentation found on Dental Campus. Extensive background information and a detailed presentation of each treatment step allow you to closely follow the treatment planning, understand its implementation, with high practical relevance for your daily practice.
How do you rate the choice of treatment and the outcome of this case? Would you have handled the case differently? Register as a Dental Campus user, discuss the treatment with your dental colleagues and receive 2 CME credits for your work on the case.
**Treatment outcome—What do you think?**
The patient has an appealing restoration with which she is satisfied (Fig. 9). Periodontal therapy enabled the probing depth at tooth 46 to be reduced to 4 mm distolingually and 3 mm at all other points measured.
---
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Jawbone cavitation and its implication in implant dentistry
Author: Prof. Dr Mauro Marincola, Italy
Introduction
A cavity is a hole in a tooth, whereas a cavitation is a hole in bone. Unlike most tooth cavities, bone cavitations cannot be detected by simply looking at the bone, rather they must be determined radiographically and the interpretation thereof requires an expert eye, consequently many cavitations are missed.
In the last several years, the term “cavitation” has been used to describe various bone lesions that appear both as empty holes in the jawbones and holes filled with dead bone and fibrous marrow. The term “cavitation” was created in 1930 by an orthopaedic researcher who described a disease process in which a deficiency in blood flow into the area resulted in a hole in the jawbone and other bones. Dr G.V. Black described this cavitation process in 1915 as a progressive process in the jawbone in which bone cells are destroyed, generating large cavitation areas within the jawbones.¹ Black found it striking that this disease produces vast jawbone damage without redness in the gingiva, pain, swelling of the jaw, or a rise in body temperature. In effect, this disease process is produces small blockages or infarctions of the small blood vessels in the jawbones, leading to areas of dead bone or osteonecrosis. These dead areas are today called neuralgia-inducing cavitalional osteonecrosis lesions.
The results of recent research by Dr Boyd Haley, former Chairman of the Department of Chemistry at the University of Kentucky, show that the cavitation tissue...
samples he tested contained toxins that significantly inhibit one or more of the five basic body enzyme systems necessary for the production of energy.\textsuperscript{2} These toxins, which are most likely metabolic waste products of anaerobic bacteria, may produce significant systemic effects, as well as play an important role in localised disease processes that negatively affect the blood supply in the jawbone. There are indications that when these toxins combine with certain chemicals or heavy metals (e.g. mercury), much more potent toxins may form.
_Factors associated with cavitalional bone lesion development_
Cavitalional lesions can be caused by many factors, most likely a combination of these will characterise occurrence, type, size, progression and growth patterns.
_Initiating factors_
Probably the major initiating factors are of dental origin in terms of physical, bacterial and toxic traumas.
– Physical trauma: tooth extractions, dental injections, periodontal surgery, root canal procedures, grinding and clenching, electrical trauma from dissimilar metal restorations, incomplete removal of periodontal ligament after tooth extraction, overheat from high-speed drilling.
– Bacterial trauma: periodontal disease, cysts, abscesses, root canal bacteria from non-vital teeth, infected wisdom teeth.
– Toxic trauma: dental materials, root canal toxins, anaesthetics with vasoconstrictors, chemical toxins.
_Risk factors_
Predisposing factors encompass antiphospholipid antibody syndrome; blood clotting disorders (thrombophilia and hypofibrinolysis); age; changes in atmospheric pressure owing to occupation; Gaucher’s disease; gout; haemodialysis; homocystinaemia; hyperlipidaemia; lymphoma or bone dysplasia; osteoporosis; physical inactivity; radiation or chemotherapy; rheumatoid arthritis; sickle-cell anaemia; systemic lupus erythematosus; and thyroid or growth hormone deficiencies. Cavitalional lesions are prompted by many factors. Many of them affect the occlusion or blockage of small blood vessels of the jawbone. In addition to minor risk factors, the most prominent are alcoholism, heavy smoking, long-term high-dose cortisone use, oestrogen use, pancreatitis or pregnancy.
Research shows that 45–94 per cent of all cavitalional lesions are found at wisdom teeth extraction sites.\textsuperscript{3} These areas contain many small blood vessels, making them an ideal developing site for bony lesions, as these vessels are easily affected by trauma in surgical procedures. As a result, osteonecrosis can develop. In addition, numerous local anaesthetic solutions contain vasoconstrictors (particularly epinephrine). Vasoconstrictors are applied in order to restrict or reduce the blood supply to bone, teeth or gingival tissue, thus prolonging the anaesthetic effect and minimizing bleeding. As many local anaesthetics are injected in the wisdom teeth area, their application increases the occurrence of cavitalional lesions in this region.
Another frequent cause of ischernic osteonecrosis in the jawbone is improper endodontic treatment. Few endodontic treatments are performed by a specialised dentist and the result is that the root canals become loaded with anaerobic bacteria or chemically toxic material used for the canal filling. The pathogenetic substance reaches the bone, eventually causing loss of bone density and holes inside the cancellous bone (Fig. 1). Since there is no longer a sufficient blood supply, the body cannot fight the toxins and the bony structure degenerates into necrotic bone and fibrous marrow.
As a reminder, neuralgia-inducing cavitalional osteonecrosis is not so much an infection in the bone as necrosis or gangrene (dead tissue) of the bone marrow as a result of impaired blood flow (ischemia). A cavitation often develops because of incomplete healing after routine extraction.
When the periodontal ligament is not entirely removed from the socket after extraction, the surrounding bone receives no notification that the tooth is gone. The continued presence of any portion of the ligament gives the biological message to the surrounding jawbone that all is well, and no new bone growth is needed. Bone cells thus do not start new growth and then migrate through a barrier naturally designed to limit such growth. The jawbone determines that if the ligament is still there, the tooth must be there as well.
Since the periodontal ligament does not extend to the upper edge of the extraction site, new bone growth activity will not be inhibited at the top of the socket, and a characteristic thin cap of bone will eventually extend over the extraction hole. Larger cavitations often have only a cap of gingival tissue over them. Even the thin overlying cap of bone does not form in these cases. In routine dental extraction, portions of the periodontal ligament will sometimes be more strongly attached to the tooth than the bone and be removed along with the tooth. When partially removed in this fashion, the haphazard absence of the ligament will permit equally haphazard growth of bone, resulting in the wide variety of cavitation shapes and sizes (Fig. 2).
_Treatment_
Surgery is often necessary to clean out a cavitational site properly and thoroughly, for there is no other way to remove dead bone. The key to bone healing and regeneration is the removal of the necrotic tissue. If the necrotic tissue is not thoroughly removed, the necrosis will spread and cause further destruction to the bone, nerves and blood vessels. This kills teeth in the process, for they are cut off from their blood supply. Once the necrotic tissue has been cleaned out, healing can then take place and new bone cells will fill in the cavitations. Neither antibiotic injections into the bone nor laser treatments will stop the progressive necrosis if not all debris has been thoroughly curetted out of the cavitation.
The next treatment step is a bone grafting procedure to fill the cleaned and disinfected cavity. If the cavitation is limited to 5–6 mm in diameter, a plateau press fitted root form implant can be placed into the grafting material immediately. Otherwise, the implant will be placed in a larger grafted area after three months of healing (Figs. 3a & b).
_Clinical implications_
The following case is representative of many other cases I have encountered during 25 years of clinical experience in numerous clinics in various countries. A 52-year-old female patient came to the practice with 19 missing teeth in both the maxillae and the mandible. The second premolars and first molars had been extracted between five and 12 years ago, after incorrect endodontic treatment. She noted that the molars had had abscesses and the premolars had fractured a few years after the poor endodontic treatment.
The treatment plan was to insert four short implants to replace the second premolars and first molars of the mandible. The dental panoramic tomogram showed a circular formation of 5–6 mm in diameter mesial to the second molar root on the right side of the mandible.
My experience with bone cavitations suggested a surgical approach that would entail performing an osteotomy and afterwards cleaning, disinfecting and filling the cavitation before placing the implant. Bone cavitations are not visible at crest level (Fig. 5) because the bony defect is located inside the bone marrow.
Once the diameter of the planned implant size (5 mm) had been achieved, the walls and floor of the osteotomy were controlled with a depth gauge. All walls except the lingual plate were missing and no floor limited the 8 mm length of the osteotomy. The depth gauge established a distal hole of 10 mm. The mesial and buccal defects extended for only a few millimetres (Figs. 6 & 7).
The fibrous tissue was removed from the cavity with a Lucas curette (Fig. 8). Multiple applications of a diode laser combined with local antibiotics were performed before proceeding to fill the cavity.
The graft material should be 100 per cent synthetic in order to avoid cross infection, as may be the case with xenografts. The beta-tricalcium phosphate (\(\beta\)-TCP; SynthoGraft, Bicon) was mixed with the patient’s blood and injected into the cavity (Figs. 9 & 10). Once the cavity had almost been filled, two Short Implants (\(\phi\) 5 mm, length 6 mm) were placed into the graft (Fig. 11). Finally, the implants were completely buried under the crestal bone (Fig. 12), in accordance with the characteristics of the implant design (plateau press fitted root form implant).
Short implants were necessary in this case because of the reduced vertical jaw dimension and the proximity to the mental nerve and the inferior alveolar nerve (Fig. 13).
**Conclusion**
It is paramount for a good clinician to be able to recognise bone cavitation. Performing a correct osteotomy depends on the integrity of the four walls and the floor. If one or more of the structures mentioned are missing during inspection with the depth gauge, the quality and consistency of the bone marrow should be tested.
In some cases, a screw-retained implant may be retained in the crestal bone only while most of the implant body is unstable because of the presence of a hole. Owing to the multifactorial causes listed in this article, the cancellous bone in that specific area has become necrotic tissue, creating the cavitation.
*Editorial note: A list of references is available from the publisher.*
**Contact**
**Prof. Dr Mauro Marincola**
Via dei Gracchi 285
00192 Rome, Italy
Immediate implantation and full-ceramic restoration in the maxillary anterior region
Authors_Dr Arndt Happe & Andreas Nolte, Germany
Introduction
Implant-supported single-tooth crowns in the aesthetic zone are a special challenge, particularly when immediate implantation is planned—if there is insufficient bone volume and a thin biotype. A whole chain of critical factors need to be considered here, including implant positioning, hard- and soft-tissue management and the natural design of the crown. These days, a number of digital methods are available to simplify the process and make it safer. Depending on the initial situation, that is maximum aesthetic demands, however, many dentists prefer analogue methods, as in the following example.
Initial findings and planning
A young female patient with full-ceramic crowns on teeth 12 to 22 presented at our clinic desiring bright and natural new restorations (Fig. 1). Her medical history was unremarkable and her gingival type was classified as thin. Tooth 11, which had undergone root canal therapy, could not be saved and would have to be replaced with an implant owing to a weakening of tooth substance, resulting from excessive cavitation as part of post-endodontic restoration (Fig. 2). In addition, the existing crown kept coming off owing to the poorly retentive design of the abutment.
In order to obtain the most accurate assessment of the initial situation, the dental technician photographed the patient in his laboratory. Using the photograph and initial models, he defined the shape and colour of the planned restorations and carefully analysed their position in the arch for the temporary restoration (Fig. 3). Based on the data obtained, a temporary bridge was fabricated for teeth 12 to 21 once tooth 11 had been extracted.
Immediate implantation and temporary restoration
In order to extract tooth 11 with as little trauma as possible, the surgeon first severed the periodontal fibre system with a periotome (Fig. 4) and expanded the coronal alveolar gap with piezo-surgical instruments. First, the crown was luxated and extracted with extraction pliers, then the root,
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Fig. 4. After removing the temporary crowns on teeth 12 and 21, the supra-alveolar periodontal attachment of tooth 11 was severed with a periotoome.
Fig. 5. The root was extracted after atraumatic removal of the crown. The buccal bone lamella connected to the root surface was lost during the process.
Fig. 6. The palatal margin of the alveolus was marked with the pilot drill through a deep-drawn guide prepared in the laboratory.
Fig. 7. When inserting the implant, the surgeon oriented himself along the palatal bone wall.
Fig. 8. The implant was palatally displaced in the correct position; the buccal bone lamella no longer existed.
Fig. 9. The position of the implant in the dental arch was checked with the aid of the guide.
Fig. 10. A retromolar bone cylinder was harvested with a trephine drill to obtain autologous bone for augmentation of the buccal lamella.
Fig. 11. The space between the implant and buccal soft tissue was filled with a mixture of autologous bone and bovine bone replacement material.
Fig. 12. In order to obtain optimal buccal contours, a connective-tissue graft harvested from the palate was drawn under the soft tissue and sutured.
Fig. 13. The temporary bridge was cemented with the healing cap without contact with the pontic.
Fig. 14. The sub-crestal bone position and good cervical join of the temporary bridge are shown on the post-operative X-ray.
Fig. 15. Good healing and successful integration of the connective-tissue graft are evident one week after immediate implantation. The white-yellow deposits are fibrin.
Fig. 16 After a three-month healing period, the implant was successfully osseointegrated and the soft tissue had stabilised for final impression taking.
Fig. 17 The peri-implant soft tissue is well formed and largely irritation free under the temporary bridge.
Fig. 18 Good perfusion of the peri-implant soft-tissue well can be observed. Buccal tissue thickness exceeds 3 mm.
Fig. 19 Impression taking of the prepared teeth and the implant.
Fig. 20 Following reinsertion of the temporary bridge, excess soft tissue was observed in the area of the implant (position 11).
Fig. 21 Individual stumps made of super-hard plaster with grooves to prevent rotation were fixed in the impression with instant adhesive.
Fig. 22 Preparation of the master model. The wax pins served as access to the stumps on the master model.
Fig. 23 The precise periodontal and peri-implant soft-tissue situation was represented on the master model.
Fig. 24 The marginal border of the planned implant crown was transferred to the plaster surface.
Fig. 25 The peri-implant emergence profile was expanded and the papillae sharpened to provide a harmonious gingival profile.
Fig. 26 Optimal hold of the wax-up during try-in through filled implant interface.
Fig. 27 Overview of abutment options (from left: CONELOG Esthormic abutment (1.5–2.5 mm gingiva height) prior to and after customising, the CONELOG Titanium base CAD/CAM).
Fig. 28 The Esthomic abutment, extended with a bonding aid, shows the palatal positioning of the access channel.
Fig. 29 Customising the primary abutment ensures sufficient coating strength of the zirconium oxide abutment.
Fig. 30 The titanium base and the completed model of the secondary abutment were scanned in the laboratory. Buccal space was left for the planned pressed ceramic veneer.
Fig. 31 The sintered abutment left without and right with fluorescent solution treatment.
Fig. 32 Firing of a highly fluorescent, etchable zirconium oxide veneer ceramic. The shape of the abutment was optimised prior to modelling the press cap.
Fig. 33 The layer thicknesses for veneering the pressed ceramic caps were checked with the aid of the vestibular, twice-divided silicone index.
In order to obtain the best possible soft-tissue conditions in the sense of a thicker gingival type, the surgeon harvested a connective-tissue graft from the palate. Using the tunnel technique according to Azzi, this was pulled between the bone granulate and the buccal soft tissue and fixed with a monofilament, non-absorbable suture material (Fig. 12). Then a CONELOG wide-body healing cap (4 mm height) was screwed in and the temporary bridge cemented (Fig. 13). This supported the soft tissue, but did not contact the healing cap, so that the lower section of the pontic could be cleaned with super floss. Figures 14 and 15 show the post-operative X-ray and the situation at the check-up one week after immediate implantation.
After three months of implant healing, the peri-implant and periodontal tissues were ready for final impression taking (Figs. 16 & 17). To this end, double 0 sutures soaked in glycerine were placed in the sulci and the preparation borders placed slightly subgingivally as part of final fine preparation. Then a thicker retraction cord, strength 0, soaked in epinephrine was placed (adrenaline; Fig. 18). The healing cap was unscrewed (Fig. 18) and a CONELOG impression post for open trays screwed in (Fig. 19). Impression taking was performed after drying and removal of the thick retraction cord (Fig. 19) in one step with an individual open tray and a two-phase polyvinyl siloxane (A-silicone). Following arbitrary transfer of the occlusal relations with a bite fork, facebow and bite registry, the healing caps and temporary bridge were reinserted. A temtemporary crown was fabricated for tooth 22 (Fig. 20). The marginal gingiva in the region of the implant had to be moved slightly in an apical direction with the definitive restoration owing to the excess tissue.
_Fabrication of abutments and final crowns_
Using super-hard plaster, the dental technician fabricated root-shaped (conical) stumps to prevent rotation. These were placed in the impression to fabricate the master model and extended with wax pins (Figs. 21–23). A new wax-up was prepared based on the updated aesthetic analysis and the outer cervical contour of the implant restoration was transferred to the model (Fig. 24). The anatomical shape of the emergence profile was then created with a fine milling machine. The implant crown was thus given a natural emergence contour. The papillae were slightly sharpened and smoothed to give an optimal gingival contour. The optimised shape of the papillae avoided concavities occurring later in the cervical, slightly subgingival ceramic areas, which are difficult to clean and can lead to irritation of the gingiva (Fig. 25). The wax-up was fitted with a pin at the implant position, which engaged with the implant interface for better fixation of the wax-up during try-in (Fig. 26).
A suitable abutment was selected from the CONELOG Esthomic abutment set and the silicone indexes based on the wax-up. In this case, the CONELOG Titanium base CAD/CAM was too low owing to the apical position of the implant shoulder. Therefore, the dental technician decided on a considerably longer, straight CONELOG Esthomic abutment, which was customised for use as a titanium bonding base (Figs. 27–29). He modelled a secondary abutment with wax on the customised titanium base (primary abutment), which was to be fabricated from zirconium oxide. Subsequent bonding with the titanium base resulted in a hybrid abutment with full anatomical contours, both in the palatally and subgingivally positioned emergence area through the soft tissue. Room was left on the buccally visible area for a pressed ceramic veneer to be fixed by bonding (Fig. 30). Using a double scan, the dental technician imported the 3-D shape of the primary abutment and the wax model of the secondary abutment into the planning software (Abutment Designer, 3Shape; Fig. 30).
Then the secondary abutment was ground from zirconium oxide ceramic with CAM technology and immersed unsintered into a fluorescent solution (Fig. 31). The screw channel was prepared prior to sintering. As zirconium oxide cannot be etched, the dental technician had to fire a thin layer of etchable, highly fluorescent zirconium oxide veneer ceramic on to the buccal surface and preparation margin of the hybrid abutment prior to modelling the cap for the pressed ceramic veneer (Fig. 32). Fluorescence ensures the transmission of light in the gingival area. This has a positive effect, particularly in the case of a thin gingiva. Then, the dental technician
**Fig. 34** Modelling of the mamelon for the implant-supported veneer from a palatal view.
**Fig. 35** After glaze firing and polishing, the natural anatomy and surface characteristics of the restoration were checked.
**Fig. 36** Aesthetic try-in: The patient and her dental technician, Andreas Nolte, appreciating the highly successful outcome and nearly completed treatment.
**Fig. 37** The pressed ceramic veneer was mounted on the previously bonded hybrid abutment by bonding with dual-curing composite.
**Fig. 38** The transitions between the abutment and the veneer were smoothed and polished to a high gloss with a brush and polishing paste.
**Fig. 39** The implant restoration is screw-retained. For biomechanical reasons, the screw access channel was placed in the zirconium oxide section.
Fig. 40 The palatally inserted crowns and the sealed screw access channel of the implant crown.
Fig. 41 The X-ray check-up confirmed successful osseointegration and the natural emergence profile of the implant-supported restoration.
Fig. 42 The crowns on teeth 12, 21 and 22 and the implant restoration in position 11 fitted harmoniously to the dental arch and the remaining teeth.
Fig. 43 The close-up shows the healthy peri-implant soft tissue and the natural surface of the restorations.
Fig. 44 The side profile also shows the natural contours of the restoration and the successful interplay between red and white.
Fig. 45 The patient’s relaxed smile confirmed that the effort and attention to detail were appreciated.
Fabricated and veneered the pressed ceramic caps for the crowns and veneers (Figs. 33–35).
After a successful aesthetic try-in in the laboratory (Figs. 36 & 45), the individual parts were combined. First, the titanium base was sand-blasted and conditioned, then the secondary zirconium oxide abutment was conditioned. Both parts were bonded with special composite. Then the inner side of the veneer and the sintered zirconium oxide veneer ceramic of the hybrid abutment were etched with hydrofluoric acid, conditioned and bonded with dual-curing composite (Fig. 37). Then, the transition areas were smoothed and polished (Fig. 38).
Insertion
The crowns were mounted by bonding and the implant-supported veneer crown was screw-retained (Figs. 39 & 40). This was followed by a careful check of the approximal contacts and function. The final X-ray confirmed successful osseointegration of the implant and harmonious emergence of the implant-supported restoration from the bone (Fig. 41). Figures 42 to 45 show the aesthetically successful outcome and a very satisfied patient.
Discussion
The example demonstrates successful immediate implantation in the anterior maxilla of a female patient with a thin biotype and high smile line. In addition, the buccal bone lamella was missing, so that the bone and soft tissue had to be augmented as part of immediate implantation—without preparing a flap. This demanding task can only succeed when the surgeon and if applicable the prosthodontist and the dental technician work together as an optimal team and use suitable methods and materials. In the case presented, surgery and prosthetics were performed by the same dentist, who had been working together intensively for many years with the dental technician in the same location. At the beginning of treatment, the patient presented to the laboratory for an aesthetic analysis to give the dental technician a detailed understanding of the situation.
In order to obtain adequate tissue volume in the implantation area, the surgeon employed proven bone and soft-tissue surgical procedures. These included using a bone mixture for augmentation and a tunnel technique for thickening the buccal soft tissue. The literature shows that stable tissue volume and a constant marginal soft-tissue border can be achieved in this way even in the case of an impaired implantation site with missing bone lamella. This procedure is not (yet) recommended in the current consensus statements by the professional associations owing to difficult predictability of individual results.
Analogue and digital
A large part of the treatment and technical work steps were performed with conventional surgical
prosthetic and craft-dominated technical dental methods (analogue). Computer-supported planning was not employed, so that the surgeon was not guided but implanted freely in accordance with the surrounding structures. This requires a precise clinical and radiographic analysis of the initial situation, appropriate planning and a high degree of expertise. Impression taking also followed conventional techniques.
A speciality here is the use of a two-part hybrid abutment as the base for the pressed ceramic veneer. In order to obtain a biochemically optimal titanium bonding base, a straight CONELOG Essthomic abutment was customised in place of the alternative CAD/CAM component. The secondary zirconium oxide abutment was waxed up. Then, both components were scanned. This is where the CAD/CAM process came into play with the fine-tuning of the design on the screen and machine fabrication of the zirconium oxide secondary abutment. Despite using a titanium primary abutment, the dental technician achieved a natural light effect by the consequent use of fluorescing materials.
As all components of the implant-supported restoration were bonded in the laboratory, the dentist was able to screw them in place together as a single piece and in a single session. This meant fewer treatment sessions for the patient, who did not have to return to the practice after impression taking until final insertion. The aesthetic try-in before final bonding of the individual parts was performed in the laboratory. The procedure described is only possible in close co-operation and with full confidence between the team partners.
Editorial note: A list of references is available from the publisher.
Influence of implant design on osseointegration
Authors_Dr R. Fromental, Dr S. Langonnnet, S. Chesnay, Prof. J.C. Béra, Dr B. Lavandier, Dr A. Gleizal, Dr M. Paris, Dr R. Gourmet & Prof. M. Rivoire, France
_Introduction
Nowadays, numerous studies attempt to show the importance of implant surface treatment for accelerating the osseointegration process. Surface finishing, notably roughness generation, has allowed to increase the ability of titanium to link directly to bone without any intermediary fibrous tissue. Thus, it seems that if the osteoblast response is obviously measured by histology, it does not inform on long-term implant success but only on the cell organisation of the peri-implant bone tissue and it provides no information on the architecture of this tissue. Only the study of newly-formed trabecular bone tissue around the implant can provide predictive results concerning implant durability. Trabecular tissue forms only 20 per cent of the skeletal mass but 80 per cent of the exchange surface between bone and marrow. This microstructure plays a mechanical role because it ensures that the external loads be correctly distributed in the bone volume. Due to its mechanical function, trabecular bone is a preferential site to study the spatial and geometrical properties of this bone tissue and the interaction between medical apparatus and bone tissue. The future of a dental implant after loading mainly depends on: trabecular organisation, intimacy of contact between metal structure and bone, surrounding bone volume, bone density. The aim of the present work was to characterise the periimplant bone organisation and to evaluate the influence of implant shape on osseointegration, using a porcine model. Implantations were carried out on growing piglets on maxilla and trabecula, because the experimental results published up to now mostly concern fixtures set on tibia or iliac of pork or dog (results so obtained concern mainly cortical bone and less trabecular bone).
_Material and method
28 implant fixtures (diameter 3.5 mm, length 7 mm) were set in the jawbones of eight pigs, 16 in the mandible and 12 in the maxilla. Two types of implant were used: implant B with a cylindrical body and implant D presenting a shrink under its neck as shown in Figs. 1 and 2. Histomorphometric analysis was carried out on samples taken 45 days after implantation. Samples were analysed with a resolution of 18 µ.
_Animal experiments
Experiments were carried out on eight pigs of mean weight of 12.1 kg at day 0 and 32.3 kg when sacrificed. Initial denture is mixed, complete and healthy for each animal. The project was presented to the ethic comity of Institute of Experimental Surgery (ICCE) of Centre Léon Bérard (Lyon, France). Animal choice and care, and experimental procedure were approved by the committee.
Operating protocol
The placement of the implants was achieved in the operating room under general anaesthesia. Animals received medication performed according to the following protocol: Intramuscular premedication injection: 3 à 5 ml/kg of Imalgène 1000 + 0.1 ml/kg of Stresnil + 1 ampoule of atropine; Intravenous induction of general anesthesia: 0.003 ml/kg of the XKZ mixture (Xylazine, Kétamine, Zolazepam) for a duration of about 30 minutes. Mandibular implants were placed in the space between canine and first premolar, and maxillary implants were placed either distally of the lateral incisor or mesially of the first premolar.
Surgery technique
It was the same as in human oral surgery: asepsis of the surgery field, crestal incision, localisation of the implant site, boring, threading, implant placement, suturing of gingival flap with interrupted sutures separated stitches. Referenced titanium implants were used (Figs. 1–5).
Operating hazards
The main difficulty arose from insufficient height and thickness of the alveolar crest in the mandibular sites and to the relatively important size of the nasal cavities on maxillary sites, which imposes to use implants of low diameter and height. Some implants were lost due to a supracrestal or crestal positioning which did not resist animal tongue forces. An infectious event also occurred, resulting in the exclusion of one animal from the study.
Sample collection
Samples were collected at day 45, after anaesthesia of the animal, following the protocol established with the ethic committee. Bone was cut with a mechanical saw around the implant sites. Samples were immersed in formaldehyde and transferred to the imaging department for histomorphometric analysis.
Histomorphometric analysis
Analysis was conducted with CtAn™ software (SkySkan™) dedicated to scanner imaging. Bone histomorphometry consisted in the measurements of the parameters reflecting bone structure, microarchitecture and remodelling. The study of samples including bone and implant permits us to visualize the bone architecture around the implant from neck to apex, with the osseointegration phase being at its terminal stage.
Parameters considered for result analysis:
- BV/TV (%): ratio between bone volume and tissue volume; depending on the depth of the analysed volume, V represents cortical or trabecular bone.
- IS (mm²): surface of bone intersection with implant structure.
- TbPF (mm⁻¹): trabecular pattern factor, quantifying the interconnection of the bone (ratio between the numbers of concave and convex surfaces, quantifying the connections inside a 3-D structure).
- BS/TV (%): reflecting the density of the bone mesh.
Analysis methodology (Figs. 6–8)
A step-by-step analysis as a function of implant depth can be effected by a block of ten frames, each block corresponding to a slice of a thickness of 180 µm. Corresponding data were plotted as a function of depth, depth being defined as the centre of the slice. An example of results is shown in Fig. 9. A global analysis of data corresponding to the sum of all slices was done next. For this volume of interest...
Fig. 10. Front section view of the whole implant, showing the perimplant osseointegration.
Fig. 11. Transverse section view: contact between implant surface and trabecular bone.
Fig. 12. Histological section of trabecular bone.
Comparison between the two types of implants
Fig. 13 and 14 illustrate the comparison between two implants placed at the same position in the anterior maxillary sites.
At implant neck:
Implant B (cylindrical neck): BV/TV varies from 2 to 21, IS varies from 1.6 to 7.2, TbPF varies from 20 to 30 and then up to 8.2 under the neck, BS/TV varies from 2 to 8.
Implant D (shrunk neck):
BV/TV varies from 10 to 15, IS varies from 3.7 to 3, TbPF varies from 14 to 28 and then up to 2.9 under the neck, BS/TV varies from 5 to 11. It is noticeable that BV/TV and BS/TV are higher with the shrunk neck, while TbPF is slightly better with a cylindrical neck.
At implant apex:
Implant B: BV/TV varies from 6 to 13, IS varies from 2.1 to 3.8, TbPF varies from 12.7 to 14.3, BS/TV varies from 4 to 6.
Implant D: BV/TV varies from 7 to 21, IS varies from 1.6 to 3.3, TbPF varies from 14.4 to 23, BS/TV varies from 4.1 to 4.4.
Result analysis: relation between parameters
At implant neck
The depth evolution of the ratio between trabecular bone volume and tissue volume is superimposable with the shape of the implant neck. IS is approximately constant, which corresponds to a satisfactory adhesion between the bone surface and the implant surface.
TbPF follows a curve symmetrical to the one of BV/TV: spongy trabecular bone is well organized and linked. BS/TV presents a mean value about 6, corresponding to an interesting bone density.
At implant apex
As shown in Fig. 9, the BV/TV curve follows the implant shrinkage jumping from 30 up to a plateau at about 10. TbPF varies from 8 about a screw turn hollow, follows the apex shape with a mean value of 13 and ends to 21. IS presents a plateau at 1.75.
One observes that IS and BV/TV curves have the same pattern for implants B and D, but with lower values for B implant. Moreover, TbPF presents lower values for implant B, but TBPF does not decrease at the apex for implant B. For implant D, bone density is constant along the implant, the TbPF curve is superimposable with the BV/TV one, revealing a good trabecular architecture, IS is constant and BV/TV increases up to apex.
**Conclusions**
Osseointegration is defined as a direct anatomic and functional junction between living bone and implant surface. Osseointegration is determined by several factors linked to the host and to the implant. On a biological point of view, osseointegration occurs in two phases: the first one consists in a mechanical stabilisation and anchorage in the prepared site; the second phase is characterised by the formation of a biological cohesion between implant surface and bone tissue.
The present study is an investigation on histomorphometric analysis of osseointegration. The preliminary results indicate that bone volume and bone density would recover better with a shrunk neck shaped as a Bone Launching Pad™ (implant D) than with a cylindrical neck. It is the same for the surface intersection between bone and implant, which appears to be larger, revealing denser bone around the implant. Concerning the body and apex of the implant, the more spaced turns of implant D would favour the bone density along the implant body and a higher and more uniform ratio between trabecular bone and tissue volumes. The trabecular architecture seems thus to be impacted by the shape of implant neck and apex.
*Editorial note: A list of references is available from the publisher.*
**Contact**
Dr Robert Fromental
14 place Jules Ferry
69006 Lyon, France
+33 4 72740025
email@example.com
More than an implant. A sense of trust.
In 2014 the Straumann® Dental Implant System offers more value for dental clinicians and patients. Our product range focuses on the groundbreaking Roxolid® material, which is specifically designed for the use in dental implantology. Outstanding biological and mechanical properties allow Roxolid® Implants to offer more treatment options than conventional titanium implants.
More treatment options with smaller implants: the reduced-diameter Roxolid® Implants with the hydrophilic SLActive® surface and higher strength revolutionized the market in 2009. At the EAO 2013 Straumann launched a new range of sizes of Roxolid® SL-Active® Implants as well as a 4 mm Roxolid® SLActive® Implant. This Roxolid® SLActive® Short Implant is designed to avoid extensive bone augmentation procedures. Now, in 2014 for the first time, Roxolid® Implants are also available with the well-established SLA® surface. Roxolid®—setting new standards, reducing invasiveness: offering all implants with the Roxolid® material helps dental professionals to reduce the invasiveness of implant treatments by using smaller, shorter implants which are stronger than conventional titanium implants. Roxolid® helps to avoid patient trauma, pain and discomfort while saving time and money. Straumann® Roxolid® Implants are delivered with the new Loxim™ Transfer Piece, which is connected to the implant with a snap-in mounting and offers clinicians many benefits. Straumann—simply doing more.
Institut Straumann AG
Peter Merian-Weg 12
4052 Basel, Switzerland
www.straumann.com
Implant test unit allows testing during production
Implant systems are normally tested according to the DIN EN ISO 14801 Norm before they are launched. LARADO presents an especially developed dental implant testing unit—DORA 14801—which guarantees the observance and consistency for product quality before and during production and also allows for immediate design modifications. The DIN EN ISO 14801 Norm concerns itself with the testing of dental implants regarding wear and failures caused by alternating stressor loads. The DORA 14801 provides a simple and economic solution for testing with a maximum of efficiency regarding cost and time. In principle; it relates to the quality of implants which must be insured not only in the development phase, but also in later production by batch and ISO 14801-exams. Thus, a high level of security is obtained with respect to endurance, connection and structure of implants. The main factor of efficiency is obtained through one master control unit and is the basis for the connection of 1 to 8 individual test stations that provides independent, validated and documented test results. A variable sinus amplitude and dynamic power of up to 800 N at a variable of 1–15 Hz, a low-space requirement for machine placement, the simple connection to a 110–230-volt power-outlet and the independence from compressed air or hydraulic systems are some of the advantages of the DORA 14801.
LARADO
Mainzer Str. 346
55411 Bingen am Rhein, Germany
www.14801.de
Entering the regenerative field
Nobel Biocare launches its latest innovation, creos xeno.protect, beginning in the European markets. This new collagen membrane will be part of a larger regenerative product line under the brand name “creos”. Additional products will follow this year. “The introduction of creos xeno.protect emphasises Nobel Biocare’s long-standing commitment to improving quality of life through innovation. It is a product that harnesses the ingenuity of nature to the benefit of the patient, while at the same time making life easier for the clinician,” said Nobel Biocare CEO, Richard Laube.
Clinical studies and early results from clinicians after an extensive prelaunch period confirm it possesses optimal handling qualities, maintains its size when hydrated and is very tear-resistant.¹ The optimal fit can be found without extensive trimming which limits waste and minimizes costs for both clinicians and patients. The creos xeno.protect membrane has an extended barrier function that does not compromise on the established high industry standards for biocompatibility or vascularization behavior. As it is produced without any chemical crosslinking, creos xeno.protect offers high tissue compatibility for fast and predictable healing.
¹ Clinical studies, product information and first-user feedback are available at creos.com/xeno-protect.
Nobel Biocare
PO Box
8058 Zurich Airport, Switzerland
www.nobelbiocare.com
ORAL IMPLANTOLOGY WORLD CONGRESS
PARIS, July 2nd 2014
Maison de la Chimie
28, rue Saint-Dominique – 75007 Paris
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Register now for the 5th International CAMLOG Congress in Valencia
From 26 to 28 June 2014, the 5th International CAMLOG Congress will be held in Valencia under the motto “The Ever Evolving World of Implant Dentistry”. Renowned experts from Europe, Asia and America will be presenting current results from their research and clinical experience. In eight workshops, experienced specialists will convey the latest technologies and treatment methods. Several hundred dentists and dental surgeons have already registered.
Since the first congress in 2006 and the founding of the CAMLOG Foundation, the international CAMLOG Congresses have established themselves as the most important communications and further education event in implant dentistry. Top-level speakers, practice-oriented workshops and an attractive location for the event highlight the 5th CAMLOG Congress: the international elite of dental surgeons and dental implantologists makes the spectacular Palau de les Arts in Valencia its meeting place. The established scientific committee of the CAMLOG Foundation, chaired by Prof. Mariano Sanz and Prof. Fernando Guerra, is responsible for the program.
The surgical and prosthetic concepts and treatment guidelines, which are presented in two sessions, are based on the CAMLOG Foundation Consensus, which was prepared over several meetings by experts from up to 18 countries.
CAMLOG Foundation
Margarethenstrasse 38,
4053 Basel, Switzerland
www.camlogfoundation.org
Planmeca
Less is more:
Planmeca has the Ultra-Low Dose Mode
Planmeca, the Finnish dental equipment manufacturers, have developed the Ultra-Low Dose Mode.
The lowest effective radiation level to which a patient is exposed is just 14.4 µSv for a 3-D image of the entire skull. All Planmeca ProMax 3-D units enable CBCT imaging with a lower radiation dose than conventional 2-D panorama X-ray technology.
The cutting-edge Ultra-Low Dose protocol is based on Planmeca’s own intelligent 3-D algorithm, providing detailed anatomic information despite the minimal radiation level.
“We measure the radiation dosage of the ProMax units according to the effective dose measurement protocol described by Ludlow et al.\(^1\) The effective dose is calculated in accordance with the revised guidelines issued by the International Commission on Radiological Protection (ICRP 103)\(^2\);” explains Juha Koivisto, a physicist employed in Planmeca’s Research & Development department.
The Ultra-Low Dose Mode is of invaluable assistance in pre-operative planning, monitoring the treatment and locating impacted or displaced teeth. In addition to facilitating the definition of facial asymmetry and cephalometric reference points, it even supports informative sinus imaging or the measuring of the respiratory tract in diagnostics.
All Planmeca ProMax X-ray units provide a wide range of pre-programmed, easily adjustable imaging modalities for all volume sizes while effectively eliminating interference and artefacts like shadows and flickering lines from the CBCT images.\(^2\)
DENTSPLY Implants designs and produces patient-specific abutments and implant suprastructures. These original CAD/CAM restorations are compatible with all major implant systems while offering perfect fit to each patient’s oral anatomy. Quality, price as well as prompt delivery save time and resources. Dr. James G. Hannooch, who was involved in the development of the ATLANTIS™ abutment concept from day one, is convinced of the systems advantages: “The patient-specific implant prosthesis offer a high economic benefit whilst at the same time achieving a very high level of patient satisfaction, both reasons why today, ATLANTIS™ acts as market leader with more than one million abutments sold.”
ATLANTIS™ abutments are available for both cement-retained and single-tooth screw-retained restorations for all major implant systems. Using the patented VAD™ software (Virtual Abutment Design), the patient-specific CAD/CAM-abutment is designed based on the final tooth shape.
Planmeca Vertriebs GmbH
Walther-Rathenau-Str. 59
33602 Bielefeld, Germany
www.planmeca.com
DENTSPLY Implants
Steinzeugstraße 50
68229 Mannheim, Germany
www.dentsplyimplants.com
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GERMAN ASSOCIATION OF DENTAL IMPLANTOLOGY
(Deutsche Gesellschaft für zahnärztliche Implantologie e.V., DGZI)
Founded in 1970
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By the end of last year, BEGO Implant Systems GmbH & Co. KG introduced their long-awaited new implant system. With regard to the—especially in Germany—highly competitive implant market, where numerous providers of implantological products compete with each other for the same target group, innovations are of particular importance. Our editors interviewed Dr Nina Chuchracky, head of product marketing BEGO Implant Systems, and Mr Walter Esinger, CEO of BEGO Implant System. Among others, they talked about current trends in implantology and the latest implant systems.
Dr Chuchracky, Mr Esinger, how do you assess the potential of the German implantology market with respect to your company’s strategic orientation?
Dr Chuchracky: In advance to our development project, we have observed and assessed some trends, which have established themselves on the global implantology market in recent years. According to our observations, between 40 and 70 per cent of the users prefer tapered, self-tapping implants. Our products were only partially suited to accommodate these customer demands. Those products, which were introduced at the DGI Congress, fully correspond to the market development, helping us to gain access to a new range of customers with whom we will meet our high growth expectations.
BEGO has been “expecting” the new addition to their product portfolio for nine months. This unprecedented advertising campaign has caused a stir. Are the proud parents happy with the result?
Mr Esinger: Yes, we are very pleased with the result. Our expectations have even been exceeded. We had made the conscious decision to “abandon” our well-known corporate design especially for this campaign in order to enhance both print and online media attention by the special colouring.
Of course we are eager to learn the name of your “offspring.”
Mr Esinger: They are twins. Our new implant systems are named BEGO Semados® RS and RSX.
What is special about this “offspring” in comparison to its older “siblings”?
Mr Esinger: The twins are entirely new developments. However, we have made sure not to abandon the positive properties of our well-known BEGO Semados® S and RI implants. The new implants therefore have the same surface as S and RI implants, the TiPure® plus surface. The tapered connection has remained unchanged as well. Therefore, all known prosthetic components are compatible with each other. New additions are the bionic design of the thread and especially the micro threads at the implant neck (patent pending).
Dr Chuchracky: In addition to a version with a machined implant shoulder, there will be another version with a fully structured neck. This way, users can choose according to patient-specific demands and their own preferences. Both of the two systems also feature an integrated platform switch. The cutting flutes have been designed to create an optimum length of the bone graft. Bone grafts are transported crestally via the cutting flutes, thus ensuring an especially high primary stability, which contributes to a fast osseointegration after implantation.
What is the target group of the new system?
Mr Esinger: We address users who want to implant fast, with only a few drilling steps, and achieve a predictable and secure treatment result. To be more precise, these are users who are looking for a cost-efficient alternative to available premium providers without having to make compromises in quality. We also address the large number of international users who have been missing a self-tapping, tapered implant with platform switch in the BEGO implant system.
With the new system, you promise implantologists fast and easy handling. How do you achieve this?
Dr Chuchracky: The surgical protocol was completely redeveloped and is accompanied by high-performance drilling tools. With the help of the previously-described thread geometry and the especially effective processing of the drill channel, a two- or three-step strategy is sufficient in more than 90 per cent of the cases. In addition, the tapered design of the implant reduces the implantation effort significantly.
What is the significance of micro threads in the implant neck of the new system?
Dr Chuchracky: The micro threads in the implant neck have been designed bionically in order to reduce the application of force in the crestal bone significantly by the geometry of the threads. This effect was illustrated in the simulation by Prof. Dr.-Ing M. Flach’s team at the University of Koblenz, Germany. This design, which has been registered for patent approval, will reduce bone resorption caused by an application of high forces.
Mr Esinger: At the moment, the University of Koblenz and other selected European universities are conducting further investigations in this field. We will keep you updated! All previous investigations have been showing that we are on the right track.
With an implant diameter of 3.0 mm up to 5.5 mm and a length of 7 to 15 mm, you cover a relatively broad spectrum. What is the idea behind?
Mr Esinger: That’s right. At BEGO Implant System, we see our task in providing users with products which can be expected by a company perceiving itself as a system provider. Therefore, we value having a “real” 3.0 mm implant among our products by mid-2014, which is applicable in borderline indications such as narrow gaps.
Dr Chuchracky: Another borderline indication is covered by the short 7 mm implants. These implants are applied when the vertical bone dimension is limited and extensive augmentations must be avoided. The availability of shorter and thicker (< 6 mm) implants is demanded by only a few customers. Therefore, 7 mm implants are seen as an adequate and predictable solution, completing our system.
Some will prophesy that this is more like taking the bull by the horns than a deliberate decision. How do you respond to these critics?
Mr Esinger: Markets change constantly. It is our task to observe those changes and to assess its implications for the future strategy of BEGO Implant Systems. To be honest, we don’t have any objections to our users thinking we “take the bull by the horns”. We actually like it. Seriously, we neither have the resources nor are we willing to undertake or finance any ill-considered steps. You know that developing an implant system is only the beginning. We operate internationally and have to cover the high costs for worldwide certifications and research.
Will you keep us updated on the developments of your „offspring“?
Mr Esinger: Of course we will.
What can we expect from BEGO in the upcoming months?
Mr Esinger: You will be surprised! We continue to work on many innovative products which will enhance the implant market in 2014.
Thank you for this interview.
Figs. 3a and b. The new BEGO Semados® RS und RSX implant lines with micro thread structure at the implant neck.
Fig. 4. High-purity, homogenous, blasted and etched TiPure™ surface; the same surface as in the S and RI implants.
Fig. 5. The tried and tested internal tapered connection with its 45° medium taper angle, internal hex anti-rotation protection and platform switching.
Short implants
An interview with Prof. Dr Christoph Hämerle, Switzerland
Source_Institut Straumann AG
Looking at the recent publications in implant dentistry, we see an increased interest in short implants. What can be considered a short implant and what do you think is driving the professional interest in these implants?
There are different definitions for short implants. The EAO consensus conference defined them as 8 mm and less. The key interest is that with short implants you can provide less invasive treatments. Furthermore, short implants can lead to fewer complications and less morbidity. They decrease the costs, can deliver more predictable outcomes and are also easier to perform in many cases. With short implants sometimes you need less complex diagnostics and you run fewer risks. All these factors make short implants an attractive option, often providing a completely different strategy for implant placement.
You mentioned many cases where short implants make a difference. What do you see as indications that can be treated with a short implant?
Short implants would primarily be used in the posterior segment of the jaw, as in the anterior segment there is generally a sufficient bone height for a regular implant. In addition, in atrophic mandible and maxillary, where the vertical space is limited, short implants are also very valuable.
The latest improvements in implant materials and surfaces promise higher osseointegration and mechanical stability of implants. Do you believe these properties can compensate for the smaller implant dimensions?
Yes, absolutely, this has clearly been demonstrated—medium-rough surfaces provide a better anchorage in the surrounding bone compared to smoother type of surfaces. This property is the key that makes shorter implants possible. Previous studies have shown that short implants with 10 mm or less had a lower rate of osseointegration and lower clinical success, but we don’t see the same in implants with medium-rough surfaces.
I think advances in implant surface technologies offer the kind of anchorage that implants with more traditional surfaces could not achieve in the past. Hence, short implants can deliver a good anchorage nowadays in situations with limited bone height.
What kind of indications do you see as a challenge for this implant? Could a short implant be a good alternative to avoid vertical augmentation?
Most publications describe the use of the short implants primarily in the posterior region. Short implants are valuable in the maxilla to avoid sinus lift augmentation, while in the mandible they help to avoid vertical ridge augmentation.
A challenging indication could be a patient requiring a short implant because of a reduced bone height, but still needing an additional augmentation procedure due to the insufficient bone width.
Alternatively, in the sinus area, in cases of soft bone, it would be difficult to get a good anchorage with a short implant. The healing time needs to be increased and implant loading delayed to ensure an undisturbed osseointegration process.
Thank you Prof. Hämerle, do you have any additional comment about short implants?
As implant technology progresses, I expect to see more innovative solutions which provide less invasive, less costly and more straightforward types of treatments. I believe such progress is in the interest of the dentist, the patient and the industry.
Dear Colleagues and Friends,
It is my great pleasure to invite you to the International Congress of the Academy of Prosthodontics 2014, which will be held in Co-Sponsorship with the Swiss Society for Reconstructive Dentistry. This exciting professional meeting, the first of its kind, will take place on May 16–17, 2014 at the Congress Center Kursaal in the beautiful City of Bern, Switzerland. It will feature a world-class scientific program with expert panelists from both sides of the Atlantic.
I want to thank the Board of the Swiss Society of Reconstructive Dentistry for its willingness to partner, and the Center for Continuing Dental Education of the University of Bern for its great assistance with meeting organization and logistics.
I’m looking forward to seeing all of you next May in Bern!
Sincerely,
Hans-Peter Weber, President,
The Academy of Prosthodontics
SPEAKERS AND MODERATORS
Urs Belser, SUI
Urs Braegger, SUI
Larry Brecht, USA
Daniel Buser, SUI
German Gallucci, USA
Charles Goodacre, USA
David Gratton, USA
Christoph Hämmerle, SUI
Ronald Jung, SUI
Robert Kelly, USA
Kenneth Malament, USA
Carlo Marinello, SUI
Konrad Meyenberg, SUI
Dean Morton, USA
Carlo Poggio, ITA
Harold Preiskel, GBR
Anton Sculean, SUI
John Sorensen, USA
Clark Stanford, USA
Joerg Strub, GER
Hans-Peter Weber, USA
Nicola Zitzmann, SUI
FRIDAY, MAY 16
08:40 – 12:45 SESSION 1
14:00 – 17:45 SESSION 2
18:00 SSRD Cocktail Reception
SATURDAY, MAY 17
09:05 – 11:05 SESSION 3
12:30 – 14:30 SESSION 4
More Information: www.ccde.ch
International speakers impressed the audience with their scientific knowledge on the international podium on the first day of the congress, among them Dr Keiichi Naruse, Dr Shohei Ikeda and Yoshishige Taniguchi from Japan. The following excerpts provide a summary of their enlightening speeches.
**Three types of mandibular bone resorption and their respective bone augmentation techniques for successful dental implant treatments**
*Dr Keiichi Naruse*
With reference to older and the latest research, particularly Naruse et al., I share my opinions and experience on bone augmentation techniques according to the condition of the bone or degree of bone resorption.
Bone augmentation in patients with resorbed mandibular ridges due to severe periodontal disease requires the use of advanced techniques. Mandibular bone resorption and the respective bone augmentation techniques are divided into three types based on the condition of severely and vertically resorbed mandibular ridges. One bone augmentation technique entails using non-autogenous bone. I agree with other researchers that autogenous bone, owing to its osteogenic, osteoinductive and osteoconductive abilities, is preferred as a bone replacement material in bone augmentation. However, I am also aware that this invasive technique may cause subsequent infection in the donor site. Therefore, in order to perform minimally invasive surgery, I performed 15 mm bone augmentation without using autogenous bone and the case was successful.
**Reference**
K. Naruse et al., “Advanced alveolar bone resorption treated with implants, guided bone regeneration, and synthetic grafting”, *Implant Dentistry*, 19/6 (2010): 460–7.
**Effect of metal artefacts on the visualization of perimplant anatomy in cone-beam computed and volumetric tomography images**
*Dr Shohei Ikeda*
The objective of this study was to assess the effect of metal artefacts on the confidence levels of observers in the analysis of cross-sectional peri-implant anatomy in the buccolingual plane using CBCT and volumetric tomography (VT).
The VT machine used was OP200 D (Instrumentarium Dental) and the CBCT machine was 3DX (Morita). ITI implants (Straumann; Ø 3.8 mm, L 15 mm) were used. A 2:1 mixture of plaster of Paris and sawdust was used to simulate the bone block. Metallic posts (Ø 2 mm, L 2.5 mm) were used to simulate the...
metal objects to generate the artefacts on the image. The implant was placed in between two metallic posts of similar diameter in the same line separated by equal distances in the simulated bone block. Fourteen different combinations were prepared using two posts to simulate the possible locations of such posts in vivo. Thus, prepared blocks were then used to record the images using both modalities by adjusting the exposure parameters to the density of the simulation device. The images obtained were analysed by five oral radiologists and their confidence levels regarding their assessment of the images were recorded for both modalities. The observers were asked to score the images in the central regions of the implants. A visual grading characteristics analysis was carried out to assess the relative confidence levels of observer responses for both modalities to determine their statistical significance. The assessment of peri-implant anatomy using CBCT was significantly better in the central region of the implant in comparison to VT, whereas in the periphery of the implant region both modalities performed similarly.
A recovery case with maxillary sinusitis and inferior alveolar nerve paralysis
Yoshishige Taniguchi
This case report presents a four-year follow-up of an implant recovery case caused by inappropriate implant therapy owing to insufficient examination and diagnosis, which was resolved by the removal and replacement of the implants with new implants.
Case description
A 62-year-old male patient complaining of implant movement and discomfort while eating first visited our clinic in March 2007. He had maxillary sinusitis on both sides and implants in positions 15–17, 25–27 and 45 with severe peri-implantitis. The screw was loosening in implant 17 and the implant fixture in position 25 was fractured. Other complications were that patient had inferior alveolar nerve paralysis on the right side of the mandible and fluid leaking from the nasal passage after drinking. The patient had always felt extremely dissatisfied with his dental treatment. He desired retreatment with new implants. Our clinical examination of both maxillary sinuses found that they were packed with non-absorbable bone substitute from the implant site; this was the cause of the sinus infection. The patient underwent radical maxillary sinus surgery, and all the implants and a loose tooth were extracted at a university hospital. After nine months (January 2008), new implants (NobelSpeedy Groovy; Nobel Biocare) were placed in positions 47, 44, 42 and 32 in our clinic. An implant with a 15 degree tilt was placed in position 44. At same time, absorbable bone substitute was used to avoid the mental foramen and owing to the severely atrophic alveolar ridge. In October 2009, new implants (NobelSpeedy Groovy) were inserted into the maxillary alveolar bone in accordance with the All-on-4 concept. A provisional prosthesis was then made from acrylic resin and seated on the same day.
Results and discussion
The final prostheses were fabricated six months from the day of surgery. The patient’s complaints have been resolved and the final prostheses for both jaws are stable. Applying the All-on-4 concept in the maxillae and implant tilting in the mandible are the best methods available for implant recovery cases for patients for whom sinus augmentation is impossible and who have a severely atrophic alveolar ridge around the molars in the mandible.
More than 500 attend ISOI annual meeting in Tokyo
Author: Dr Rolf Vollmer, Germany
International Society of Oral Implantology (ISOI) President Dr Naotaka Sugiyama, Vice-President Dr Yamawaki, Conference President Dr Tomohiro Ezaki, and Prof. Shoji Hayashi from the Kanagawa Dental College in Yokohama hosted a superb conference in Tokyo in Japan on 16 and 17 November 2013. In his opening speech, Sugiyama highlighted the importance of collaboration with the German Association of Dental Implantology (DGZI) and of scientific exchange between the two partner associations for the Japanese members, who hold German dentistry standards in high regard, especially in the field of oral implantology. The ISOI, which has more than 1,000 members, established the DGZI Japan Section in 2007.
Before presentations started on the first morning of the meeting, Sugiyama reviewed the association’s activities and relevant information over the last year, among this was the participation of ISOI board members in the October 2013 DGZI congress in Berlin in Germany. The ISOI and DGZI reaffirmed their partnership for the exchange of scientific and technical information in dental implantology today and in the future. Sugiyama gave a warm welcome to the DGZI’s newly elected president, Prof. Heiner Weber, Medical Director and head of the Department of Prosthodontics at the University of Tübingen, and expressed his hope for further close co-operation.
The ISOI President announced the DGZI 2014 congress to be held in Düsseldorf in Germany on 26 and 27 September 2014. Hestated that he was looking forward to many of the ISOI’s friends and colleagues taking part. He stated that if enough colleagues from Japan attended it would be possible to offer simultaneous interpreting into Japanese for the presentations. In addition, he encouraged ISOI members with an authority in implantology certificate or a clinical certificate from the ISOI to become an expert or specialist in implantology through the DGZI. Before the congress began, the German guests had the opportunity to witness the high standards of the written and oral examinations for the authority and clinical certificates.
The main congress topics were the opportunities and risks of aesthetic, surgical and prosthetic implantology, as well as the use of dental CT or CBCT, anaesthesiology and otorhinolaryngology. Lectures for hygienists and dental technicians were held in parallel.
The Japanese speakers discussed both their most successful and failed clinical cases.
The DGZI was represented at the ISOI annual meeting by Weber, DGZI Vice-President Dr Rolf Vollmer, board member Dr Rainer Valentin and Dr Mazen Tamiirni from the DGZI International Section in Jordan. Weber lectured on the minimisation of the impact of an implant restorative treatment on the patient using various patient cases. He stated that all kinds of dental therapies will potentially have an impact on our patients. The extent of this impact will depend on various factors, such as the professional positions of the patients; their physical, mental, and medical condition (this could affect compliance for example); and the complexity of the surgical and/or the restorative treatment. Parameters include the total length of the surgical and restorative treatment time, the number of appointments and the visibility of the treatment steps within the patient’s environment. The discomfort and pain caused by all of this will also have a bearing on the impact. Based on his more than thirty years’ clinical implant and restorative experience, he gave practical advice regarding how to perform, modify and combine different treatment steps, including medication, surgery and temporisation. The clinical conclusions and the take-home message captivated the audience.
The second German speaker, Dr Martina Vollmer (oral surgeon), gave a presentation titled “The SAC classification—From simplicity to complicated implant cases”. She stated “We are seeing more and more misadventures dealing with complex implant cases. The vast majority of these issues relate to a failure in the initial diagnosis. Diagnosis and decision-making are always the most difficult things to teach and convey. Although implant dentistry is now an integral part of many dental practices, most dentists receive, if at all, their education in implant dentistry after graduation, with little emphasis on the identification of the complexity and risks of treatment.”
Dr Martina Vollmer explained that SAC stands for Straightforward, Advanced, and Complex, and was first described by Sailer and Pajarola in 1999 as a method to categorise the degree of difficulty in oral surgery. The SAC classification has applications in aesthetic, restorative and surgical situations. Establishing in advance how complex an implant case is can ensure there are no surprises in the course of treatment. If necessary, it can allow referral of the case to someone better able to perform the risky portion and return the case for the easier treatment. Dr M. Vollmer insisted that finding an appropriately qualified colleague to manage a particularly complex case can prevent catastrophic complications and a poor outcome.
The content of the plan of action and its implementation should be checked against reality periodically. Regardless of how well planned, things never work out quite as envisaged; too often real-time developments lead to detours from the plan. In order to minimise such occurrences, modern implantology diagnostic tools like CBCT and computer-assisted planning can be helpful in complex cases but never absolve you from your responsibility to the patient.
In addition to the papers presented, two workshops were held. Owing to the high request for the workshops both of them were fully booked with almost 40 participants.
In the first workshop, Dr Valentin introduced a new technique for harvesting autogenous bone, as well as various sinus lift techniques. As the range of indications for dental implants is quickly changing, even patients with thin crestal bone or poor bone quality can be treated.
**Congratulations for DGZI expert in implantology examination**
Drs Susumu Moriyama and Ryoichi Sakamaki, Japan, passed the German Association of Dental Implantology (DGZI) expert in implantology examination after successful completion of the International Society of Oral Implantology (ISOI) authority in implantology certificate in Japan.
Valentin explained that osteotomes compress cancellous bone to provide a better bone quality and thus a good primary stability of the endosseous implant. The technique is based on saving as much natural bone as possible. As drilling the pilot hole is always accompanied by bone loss, the use of hollow osteotomes is recommended to combine the advantages of conventional osteotomes with the simultaneous removal of bone at the implant site. The sharp edges of the hollow instrument can manually be pushed or inserted into the alveolar bone with gentle taps on the proximal end of the working element when the jawbone is relatively soft, such as in areas of D3 or D4 bone (according to Misch’s classification).
Valentin emphasised that a low risk of overheating the bone compared with the use of rotating instruments is another advantage, particularly when using navigation templates.
Meeting attendees later tested the various techniques, including direct and indirect sinus lift, on artificial specimens and were impressed with the easiness of these techniques.
Attendees were also very interested in the second hands-on workshop. The workshop presenters, Tamimi and M. Vollmer, demonstrated a surgical technique in which the inferior alveolar nerve is placed in a posterior position to increase the ability to place longer implants in a mandible in which there is significant resorption of the posterior ridge. Tamimi gave a clear theoretical introduction to the topic, and with M. Vollmer demonstrated the procedure step by step with the aid of a video. Although Tamimi explained that the procedure has limited application, attendees made use of the practical part to refresh their specialist knowledge of the anatomy of the mandible by performing the nerve transpositioning technique on porcine jaws.
The Japanese colleagues were very interested in sharing in the DGZI’s vast experience and in adopting its successful educational design. At present, this type of postgraduate education is not offered anywhere in Japan; however, Hayashi has proposed the implementation of the first implantology curriculum in Japan at a private university in Yokohama.
All attendees of the ISOI conference in Japan were met with great hospitality, and there was an exceedingly positive overall attitude towards the DGZI, which bodes well for continued successful collaboration and scientific exchange. The boards of both associations agreed that the ISOI meeting in Japan and the DGZI congress in Germany should be set events in the calendar for both societies in future.
Weber stated the following in his closing speech: “Annual meetings of professional societies tend to become routine. However, two factors can prevent this from happening: the topic to be discussed and the people who are to meet each other. Dental implantology is always developing, practically guaranteeing that there is something new to be discussed and to learn. The people we met at this meeting are very active, open-minded and internationally oriented. Thus, such a meeting does not only affirm old friendships, but is also a good opportunity to meet with new colleagues and to establish new friendships.”
Having been in contact with Japanese colleagues in private practice, as well as working at various universities, I am very happy and honoured to be part of such a meeting as organised by the ISOI this year. From experience, I can say that Japanese organisation and hospitality are unsurpassed in the world. I would like to thank the ISOI organising committee for all its fruitful efforts to make this meeting another success. In addition to these acknowledgements, I would like to express my sincere best wishes not only for this meeting, but also for the continued outstanding relationship between our two societies.”
Sugiyama’s and Weber’s closing invitations: “Looking forward to a meeting with all of you and thanking you again on behalf of the board and members of our society, we hope to see many colleagues from Japan at our meeting this year in Düsseldorf on 26 and 27 September.”
“We invite all our DGZI friends from Germany to join us in Japan on 15 and 16 November in Osaka to experience the warmth and hospitality of the Japanese people and colleagues. So, we hope to see you in Düsseldorf, Germany, and in Osaka, Japan.”
Gingival implant supports
Reduction of cluster headache
Cluster headache is one of the most severe forms of headache. It is usually unilateral and occurs mostly around the eye or in the temple. Attacks last up to several hours. In many people, cluster headache leads to a significant loss of quality of life. A new type of cluster headache treatment is the stimulation of the sphenopalatine ganglion (SPG). The ATI Neurostimulation System stimulates the SPG in order to break the pain cycle. The neurostimulator, which is the size of an almond, is inserted through a small incision in the gingiva and programmed by the physician. As cluster headache occurs unilaterally, the implant is inserted on the relevant side. The surgery is performed under general anaesthetic and takes about an hour.
The patient can control his or her therapy independently via a remote control. When a cluster attack occurs, he or she holds the device against the cheek to activate the implant. This stimulates the SPG and abates the attack. In many patients, the frequency of attacks decreases permanently.
The effectiveness of the ATI Neurostimulation System has been clinically proven in the most comprehensive medical study on cluster headache. With the ATI neurostimulator, 82 per cent of all attacks—even medium to severe—can be treated effectively, the manufacturer, Autonomic Technologies, stated. In 46 per cent of patients, the attack frequency was reduced significantly—from an average of 14 down to two attacks per week. The ATI Neurostimulation System has been introduced at nine clinics in Germany and is in use in Belgium.
Dental implants and prostheses
Market worth more than $9 billion by 2018
The global market for dental implants and prostheses is estimated to be worth $9.1 billion by 2018, Market sandMarkets, a US-based market research and consulting company, has announced. This means a 30 per cent increase compared to 2013, when the market was estimated to be worth $6.4 billion. The market is driven mainly by the rising edentulous population, increasing adoption of advanced dentistry in developed countries, the increase in disposable incomes, and increasing awareness of dental care.
Despite the increase, the economic slowdown and limited reimbursement are factors that inhibit the growth of the market to a certain extent, the company explained in a press release. Despite competitive pressure from local players, the key contributors are expected to retain their leading positions in the global market. This is primarily supported by continuous investment by these companies in research and development and by their strong global presence. Therefore, the top three companies are expected to maintain their positions with around 50 per cent share of the dental implants market in the next few years. The major players in this market include Liechtenstein-based Ivoclar Vivadent, Swiss companies Nobel Biocare and Straumann, as well as US manufacturers DENTSPLY International, Zimmer Dental, BIOMET 3i, BioHorizons and 3M.
The complete report, titled “Dental Implants & Prosthetics Market (Implants, Crowns & Bridges, Dentures, Abutments) Current Trends, Opportunities & Global Forecasts to 2018,” which discusses the key market drivers, restraints, and opportunities of the global implants and prostheses market, as well as its submarkets, can be purchased online.
Could chewing gum prevent implant failure in the future?
About 6 to 15 per cent of patients suffer from peri-implantitis, inflammation that destroys soft and hard tissue surrounding the implant after placement. It is known that the concentration of matrix metalloproteinase-8, an enzyme that is also responsible for periodontitis, increases significantly when inflammation around the dental implant arises. Prof. Lorenz Meinel from the Institute of Pharmacy and Food Chemistry at the University of Würzburg explained that this increase could be identified through a special chewing gum using a small peptide chain that is bound to a bitter-tasting compound. Once enzyme concentrations in a patient’s saliva exceed a certain level owing to complications with the implant, the peptide chain will snap, releasing the bitter compound. In the future, special chewing gum could be part of post-operative care in addition to routine check-ups. Patients would have to contact their dentist upon recognising the bitter taste.
In addition to the development of the chewing gum, the researchers are considering developing a coating that uses the peptide chain system and can be applied to the implant directly.
The project will be carried out in collaboration with Swiss dental implant manufacturer Thommen Medical and various other European companies and scientific institutions. The research has received funding of €1 million for two years from the European Union.
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HIEIZAN & BIWAKO
A corridor of mountain, water and shine
Hieizan – at the roots of Japanese Buddhism, Extolled as a "temple at the foundation of Japanese Buddhism"
Situated on the boundary between Shiga and Kyoto prefectures, Hieizan forms a beautiful belt of five peaks. It stretches about 16 kilometers north and south, and its highest peak is Oobie, which rises 948 meters above sea level. It is famous for its Buddhist heritage, and the whole of it lies within the precincts of Enryakuji Temple, whose grounds proper are spread over an area of about 100 square kilometers centered around Oobie.
At the foundation of this sacred mountain is Enryakuji Temple, whose construction dates from 788, when the monk Sinechou, who founded the Japanese school of the Tendai sect and his disciple Jisso built the first temple (the Kondo, or Great Teacher and Transmitter of the Dharma), built the Ichigo-ji-kanin (which later became the Konpon Chudo) here. Thereafter, eminent monks such as Ennin, Echim, and Bougen erected many other structures thanks to the three areas of Tsuchi, Sato, and Yokana, and the temple prospered.
At its height, Enryakuji was a center of study for more than 3,000 monks and produced many illustrious ones, including the founders of different sects and schools of Buddhism, including Honen, Eisai, Dogen, Shinran, and Nichiren. It is also considered the cradle of Japanese Buddhism. The Tendai monk Jisso, whose work is included in the "Hakunin Isho" classic anthology of poems by 1,000 poets, also received Hieizan as Japan's most sacred mountain. "When there are many mountains in the world, when we speak of the mountain, we mean only the hallowed Hieizan."
Another of the appeals of Hieizan is its rich natural environment. Because it was long a sanctuary as a sacred mountain, it retains plenty of pristine natural settings even today. Offering many scenic views, it looks down on Lake Biwa, the biggest freshwater lake in Japan, to the east, and the streets of Kyoto, the ancient capital, to the west.
Visitors are charmed by the twittering of wild birds in spring and soothed by its clean air, which is cooler than that in the plain below; in summer, when the foliage is a brilliant green. Autumn turns the maple leaves scarlet over the whole mountain, and winter is a full-blown winter wonderland, which wraps it in pure white snow. It therefore presents a different aspect that will surely delight the senses in any season.
Biwako, Japan’s biggest lake, Giving birth to life and bounty
Boasting both the largest surface area and amount of water of all Japanese lakes, Biwako is located about 10 kilometers east of Kyoto. It has a total area of about 650 square kilometers and a circumference of about 235 kilometers. It is one of the most popular lakes in the whole world and the oldest in Japan, It has a rich ecosystem formed in the distant past, and is a habitat for a remarkable species of 1,000 different species of fish. Among the 1,000 species, 100 are endemic species and can be found worldwide only in Biwako. It is also a precious destination for migratory waterfowl, and was designated as a wetlands on the registry of the Ramsar Convention in 1993.
Biwako is a rare case even in the global context: while a natural haven for wildlife, people have long lived and worked near its shores. It is a mystical lake in the sense that it nurtures the lives of a truly large population of fish, flora, flora, and human beings.
From ancient times, the touring or pilgrimage routes from Hieizan to Biwako, and from Biwako to the temples on Hieizan, were popular ones for dynamic experience of all elements: magnificent mountain, earnest temple, and the gentle flow of time. The Biwako’s waters, and the profound glow of lights in holy Buddhist precincts. Now is precisely the time for an excursion to this sacred Buddhist ground and a motherland in a district whose enchanting allure transcends space and time.
Viewed from Biwako, Hieizan awes all with its splendor. And viewed from Hieizan, Biwako captivates hearts with the sheer beauty of its mirrored waters. Hieizan can be reached from Kyoto by Enryakuji Cable Car, by train to the Yae-Hiiragi-guchi Station, and from Shiga by the Sukamoto Cable Car or the Hieizan Driveway, which is also convenient. On any route, the scenery outside the window can be seen only here and delivers a special delight.
Hieizan Enryakuji Temple
To-do area
The To-do (Eastern Puradai area) is the birthplace of Enryakuji Temple, which was established by Saicho. It contains the Konpon Chudo-Hall, which is the temple’s main building, and lies at the nucleus of its sprawling grounds, which encompass about 150 edifices scattered over Mount Hiei and 26 valleys, known as a “Soto” (meaning “three” or “triple” meaning “three pagodas and 36 valleys”). Apart from the Konpon Chudo-Hall, this area is the site of an array of other important buildings such as the Dai Ko-do (Great Lecture Hall), which is dedicated to the founders of various Buddhist schools and sects, and the Amida-do Hall. In addition, there is also the site of the Enryakuji Bus Center, which offers shuttle bus service between Mount Hiei and the Saito and Yokawa areas as well as regular buses to central Kyoto. Visitors can also ride the Sakamoto Cable Car to Mount Hiei, which is the site of the ancient Hiei. The To-do precincts likewise contain Enryakuji Kankan, which often meals, lodging, and even experience of ascetic practice (reservations are required).
This is the most important temple building on Mount Hiei. It grew out of the Dai-ko-do (Great Lecture Hall) Meditation Temple, which was built by Saicho in 807, but it was not until 1400 that the present structure was rebuilt. The current structure was completed in 1842 at the order of the 12th abbot, Shōtoku, who had it built to serve as a national museum, and the curricula of an important cultural property. The principal image is a large statue of Amida Nyorai, the leading Buddha and was reportedly carved by Saicho himself at the time of the temple’s construction. The statue is said to be able to emit light to burn, without being extinguished even once, for over 1,200 years, and is known as the “Eternal Light.”
This training hall dedicated to the souls of ancestors was built in 1935 to commemorate the 1,200th anniversary of the establishment of Enryakuji Temple. The name comes from the phrase “Shinshu no Shinshu” (Australia, the Buddha of Infinite Light), and “Nenbutsu” (the name of the Buddha). It is based on “memories” showing of the Buddha’s teachings, and is a place where monks perform great prayers for the repose of ancestral souls. In the center of the hall is a large stone water earthen pot into which water is allowed to drip, then the sound of the dripping water and the sounds have a distinctively Japanese charm.
This structure was rebuilt in 1982 next to the Amida-do Hall. Saicho erected the original building in 807 as part of his plans for the country’s spiritual renewal. The name of the plane was placed by his Eastern teacher, the Chinese monk Dainichi Nyorai and the four other monks who accompanied him. The interior holds a relic of the Buddha and a handwritten copy of the Lotus Sutra.
The Hokado and the Jodo-ho, two halls of the same form, are linked by a corridor. The name derives from the legend that Benkei, the famous warrior monk, carried the Jodo-ho on his back (hence the corridor on his shoulder “Jodo”). The principal image is that of Fugen Bosatsu, the Bodhisattva of Wisdom, and the Jodo-ho is flanked from the front and Amida Nyorai in the Jodo-ho on the left. This structure was designated as an important cultural property by the Japanese government.
In the middle of this area is the Shaka-do, the main building. It lies about 1 kilometer north of the Eastern Pagoda, and was founded by Eschu, the founder of the Tendai sect, who was given the name “Shaka” (Buddha). It additionally contains the Ninna-do, which is a hall for 8- to 10-day retreats, and the Jokuden, a monument for Saicho. Visitors will also find the Shaka-do’s restroom facility for the general public, where they can experience ascetic practices themselves (reservations are required).
This is the main hall of the Sai-to area, and is named after the statue of Shaka Nyorai (Shakyamuni, the historical Buddha, which is said to have been brought by Saicho himself). The Konpon Chudo-hall, which was relocated here from Mii-dera Temple in Otsu by Saicho, was destroyed by fire in 1180. In 1185, during yet another warlord, attacked and set fire to Enryakuji, it is the oldest of the temple’s buildings. It was designated as an important cultural property by the Japanese government.
Lake Biwa, Japan’s biggest lake, offers different types of enjoyment depending on the purpose of the visit. The assortment includes dynamic lake leisure activities, exploration of tradition and historical sites, and enjoyment of distinctive fish dishes and lakeside resorts. The center of tourism in Shiga Prefecture on all concentrated along the banks of Lake Biwa.
Filled with lush greenery, this park is situated around Biwako Otsukan and stretches along the banks of Lake Biwa. On its grounds is an English-style garden that is planted with trees and flowers. The park is a popular spot for picnics, and visitors are encouraged to take an exhilarating stroll through the garden as bees buzz waft over from the lake.
The port is the terminal for cruises on the lake by the Michigan and other ships. It also offers trips on cruise ships and high-speed boats to the three islands in Lake Biwa: Chikubushima, regarded as a sacred site; Takashima, where there is a strong precinct; and Shikishima, which is a charming fishing grounds.
This cultural facility is housed in the main building of the old Lake Biwa Hotel, which was built in 1934 and was the first hotel for international tourists in Japan. The building has been renovated and modernized, and the elegant edifice won the favor of many distinguished visitors from inside and outside Japan. It now houses a restaurant, a bar, a lounge, a gift shop, and other facilities. Visitors also love its charming English-style garden.
Enjoy a leisurely meal and show on the 80-minute Michigan 80
Enjoy a lighter excursion around the lake on the 60-minute Michigan 60
Enjoy the night view, evening meal and a show on the 150-minute Michigan Night
Hours: April - September 9:00a.m. - 6:00p.m. / October, November, and March 9:00a.m. - 5:00p.m. December 11:00a.m. - 6:00p.m. / January and February, closed
Sakamoto prospered as a town that grew up in front of Enryakuji on Mount Hiei. The main streets located on the left and right sides of the street leading up to the Hiyoshi Taisha are also the “birthplace” of many famous temples and shrines, for those who had undertaken much prayer on Mount Hiei. Some of the “births” have splendid gardens in the Momoyama style. Each year, tours of these gardens are held during the Golden Week holiday period in May.
1 Hiyoshi Taisha Shrine
Said to have been established about 2,000 years ago, the Hiyoshi Taisha Shrine is one of the three most important Shinto shrines (the other two are Ise shrine nationwide). It has been designated as a national treasure and is also a World Heritage Site. The grounds of the shrine and its grounds are planted with some 350 maple trees, and it is also a favorite spot for viewing autumn colors. In fall, it is thronged with visitors who come to see the prisms of color.
- Adults: 350 yen/children: 150 yen
- 9:00 a.m. – 4:30 p.m. / 4:30 p.m. (inspection desk)
2 Sakamoto Cable Railway
The Sakamoto Cable Railway provides transportation between the station at the base of Mt. Hiei and the summit, about 11 minutes and has an operating distance of about 2 kilometers, the longest in Japan. The cable car station at the Sakamoto Station on Mount Hiei is on the list of 100 prominent stations in the Kinki region. The station was built in 1892, venerable and beautiful. The Sakamoto Station has been designated as a tangible cultural property by the Japanese government.
- Adults: 650 yen / 500 yen – 4:30 p.m.
3 Shigain Monzeki Temple
Up until the end of the Edo era (1603 – 1867), this temple was the residence of generations of priests who headed the Tendai sect at Enryakuji. The temple’s main hall, which is the largest in the area, contains an inner temple, “shoin” study, stonehouse, and other facilities. The temple is particularly noted for the paintings on the partitions of the shoin, which are considered to be of the Kano school and the garden designed by Kobori Enshu (Masanobu).
- Adults: 650 yen / 500 yen – 4:30 p.m.
1 Yokawa Chu-do
This is the main hall of the Yokawa area, and is also known as the Konpon Kanmoto-do Hall. It is distinguished by its overall resemblance to a ship’s ship’s deck in its “butsurinkai” architecture. The name “Chu-do” means “in the center,” and it refers to the building’s location in the center of the temple grounds. It was constructed in 1942. It was restored in 1971 in conjunction with services to commemorate the 1,350th anniversary of the death of the great priest Saicho, and is one of the 100 temples dedicated to Kanmen (Amida-bosatsu), the Buddhist goddess of Mercy and Compassion in western Japan, and is counted as one of the 108 so-called “power spots” (spiritual places) in the Chizu district.
2 Konpon Nyoho-to
The Konpon Nyoho-to is said to have originated with a small pagoda built to hold a statue of Amida Buddha. The pagoda was enlarged over a period of three years or more after his death, and was completed when he was aged 40. Plumed in brilliant vermilion, the current structure was built in 1935.
3 Ganzan Daishi-do (Shiki ko-do)
The Shiki-kodai (Lecture Hall) was once the residence of Ryogen, who was given the title “Jie Daishi” (Great Master) by Emperor Go-Daigo. It is also known as the “Ganzan Daishi-do” (Ganzan’s Memory room) of Enryakuji. In name derives from the fact that, at the order of Emperor Murakami in 967, the temple was renamed Ganzan-ji, and the temple grounds were expanded. It is also the birthplace of “omikuji,” the fortunetelling slips of paper reportedly devised by Ryogen. Visitors can receive an omikuji depicting Tenno Daishi to use as a charm to ward off demons.
- Admission fee
All areas
Adults: 150 yen
Junior and senior high school students: 500 yen
Elementary school students: 300 yen
- Hours
To-do area
March - November: 8:30 a.m. – 4:30 p.m.
December: 9:00 a.m. – 4:00 p.m.
January - February: 9:00 a.m. – 4:30 p.m.
Sai-to & Yokawa area
March - November: 9:00 a.m. – 4:00 p.m.
December: 9:30 a.m. – 3:30 p.m.
January - February: 9:30 a.m. – 4:00 p.m.
- To-do area
*No admission after 30 minutes before closing time.
*The entrance fee may be higher in winter due to snowfall.
The summit of Mount Hiei affords a panoramic, 360-degree view encompassing both the streets of Kyoto and Lake Biwa in Shiga Prefecture, and overwhelms the viewer with its spectacular beauty. Because it is 848 meters above sea level, the temperature is 1.5 degrees lower than that of the city of Kyoto. It is especially cool in summer. The summit is therefore also a popular spot for refreshing respite from the summertime heat.
1 Garden Museum Hiei
At this lovely museum, containing an entire European landscape garden whose design was planned to be the art of the French Impressionists in a garden al fresco with flowers in bloom. It also contains a large collection of Japanese art. The museum is a good place for taking a rest or shopping for unique gifts. The garden offers excellent views of Lake Biwa and the city of Kyoto.
- Admission fee
Visitors of junior high school age or over: 1,200 yen
10:00 a.m. – 5:30 p.m. (No admission after 5:00 p.m.)
*Closed in winter
☎ 075-205-7733
www.garden-museum-hiei.co.jp
2 Eizan Cable / Eizan Ropeway
The Eizan Cable Car makes it easy to reach the summit of Mount Hiei from Yase. The distance of 1 kilometer of the Eizan Cable Car and Cable Hiei station to the summit takes 9 minutes. A difference of 400 meters in elevation over such a short distance is the greatest in all Japan. Passengers enjoy panoramic views of the surrounding countryside, including the cherry blossoms in spring and scarlet maple leaves in fall. From the terminus of the Cable Car, it is possible to walk up the mountain for the rest of the journey to the summit, which takes about 3 minutes.
- Hours
9:00 a.m. – 5:30 p.m. (No admission after 5:00 p.m.)
*Closed in winter
☎ 075-205-7733
www.garden-museum-hiei.co.jp
3 Yumenigaoaka
Yumenigaoaka’s lookout point provides spectacular views in the direction of Kyoto and Lake Biwa. It has a café and restaurant, and is a good place for children, including a cycle monorail that makes riders feel as if they are pedaling in midair.
- Hours
9:00 a.m. – 5:30 p.m. (No admission after 5:00 p.m.)
*Closed in winter
☎ 075-205-7733
www.garden-museum-hiei.co.jp
A Hoshino Resort L’Hotel de Hiei
A favorite with guests and, this subterranean hotel is nestled in the heart of Mount Hiei. Its pride is its dining fusion the culinary culture of Kyoto and the local area. The hotel’s French cuisine, which surprise and delight its customers, is complemented by the views of the stars at night and the waves of Lake Biwa reflecting the moonlight.
- Hoshino Resort Reservation Center
☎ 0570-073-022 (9:00 a.m. – 8:00 p.m.)
hr.hotel-hiei.jp
B Enryakuji Kaikan
The Kaikan offers lodgings close to Konpon Chu-do. It has a restaurant and meeting rooms with a distant view of Lake Biwa, others facing the temple grounds, and still others looking out to the front of the Konpon Chu-do, and yet others with a mind of cedar trees outside the windows. It also has a lounge where guests can enjoy various vegetarian temple cuisine, and guests can relax in the garden.
- 077-579-4182 (9:00 a.m. – 5 p.m.)
ywkbks.jp
C Biwako Hotel
All rooms have a view of Lake Biwa, so guests can enjoy Lake Biwa’s scenery throughout their stay. The dishes served in its restaurant are made using locally produced ingredients specially chosen by the chef. The restaurant’s menu features a high degree of freshness and indulges with the use of fresh fish. The hotel is equipped with a natural pool, too.
- 077-571-7111
www.biwako-hotel.co.jp
D Ogoto-Onsen
Situated to the west of Lake Biwa, this hot spring facility has long been popular as the resort town of Ogoto Onsen. All of the accommodations offer water from the natural hot springs. With its mineral water that is highly alkaline, simple hot spring whose waters contain a high concentration of calcium and muscular pain, among other ailments.
- Ogoto Onsen Kanko Park
☎ 077-578-3730
www.ogoto-onsen.com/
Guide of a stay
The information presented here is as of January 2018. Please note in advance that it is subject to change, depending on the circumstances.
Hieizan-Biwako<Corridor of mountain, water and shine>
https://www.hieizan.gr.jp/
Hieizan Enryakuji
https://www.hieizan.or.jp/ |
FREE!
LIBRARY GUIDE
JUNE TO AUGUST 2017
Welcome to the summer 2017 edition of your library guide! Inside you’ll find information on upcoming programs for children, teens and adults, as well as details on registering for a library card, loan periods, how to connect with us, and more.
We’re proud to serve residents in the City of Prince George and the Regional District of Fraser Fort George. We strive to provide programs, services and collections that enrich and engage our community, and Six for Summer: a Radio Book Club is meant to do just that.
Throughout the summer, we’ll invite the community to join us in reading six books that explore and challenge what it means to be Canadian. A weekly podcast will feature community members and library staff as they examine each book. This initiative is made possible by the Community Fund for Canada’s 150th, a collaboration between the Prince George Community Foundation, the Government of Canada, the City of Prince George and extraordinary leaders from coast to coast to coast. Learn more by visiting www.pgpl.ca.
Little library users ages 5-9 will want to take A Walk on the Wild Side with the annual summer reading program! Children are invited to join in the fun with activities, stories, contests and special events which will help them maintain or exceed their reading levels during the summer.
Finally, the Prince George Public Library publishes an Annual Report each spring that highlights our work from the previous year, shares statistics such as the number of items borrowed over a twelve month period, and includes our statement of operations. You can view our 2016 Annual Report on our website under the ‘About’ tab.
Thank you for connecting with us.
PRINCE GEORGE PUBLIC LIBRARY WELCOME
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CONTENTS
Library Information
Page 2-3 Welcome
Page 4-5 Hours & Info
Page 6 Library News
Page 7 Book Clubs, Storytime, Dr. Tech
Page 8-9 Summer Reading Program
Program Information
Page 10-11 Nechako Branch
Page 12-14 Bob Harkins Branch
HOW DO I GET A LIBRARY CARD?
To get a library card, fill out an application form (available at both library branches or online) and present one piece of identification showing your legal name and current address. Examples of preferred ID include:
- A valid driver’s license
- BC identification
- Any piece of personal identification (Status card or BC Services/Care Card) combined with proof of address (a piece of mail with your name and address)
NEW TO TOWN?
If you have just moved to the Prince George area and do not yet have a piece of identification that includes your new address, simply present one piece of personal identification and we will issue a temporary card. You then have one month from the registration date to provide proof of your new address and phone number.
CARDS FOR CHILDREN UNDER 12
A parent or guardian must present a copy of the child’s birth certificate or Care Card at the time of registration. Please note that parents assume responsibility for items borrowed by their children and are required to sign a statement of responsibility at the time of registration. A parent/guardian whose own library account is not in good standing cannot sign for a child’s library card.
LIBRARY HOURS
June 1 to August 31, 2017
| | Bob Harkins | Nechako |
|----------------|----------------------|--------------------|
| 888 Canada Games Way | 6547 Hart Highway |
| Monday | 10 am - 9 pm | 10 am - 9 pm |
| Tuesday | 10 am - 9 pm | 10 am - 6 pm |
| Wednesday | 10 am - 9 pm | 10 am - 6 pm |
| Thursday | 10 am - 9 pm | 10 am - 6 pm |
| Friday | 10 am - 5:30 pm | 10 am - 9 pm |
| Saturday | 10 am - 5:30 pm | 10 am - 6 pm |
| Sunday | Closed | Closed |
WE’RE CLOSED
Jul. 1 & 3 Canada Day
Aug. 7 BC Day
*The Bob Harkins Branch, downtown, will be closed on Sundays from May 7th to Sept. 3rd
HAVE A QUESTION?
Info. Desk for Adults
250-563-9251 ext. 141
email@example.com
Info. Desk for Youth Services
250-563-9251 ext. 108
firstname.lastname@example.org
Checkout Counter
Bob Harkins Branch: ext. 100
Nechako Branch: ext. 300
email@example.com
CHECK THE BACK OF THE GUIDE FOR INFO ABOUT OUR LIBRARY LOANS & FEES
FIND US AT THE PARK ON JULY 1
Library staff will be at Lheidli T'enneh Memorial Park on Saturday, July 1st to kick off Six for Summer: a Radio Book Club. Sign up for a new library card or show us your current library card to claim a free book bag while supplies last. Learn more about the six books that we'll read this summer in recognition of Canada's 150th anniversary.
MEET IGNACIO!
We're pleased to introduce PGPL's new Public Service Manager, Ignacio Albaracin. Ignacio comes to PGPL from San Antonio Public Library where he worked as a Coordinator of Digital Library Services and as a branch manager. He was also a Branch Manager at DC Public Library. In 2015, Ignacio won a Mover & Shaker Award from Library Journal for his work in launching a digital checkout kiosk at the San Antonio International Airport. Please welcome Ignacio and his family to Prince George!
LIBRARY ANNUAL REPORT
One of the Prince George Public Library's strategic priorities is to communicate and celebrate the library's achievements and impact. You can find our new 2016 Annual Report on the website at www.pgpl.ca under "About". Learn about the projects we've worked on over the past year!
DOWNTOWN WALKING TOURS
Did you know that, in 1930, the City of Prince George commissioned a trestle ski jump on Connaught Hill made to Olympic standards? Do you know the story of the Strand Theatre thief? Once again, we're pleased to offer guided Downtown Walking Tours twice each week in July and August. Join our Heritage Project Assistant, rain or shine, to learn about the history of downtown Prince George.
SAVE THE DATE!
SEPTEMBER 22ND, 2017
The Prince George Public Library Board is proud to announce PGPL's new annual fundraising event, Plot Twist! This year's theme is Gatsby. Join us at the Bob Harkins Branch for a DJ & dancing, jazz from the 1920s & 30s courtesy of Zavan Trio, a cash bar & snacks, 1920s costumes optional. Tickets available July 4th at www.pgpl.ca.
WE'VE ADDED NEW TECH KITS!
Dot & Dash are a pair of programmable robots that are great for teaching children about coding. They can be programmed using free apps for a phone or tablet and record sounds, move around your home and more.
If you liked Snap Circuits, try Snap Circuits: Arcade. Over 200 projects including 20 build-and-play games.
## Dr. Tech at a Glance
| Day | Location | Event |
|-----------|-------------------|--------------------------------------------|
| Monday | Nechako Branch | Dr. Tech 3:30-4:30pm (Last Monday of the month) |
| Tuesday | Bob Harkins Branch| Tech Tutoring 4:00-5:00pm |
| Wednesday | Bob Harkins Branch| Computer Basics 10:30-Noon Free Registration (Last Wednesday of the month) |
| Thursday | Bob Harkins Branch| Tech Tutoring 10:00-2:00pm |
| | | Tech Tutoring by appointment 2:30-4:00pm Free Registration |
## Book Clubs at a Glance
| Day | Location | Event |
|-----------|-------------------|--------------------------------------------|
| Monday | Bob Harkins Branch| Monday Book Club 7:30-9:00pm |
| Tuesday | Bob Harkins Branch| Tuesday Book Club 7:30-9:00pm |
| Wednesday | Bob Harkins Branch| Wednesday Book Club 7:30-9:00pm |
| Thursday | Bob Harkins Branch| Thursday Afternoon Book Club 2:00-3:30pm |
For more details, check the specific branch program pages or visit our website at www.pgpl.ca
Share your thoughts on Twitter using #PGRReads
Six For Summer
A Radio Book Club
Community panelists including...
Nick Drazenovic
Lola-Dawn Fennell
Marnie Hamagami
Hira Rashid
Tune in to the panel on CFUR 88.7 FM or find the podcast at www.pgpl.ca
Books available on: hoopla Hoopla Overdrive At Your Library
WALK ON THE WILD SIDE
TOUCH A TRUCK: WILD ABOUT WHEELS
Touch a Truck is back! Celebrate the beginning of our Summer Reading Program in the Canada Games Plaza with big rigs, pickup trucks and emergency vehicles. If you love big wheels, come on down!
Friday, June 30 | 1:00-3:00pm | 0-9 Yrs. | Bob Harkins Branch, Downtown
SUMMER READING PROGRAM: WALK ON THE WILD SIDE
This year, children ages 5-9 will Walk on the Wild Side for 6 weeks during our Summer Reading Program. Join in the fun with activities, stories, contests and special events which will help children maintain or exceed their reading levels during summer break.
Tuesdays, Jul. 11 - Aug. 15 | 10:15-11:15am | 5-9 Yrs. | Bob Harkins Branch, Downtown
Wednesdays, Jul. 12 - Aug. 16 | 10:15-11:15am | 5-9 Yrs. | Nechako Branch, in the Hart
KIDS HELPING CREATURES
For the past 5 summers children have earned money for Kids Helping Kids projects just by reading. This year our Summer Reading Program theme is “Walk on the Wild Side” and children can earn money for a Kids Helping Creatures project just by reading.
Jul. 11 - Aug. 15 | 5-9 Yrs.
BIKE RODEO: RIDE ON THE WILD SIDE!
Bring your bike and your helmet to the library and Ride on the Wild Side! The Prince George Brain Injured Society (BIG) will be here to conduct a Bike Rodeo for children with their adults. Stations will be set up to help children have fun while learning the skills needed to operate a bicycle safely.
Friday, August 18 | 1:00-3:00pm | 5-9 Yrs. | Bob Harkins Branch, Downtown
**CHILDREN’S PROGRAMS**
**Summer Reading Program: Walk on the Wild Side**
Wednesdays, Jul. 12 - Aug. 16
10:15-11:15am | 5-9 | Free Drop In
This year children 5-9 will *Walk on the Wild Side* for the 6 weeks of our Summer Reading Program. Join in the fun activities, stories, contests, and special events which will help children maintain or exceed their reading levels during summer break. See Pg. 9
**FAMILY PROGRAMS**
**Family Legotime**
Thursdays, Jul. 13 - Aug. 17
2:00-3:00pm | 0-12 | Free Drop In
Little architects and engineers meet up for an hour of free play with our collection of LEGO.
**DOUBLE DIGITS 10-12 YRS.**
**Double Digits Challenge**
Jul. 4 - Aug. 15
10-12 Yrs.
Complete challenges and win awesome prizes! Pick up your challenge booklet at either branch between July 4 and August 15. See Pg. 11
**TEEN PROGRAMS**
**Teen Summer Challenge: Clue in to the Library**
Jul. 4 - Aug. 15
Teens
A library whodunit. Become a gumshoe and earn a chance to win weekly prizes, as well as a grand prize at the end of the summer! See Pg. 11
**ADULT PROGRAMS**
**Dr. Tech - Technical Tutoring**
Mondays; Jun. 26, Jul. 24, Aug. 28
3:30-4:30pm | Adults | Free Drop In
If you need assistance setting up any of your devices, drop in to one of these sessions. Dr. Tech and his volunteer tutors offer guided assistance and provide helpful tips on all manner of devices and software applications.
**Need to Register?**
Call 250-563-9251
Nechako: Ext. 300
CLUE in to the library
July 4 to August 15 | Teens
A library whodunit. Become a gumshoe and earn a chance to win weekly prizes as well as a grand prize at the end of the summer.
Each week a new challenge will be released, available at both branches or through our social media channels. For each challenge you complete, you will earn a clue so you can slouch your way to solving the mystery! Come into either branch for details or email firstname.lastname@example.org.
WALK ON THE WILD SIDE
DOUBLE DIGITS CHALLENGE
JULY 4 – AUGUST 15 | 10-12 YRS
Complete challenges and win awesome Prizes!
Pick up your challenge booklet at either branch between July 4 and August 15.
**CHILDREN’S PROGRAMS**
*See our website for the most up to date information on programs for 0-5 yrs.*
### 0-6 YRS
**Pride Storytime**
*Saturday, July 8*
1:30-2:00pm | 0-6 Yrs. | Free Drop In
Come to the library for a storytime with Heather and a special guest from the Pride parade.
### 5-9 YRS
**8, 9 Nerf**
*Friday, June 9*
5:15-7:00pm | 8 & 9 Yrs. | Free Registration
Especially for our youngest Nerf fans! Bring your own Nerf Launchers or borrow ours. Call early to register. Caregivers must stay on site.
**Minecraft**
*Tuesday - Friday, July 4-7*
2:00-3:00pm | 7-12 Yrs. | Free Drop In
Join other 7-12 year olds for Minecraft in the SkyLab. First come, first served, no registration.
**Summer Reading Program: Walk on the Wild Side**
*Tuesdays, Jul. 11 - Aug. 15*
10:15-11:15am | 5-9 Yrs. | Free Drop In
This year, children ages 5-9 will *Walk on the Wild Side* for 6 weeks of our Summer Reading Program. Join in the fun with activities, stories, contests and special events which will help children maintain or exceed their reading levels during summer break. See pg. 9
### Kids Helping Creatures
*Jul. 11 - Aug. 15*
5-9 Yrs.
This year our Summer Reading Program theme is “Walk on the Wild Side” and children can earn money for *Kids Helping Creatures* just by reading. See pg. 9
### Bike Rodeo: Ride on the Wild Side!
*Friday, August 18*
1:00-3:00pm | 5-9 Yrs. | Free Drop In
Bring your bike and your helmet to the library and *Ride on the Wild Side!* The Prince George Brain Injured Society (BIG) will be here to conduct a Bike Rodeo for children with their adults. Stations will be set up to help children have fun while learning the skills needed to operate a bicycle safely.
### 7-13 YRS
**8, 9 Nerf**
*Friday, June 9*
5:15-7:00pm | 8 & 9 Yrs. | Free Registration
Especially for our youngest Nerf fans! Bring your own Nerf Launchers or borrow ours. Call early to register. Caregivers must stay on site.
**Minecraft**
*Tuesday - Friday, July 4-7*
2:00-3:00pm | 7-12 Yrs. | Free Drop In
Join other 7-12 year olds for Minecraft in the SkyLab. First come, first served, no registration.
### Kids Learning Code
*Monday - Friday: Jul. 10-14, Jul. 17-21*
5:00-7:00pm | 8-13 Yrs. | Free Registration
Code is a language that tells computers what to do. Code powers everyday objects like phones, watches, microwaves and cars. Our week-long coding courses will offer a fun and interactive environment where children will gain valuable knowledge of coding and the ability to use block-based programming. Instead of simply learning to interact with technology, they’ll create it.
### CirqueWorks: Juggling Workshop
*Friday, August 4*
10:00-4:00pm | 9-12 Yrs. | Free Registration
CirqueWorks is as much about performance as it is about instruction, sharing skills and fun times! Enjoy a juggling show and workshop, then create and take home your own spectacular art props!
---
**FAMILY PROGRAMS**
### 0-9 YRS
**Touch a Truck: Wild About Wheels**
*Friday, June 30*
10:00-3:00pm | 0-9 Yrs. | Free Drop In
Touch a Truck is back! Celebrate the beginning of our Summer Reading Program in the Canada Games Plaza with big rigs, pickup trucks and emergency vehicles. If you love big wheels, come on down!
**Family Legotime**
*Thursdays, Jul. 13 - Aug. 17*
2:00-3:00pm | 0-9 Yrs. | Free Drop In
Little architects and engineers meet up for an hour of free play with our collection of LEGO.
---
Need to Register?
Call 250-563-9251
Children & Teen Programs Ext. 108
Adult Programs Ext. 141
CirqueWorks: Juggling Show
Friday, August 4
10:15-10:45am | 0-8 Yrs. | Free Drop In
Join the team from CirqueWorks for an exciting and attention-grabbing juggling performance! CirqueWorks travels across Canada year-round to share their love of juggling. This performance is perfect for children from preschool to age 8 and their families.
DOUBLE DIGITS 10-12 YRS.
Dads and Double Digits
Nerf Tag
Friday, June 16
5:15-7:00pm | 10-12 Yrs. | Free Registration
Celebrate Father’s Day early with our annual Nerf battle just for dads and their DDs. Bring your own Nerf launcher or borrow one of ours. This event fills up quickly, so register early.
Minecraft
Tuesday - Friday, July 4-7
2:00-3:00pm | 7-12 Yrs. | Free Drop In
Join other 7-12 year olds for Minecraft in the SkyLab. First come, first served, no registration.
Double Digits
Thursdays, Jul. 13 - Aug. 17
2:00-3:00pm | 10-12 Yrs. | Free Drop In
Make friends with other DDs while enjoying different library activities each week.
CirqueWorks: Juggling Workshop
Friday, August 4
10:00-4:00pm | 9-12 Yrs. | Free Registration
CirqueWorks is as much about performance as it is about instruction, sharing skills and fun times! Enjoy a juggling show and workshop, then create and take home your own spectacular art props!
Double Digits Challenge
Jul. 4 - Aug. 15
10-12 Yrs.
Complete challenges and win awesome prizes! Pick up your challenge booklet at either branch between July 4 and August 15. See Pg. 11
TEEN PROGRAMS
Teen Summer Challenge:
Clue in to the Library
Jul. 4 - Aug. 15
Teens
A library whodunit. Become a gumshoe and earn a chance to win weekly prizes, as well as a grand prize at the end of the summer! See. Pg. 11
Library QSA
Tuesdays: Jun. 6, 20; Jul. 4, 18; Aug. 1, 15, 29
7:00-8:30pm | Teens | Free Drop In
The Library QSA is a safe space for Lesbian, Gay, Bisexual, Transgender, Two-Spirit, Queer, Questioning, Straight teens and teens with LGBTQ families. Teen friends and allies are welcome. Open to all people in grades 8-12 in Prince George.
Mini FanCon
Friday, July 7
2:00-4:00pm | Teens | Free Drop In
Join other teens for everything FanCon at the Library! Cosplay contest, Anime screenings, video games, trivia and more.
Welcome Summer Nerf Tag
Friday, June 23
5:15-7:00pm | Teens | Free Registration
Celebrate sunny skies and lazy days with a rousing game of Nerf Tag between the stacks. Bring your own Nerf launcher or borrow one of ours.
ADULT PROGRAMS
Everyday Experts: Northern Bear Aware Society
Thursday, June 1
7:00-8:30pm | Adults | Free Drop In
The Northern Bear Awareness Society has been reducing conflict between people and bears in Prince George through education, innovation, and cooperation since 2000. Come to this presentation to learn ways to make our neighborhoods safer for both bears and humans. Sponsored by Enhance PG.
Dr. Tech by Appointment
Thursday, Jun. 1 - Aug. 31
2:30-4:00pm | Adults | Free Registration
Come visit Dr. Tech for technical assistance. Sign-up for 30 minutes of help with your computer, phone, e-reader, or other technical devices.
Dr. Tech - Technical Tutoring
Tuesdays, Jun. 6 - Aug. 29 | 4:00-5:00pm
Thursdays, Jun. 1 - Aug. 31 | 6:00-2:00pm
Adults | Free Drop In
If you need assistance setting up any of your devices, drop in to one of these sessions. Dr. Tech and his volunteer tutors offer guided assistance and provide helpful tips on all manner of devices and software applications.
Summer Saturday Needlecrafters
Saturdays, Jun. 3 - Sept. 2
10:00-4:00pm | Adults | Free Drop In
Bring a craft you’re working on or start something new in this cozy social gathering of needlecrafters.
**Writer's Lab**
Thursdays: Jun. 8, 22; Jul. 13, 27; Aug. 10, 24
7:00-8:30pm | Adults | Free Drop In
Ready to work on your writing with others? Drop in to share with this group of amateur and experienced authors. Meet, share, workshop, and exchange ideas in this creative atmosphere.
**Poetry Tour**
Thursday, June 15
7:00-8:30pm | Adults | Free Drop In
Join poets Genevieve Lehr and Wendy Donawa for a poetry reading featuring their books *Stomata* and *Thin Air of the Knowable*.
**Dr. Tech: Facebook Basics**
Thursday, June 22
7:00-8:30pm | Adults | Free Registration
New to the world of social media? Bring your device and your questions for an introduction to Facebook. Call us to register.
**Books on Tap**
Mondays: Jun. 26, Jul. 31, Aug. 28
7:00-8:30pm | 20-35 Yrs | Free Drop In
Runs on the last Monday of the month and meets at various pubs in Prince George. This is a drop in book club with no registration required. Email Darcie at email@example.com for books and locations.
**Dr. Tech: Basic Computer Classes**
Wednesdays: Jun. 28, Jul. 26, Aug. 30
10:30-Noon | Adults | Free Registration
This is a true starter’s class for the novice computer user. You’ll learn the basics from the ground up: definition of terms, what’s what in hardware, why that’s different from software and how to get where you want to go in finding online information quickly and correctly.
**Downtown Walking Tour**
Tuesdays: Jul. 4, 11, 18, 25; Aug. 1, 8, 15, 22
Thursdays: Jul. 6, 13, 20, 27; Aug. 3, 10, 17, 24
10:00-12:00pm | Adults | Free Drop In
Meet in the main lobby of the Bob Harkins Branch for a guided tour that will explore downtown Prince George’s fascinating historic sites. Please call 250-563-9251 to book a private walking tour or an indoor seated tour for your group of five or more. All tours are free.
**Six for Summer Kickoff!**
Saturday, July 1
11:00-6:00pm | Adults
Join us at Lheidli T’enneh Memorial Park on Canada Day as we kick off our radio book club! Register for a new library card or show us your valid PGPL library card to get a free commemorative book bag (while supplies last). Learn more about our Six for Summer bookclub picks.
**Six for Summer: A Radio Book Club**
Tuesdays: Jul. 4, 11, 18, 25; Aug. 1, 8
Adults
Join this community-wide conversation featuring six books that explore and challenge what it means to be a Canadian. Follow our weekly podcast made up of community members and library staff as they discuss each book. Weigh in on Twitter! See Pg. 8
*This initiative is made possible by the Community Fund for Canada’s 150th, a collaboration between the Prince George Community Foundation, the Government of Canada, the City of Prince George, and extraordinary leaders from coast to coast to coast.*
**Everyday Experts: Travel Tips for Vintage Travellers**
Thursday, July 6
7:00-8:30pm | Adults | Free Drop In
Exciting travel information, tips and instructions for the nimble-bodied 55+ souls seeking adventure.
**Dr. Tech: Introduction to Kijiji**
Thursday, July 27
7:00-8:30pm | Adults | Free Registration
Are you interested in buying or selling items using Kijiji classifieds? Learn how to use the Kijiji website and app.
**Reading Between the Wines**
Wednesday, August 2
7:00-8:30pm | 19+ | Free Registration
Enjoy a delicious menu of books that pair nicely with various wines. Join us for an evening of wine tasting as you explore our collection. Call to register. Sponsored by Theatre NorthWest.
**Hire Me!**
Thursday, August 24
10:00-2:30pm | Adults | Free Drop In
Join PGPL staff member Patricia, for an afternoon session on how to polish your resume, write an effective cover letter, and present yourself during an interview. Discover job sites that will help you get the job you want.
7:30PM
SEPTEMBER 22nd 2017
Plot Twist:
GATSBY
at the Bob Harkins Branch, Downtown
888 Canada Games Way
DJ & Dancing • Gambling • Live Music
Cash Bar • 1920s Costumes Optional
Tickets $45
Available beginning July 4th at www.pgpl.ca or either
Prince George Public Library Branch
A big thank you to our Gold Sponsor, NorCan Consulting LTD.
| Item Type | Loan Period | Item Limit | Renewal Limit | Daily Overdue Rate | Overdue Maximum |
|-----------------------------------------------|-------------|------------|---------------|--------------------|-----------------|
| Books, Graphic Novels, Magazines, Books on CD Music CDs, Video Games | 21 Days | unlimited | 2 | $0.20 | $5.00 |
| DVDs/Blu-Ray | 7 Days | unlimited | 1 | $0.50 | $10.00 |
| Book Express | 7 Days | unlimited | no renewals | $1.00 | $10.00 |
| DVD QuickFlicks | 3 Days | 3 | no renewals | $1.00 | $10.00 |
| Book Club Sets | 6 Weeks | 2 sets | no renewals | $0.00 | $0.00 |
| Storykits, KEVA Kits, Tech Kits | 21 Days | 3 | 1 | $0.20 | $5.00 |
| Interlibrary Loan Titles | 14 Days | 5 | varies | $0.20 | $5.00 |
Please check our website for the most up to date information |
Japan Research Activities in the GTR-7 Phase 2 amendment
Bio RID II seating proposal #2
JASIC/Japan
Nov. 6, 2009
1. Seating Condition Proposal
2. Seating Procedure Proposal based on variation study
3. Seating Procedure Proposal for smaller torso angle seat.
The dummy seating procedure should be modified from the IIWPG procedure as follows, as the actual seating angle is closer to the design torso angle. In addition, the dummy outputs are very sensitive to the static backset according to the simulation and test results.
1. Seat torso angle:
Design torso angle $\rightarrow$ 25 degrees
2. Backset tolerance:
+/-2 mm $\rightarrow$ +/- 5 mm.
3. Special adjustment in the case of smaller torso angle seat
1 Background of Design Torso Angle Proposal
Range of design torso angles used in different vehicle types
- Design torso angle is specified by typical driving posture for each type of vehicle and seating height. It is varied from 10° to 30°.
- For certain seat designs, 25° bears no relation to the real world seating position and in some cases may not even be physically achievable.
- Advise the use of the procedure specified in ECE17 Annex 3.
All other safety tests, including vehicle crash tests, are conducted with the design torso angle.
② Seating procedure variation effect study
JARI has conducted the following tests to confirm the effects of seating variation.
- Back set: +5mm, +10mm
- H-point: +5mm, +10mm
- Pelvis angle: +2.5°, -2.5°
Crash Pulse: Delta V 20km/h
Seat: Passive-type seat
## Seating procedure variation effect study
### Variation effect summary
| Test No. | HRCT | Hx Acc. | T1 Acc. | Upper FX | Upper FZ | Upper MY-Flx. | Upper MY-Ext. | Lower FX | Lower FZ | Lower MY-Flx. | Lower MY-Ext. | NIC | OC-T1 |
|-------------------|-------|---------|---------|----------|----------|---------------|---------------|----------|----------|---------------|---------------|-------|-------|
| 2008-B-01~05 (Ave.) | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 | 100.0 |
| 2008-B-06 (BS +5mm) | 103.1 | 107.7 | 98.7 | 123.5 | 111.9 | 104.7 | 100.0 | 111.9 | 121.9 | 124.6 | 114.4 | 118.2 | 104.7 |
| 2008-B-07 (BS +10mm) | 105.8 | 114.8 | 97.6 | 146.7 | 123.0 | 109.2 | 100.0 | 123.5 | 143.2 | 147.0 | 128.4 | 135.5 | 109.8 |
| 2008-B-08 (HP +5mm) | 100.9 | 101.9 | 96.0 | 111.6 | 99.2 | 104.2 | 100.0 | 101.4 | 102.1 | 105.7 | 105.0 | 103.4 | 99.8 |
| 2008-B-09 (HP +10mm) | 101.9 | 103.8 | 92.3 | 123.3 | 98.8 | 108.2 | 100.0 | 103.0 | 104.2 | 109.7 | 110.0 | 107.6 | 99.5 |
| 2008-B-10 (PA +2.5°) | 97.7 | 100.2 | 89.8 | 106.5 | 101.7 | 103.3 | 100.0 | 102.7 | 105.4 | 103.2 | 102.8 | 89.6 | 96.3 |
| 2008-B-11 (PA -2.5°) | 103.7 | 102.7 | 110.7 | 100.7 | 100.4 | 95.6 | 100.0 | 98.2 | 97.2 | 107.2 | 102.3 | 117.7 | 106.9 |
### Conclusion
- Back set variation produces the greatest effect on all indicators.
- H-point variation is the second effect on all indicators.
③ Smaller Design Torso Angle seat seating trial
Purpose:
• To discover problems with the Bio RID II seating procedure. If the design torso angle seat is less than 20 degree.
• To study route cause and to propose countermeasures.
Sample seat
Small van
13 degree design torso angle seat
- Actual torso angle: 10 degree
- Backset: 97mm
Smaller Design Torso Angle seat seating trial
Problem:
• Head cannot remain laterally level.
• Distance between head and head restraint is greater than backset + 15mm (112mm).
• Pelvis angle cannot maintain torso angle + 1.5 degree.
Smaller Design Torso Angle seat seating trial
Route cause study
• Spine curvature allows less flexibility due to the design for 25 degree seating posture.
• There is no adjustment capability at neck joint and/or pelvis joint.
No adjustment at neck joint
Spine curvature is too rigid
No adjustment at pelvis joint
Smaller Design Torso Angle seat seating trial
Countermeasure proposal
- Proposal 1: Recline the Seat Back until the head can remain laterally level.
- Seating posture cannot represent actual driving posture.
- Proposal 2: Move the dummy Hip until the head can remain laterally level.
- Seating posture more closely resembles actual driving posture. The gap between head and head restraint is smaller than Backset +15mm. The effect of the gap between hip and seat back on dynamic behavior and reactive head restraint performance is unclear.
Smaller Design Torso Angle seat seating trial
Countermeasure proposal
- Proposal 3: Move the dummy Hip until the gap between head and head restraint becomes Backset +15mm.
➔ Seating posture more closely resembles actual driving posture.
The effect of the gap between hip and seat back on dynamic behavior and reactive head restraint performance is unclear.
- Proposal 4: Add neck and/or pelvis angle adjust feature to Bio RID II dummy.
➔ Seating posture more closely resembles actual driving posture.
Dummy modification capability is unclear.
<Proposal 3>
112mm
2°
15mm
<Proposal 4>
Smaller Design Torso Angle seat seating trial
Recommendation
✓ Proposal 4:
- This proposal is feasible as a permanent solution.
- A tentative solution may need to be considered depending on the difficulty of modification.
<Proposal 4>
Thank you for your attention!
4.4.1 The seat shall have already been set to give the design torso angle ± 1 degree measured on the H-Point machine fitted with HRMD (see Annex 5).
(Reference) Seating procedure proposal
Place the test dummy in the seating position equipped with a head restraint after allowing the seat to recover for 15 minutes with nothing in it.
4.4.2. Place the seat belt across the dummy and lock as normal.
4.4.3. Align the test dummy’s midsagittal plane with the centerline of the seat.
4.4.4. Adjust the test dummy’s midsagittal plane to be vertical; the instrumentation platform in the head shall be laterally level.
4.4.5. Adjust the pelvis angle to the actual torso angle recorded by the procedure specified in paragraph 4.4.1 plus 1.5 ± 2.5 degrees.
4.4.6. Position the test dummy’s H-Point 20 ± 10 mm forward and 0 ± 10 mm vertically of the H-Point location measured under the condition specified in paragraph 2.12 of Annex 4, while keeping the pelvis angle within the range specified in paragraph 4.4.5.
4.4.7. Adjust the spacing of the legs so that the centreline of the knees and ankles is 200 mm (±10 mm) apart and ensure that the knees are level.
Ensure that the knees are level.
4.4.8. Adjust the test dummy’s feet and/or the horizontal position of the adjustable toe board so that the heel of the test dummy’s shoe is resting on the heel surface. The tip of the shoe shall rest on the toe pan between 230mm and 270mm from the intersection of the heel surface and toe board, as measured along the surface of the toe board (see Figure 9-2).
4.4.9. Position the test dummy’s arms so that the upper arms are as close to the torso sides as possible. The rear of the upper arms shall contact the seatback, and the elbows shall be bent so that the small fingers of both hands are in contact with the top of the vehicle seat cushion with the palms facing the dummy’s thighs.
4.4.10. Level the instrumentation plane of the head (front/rear and left/right directions) to within ± 1 degree.
4.4.11. Measure the test dummy reference backset, which is the horizontal distance between the rearmost point on the head and the same identifiable location on the head restraint. Compare the test dummy reference backset with the HRMD backset obtained by the procedure specified in paragraph 2.12 of Annex 4.
22.214.171.124. If the test dummy reference backset is different more than ±2mm from the HRMD backset, obtained by the procedure specified in paragraph 2.12 of Annex 4, plus 15mm, then do the following:
126.96.36.199.2. If the backset cannot be brought closer to the test dummy reference backset plus ±2mm by paragraph 188.8.131.52.1 of this Annex, adjust the pelvis angle and H-point position within their respective tolerance bands giving priority to use the pelvis angle tolerance. In this case begin at paragraph 4.7.4 of this Annex and adjust the test dummy position accordingly. |
Diverse Sample Generation: Pushing the Limit of Generative Data-free Quantization
Haotong Qin, Yifu Ding, Xiangguo Zhang, Jiakai Wang, Xianglong Liu*, Member, IEEE, and Jiwen Lu, Senior Member, IEEE
Abstract—Generative data-free quantization emerges as a practical compression approach that quantizes deep neural networks to low bit-width without accessing the real data. This approach generates data utilizing batch normalization (BN) statistics of the full-precision networks to quantize the networks. However, it always faces the serious challenges of accuracy degradation in practice. We first give a theoretical analysis that the diversity of synthetic samples is crucial for the data-free quantization, while in existing approaches, the synthetic data completely constrained by BN statistics experimentally exhibit severe homogenization at distribution and sample levels. This paper presents a generic Diverse Sample Generation (DSG) scheme for the generative data-free quantization, to mitigate detrimental homogenization. We first slack the statistics alignment for features in the BN layer to relax the distribution constraint. Then, we strengthened the loss impact of the specific BN layers for different samples and inhibit the correlation among samples in the generation process, to diversify samples from the statistical and spatial perspectives, respectively. Comprehensive experiments show that for large-scale image classification tasks, our DSG can consistently quantization performance on different neural architectures, especially under ultra-low bit-width. And data diversification caused by our DSG brings a general gain to various quantization-aware training and post-training quantization approaches, demonstrating its generality and effectiveness.
Index Terms—data-free quantization, quantized neural networks, model compression, deep learning.
1 INTRODUCTION
With the advent of deep learning, the deep neural network has achieved a great success in a variety of fields, such as image classification [27], [34], [48], object detection [17], [18], [40], [45], semantic segmentation [14], [59], etc. Nevertheless, it is still a significant challenge to apply advanced neural networks on resource-limited devices for their high memory usage and expensive computation. With more and more hardware supporting low bit-width computations, network quantization emerges as an efficient method to compress and accelerate models [4], [12], [43], [44], [51], [52], [53], [54], [60]. Many quantization methods, called quantization-aware training (QAT), apply the following pipeline: considering the quantization function in the training process on the original dataset, and minimizing the loss caused by the quantization through backward propagation. Since QAT methods require the finetuning steps, it is considered to be time-consuming and computationally intensive [20], [26], [42]. Thus, quantization without training or finetuning process is also demanded in the industry, which is called post-training quantization (PTQ) in recent studies [2], [10], [32], [37], [58].
Most quantization approaches are designed for the data-driven scenario, and thus require real data in their quantization process. However, real data is not always accessible for privacy or security concerns (e.g., medical and user data). Fortunately, data-free quantization is proposed to quantize deep neural networks without accessing real data. As shown in Fig. 1, the data-free quantization approaches can also be classified as data-free PTQ and data-free QAT according to whether the model training is required. Among existing data-free quantization methods, generative methods calibrate or train networks using the “optimal synthetic data”, which with the distribution best matches the Batch Normalization (BN) statistics of the original full-precision neural network. Generative data-free PTQ methods apply BN statistics loss to directly update the generated data and then progress a computation-saving calibration process [5],
Fig. 2: Comparison between real data (random sampling from ImageNet) and data synthesized by generative data-free quantization methods (DSG and ZeroQ for PTQ in the first column, DSG and GDFQ for QAT in the second column with 250 samples of each). (a) and (b) show the value distribution of one channel in ResNet18 for PTQ and QAT, respectively. (c) and (d) are charts of the mean and standard deviation for one channel of synthetic data. (e) and (f) are the visualization of the synthetic data after dimensionality reduction with PCA [15].
[38], [56], while QAT ones generally introduce a separate generator for synthesizing data towards higher accuracy, and train it and the quantized network jointly [8], [25], [35], [47].
However, among existing quantization approaches, the data-driven methods always achieve significantly higher accuracy compared with data-free ones, whether for PTQ or QAT. One intuitive reason is that the difference between real data and synthetic data leads to the gap in the performance between data-driven and data-free quantization approaches. As a result, many approaches attempt to improve on synthetic data so that the performance of generative data-free quantization methods continues to approach data-driven quantization. In this work, we first give a theoretical analysis from a diversity view for generative data-free quantization. Our analysis shows that synthetic samples should be distributed as dispersed in the input domain while satisfying given constraints. This is often described as the diversification of synthetic samples and would facilitate the optimization of the quantization to cover its potential input domain as possible. Compared with real training and testing datasets that usually approximately satisfy the Independent and Identically Distributed (IID) assumption, synthetic data generated according to certain constraints in generative methods are difficult to meet the diversity requirement.
Corresponding to our theoretical analysis, we also experimentally reveals that severe homogenization exists in the data generation processes of existing typical data-free generative quantization methods (ZeroQ and GDFQ methods for PTQ and QAT, respectively).
First, the synthetic data is constrained to match the BN statistics, and thereby the feature distribution might overfit the BN statistics in each layer when the data forward propagate in models. As shown in Fig. 2(a) and Fig. 2(b), the distribution of samples synthesized by existing PTQ and QAT methods almost strictly follows the Gaussian distribution with corresponding BN mean and variance, while the distribution of real data has an obvious offset and enjoys a more diverse distribution.
We consider the first phenomenon as the **distribution-level homogenization**.
Second, all samples of synthetic data are updated by one specific objective function in typical generative data-free quantization methods, all synthetic samples are applied to the same constraint and directly sum the loss term of each layer. In Fig. 2(c) and Fig. 2(d), the distribution statistics of real data are dispersed while the data generated by existing approaches are centralized.
Third, for data-free QAT methods, synthetic samples are synthesized by a generator network. In the process of learning the distributions of synthetic data for quantization, both the generator and the quantized network may converge to a trivial solution where the former learns to produce few modes exclusively, which is referred to by mode collapse and causes the synthetic data to clustered in sample space [13]. As Fig. 2(e) and Fig. 2(f) show, the synthetic data is aggregated while the real data is scattered.
The second and third phenomena are considered to be **sample-level homogenization** from the statistical and spatial perspectives.
In a word, the distribution-level homogenization means that the overall distribution of synthetic data is strictly restricted to the specific distribution with BN statistics, while the sample-level homogenization means the little differences among samples from the statistical and spatial perspectives. Only mitigating homogenization at one certain level cannot ensure the diversity of data at the other level.
To alleviate the accuracy degeneration of the quantized neural network caused by the homogenization of synthetic data, this paper presents a generic data generation scheme, Diverse Sample Generation (DSG), for generative data-free quantization to enhance the diversity of the synthetic data. The proposed DSG scheme mainly relies on three novel techniques: **Slack Distribution Alignment** (SDA): relax the distribution constraint of synthetic data by slackening the feature statistics alignment in each BN layer. **Layerwise Sample Enhancement** (LSE): strengthen the impact of statistics loss of the specific BN layer for its corresponding synthetic sample.
by applying a layerwise enhancement. *Sample Correlation Inhibition* (SCI): weaken the correlation among the synthetic samples by applying determinantal point processes loss to the intermediate features in the generation process. Among these techniques, SDA diversifies the synthetic data at the distribution level, while LSE and SCI diversify it at the sample level from the statistical and spatial perspective, respectively. Considering the generality, DSG focuses on the improvement of the generation process while could be almost decoupled from specific quantization methods. Therefore, the proposed techniques of our DSG can be flexibly applied to different PTQ and QAT quantization approaches effectively, improving the accuracy of quantized neural networks by diversifying synthetic data in the generation process.
Our scheme presents a novel perspective of data diversity for generative data-free quantization, and extensive experiments show that DSG significantly improves both data-free PTQ and QAT. The DSG performs remarkably well across several mainstream neural architectures, including VGG16bn [48] (the VGG16 with BN for the dense layers), ResNet18/20/50 [23], SqueezeNext [16], InceptionV3 [50], ShuffleNet [57], and MobileNetV2 [46], and surpasses the existing data-free methods in a wide margin on the large-scale image classification task and achieves the state-of-the-art (SOTA) results. The quantized networks quantized by our DSG even outperform networks quantized by the real data under various settings. The performance of the quantized neural networks trained by our DSG scheme is pushed to that of their full-precision counterparts, meanwhile, the quantization process gets rid of the data dependence.
We summarize the main contributions of this paper as:
- We first give a theoretical analysis for the utility of data diversity in generative data-free quantization. Our analysis shows that synthetic samples should be distributed as dispersed while satisfying given constraints, which would facilitate the optimization of quantization to cover its potential input domain as possible.
- We experimentally show and analyze the homogenization of synthetic data in existing generative data-free quantization. Our study presents the homogenization at the distribution and sample levels and reveals that the sample-level homogenization is not limited to the statistical perspective, but also the spatial perspective.
- We propose a novel generic DSG scheme for generative data-free quantization from a comprehensive perspective of data diversity, which effectively improves the data-free PTQ and QAT, DSG presents a novel Sample Correlation Inhibition (SCI), in conjunction with the Slack Distribution Alignment (SDA) and Layerwise Sample Enhancement (LSE) techniques to diversify synthetic data at distribution and sample level.
- We conduct a detailed ablation study on the proposed DSG, which presents the effectiveness of the proposed techniques (SDA, LSE, and SCI) in generative data-free PTQ and QAT. And the comprehensive evaluation of the DSG scheme shows that our DSG surpasses the existing SOTA methods by a wide margin on various neural architectures and bit-widths, which demonstrates that the diversity is an important property of high-quality synthetic data.
Note that our paper extends the preliminary conference paper [56]. This manuscript first gives a theoretical analysis that diversifying the synthetic samples is a crucial element for improving the data-free quantization process, and experimentally reveals that the sample-level homogenization is not limited to the statistical perspective, but also the spatial perspective. This work proposed a generic DSG scheme for generative data-free quantization, including both PTQ and QAT, while the previous scheme proposed in the conference paper can be regarded as a special case for PTQ. The DSG in this work further presents a novel SCI technique to tackle the sample-level homogenization from the spatial perspective, which can both significantly improves the performance of various generative data-free quantization approaches. We evaluate our DSG scheme on various neural architectures and compared it with more generative data-free quantization methods. Besides, we further add more analysis and discussion of synthetic data and evaluate the data with various methods. The results present that diversity is an important property of high-quality synthetic data in the generative data-free quantization.
## 2 RELATED WORK
**Data-driven Quantization.** As a widely used compression technique, quantization earns lots of attention in recent years. To mitigate the severe accuracy drop resulted from quantization, many studies, such as [20], [26], [54], [60], utilize quantization-aware training methods to regain the accuracy. Generally, they can always provide performance improvements. However, the training process is quite cumbersome for huge computational and time costs. Another critical deficiency is that the datasets are not always ready to use, especially for privacy and security concerns. Without any finetuning or training process, research of post-training quantization has been conducted to improve the trade-off between accuracy and computational cost. [2] introduces two closed-form analytical solutions targeting clipping approximation and per-channel bit allocation combined with bias-correction to push the limit of weights and activations quantization to 4-bit. [10] analyzes the mean squared error of quantization and minimizing it via the OMSE method. Unlike previous work which aims to find an appropriate clipping range to deal with outliers in the bell-shaped distribution, [58] proposes outlier channel splitting while remains a functionally identical network. Not restricted to the round-to-nearest method, [37] exploits a more flexible weight-rounding mechanism called AdaRound, which optimizes task loss due to quantization w.r.t. the preactivation. However, these methods still require access to the limited data for a more resilient and better-quantized model.
**Data-free Quantization.** Several recent studies have explored quantization methods without training and even calibration datasets. [38] uses weight equalization to acquire similar weight ranges among channels and bias correction for activations. However, quantizing models to run in 6-bit or lower bit-width is a non-trivial task. Works like [21], [5] and [25] leverage BN statistics to reconstruct “realistic” data. Both [21] and [47] utilizes knowledge distillation scheme to finetune the model, while it might cost a little more time. [21] proposes an inception scheme to generate data,
Fig. 3: The overview of the Diverse Sample Generation (DSG) scheme for data-free quantization. The proposed three techniques are applied to the generation process: Slack Distribution Alignment (SDA) relaxes BN statistics constraint in each layer; Layerwise Sample Enhancement (LSE) provides a specific loss term for each sample; Sample Correlation Inhibition (SCI) diversifies the synthetic data in sample space. The first one diversifies synthetic data at the distribution level, and the latter two at the sample level.
while [25] utilizes a generative modeling to deal with the distribution of BN statistics. Besides, [5] can work on multi-bit quantization utilizing the Pareto frontier. [8] and [35] focuses on adversarial approaches. [8] proposes a data-free adversarial knowledge distillation method, which minimizes the maximum distance between the outputs of the full-precision teacher model and the quantized student model for any adversarial samples from a generator. [35] instead not only considers the output of model layer but also maximizes the discrepancy of feature map in intermediate inter-channel between teacher and student model by the proposed Channel Relation Map. Although the above methods use distinct tricks to synthesize data and improve model accuracy, they all have similar limitations and we take [5] as an example to illustrate in Section 3.3 specifically.
3 METHODS
In this section, we first revisit the previous works of generative data-free quantization. Then, we reveal the data homogenization phenomenon in existing methods and improve the generation process to diversify the synthetic samples.
3.1 Preliminaries
Existing data-driven quantization methods require original training and testing datasets to calibrate or finetune the quantized network for higher performance. But the real data is not accessible in many practical applications for privacy or security concerns, and thereby general quantization schemes cannot be applied directly to these scenarios. The data-free quantization is proposed to quantize the network without access to real data.
Since the real data is inaccessible, the knowledge of the real data in the pre-trained network should be fully exploited in data-free quantization. The statistics (mean and standard deviation) of BN layers in full-precision models fit the original real dataset in the training process. Therefore, most data-free quantization schemes construct the synthetic data by using BN statistics loss to utilize the information in the BN layers. The following optimization objective enables the distribution of synthetic data $x^s$ to best match the BN statistics, including the mean and standard deviation:
$$\min_{x^s} L_{BN} = \sum_{i=1}^{N} ||\hat{\mu}_i^s - \mu_i||_2^2 + ||\hat{\sigma}_i^s - \sigma_i||_2^2,$$
(1)
where $\hat{\mu}_i^s$ and $\hat{\sigma}_i^s$ are the mean and standard deviation of feature distribution of synthetic data $x^s$ at $i$-th BN layer, while $\mu_i$ and $\sigma_i$ are that of pre-trained full-precision model M. By minimizing the BN statistics loss $L_{BN}$, the synthetic data or the generator learns a distribution of input data to best match BN statistics of each layer.
Among most of the mainstream generative data-free quantization methods, the PTQ methods directly update the data from random vectors during the generation process and then use the synthetic data to calibrate the quantized neural network. The typical optimization objective in generation process of these methods can be expressed as
$$\min_{x^s} L_{PTQ}(x^s, M),$$
(2)
where M denotes the full-precision model, and the loss function $L_{PTQ}$ is usually the BN statistic loss $L_{BN}$. The synthetic data $x^s$ is then used to calibrate the quantized model, a process that is usually completely separate from the previous generation process.
While the generative data-free QAT methods train a separate generator model to generate the synthetic data and use them to train the quantized neural network. The typical generation process of these methods is expressed as follows:
$$\min_G L_{QAT}(G(x^{**}), M), \quad x^s = G(x^{**}),$$
(3)
where $x^{**}$ is an initial tensor drawn from standard Gaussian distribution $\mathcal{N}(0, 1)$, the loss function $L_{QAT}$ usually consists of the BN statistical loss and the cross-entropy function of the generator G, etc., and $x^s$ and $y$ are synthetic data and the corresponding label, respectively. And the quantized neural network Q is trained simultaneously using synthetic data:
$$\min_Q \mathbb{E}_{x^s, y}[C(Q, (x^s; y))],$$
(4)
where $C(\cdot, \cdot)$ is a loss function for quantized neural network Q, such as cross-entropy loss and mean squared error, and $y$ is the corresponding labels of synthetic data $x^s$.
3.2 Diversity of Synthetic Data for Quantization
In generative data-free quantization and other related generative works, diverse synthetic data is always more welcome intuitively. But there is little relevant theoretical analysis to support this intuition, especially in the context of the data synthesis with strict constraints. It is important to understand the theoretical motivation behind this intuition. Therefore, we give a theoretical analysis to show that in various generative data-free quantization approaches, the diversity of synthetic data facilitates the quantization process.
**Definition 1.** For a well-trained full-precision model $M$, the optimization objective of the whole generative data-free quantization process can be abstracted as
$$\min_{x^s, Q} L_1(x^s, M) + L_2(Q, x^s), \quad x^s \subseteq X,$$
where $x^s$ is the synthetic data, $M$ and $Q$ are the full-precision and quantized networks, respectively, and $X$ denotes the input domain of these networks. $L_1$ and $L_2$ are constraints for the data generation and network quantization.
According to the discussion in Section 3.1, we can summarize that, in generative data-free quantization methods, the key elements are synthetic data, full-precision model, and corresponding quantized model. The full-precision model is well-trained and fixed, while the quantized model and synthetic data are optimizable. Therefore, we abstract and define the general generative data-free quantization process as Definition 1. In this summarized definition, a crucial implicit premise is that the synthetic data $x^s$ should reflect the input domain $X$ in the process. The optimization process of the quantized model $Q$ will perform well only if this premise is well satisfied. However, the input domain $X$ is not explicit in the process, and the real data, which is usually regarded as the ideal set reflecting the input domain, even cannot be obtained.
**Lemma 1.** For any input domains $X$ that includes multiples classes (at least 2) of samples, it can be modeled as several independent high-density $\{R_{H1}, \cdots, R_{Hh}\}$ and low-density $\{R_{L1}, \cdots, R_{Ll}\}$ sub-regions divided by possible decision surfaces, where $h \geq 1$ and $l \geq 0$.
Therefore, for generative data-free quantization, it is necessary to study how to allow synthetic samples to reflect the properties of an unknown input domain well. Fortunately, there are two classical assumptions about the input domain concluding multiple classes of data in deep learning, and they help reveal the properties of the ideal set of synthetic samples. (1) **Low-density assumption.** The assumption indicates that the boundary of class regions should be more likely to avoid the high-density centers and pass through the low-density areas. (2) **Smoothness assumption.** The assumption states that for two points in the input domain that are close by in the input space, the corresponding labels should be the same. As the Lemma 1, these assumptions allow us to model the potential input domain as several independent sub-regions, and we provide the proof of this modeling in Appendix A.1.
When we model a potential input domain $X$ in generative data-free quantization in this way, consider a discrete set of synthetic samples $x^s = \{x^s_0, x^s_1, \cdots, x^s_N\}$, we can intuitively get that a necessary condition for the sample set to well reflect the input domain is to well reflect all sub-regions of the input domain, because each sub-regions are divided as independent and are not representative for others. And for the sample generation, the specific shape and characteristics of the potential input domain are uncertain, so the discussion of the input domain should face all possible input domains rather than a specific one.
**Theorem 1.** Given a set of all possible input domains $X = \{X_0, X_1, \cdots\}$, whose $i$-th element can be denoted as $X_i$ with scale $V^i$ and consists of several sub-regions $\{R^i_1, \cdots, R^i_{K^i}\}$ with scales $\{V^i_1, \cdots, V^i_{K^i}\}$, and the number $K^i \geq 2$ is unknown yet limited. Consider a sample set $x^s = \{x^s_0, \cdots, x^s_N\} \subset X^*$, where $X^* = \mathbb{E}(X)$ denotes the potential input domain and the differences inside each sub-region of $X$ is neglected. When the set $x^s$ satisfies that for $\forall x^s_k \in X^*$, $p(x^s_k \in R^*_j) = \frac{V^*_j}{V^*}$, the information reflecting from all possible input domains $X$ by the sample set $x^s$ will be the maximized in mathematical expectation, where $V^* = \sum_{k=0}^{K^*} V^*_k$.
Theorem 1 shows that the optimized strategy to make synthetic samples adequately reflect the unknown input domain in expectation is to correlate the distribution of samples with the spatial scales of the sub-regions, i.e., dispersing synthetic samples uniformly in the potential input domain instead of gathering collapse. We present the proof of the theorem in Appendix A.2. In practice, this means that synthetic samples should be distributed as dispersed in the domain as possible while satisfying given constraints, which is often described as the diversification of synthetic samples.
3.3 Homogenization of Synthetic Data
The generative data-free quantization well sidesteps the issue of lacking accessibility of real data, but we have to concede the huge performance drop compared with networks quantized with real data. As the theoretical analysis in Section 3.2, we show that the diversity of synthetic data is beneficial for generative data-free quantization, thus we attempt to find the performance bottleneck of existing methods from this aspect. By experimental analysis for the typical generative data-free PTQ and QAT methods with the almost independent generation process (ZeroQ and GDFQ, respectively), we discover the homogenization phenomena from the existing image synthesizing methods in data-free quantization, which degrade the fidelity and quality of synthetic data. We conclude the homogenization of synthetic data into the distribution level and the sample level to elaborate on them.
3.3.1 Distribution-level Homogenization
Since the performance of existing data-driven quantization significantly surpasses that of data-free quantization in usual, the original training data (real data) is generally considered as the upper limit of the performance of synthetic data. So as Eq. (1) shows, methods constrained by $L_{BN}$ are dedicated to generating samples by confining the feature statistics of synthetic data around BN statistics of the pre-trained model. However, the data from the real world is always more diverse, while that generated by fitting BN statistics suffers constrained features as shown in Fig. 2(a) and Fig. 2(b). The activation distribution of data generated in ZeroQ and GDFQ well fit the normal distribution of BN statistics while that of
real data deviates from BN statistics. When we calculate the Wasserstein distance between the Gaussian distribution with BN statistics and the feature distribution of synthetic data, the index values of the existing methods are significantly smaller than the real data (real data 0.120 vs ZeroQ 0.040 in PTQ, and real data 0.134 vs GDFQ 0.116 in QAT). We consider it as distribution-level homogenization causing by the strict constraint applied to the synthesizing process makes the synthetic data overfit BN statistics in each layer.
### 3.3.2 Sample-level Homogenization
Besides homogenization at the distribution level, synthetic data in existing generative data-free quantization also suffer the homogenization at the sample level.
**From the statistical perspective**, in existing generative data-free methods, such as ZeroQ and GDFQ, all samples are constrained by the identical form of BN statistics loss. So there might be little difference among statistics of synthetic samples in one batch, while samples from the real world are diverse. As shown in Fig. 2(c) and Fig. 2(d), the points of the mean and standard deviation of ZeroQ and GDFQ data are significantly overlapping and all points gather together closely near BN statistics. However, statistics of real data and our DSG data have larger variance and are more dispersed. Taking PTQ as an example, the variance of the statistics of the real sample is 0.029, that much larger than the variance of data generated by ZeroQ, which is 0.009.
**From the spatial perspective**, the synthetic samples generated in different ways have different behaviors. For existing data-free methods, all samples are synthesized by the same generation strategy. The samples generated by GDFQ are concentrated in spatial perspective, as shown in Fig. 2(f), while samples of our DSG and real data are more scattered. The heatmap shows the degree of aggregation in the synthetic data sample space. The densest cluster of GDFQ samples appears red in the heatmap and the density index is up to 2052 near the cluster center, while the highest density index of the real sample is only 1681. For PTQ, the index is 1902, and its homogenization phenomenon is not significant as QAT but is more severe than the real data. We regard these as sample-level homogenization from the statistical and spatial perspectives, which leads to a significant performance drop for the networks quantized by synthetic data.
In a nutshell, for the generation process in data-free quantization, the homogenization exists in two levels, i.e., distribution level and sample level. Thus the models quantized by these homogenized data can hardly achieve high accuracy. In this work, we devote diversify the synthetic data to improve the generative data-free quantization. We propose a generic data-free quantization scheme to tackle the homogenization problems by diversifying synthetic data from different perspectives, which we call Diverse Sample Generation (DSG) scheme. The synthetic data generated by our scheme enables the quantized neural network to achieve high accuracy.
### 3.4 Diverse Sample Generation
We present a generic Diverse Sample Generation (DSG) scheme for both generative data-free PTQ and QAT approaches (Fig. 3), including three novel techniques to alleviate homogenization: Slack Distribution Alignment in Section 3.4.1 is to relax the statistical constraint and thus mitigate distribution-level homogenization, while Layerwise Sample Enhancement in Section 3.4.2 and Sample Correlation Inhibition in Section 3.4.3 diversify the synthetic data at the sample level from distribution and spatial perspectives, respectively.
#### 3.4.1 Slack Distribution Alignment
To deal with the distribution-level homogenization, we propose Slack Distribution Alignment (SDA). Specifically, we apply the relaxation constants during the generation process for matching original BN statistics, which can be intuitively regarded as margins for means and standard deviation. With the relaxation constants, the distribution statistics of synthetic samples do not need to fit the BN statistics strictly, and thus the data can be more diverse in distribution. The loss term of SDA is $l_{\text{SDA}} = [l_{\text{SDA}_1}, l_{\text{SDA}_2}, \ldots, l_{\text{SDA}_N}]^T$, where $N$ is the number of BN layers in the quantized neural network, and the $l_{\text{SDA}_i}$ for $i$-th BN layer is expressed as follow:
$$l_{\text{SDA}_i} = \left\| \max \left( |\hat{\mu}_i - \mu_i| - \delta_i, 0 \right) \right\|_2^2 + \left\| \max \left( |\hat{\sigma}_i - \sigma_i| - \gamma_i, 0 \right) \right\|_2^2,$$
where $\delta_i$ and $\gamma_i$ denote the relaxation constants for the mean and standard deviation statistics of features at the $i$-th BN layers, respectively. After introducing relaxation to the constraint between statistics of synthetic data and BN layers, the mean and standard deviation of generated samples can fluctuate within a certain range. Benefiting from the relaxed constraints, the synthetic samples are more diverse and their feature distribution behaves closer to that of real data.
As the ideal data to quantize networks, our experimental evidence in Fig. 2 shows that the feature statistics of real data still exist gaps compared with BN statistics. Thus, we attempt to approximate the gap between the statistics of real data and BN statistics of the original model as a reference to determine the value of $\delta_i$ and $\gamma_i$. For real-world data, when the number of samples achieves a huge amount, the components and features of inputs approximate the Gaussian assumption. Based on the central limit theorem, we suppose the whole potential input set is generally consistent with a Gaussian distribution.
Thus, we set the initial value of $\delta_i$ and $\gamma_i$ by a batch of samples that were randomly initialized from the Gaussian distribution: First, we input 1024 samples initialized by Gaussian distribution with $\mu = 0$ and $\sigma = 1$ into the full-precision network and then save the feature statistics at each BN layer, including the mean and standard deviation of the feature distribution. Then, we measure the margin between saved statistics and the corresponding BN statistics, then take percentiles of the margin to initialize $\delta_i$ and $\gamma_i$:
$$\delta_i = |\hat{\mu}_i^0 - \mu_i|_\epsilon, \quad \gamma_i = |\hat{\sigma}_i^0 - \sigma_i|_\epsilon,$$
where $\epsilon \in (0, 1]$ is a hyper-parameter determining the degree of relaxation, and $\hat{\mu}_i^0 / \hat{\sigma}_i^0$ are mean/standard deviation of the feature of Gaussian initialized data $x^0$ at the $i$-th BN layer. $|\hat{\mu}_i^0 - \mu_i|_\epsilon$ and $|\hat{\sigma}_i^0 - \sigma_i|_\epsilon$ denote the $\epsilon$ percentile of $|\hat{\mu}_i^0 - \mu_i|$ and $|\hat{\sigma}_i^0 - \sigma_i|$, respectively. Intuitively, the larger the value of $\epsilon$, the more relaxing the constraints are in Eq. (5). We empirically set the default value of $\epsilon$ as 0.9 to deal with outliers.
3.4.2 Layerwise Sample Enhancement
For the generation processes in existing generative data-free quantization approaches, all synthetic samples are always generated by the same initialization and optimization strategy. Specifically, the samples share the same objective function that directly sums the loss of each layer, i.e., all the BN layers receive the same degree of attention from each sample, and thus results in homogenization among the synthetic samples. We propose Layerwise Sample Enhancement (LSE) to tackle sample-level homogenization. LSE enables each sample to focus on the statistics of different layers by enhancing the specific loss term of the sample in the optimization process so that the synthetic samples of our DSG in one batch could be diverse.
Given a well-trained full-precision network containing the $N$ number of BN layers, earlier generative data-free quantization methods treat each layer the same way without particular predilection or bias. But in LSE, we engineer $N$ different loss terms and apply each of them to the specific data sample. Here, we suppose to generate $N$ samples in one batch, equalling the number of BN layers of the quantized network. The loss term of LSE for the $i$-th sample is as follows:
$$l_{\text{LSE}_i} = \frac{1}{N}(1 + h_i)^T 1,$$
(7)
where $1$ denotes a column vector of all ones, $h_i$ is an $N$-dim one-hot column vector where the 1 is in the $i$-th position, $l = [l_1, l_2, ..., l_N]^T$ is the vector of the original loss terms for all BN layers. The set of loss functions for all samples can be expressed as $X_{\text{LSE}} = [l_{\text{LSE}_1}, l_{\text{LSE}_2}, ..., l_{\text{LSE}_N}]^T$, which is an $N$-dim column vector and its $i$-th element represents the loss function for $i$-th sample in the batch. Thus, for the whole set of samples $\mathbf{x}^*$, the effect exerted by LSE can be formulated as
$$X_{\text{LSE}} = \frac{1}{N}\left(11^T + [h_1, h_2, ..., h_N]\right),$$
(8)
where $X_{\text{LSE}}$ can be seen as the enhancement matrix for loss terms. In this way, we focus on every BN layer of the original model respectively and generate corresponding samples for each layer. By such layerwise enhancement, we optimize the whole batch of synthetic samples simultaneously.
3.4.3 Sample Correlation Inhibition
The above two proposed methods are based on the relaxation of generation constraints, however, the state of samples at the spatial level still cannot be perceived and adjusted directly during the generation process. Therefore, in addition to improving the loss function constraining the statistics of synthetic data, we construct the unsupervised Sample Correlation Inhibition (SCI) loss for the samples to sample-level diversify the synthetic data from the spatial perspective. SCI applies the determinant point process loss to spatially disperse the intermediate features in the generator, thereby inhibiting the correlation among these synthetic samples.
The determinant point process $\mathcal{P}$ can express negative interactions among samples by the similarity kernel $K_S$ of the elements in a set $S$, where a large value of $K_{ij}; i, j \in S$ reduces the likelihood of both elements to appear together in a diverse subset [3], [29]. The related works are widely used to generate or select diverse samples in some existing generation tasks for diversifying samples closer to the real data [6], [13], [30], [33]. However, real data is inaccessible in generative data-free quantization, and thereby it cannot be used to construct the constraint of the diversity of synthetic data.
Therefore, we utilize random samples in our SCI instead of the real data, and the random data is applied as a lower bound of diversity to alleviate the homogenization of synthetic samples. Inspired by Theorem 1, each dimension of these vectors is initialized by the uniform distribution $U[0, 1]$ independently and randomly. The vectors initialized in this way are for uniforming approximately on spatial, which are fixed during the quantization process and expected to compose a base set that covers the potential input domain uniformly and is de-homogenized. In this way, the homogenization of synthetic data is limited to a level lower than its initial state.
So far we are able to build the complete flow of our SCI. The intermediate features correspond to the data $\mathbf{x}^*$ in the generation process is expressed as $\mathbf{f} = \{f_1, f_2, ..., f_N\}$, where $f_i$ is the feature of the corresponding synthetic sample. And for the set of features $\mathbf{f}$, we construct a set of noise vectors $\mathbf{r} = \{r_1, r_2, ..., r_N\}$ of the same size. Then we construct the similarity kernels $K_f$ and $K_r$ of the features $\mathbf{f}$ and noise vector set $\mathbf{r}$ as the following decomposition proposed in [13]: $K_f = \phi(\mathbf{f})^\top \phi(\mathbf{f})$ and $K_r = \phi(\mathbf{r})^\top \phi(\mathbf{r})$, where all $\phi(f_i) \in \phi(\mathbf{f})$ and $\phi(r_i) \in \phi(\mathbf{r})$ are the $\ell_2$ normalized vectors that guarantees the similarity kernels $K_f$ and $K_r$ to be real positive semidefinite matrices. The main idea of our SCI is to learn a similarity kernel $K_f$ of feature $\mathbf{f}$ and make it less than the similarity kernel $K_r$ of random data $\mathbf{r}$. In this way, we keep the correlation among the features of
**Algorithm 1: The process of DSG scheme in PTQ**
**Input:** pretrained model M with N BN layers, training iterations T.
**Output:** synthetic data: x*, quantized network Q.
Initialize x* from Gaussian distribution N(0, 1);
Initialize x* from Gaussian distribution N(0, 1);
Get μ_i and σ_i from BN layers of M, i = 1, 2, ..., N;
Forward propagate M(x*) and gather activations;
Compute δ_i and γ_i using Eq. (6);
for all t = 1, 2, ..., T do
Forward propagate M(x*) and gather activations;
Get β_t and θ_t from activations;
Compute all lSDA_t using Eq. (5);
Descend L_DSG-PTQ using Eq. (10) and update data x*;
Get synthetic data x*;
Calibrate quantized network Q using data x*.
---
**Algorithm 2: The process of DSG scheme in QAT**
**Input:** pretrained model M with N BN layers, training iterations T.
**Output:** generator network G, quantized network Q.
Initialize x** from Gaussian distribution N(0, 1) and specify label y;
Get μ_i and σ_i from BN layers of M, i = 1, 2, ..., N;
Forward propagate M(x**) and gather activations;
Compute δ_i and γ_i using Eq. (6);
for all t = 1, 2, ..., T do
Generate data x* and gather activations;
Forward propagate M(x*) and gather activations;
Descend L_DSG-QAT using Eq. (11) and update G;
Update the quantized network Q using data (x*, y);
Train generator network G and generate data (x*, y);
Train quantized network Q using data (x*, y).
---
synthetic samples lower than that among random vectors, thus alleviating the homogenization of synthetic data. Since matching two similarity kernels directly is an unconstrained optimization problem [31], we construct the loss using the major characteristics: eigenvalues and eigenvectors of kernels. Hence, our SCI loss term is defined as follows:
\[
l_{SCI} = \max \left( \sum_i \left( \left\| \lambda^i_f - \lambda^i_r \right\|_2 - \hat{\lambda}^i_f \cos(v^i_f, v^i_r) \right), 0 \right),
\]
where \( \lambda^i_f \) and \( \lambda^i_r \) are the i\textsuperscript{th} eigenvalues of \( K_f \) and \( K_r \), respectively, \( v^i_f \) and \( v^i_r \) are the eigenvectors, and \( \hat{\lambda}^i_f \) is the min-max normalized version of the eigenvalues applied to alleviate the effect of noisy structures.
### 3.5 Specialization for different quantization approaches
The motivation of our DSG is to improve the performance of various generative data-free quantization methods by proposing a novel and generic data generation scheme. Therefore, here we derive and present the most typical specializations of DSG for generative data-free PTQ and QAT approaches (Fig. 4).
**For the data-free PTQ approach**, DSG applies SDA to each layer for relaxed BN statistics loss terms, integrates LSE to introduce diverse degrees of attention among different samples, and uses SCI to diversify the distribution of samples in the potential input domain. Therefore, the overall loss \( L_{DSG-PTQ} \) can be defined as follows involving the above techniques:
\[
L_{DSG-PTQ} = (X_{LSE}I_{SDA})^T 1 + l_{SCI}.
\]
This optimization loss \( L_{DSG-PTQ} \) is used to optimize synthetic data directly. After the generation process is complete, the optimized synthetic data is applied to calibrate the quantized neural network. The calibration process is usually completely separate from the generation process, and the typical calibration methods include [5] and [19]. The DSG for PTQ is elaborated in Algorithm 1, and it is summarized in Fig. 4 as the case (a).
**For the data-free QAT approach**, DSG applies an alternating optimization strategy to update the generator G and the quantized neural network Q. As shown in the Eq. (3), we initialize a set of random noise samples and specified labels, feeding it in generator G to generate the synthetic data and then training the generator G. The loss function \( L_{DSG-QAT} \) for the generator can be expressed as
\[
L_{DSG-QAT} = (X_{LSE}I_{SDA})^T 1 + l_{SCI}^T 1 + L_{CE}^G(G),
\]
where \( l_{SCI} = \frac{1}{B}[l_{SCI_1}, l_{SCI_2}, ..., l_{SCI_B}]^T \). In Eq. (11) is the SCI loss terms for intermediate features of each blocks (B blocks in total) in generator G. \( L_{CE}^G(G) \) is the cross-entropy loss.
The data synthesized by generator G is applied to train the quantized neural network according to the usual practice [47], aiming to close the prediction probability distribution of the quantized neural network to that of the full-precision model. In the quantization process, DSG train the generator G and the quantized neural network alternately in every epoch, and the pre-trained full-precision network is fixed. The DSG for QAT is elaborated in Algorithm 2 and is further illustrated in Fig. 4 as the case (b).
### 3.6 Analysis and Discussion
The techniques in our DSG scheme, SDA, LSE, and SCI, alleviate the homogenization of synthetic data at the distribution level and sample level. In Fig. 2, we statistically observe the behavior of the three types of data, i.e., data generated by our DSG scheme, data generated by other SOTA generative data-free quantization methods and real data. Here we analyze and discuss the effect of our DSG scheme in diversifying synthetic data in generative data-free quantization methods.
We first analyze the synthetic data generated by our DSG scheme in PTQ. Compared with the data generated by the existing generative data-free PTQ method (ZeroQ), the behavior of samples generated with our DSQ is more similar to that of real data statistically. As shown in Fig. 2(a), the distribution of our DSG data does not strictly fall in close vicinity to BN mean and standard deviation, instead, they are more various in value and thus more fluctuate in frequency. As introduced in Section 3.3, the Wasserstein distance between BN statistics and our DSG synthetic data is 0.124 (compared with 0.040 of ZeroQ). And in Fig. 2(c), the statistics of the data generated by ZeroQ are centralized, while that of the DSG samples are dispersed. The phenomenon means that our synthetic data significantly alleviates the sample-level homogenization of existing data-free generative PTQ.
methods from the statistical perspective. As mentioned in Section 3.3, we calculate the variance of the statistics of our DSG data and compare it with ZeroQ in PTQ, which is 0.029 vs. 0.009. Fig. 2(e) presents the distribution of different types of synthetic data in the sample space. The density index near the cluster center of the synthesized sample generated by DSG is only 1571, which is even lower than that of real data 1681 and far lower than ZeroQ 1902.
For the DSG scheme in QAT, due to the utility of SDA and LSE, the distribution of our DSG data is not constrained strictly and the synthetic samples enjoy more diverse statistics, as Fig. 2(b) and Fig. 2(d) show. The SCI further weakens the correlation among samples by constructing unsupervised loss for intermediate features in the generation process to alleviate the homogenization of the generated samples in sample space. From Fig. 2(f), we observe that the density index of the synthesized sample generated by DSG is far lower than the existing data-free QAT method, which means that the sample-level homogenization is greatly alleviated from the spatial perspective.
Therefore, the data generated by our DSG could be more diverse from various perspectives comprehensively, which may have the potential to be an alternative for different quantization approaches that real data is not accessible.
4 EXPERIMENTS
In this section, we conduct comprehensive experiments to validate the performance of our DSQ scheme on image classification tasks. We first conduct an ablation study to show the effects of different components, including SDA, LSE, and SCI in Section 4.1. Then in Section 4.2, we compare DSQ with SOTA data-free PTQ and QAT methods respectively across various network architectures. We evaluate the DSQ on CIFAR10 [28] and ImageNet (ILSVRC12) [11] datasets in PTQ while on ImageNet dataset in QAT. Finally, in Section 4.3, we conduct a further study on synthetic data. Specifically, we analyze and discuss the data diversity, and integrate and evaluate our synthetic data with various calibration methods and data-driven quantization methods. The results show that good diversity is an important property of high-quality synthetic data.
**DSG scheme.** In the data-free PTQ, the proposed DSG scheme is used for generating synthetic data while the independent calibration processes are as [5] and [19], and the effectiveness is evaluated by measuring the accuracy of quantized models. Unless otherwise specified, the calibration process for DSG in PTQ is the same as [5]. For the DSG scheme in QAT, we train the generator network to synthesize the data and use it to finetune the quantized network. The generator in the DSG scheme in QAT is constructed following ACGAN [39] as in [47].
**Network architectures.** We evaluate our DSG scheme in a wide range of network architectures with various bit-width to prove the versatility of our method. We employ VGG16bit [48], ResNet20/18/50 [23], SqueezeNext [16], InceptionV3 [50], ShuffleNet [57], and MobileNetV2 [46] with various bit-widths, including W4A4 (means 4-bit weight and 4-bit activation), W6A6, W8A8, etc.
**Implementation details.** The proposed scheme is implemented by PyTorch for the sake of the powerful automatic differentiation mechanism. We adopt Gaussian distribution as initialization for the data generation process in our DSG scheme. In our experiments, we quantize all the layers. And the activation is clipped in a layerwise manner. As for hyper-parameter (e.g., the number of iterations to provide synthetic data), we mostly follow the released official implementations or the models and settings clarified in their original paper for a fair comparison [5], [19], [47], [56]. For the training and finetuning process of DSG in QAT, we use the Adam and SGD optimizer in the experiments, where momentum is 0.9 and weight decay is 1e-4. For CIFAR10, we train quantized networks and generators for 400 epochs. The learning rates are initialized to 1e-4 and 1e-3, respectively, and both of them are decayed by 0.1 for every 100 epochs. For ImageNet, we set the initial learning rate of the quantized model as 1e-6, and other training settings are the same as those on CIFAR10.
4.1 Ablation Study
We investigate the effect of the proposed LSE, SDA, and SCI techniques for our DSG scheme in data-free PTQ and QAT by ablation experiments. We use the ResNet18 architecture with the ImageNet dataset to evaluate our method under the W4A4 bit-width setting, which can show the effect of each part more obviously.
4.1.1 Effect of SDA
We first analyze the effectiveness of SDA. As discussed earlier, hyper-parameter $\epsilon$ determines the degree of relaxation in
| Method | No FT | W-bit | A-bit | Top-1 |
|-------------------------|-------|-------|-------|-------|
| Baseline | – | 32 | 32 | 71.47 |
| Vanilla (ZeroQ) | ✓ | 4 | 4 | 26.04 |
| Sample Correlation Inhibition | ✓ | 4 | 4 | 39.53 |
| Layerwise Sample Enhancement | ✓ | 4 | 4 | 27.12 |
| Slack Distribution Alignment | ✓ | 4 | 4 | 33.39 |
| DSG (Ours) | ✓ | 4 | 4 | 39.90 |
| Vanilla (GDFQ) | ✗ | 4 | 4 | 60.52 |
| Layerwise Sample Enhancement | ✗ | 4 | 4 | 60.71 |
| Sample Correlation Inhibition | ✗ | 4 | 4 | 60.92 |
| Slack Distribution Alignment | ✗ | 4 | 4 | 61.08 |
| DSG (Ours) | ✗ | 4 | 4 | 62.18 |
TABLE 1: Ablation study for DSG scheme on ResNet18. We abbreviate quantization bits used for weights as “W-bit” (for activations as “A-bit”), top-1 test accuracy as “Top-1”.
SDA. Therefore, in Fig. 5, we verify the impact of different values of $\epsilon$ in the interval $(0, 1]$ with a moderate step size 0.1, and further add $\epsilon = 0$ to serve as the vanilla case that the fitting of BN statistics is constrained without relaxation.
In PTQ (Fig. 5(a)), when the $\epsilon$ varies from 0 to 0.9, the final performance increases gradually from 26.04% to 33.39%. In QAT (Fig. 5(b)), the accuracy also presents an overall upward trend (from 60.52% to 61.08%) as the $\epsilon$ varies from 0 to 0.9. However, when $\epsilon = 1$, the accuracy drops more or less in both scenarios, which is 3.61% in PTQ and 0.02% in QAT. These phenomena forcefully prove that by way of relaxing the constraints, the SDA method brings generated data a certain offset when fitting the BN statistic distribution, which contributes to feature diversity and consequently improves the performance. And when $\epsilon$ is set to 1, the degree of slack reaches the limit as all the outliers in $\hat{\mu}_i^j$ and $\hat{\sigma}_i^j$ are taken into account, which means the feature distribution of generated data might be out of the reasonable range. Therefore, it might result in better feature diversity in synthetic data but would harm the final accuracy of the quantized network. Therefore, we set the default value of $\epsilon$ as 0.9 empirically to balance divergence and the impact of outliers.
As the results shown in TABLE 1, the vanilla data-free PTQ method without SDA suffers a severe accuracy degradation by 7.35%, and the SDA also provides 0.56% accuracy promotion in data-free QAT (vanilla 60.52% vs. SDA 61.08%). The results reflect that SDA is essential. Compared to the other two parts of our scheme, SDA may provides a major contribution to the final performance.
### 4.1.2 Effect of LSE
The TABLE 1 also shows that LSE can improve the performance in both data-free QAT and PTQ. As the ablation results show, in PTQ, LSE method gives a non-negligible increment compared with ZeroQ by 1.08%. As for in QAT, it also helps the DSG scheme to have a slight improvement compared with the vanilla method by 0.19%.
### 4.1.3 Effect of SCI
Then we evaluate SCI in data-free quantization. The motivation of our SCI is to alleviate the sample-level homogenization from the spatial perspective. TABLE 1 shows the effects of using SCI. In QAT, compared with the vanilla method, integrating with SCI helps to acquire better accuracy, which is 0.40% higher. Also, in PTQ, the SCI method gains 13.49% accuracy compared with using pure random inputs.
Intuitively, these three techniques are motivated by different observations, and also the processes are carefully engineered that they hardly interfere with each other. In short, SDA and LSE improve the loss related to BN statistics, aiming to prevent the generated samples from overfitting to BN statistics and makes the samples focus on the statistics of different layers. While the SCI for data-free quantization constructs an unsupervised loss to constrain the features in the generator to holding distances among them, so that mitigate the sample homogenization. The results show that, in data-free QAT, DSG scheme equipped with these techniques obtains 1.66% improvement in total with ResNet18 under W4A4 setting, which is up to 62.18%. As for data-free PTQ, DSG can also boost the performance to 13.86% with all the techniques.
### 4.2 Comparison with SOTA Methods
We extensively evaluate our DSG scheme on a wide range of architectures on CIFAR10 and ImageNet datasets for the image classification tasks. We denote the bit-width setting of the quantized network as $WwAa$ where $w$ is the bit-width for weight and $a$ is that for activation, like W8A8, W6A6, W4A4, etc.
#### 4.2.1 Comparison with Data-free PTQ Methods
To evaluate the advantage of the proposed scheme in PTQ, we first compare our DSG against other data-free PTQ methods (ZeroQ [5], DFQ [38], ACIQ [1], MSE [7], KL [49], SQuant [19], and OCS [58]) on CIFAR10 and ImageNet datasets. Among these methods, ZeroQ and SQuant are typical generative data-free PTQ methods, which reconstruct synthetic data and calibrate the quantized network in different ways. Thus, we evaluate the generation performance of our DSG in PTQ with calibration methods from ZeroQ and SQuant, denoted as DSG$^1$ and DSG$^2$. Other quantization methods use weight equalization or analytical clip range to improve the network performance. Besides, we additionally compare our method with OCS, which is also a PTQ method but requires real data for calibration. We evaluate these methods on various bit-width settings, and the results on CIFAR10 and ImageNet dataset are shown as TABLE 2 and TABLE 3, respectively.
Specifically, on CIFAR10 [28] dataset, we evaluate our DSG with ResNet20 [24] and VGG16bn [48]. The results are shown in TABLE 2. Under all settings on the CIFAR10 dataset, our DSG far exceeds existing SOTA methods. And
| Arch | Method | No D | No FT | W-bit | A-bit | Top-1 |
|--------|------------|------|-------|-------|-------|-------|
| | Baseline | – | – | 32 | 32 | 94.08 |
| | Real Data | ✗ | ✓ | 4 | 4 | 87.38 |
| | ZeroQ | ✓ | ✓ | 4 | 4 | 85.39 |
| | DSG (Ours) | ✓ | ✓ | 4 | 4 | 87.79 |
| ResNet20 | Real Data | ✗ | ✓ | 6 | 6 | 93.80 |
| | ZeroQ | ✓ | ✓ | 6 | 6 | 93.33 |
| | DSG (Ours) | ✓ | ✓ | 6 | 6 | 93.55 |
| | Real Data | ✗ | ✓ | 8 | 8 | 93.95 |
| | ZeroQ | ✓ | ✓ | 8 | 8 | 93.94 |
| | DSG (Ours) | ✓ | ✓ | 8 | 8 | 93.97 |
| | Baseline | – | – | 32 | 32 | 93.86 |
| | Real Data | ✗ | ✓ | 4 | 4 | 92.50 |
| | ZeroQ | ✓ | ✓ | 4 | 4 | 91.79 |
| | DSG (Ours) | ✓ | ✓ | 4 | 4 | 92.89 |
| VGG16bn | Real Data | ✗ | ✓ | 6 | 6 | 93.48 |
| | ZeroQ | ✓ | ✓ | 6 | 6 | 93.45 |
| | DSG (Ours) | ✓ | ✓ | 6 | 6 | 93.68 |
| | Real Data | ✗ | ✓ | 8 | 8 | 93.59 |
| | ZeroQ | ✓ | ✓ | 8 | 8 | 93.53 |
| | DSG (Ours) | ✓ | ✓ | 8 | 8 | 93.61 |
| Arch | Method | No D | No FT | W-bit | A-bit | Top-1 |
|----------|----------|------|-------|-------|-------|-------|
| Baseline | — | — | 32 | 32 | 71.47 |
| Real Data| ✗ | ✓ | 4 | 4 | 65.22 |
| DFQ | ✓ | ✓ | 4 | 4 | 0.10 |
| ACIQ | ✓ | ✓ | 4 | 4 | 7.19 |
| MSE | ✓ | ✓ | 4 | 4 | 15.08 |
| KL | ✓ | ✓ | 4 | 4 | 16.27 |
| ZeroQ | ✓ | ✓ | 4 | 4 | 26.04 |
| SQuant | ✓ | ✓ | 4 | 4 | 66.14 |
| DSG¹ (Ours) | ✓ | ✓ | 4 | 4 | 39.90 |
| DSG² (Ours) | ✓ | ✓ | 4 | 4 | 66.67 |
| ResNet18 | Real Data| ✗ | ✓ | 6 | 6 | 71.18 |
| | ACIQ | ✓ | ✓ | 6 | 6 | 61.15 |
| | KL | ✓ | ✓ | 6 | 6 | 61.34 |
| | MSE | ✓ | ✓ | 6 | 6 | 66.96 |
| | DFQ | ✓ | ✓ | 6 | 6 | 67.30 |
| | ZeroQ | ✓ | ✓ | 6 | 6 | 69.74 |
| | DSG¹ (Ours) | ✓ | ✓ | 6 | 6 | 70.46 |
| | DSG² (Ours) | ✓ | ✓ | 6 | 6 | 71.18 |
| ResNet50 | Baseline | — | — | 32 | 32 | 77.72 |
| | Real Data| ✗ | ✓ | 4 | 4 | 68.13 |
| | ZeroQ | ✓ | ✓ | 4 | 4 | 8.20 |
| | DFQ | ✓ | ✓ | 4 | 4 | 10.32 |
| | SQuant | ✓ | ✓ | 4 | 4 | 70.80 |
| | DSG¹ (Ours) | ✓ | ✓ | 4 | 4 | 56.12 |
| | DSG² (Ours) | ✓ | ✓ | 4 | 4 | 68.30 |
| InceptionV3 | Baseline | — | — | 32 | 32 | 78.80 |
| | Real Data| ✗ | ✓ | 4 | 4 | 73.50 |
| | ZeroQ | ✓ | ✓ | 4 | 4 | 12.00 |
| | SQuant | ✓ | ✓ | 4 | 4 | 73.26 |
| | DSG¹ (Ours) | ✓ | ✓ | 4 | 4 | 57.17 |
| | DSG² (Ours) | ✓ | ✓ | 4 | 4 | 74.02 |
| ShuffleNet | Baseline | — | — | 32 | 32 | 65.07 |
| | Real Data| ✗ | ✓ | 6 | 6 | 56.25 |
| | ZeroQ | ✓ | ✓ | 6 | 6 | 39.92 |
| | SQuant | ✓ | ✓ | 6 | 6 | 60.25 |
| | DSG¹ (Ours) | ✓ | ✓ | 6 | 6 | 60.71 |
| | DSG² (Ours) | ✓ | ✓ | 6 | 6 | 61.94 |
| | Real Data| ✗ | ✓ | 8 | 8 | 64.52 |
| | ZeroQ | ✓ | ✓ | 8 | 8 | 64.46 |
| | SQuant | ✓ | ✓ | 8 | 8 | 64.68 |
| | DSG¹ (Ours) | ✓ | ✓ | 8 | 8 | 64.87 |
| | DSG² (Ours) | ✓ | ✓ | 8 | 8 | 64.97 |
**TABLE 3:** Results of data-free PTQ methods with (a) ResNet18, ResNet50, (b) SqueezeNext, InceptionV3, and ShuffleNet on ImageNet. Here, "Arch" means the network architectures, "No D" means that none of the data is used to assist quantization, "No FT" stands for no finetuning (retraining). "Real Data" represents using real training data and quantization methods in ZeroQ (without any finetuning).
we highlight that the quantized network calibrated with DSG data completely surpasses the network calibrated with real data on various settings. For example, under the W4A4 settings of ResNet20 and VGG6bn, our method exceeds the calibration with real data by 0.41% and 0.39%, respectively.
As listed in TABLE 3, the results over various network architectures, including ResNet18/50 [23], SqueezeNext [16],
| Arch | Method | No D | No FT | W-bit | A-bit | Top-1 |
|--------------|------------|------|-------|-------|-------|-------|
| ResNet18 | Baseline | – | – | 32 | 32 | 71.74 |
| | Real Data | ✗ | ✗ | 4 | 4 | 63.87 |
| | GDFQ | ✓ | ✗ | 4 | 4 | 60.52 |
| | DSG (Ours) | ✓ | ✗ | 4 | 4 | **62.18** |
| | Real Data | ✗ | ✗ | 6 | 6 | 71.42 |
| | Integer-Only | ✓ | ✗ | 6 | 6 | 67.30 |
| | GDFQ | ✓ | ✗ | 6 | 6 | 70.43 |
| | DSG (Ours) | ✓ | ✗ | 6 | 6 | **71.12** |
| | Real Data | ✗ | ✗ | 8 | 8 | 71.44 |
| | DFC | ✓ | ✗ | 8 | 8 | 69.57 |
| | RVQuant | ✗ | ✗ | 8 | 8 | 70.01 |
| | GDFQ | ✓ | ✗ | 8 | 8 | 71.43 |
| | DSG (Ours) | ✓ | ✗ | 8 | 8 | **71.54** |
| ResNet50 | Baseline | – | – | 32 | 32 | 77.72 |
| | Real Data | ✗ | ✗ | 4 | 4 | 70.27 |
| | GDFQ | ✓ | ✗ | 4 | 4 | 55.65 |
| | RVQuant | ✗ | ✗ | 4 | 4 | 64.90 |
| | ZAQ | ✓ | ✗ | 4 | 4 | 70.06 |
| | DSG (Ours) | ✓ | ✗ | 4 | 4 | **71.96** |
| InceptionV3 | Real Data | ✗ | ✗ | 6 | 6 | 77.56 |
| | GDFQ | ✓ | ✗ | 6 | 6 | 76.59 |
| | ZS-CGAN | ✓ | ✗ | 6 | 6 | 76.82 |
| | DSG (Ours) | ✓ | ✗ | 6 | 6 | **77.25** |
| | Real Data | ✗ | ✗ | 8 | 8 | 77.66 |
| | GDFQ | ✓ | ✗ | 8 | 8 | 77.51 |
| | DSG (Ours) | ✓ | ✗ | 8 | 8 | **77.64** |
| Arch | Method | No D | No FT | W-bit | A-bit | Top-1 |
|--------------|------------|------|-------|-------|-------|-------|
| ShuffleNet | Baseline | – | – | 32 | 32 | 65.07 |
| | Real Data | ✗ | ✗ | 4 | 4 | 29.18 |
| | GDFQ | ✓ | ✗ | 4 | 4 | 21.78 |
| | DSG (Ours) | ✓ | ✗ | 4 | 4 | **29.71** |
| | Real Data | ✗ | ✗ | 6 | 6 | 62.89 |
| | GDFQ | ✓ | ✗ | 6 | 6 | 60.12 |
| | DSG (Ours) | ✓ | ✗ | 6 | 6 | **61.37** |
| | Real Data | ✗ | ✗ | 8 | 8 | 62.95 |
| | GDFQ | ✓ | ✗ | 8 | 8 | 64.03 |
| | DSG (Ours) | ✓ | ✗ | 8 | 8 | **64.76** |
| MobileNetV2 | Baseline | – | – | 32 | 32 | 71.88 |
| | Real Data | ✗ | ✗ | 4 | 4 | 66.39 |
| | GDFQ | ✓ | ✗ | 4 | 4 | 51.30 |
| | DSG (Ours) | ✓ | ✗ | 4 | 4 | **60.46** |
| | Real Data | ✗ | ✗ | 6 | 6 | 72.11 |
| | Integer-Only | ✓ | ✗ | 6 | 6 | 70.90 |
| | GDFQ | ✓ | ✗ | 6 | 6 | 70.98 |
| | GZNQ | ✓ | ✗ | 6 | 6 | 71.12 |
| | DSG (Ours) | ✓ | ✗ | 6 | 6 | **71.48** |
| | Real Data | ✗ | ✗ | 8 | 8 | 72.92 |
| | GDFQ | ✓ | ✗ | 8 | 8 | 70.17 |
| | ZAQ | ✓ | ✗ | 8 | 8 | 71.43 |
| | DSG (Ours) | ✓ | ✗ | 8 | 8 | **72.90** |
| InceptionV3 | Baseline | – | – | 32 | 32 | 78.80 |
| | Real Data | ✗ | ✗ | 4 | 4 | 73.51 |
| | GDFQ | ✓ | ✗ | 4 | 4 | 70.39 |
| | DSG (Ours) | ✓ | ✗ | 4 | 4 | **72.01** |
| | Real Data | ✗ | ✗ | 6 | 6 | 78.81 |
| | GDFQ | ✓ | ✗ | 6 | 6 | 77.20 |
| | DSG (Ours) | ✓ | ✗ | 6 | 6 | **78.60** |
| | Real Data | ✗ | ✗ | 8 | 8 | 79.00 |
| | GDFQ | ✓ | ✗ | 8 | 8 | 78.62 |
| | DSG (Ours) | ✓ | ✗ | 8 | 8 | **78.94** |
TABLE 4: Results of data-free QAT methods with ResNet18, ResNet50, InceptionV3, ShuffleNet, and MobileNetV2 on ImageNet.
InceptionV3 [50], and ShuffleNet [57], demonstrate that our proposed DSG significantly outperforms previous sample generation methods. As the results shown, the accuracy of quantized networks calibrated with our DSG data under the W8A8 setting is almost not decreased and even surpasses the full-precision (W32A32) baseline networks on the ResNet18 and InceptionV3 architectures. The higher accuracy might be attributed to making full use of the potential of the quantized network. Quantizing the network to W8A8 maintains greater representation ability of the network compared with the lower bit-width quantization (such as W4A4) and brings less quantization error. Thus, under this setting, our diversified data can alleviate the performance degradation of the network quantization while even leading to a better solution compared with the full-precision network. And the advantage of our DSG gets more evident when the bit-width becomes lower. For example, our DSG outperforms ZeroQ on SqueezeNext on the W6A6 setting by more than 26%, and even outperforms real data by 1.54%. And it is noteworthy that in W4A4 cases with ResNet18 architecture, our DSG surpasses ZeroQ by 13.86%, and even surpasses real data by a notable 1.45% with the compared SQuant calibration, which is up to 66.67%. Moreover, with InceptionV3 under W4A4 settings, our DSG helps to acquire 74.02% accuracy, which is higher than SQuant and real data by eminent 0.76% and 0.52%, respectively.
4.2.2 Comparison with Data-free QAT Methods
Furthermore, to demonstrate the applicability of our DSG scheme in data-free QAT, we compare it with existing QAT methods, such as DFC [21], RVQuant [41], Integer-Only [26], ZAQ [35], GZNQ [25], ZS-CGAN [9], and GDFQ [47]. These methods are engineered to finetune and update the network parameters. DFC is a finetuning method to recover accuracy for ultra-low bit-width cases, which uses Inceptionism [36] to facilitate the generation of data with random labels. The other mentioned methods finetune the quantized network to improve the accuracy of the network. Among them, ZAQ and GDFQ introduce a generator to synthesize data and use the generated data to finetune the network. We evaluate these methods on various bit-width settings in the more challenging large-scale image classification task. The results on ImageNet are shown as TABLE 4.
We test these methods on ResNet18/50 [23], InceptionV3 [50], ShuffleNet [57], and MobileNetv2 [46]. The results in TABLE 4 show that our DSG enjoys the best performance. Concretely, as can be seen, regardless of network architecture, our DSG method surpasses many previous methods, including DFC, RVQuant, Integer-Only, and GDFQ in various bit-width settings. And it is noteworthy that, after finetuning with our DSG data, quantized ResNet18 and InceptionV3 even surpass their full-precision counterparts under the W8A8 setting. Comparing with other data-free QAT training methods under W4A4 setting, our DSG outperforms GDFQ by 1.66% and 16.31% with ResNet18 and ResNet50 respectively, also higher than RVQuant with real data by 7.06% with ResNet50. Besides the mainstream neural architectures, we also evaluate our DSG over existing well-designed lightweight architectures. The proposed DSG shows an overwhelming advantage over GDFQ with a similar training pipeline, 9.16% higher with MobileNetV2 under W4A4, 7.93% higher with ShuffleNet under W4a4, and 1.62% higher with InceptionV3 under W4A4.
In short, our DSG scheme outperforms other competitors over a wide range of experiments in data-free PTQ and QAT, including various bit-width, different network architectures, and two datasets. All the results forcefully demonstrate that the diversity of generated data is significant to calibrate the model for higher accuracy, especially in ultra-low bit-width conditions. If the synthetic data are homogeneous or even identical at the distribution and sample level, it would be ineffectual when used to quantize the network. Our DSG effectively diversifies the synthetic data and thus improves the performance of the quantized neural network.
4.3 Further Study on Synthetic Data
To further demonstrate the data diversifying caused by our DSG scheme has a general gain to the quantized network, we provide more experiments as corroborations to support our viewpoint. In our paper, we have conducted a bunch of experiments on our synthetic data to evaluate its effectiveness in improving the network performance, including analyzing the data diversity and integrating the synthetic data generated by our method to different calibration methods and data-driven quantization methods. The experiments show that benefits by the increase in the diversity of synthetic data, the network performance in various methods is significantly improved. It shows that good diversity is an important property of high-quality synthetic data.
4.3.1 Analysis and Discussion for Data Diversity
In this section, we further discuss the visualization results of our DSG scheme. First, for data-free PTQ, we show the distribution of statistics of the real data, vanilla data (ZeroQ), and DSG data (ours) in Fig. 6, which explains that SDA and LSE alleviate the homogenization from the aforementioned two levels. Then, for data-free QAT, we visualized samples of vanilla data (GDFQ), DSG data (ours), real data, and Gaussian data in Fig. 7 to show the additional effect of SCI that diversifies samples by inhibiting feature correlation. We also visualize the synthetic samples of our method and other generative data-free quantization methods (ZeroQ, GDFQ) in Fig. 8 to visually show the effect of data diversifying.
In Fig. 6, it can be obviously investigated that DSQ samples behave more like real data than vanilla data on the offset of mean and standard deviation statistics, which corresponds to the diversity at the distribution level of our generated data scheme. Especially, the SDA plays an important role to make the distribution diverse by slackling the constraint of statistics during the generation process. This phenomenon proves that our DSG scheme diversifies the synthetic data at the distribution level. Moreover, the DSG scheme also generates data with a larger variance compared to the vanilla scheme, which implies that our data samples are widely dispersed and more in line with the real situation. Especially, both SDA and LSE jointly promote diversity at the sample level, which might be useful in providing more content information.
The motivation of the SCI method is to inhibit the correlation among features in the generator, and thus the synthetic samples are separated, as shown in Fig. 7. We visualize the data generated by the vanilla method (GDFQ) and our SCI method, as well as the real data and Gaussian random data. At the right-bottom corner of each subplot, we measure the diversity of each set of features by summarizing the elements in the similarity kernel $K_f$ as an index $s = \sum_{i,j \in f} |K_{i,j}|$, which indicates the feature distance between samples in
spatial perspective. The larger the $s$, the more similar the samples. As can be seen from Fig. 7, the Gaussian random data is dispersive and stochastic. And it is also quite obvious that the real data is naturally distinct. However, samples generated by the vanilla GDFQ method, as shown in the subplot (a), are generally more concentrated in comparison, some of which are even overlapped. So it has the biggest $s$. Instead, our SCI utilizes the random Gaussian data as initialization and inhibits the correlation between samples to make the data more dispersed than Gaussian sampling. The samples generated by our method, which has the smallest $s$, are more dispersed than those generated by the vanilla method and seem close to real data. It demonstrates that the SCI method helps to avoid homogenization from the spatial perspective, and thus diversifies the synthetic samples from each other.
We visualize some synthetic samples of our method and other generative data-free quantization methods (ZeroQ, GDFQ). Take a closer look at Fig. 8, comparing pictures of DSG-PTQ and ZeroQ above, both of which generate images directly and update them iteratively. It is obvious that pictures generated by our DSG-PTQ method seem to have diverse colors with fine-grained textures and coarse-grained figures, while pictures of ZeroQ seem identical and have little difference in between. Meanwhile, below two sets of pictures are generated by DSG-QAT and GDFQ respectively. Owing to the generator, there are much more possibilities in the generation process and finally exhibit in both sets of images. It can be seen with naked eyes that samples of our DSG-QAT have distinct colors with higher saturation degrees, and white images inside the pictures have uncertain patterns. However, although samples generated by GDFQ have different colors and details inside the pictures as well, these samples have a uniform style in texture, which is tanglesome and poor in diversity.
### 4.3.2 Evaluation with Calibration Methods
Additionally, to verify the versatility and robustness of the performance gains of our DSG method, we evaluate our DSG scheme with different calibration methods and compare it with other data generation methods under the same setting. The calibration methods include Percentile, EMA, and MSE. As shown in TABLE 5, no matter which calibration methods is integrated, our DSG scheme substantially outstrips ZeroQ by 6.52%, 9.36%, and 0.61%, respectively. The results strongly suggest that DSG can achieve the leading performance in various experimental settings, and thus the improvement is versatile and robust for various calibration methods.
We also evaluate the synthetic data with DFQ [38], which is a calibration method for data-free quantization. Specifically, DFQ has proposed cross-layer range equalization to equalize the different channel ranges of weight in per-layer quantization and bias correction which is to eliminate the biased quantization error. Both of the two techniques rely on the statistics of BN layers following the convolution layer. Therefore, BN layers are needed to calibrate the corresponding activations, so they have to proceed behind each convolution layer, which results in DFQ only working on specific network architectures and cannot be commonly practiced. Fortunately, generative methods, such as ZeroQ and our DSG, can work on arbitrary architectures, and the statistics of activations can take the place of BN statistics and thus be used in the DFQ method. TABLE 6 shows the closeups of two generative data-free quantization methods, i.e., ZeroQ and DSG, in conjunction with the DFQ method. Results show that our DSG outperforms ZeroQ by 0.57% and 3.13% in W6A6 and W8A8 cases.
| Method | No D | W-bit | A-bit | Quant | Top-1 |
|-----------------|------|-------|-------|-------|-------|
| Baseline | – | – | 32 | 32 | 71.47 |
| Real Data | ✗ | 4 | 4 | Vanilla | 31.86 |
| ZeroQ | ✓ | 4 | 4 | Vanilla | 26.04 |
| DSG (Ours) | ✓ | 4 | 4 | Vanilla | 39.90 |
| Real Data | ✗ | 4 | 4 | Percentile | 42.83 |
| ZeroQ | ✓ | 4 | 4 | Percentile | 32.24 |
| DSG (Ours) | ✓ | 4 | 4 | Percentile | 38.76 |
| Real Data | ✗ | 4 | 4 | EMA | 42.67 |
| ZeroQ | ✓ | 4 | 4 | EMA | 32.31 |
| DSG (Ours) | ✓ | 4 | 4 | EMA | 41.67 |
| Real Data | ✗ | 4 | 4 | MSE | 41.45 |
| ZeroQ | ✓ | 4 | 4 | MSE | 39.39 |
| DSG (Ours) | ✓ | 4 | 4 | MSE | 40.00 |
**TABLE 5:** Evaluation with calibration on ImageNet. We evaluation our DSG scheme with various calibration methods (Percentile, EMA, MSE) on ResNet18, and Vanilla means the calibration method adopted by ZeroQ, which simply obtain the quantizer by the maximum and minimum of the weight and activation.
| Method | No D | No FT | W-bit | A-bit | Top-1 |
|-----------------|------|-------|-------|-------|-------|
| Baseline | – | – | 32 | 32 | 69.76 |
| Real Data | ✗ | ✓ | 6 | 6 | 59.16 |
| ZeroQ | ✓ | ✓ | 6 | 6 | 58.12 |
| DSG (Ours) | ✓ | ✓ | 6 | 6 | 58.69 |
| Real Data | ✗ | ✓ | 8 | 8 | 69.22 |
| ZeroQ | ✓ | ✓ | 8 | 8 | 65.75 |
| DSG (Ours) | ✓ | ✓ | 8 | 8 | 68.88 |
**TABLE 6:** Evaluation with DFQ on ImageNet. We use cross-layer equalization and bias correction proposed by DFQ to perform per-layer quantization on ResNet18.
4.3.3 Evaluation with Data-driven Quantization Methods
Experiments above are conducted on calibration methods that optimize the clipping value for activations. We further evaluate our DSG data with a novel data-driven PTQ method named Adaround [37], which utilizes a rounding approach to quantize weights. Meanwhile, we introduce two other data generation tricks into our DSG scheme, e.g., generating data with labels [22] provides class information from parameters, image prior [55] avoids generating unpractical scenes or unrecognizable patterns. We have conducted different bit-width for both weights and activations on different network architectures including ResNet18 and MobileNetV2 (TABLE 7). And we generate 1024 samples in every single experiment. TABLE 7 shows that our DSG scheme outperforms ZeroQ by a wide margin when solely quantizing weights and preserving full-precision for activations. It is notable that in ultra-low bit-width settings (i.e., 3-bit), our DSG surpasses ZeroQ by 11.46% on ResNet18 and a surprising 34.33% on MobileNetV2. We also tried quantizing activations to 8-bit, and the results prove that our DSG is more robust to quantization of parameters, which outstrips ZeroQ by 6.06% with ResNet18 on ImageNet. Besides, we have the observation that the model gains further improvements when these tricks are applied together, even close the performance applying real data. Because our DSG is orthogonal with labels and image prior methods, so these methods can jointly boost the accuracy performance without any inconsistency.
5 Conclusion
In this paper, we first revisit the sample generation process in generative data-free PTQ and QAT quantization and then give a theoretical analysis that the diversity of synthetic samples is crucial for the data-free quantization and reveal the homogenization of synthetic data in the distribution and sample levels. In this paper, we propose a novel Diverse Sample Generation (DSG) scheme for generative data-free quantization, to address the deficiencies of previous methods which severely debases the quality of the synthetic data and further harms the performance of the quantized network. Our scheme has been evaluated on a variety of bit widths and neural architectures, and the results forcefully demonstrate the effectiveness and versatility of the DSG scheme. It shows notable accuracy improvements in ultra-low bit-width cases (e.g. W4A4). Moreover, benefiting from the enhanced diversity, the performance of the network is significantly improved in various methods integrating with synthetic data, which demonstrates that diversity is an important property of high-quality synthetic data. We hope our work can provide directions for future research on data-free quantization.
Acknowledgments
This work was supported by National Natural Science Foundation of China (62022009, 61872021), Beijing Nova Program of Science and Technology (Z191100001119050), State Key Lab of Software Development Environment (SKLSDE-2020ZX-06).
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APPENDIX A
MAIN PROOFS AND DISCUSSION
A.1 Proof of Lemma 1
Lemma A.1. For any input domain \( \mathcal{X} \) that includes multiples classes (at least 2) of samples, it can be modeled as several independent high-density \( \{R_{H1}, \cdots, R_{Hh}\} \) and low-density \( \{R_{L1}, \cdots, R_{Li}\} \) sub-regions divided by possible decision surfaces, where \( h \geq 1 \) and \( l \geq 0 \).
Proof. As discussed in Section 3.2, the given input domain \( \mathcal{X} \) follows Low-density assumption and Smoothness assumption. And we use the method of proof by contradiction. If Lemma 1 is false, then at least one of the following is true:
- Low-density sub-regions in the input domain do not exist;
- High-density sub-regions in the input domain do not exist or are only one.
And below we prove that none of the above is true.
(1) Let us assume that the first term holds.
When there is no low-density area, according to the low-density assumption, the possible decision surface can only pass through the low-density area, so there is no possible decision surface in the input domain, that is, the input domain contains and contains only one meaningful category. This violates the premise that the input domain contains at least two classes.
(2) Then we assume that the second term holds.
When high-density regions do not exist in the input domain, the entire input domain is a low-density region. According to the smoothness assumption, since there is no high-density path between any two samples in the input domain, they cannot be classified into the same category by the decision surface. Therefore, any two samples in the input domain belong to different classes, that is, there is no determinable class division. This in principle violates the premise that the input domain contains multiple classes, that is, the input domain should be classifiable rather than distinct everywhere.
When there is only one high-density region in the input domain, also according to the smoothness assumption, only two samples in this high-density region can form a high-density path, i.e. belong to the same class. In other words, the input domain contains one and only one meaningful class, which also violates the premise that the input domain contains at least two classes.
So, to sum up, Lemma 1 must be true.
\(\square\)
A.2 Proof of Theorem 1
Theorem A.1. Given a set of all possible input domains \( \mathbf{X} = \{\mathcal{X}_0, \mathcal{X}_1, \cdots\} \), whose \( i \)-th element can be denoted as \( \mathcal{X}_i \) with scale \( V^* \) and consists of several sub-regions \( \{R_1^*, \cdots, R_{K^*}^*\} \) with scales \( \{V_1^*, \cdots, V_{K^*}^*\} \), and the number \( K^* \geq 2 \) is unknown yet limited. Consider a sample set \( \mathbf{x}^* = \{x_0^*, \cdots, x_{N^*}^*\} \subset \mathcal{X}^* \), where \( \mathcal{X}^* = \mathbb{E}(\mathbf{X}) \) denotes the potential input domain and the differences inside each sub-region of \( \mathcal{X} \) is neglected. When the set \( \mathbf{x}^* \) satisfies that for \( \forall x_i^* \in \mathbf{x}^* \), \( p(x_i^* \in R_j^*) = \frac{V_j^*}{V^*} \), the information reflecting from all possible input domains \( \mathbf{X} \) by the sample set \( \mathbf{x}^* \) will be the maximized in mathematical expectation, where \( V^* = \sum_{k=0}^{K^*} V_k^* \).
Proof. First, we discuss the properties of the potential input field \( X^* = E(X) \). For the set of all possible input domains \( \mathbf{X} = \{\mathcal{X}_0, \mathcal{X}_1, \cdots\} \), since the consistent modeling among all its possible elements (as shown in Lemma 1), so for the defined potential input domain \( X^* \), the number of its sub-regions \( K^* \) is \( K^* = \max\{R^0, K^1, \cdots\} \).
For any \( i \)-th input domain \( \mathcal{X}_i \), the \( K^* > K^i, R_{K^i+1} \cdots R_{K^*} \) can be regarded as empty sub-regions, and there is no specific ordering among all its sub-regions \( R_0, R_1 \cdots R_{K^*} \). For the potential input domain \( X^* \), the mathematical expectation of the scale of any sub-region \( R_j^* \) is \( V_j^* = \mathbb{E}_i \mathbb{E}_j(V_j^*) \), so \( \forall i, j, V_i^* = V_j^* \), i.e., \( \forall j, V_j^* = V^*/K^* \).
And for \( X^* = \mathbb{E}(\mathbf{X}) \), since the density properties of each possible input domain are completely random, \( X^* \) can be seen as uniform in density in expectation.
Therefore, consider the set \( \mathbf{x}^* = \{x_0^*, \cdots, x_N^*\} \) sampled from \( X^* \), for any sample \( x_i^* \), the probability that it belongs to the \( j \)-th sub-region \( R_j^* \) is \( p(x_i^* \in R_j^*) \). Since differences within sub-regions are ignored, samples in the same sub-region can be considered to have the exact same class. Therefore, maximizing the information amount of the sample set \( \mathbf{x}^* \) to reflect the latent region \( \mathcal{X}^* \) can be expressed as:
\[
\max \mathcal{H}(\mathbf{x}^*) = -\sum_i \sum_j p(x_i^* \in R_j^*) \log p(x_i^* \in R_j^*)
\]
(12)
Since the sampling of all samples is completely independent, the above formula is equivalent to
\[
\sum_i \max \mathcal{H}_i(\mathbf{x}^*) = \sum_i \left( \max - \sum_j p(x_i^* \in R_j^*) \log p(x_i^* \in R_j^*) \right)
\]
(13)
Since the samples are non-specific, we just need to discuss \( \max \mathcal{H}_i(\mathbf{x}^*) \) here. We simplify \( p(x_i^* \in R_j^*) \) as \( p_j \), and the optimization problem can be defined as:
\[
\max \mathcal{H}_i(\mathbf{x}^*) = \max - \sum_{j=1}^{K^*} p_j \log p_j.
\]
(14)
We introduce Lagrangian multiplier \( \lambda \), the constructed Lagrangian function is:
\[
L(p_j, \lambda) = -\sum_{j=1}^{K^*} p_j \log p_j + \lambda \left( \sum_{j=1}^{K^*} p_j - 1 \right)
\]
(15)
And then solve as:
\[
\begin{cases}
\frac{\partial L(p_j, \lambda)}{\partial p_j} = 0 \\
\sum_{j=1}^{K^*} p_j = 1
\end{cases}
\]
(16)
Then it is available that:
\[
\frac{\partial L(p_j, \lambda)}{\partial p_j} = 0
\]
(17)
\[
\Rightarrow \frac{\partial}{\partial p_j} \left[ -\left( p_j \log p_j \sum_{i \neq j} p_i \log p_i \right) + \lambda \left( p_j + \sum_{i \neq j} p_i - 1 \right) \right] = 0
\]
(18)
\[
\Rightarrow - (\log p_j + 1) + \lambda = 0
\]
(19)
\[
\Rightarrow p_j = \frac{1}{K^*}.
\]
(20)
Put $p_j = 2^{\lambda-1}$ into $\sum_{j=1}^{K^*} p_j = 1$ to get:
$$\sum_{i=1}^{n} 2^{\lambda-1} = 1 \Rightarrow 2^{\lambda-1} = \frac{1}{n} \Rightarrow p_i = \frac{1}{n}. \quad (21)$$
Bring $p_i = \frac{1}{n}$ into $H(X) = -\sum_{i=1}^{n} p_i \log p_i$ to get $H(X) = \log n$, so $H(X) \leq \log n$. Therefore, when $p_j = \frac{1}{K^*}$, the information entropy $H(x^*)$ is maximized.
Since according to the above proof, $\forall j, V_j^* = \frac{V_j^*}{K^*}$, so when $p(x^*_k \in R_j^*) = \frac{V_j^*}{V^*} = 1/K^*$, the information entropy $H(x^*)$ is maximized, that is, the sample set $x^*$ can maximize the amount of information that reflects the potential area $X^*$ at this time. And Theorem 1 is proved.
$\square$
**Appendix B**
**Visualization**
In Fig. 9 we show the visualization of more synthetic samples. Compared to the synthetic samples in existing generative data-free methods like ZeroQ and GDFQ, the synthetic samples produced by our DSG have more diverse colors and textures in visualization, which verifies from another aspect that DSG improves synthetic samples through diversification.
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